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HomeMy WebLinkAbout FULL PACKET_2011-01-04 MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA DECEMBER 14, 2010 CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:10 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL PULIDO, Mayor CLAUDIA ALVAREZ, Mayor Pro Tern P. DAVID BENAVIDES CARLOS BUSTAMANTE MICHELE MARTINEZ VINCENT F. SARMIENTO SAL TINAJERO COUNCILMEMBERS Absent: None STAFF Present: DAVID N. REAM, City Manager MARIA D. HUIZAR, Clerk of the Council PRESENTATION OF THE COLORS SANTA ANA POLICE DEPARTMENT HONOR GUARD INVOCATION ROGER ARAGON, POLICE CHAPLAIN PLEDGE OF ALLEGIANCE MAYOR PULIDO NATIONAL ANTHEM KATIE PERRY, ORANGE COUNTY HIGH SCHOOL OF THE ARTS PUBLIC COMMENTS - None CITY COUNCIL MINUTES 1 DECEMBER 14, 2010 1 0A-1 REGULAR BUSINESS ITEM 55A RESOLUTION DECLARING THE NOVEMBER 2, 2010 GENERAL MUNICIPAL ELECTION RESULTS FOR THE ELECTION OF CERTAIN OFFICERS MOTION: Adopt a resolution. RESOLUTION NO. 2010-061 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DECLARING THE RESULTS OF THE GENERAL MUNICIPAL ELECTION HELD ON NOVEMBER 2, 2010 MOTION: Sarmiento SECOND: Alvarez VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez, Pulido, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) OATHS OF OFFICE • Administered by Jeff Bishop of Sierra Intermediate Preparatory Academy to: - Michele Martinez, Councilmember Ward 2 • Administered by Clerk of the Council, Maria Huizar, to: - David Benavides, Councilmember Ward 4 - Sal Tinajero, Councilmember Ward 6 - Miguel Pulido, Mayor 2010-2012 CITY COUNCIL CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:25 P.M. CITY COUNCIL MINUTES 2 DECEMBER 14, 2010 1 0A-2 ATTENDANCE COUNCILMEMBERS Present: MIGUEL PULIDO, Mayor CLAUDIA ALVAREZ, Mayor Pro Tem P. DAVID BENAVIDES CARLOS BUSTAMANTE MICHELE MARTINEZ VINCENT F. SARMIENTO SAL TINAJERO COUNCILMEMBERS Absent: None STAFF Present: DAVID N. REAM, City Manager MARIA D. HUIZAR, Clerk of the Council ELECTION OF MAYOR PRO TEM The Mayor called for nominations. Councilmember Martinez nominated Claudia Alvarez, seconded by Councilmember Tinajero. There were no other nominations. MOTION: Close nominations for position of Mayor Pro Tem. MOTION: Bustamante SECOND: Sarmiento VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez, Pulido, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) Mayor Pulido declared that by unanimous vote Claudia Alvarez was elected Mayor Pro Tem. CLOSING REMARKS Councilmember Tinajero: • Introduced and thanked family and friends for support; and • Noted City accomplishments - street repair program, passage of school bond measure, and graffiti abatement program as examples of vision, and hard work. CITY COUNCIL MINUTES 3 DECEMBER 14, 2010 1 0A-3 Councilmember Benavides: • Recognized family and influence late father's values have played in his life and public service; and • Look forward to continuing progress of the City; • Mentioned that an upcoming improvement will include video archiving of council meetings starting in January 2011. Councilmember Martinez: • Thanked fellow Councilmembers for opportunity to serve along-side them and for leadership; • Thanked family, friends, city staff, and support group for encouragement; • Grateful to neighborhood associations for election efforts; • Expressed gratitude to the following influential people - Lily Martinez, Carolina Gonzalez, Kathy Bain, Alex Flores, Jeff Bishop, Ron Garcia from the City of Brea, SCAG's Executive Director Hasan Ikhrata, and the late Mark Press; and • Dedicated her next term to her late mother Mary Ann Oliva Martinez. Councilmember Sarmiento: • Congratulated re-elected members; • Thanked Councilmembers family's for allowing them to serve and willingness to serve even during tough economic times, and voters for trust in current council; and • Goal of the City and the Council is to keep the City relevant, well protected, and a safe place to raise a family. Councilmember Bustamante: • Congratulated colleagues and Mayor on re-election; and • Look forward to move the City forward - great momentum in Downtown and other improvements; Council will continue progress with professionalism and civility. Mayor Pro Tern Alvarez: • Reflected on past 10 years of service on the Council; • Thanked colleagues for trust and re-election as Mayor Pro Tem; • Recognized mother for support; • Thanked members of public in attendance especially Chris Leo and Lisa and Brian Bist for service to the community; and • Recognized Mayor Pulido's vision and leadership. Mayor Pulido: • Thanked everyone - family, residents, colleagues, and staff for support; and • Noted some recent accomplishments and upcoming projects - street improvements, expanding green jobs, economic development programs, focus resources on health, expand tree planting program, transportation plan "Go Local", Discovery Science Center, Pavilion which is now a Performing Arts Center for the High School of the Arts, and proposed Orangewood project. CITY COUNCIL MINUTES 4 DECEMBER 14, 2010 1 0A-4 ADJOURNED- 7:12 p.m. - The next meeting of the City Council is scheduled for Monday, December 20, 2010 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting in the Police Community Room, 60 Civic Center Plaza, Santa Ana, California. Installation Reception at Bowers Museum, 2002 N. Main Street Adjourn In Memory of Maryann Oliva Martinez Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES 5 DECEMBER 14, 2010 1 0A-5 1 0A-6 MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA DECEMBER 15, 2010 CLOSED SESSION CALLED TO ORDER CITY HALL, 8T" FLOOR, ROOM 831 20 CIVIC CENTER PLAZA SANTA ANA, CA 4:40 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL PULIDO, Mayor P. DAVID BENAVIDES (4:42 P.M.) CARLOS BUSTAMANTE MICHELE MARTINEZ VINCENT F. SARMIENTO SAL TINAJERO COUNCILMEMBERS Absent: CLAUDIA ALVAREZ, Mayor Pro Tern STAFF Present: DAVID N. REAM, City Manager MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS - None CLOSED SESSION ITEM 1A PUBLIC EMPLOYEE PERFORMANCE EVALUATION / DISMISSAL / RELEASE pursuant to Government Code Section 54957 Title: City Attorney CLOSED SESSION REPORT The City Council shall publicly report any action taken in closed session and the vote or abstention on that action of every member present. MOTION: CITY COUNCIL MINUTES 1 DECEMBER 15, 2010 1 0B-1 1. AGMT NO. 2010-247 - Approve a severance agreement and mutual general release with Joseph W. Fletcher, including a severance in the amount of $142,080 effective December 31, 2010. 2. Direct the City Manager and Personnel Services Director to develop a Recruitment Plan and bring it back to Council for consideration. MOTION: Bustamante SECOND: Martinez VOTE: AYES: Benavides, Bustamante, Pulido, Martinez, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Alvarez (1) ADJOURNED - 5:02 P.M. Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES 2 DECEMBER 15, 2010 1 0B-2 MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA DECEMBER 20, 2010 CLOSED SESSION CALLED TO ORDER POLICE CHIEF'S CONFERENCE ROOM 60 CIVIC CENTER PLAZA, 4TH FLOOR SANTA ANA, CA 5:17 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL PULIDO, Mayor (5:35 P.M.) CLAUDIA ALVAREZ, Mayor Pro Tern P. DAVID BENAVIDES CARLOS BUSTAMANTE MICHELE MARTINEZ SAL TINAJERO COUNCILMEMBERS Absent: VINCENT F. SARMIENTO STAFF Present: DAVID N. REAM, City Manager MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS - None CLOSED SESSION ITEMS 1A PUBLIC EMPLOYEE EMPLOYMENT AND APPOINTMENT pursuant to Government Code Section 54957(b)(1) Title: City Attorney 1 B CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6 Agency Negotiators: Personnel Services Executive Director, Kathie Gonzalez CITY COUNCIL MINUTES 1 DECEMBER 20, 2010 1 0C-1 Employee Organizations: Santa Ana Police Officer's Association Santa Ana Police Management Association Santa Ana Fire Management Association Santa Ana Management Association Santa Ana Service Employees International Union (SEIU) Full-Time Employees Santa Ana Service Employees International Union (SEIU) Part-time Civil Service Employees Santa Ana Service Employees International Union (SEIU) Part-time Employees (less than 20 hours) Agency Negotiator: City Manager David Ream Unrepresented Employees: All those unrepresented employees whose titles are identified as Executive Management (EM) CLOSED SESSION REPORT The City Attorney will report on any action(s) to be taken at the Regular Meeting which will begin immediately following the Closed Session Meeting. ADJOURNED THE CLOSED SESSION MEETING AT 6:02 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES 2 DECEMBER 20, 2010 1 0C-2 REGULAR OPEN SESSION CALLED TO ORDER POLICE COMMUNITY ROOM 60 CIVIC CENTER PLAZA SANTA ANA, CA 6:05 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL PULIDO, Mayor CLAUDIA ALVAREZ, Mayor Pro Tern P. DAVID BENAVIDES CARLOS BUSTAMANTE MICHELE MARTINEZ SAL TINAJERO COUNCILMEMBERS Absent: VINCENT F. SARMIENTO STAFF Present: DAVID N. REAM, City Manager MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS • Francisco Barragan, requested clarification on severance offered to City Attorney. • Kim McPeck, supports the staff currently handling the graffiti abatement program, encourages Council to either contract service out or hire additional city employees to continue to provide service to the community. CONSENT CALENDAR I MOTION: Approve Consent Calendar Items 10A through 25D with the following modifications: • Continue consideration of items 23A and 25A at the request of staff; • Excuse Councilmember Sarmiento from the City Council, Community Redevelopment Agency, and Housing Authority Meetings; and • Councilmember Tinajero pulled item 25D for separate discussion. MOTION: Benavides SECOND: Martinez VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez, Pulido, Tinajero (6) NOES: None (0) CITY COUNCIL MINUTES 3 DECEMBER 20, 2010 1 0C-3 ABSTAIN: None (0) ABSENT: Sarmiento (1) ADMINISTRATIVE MATTERS MINUTES 10A REGULAR MEETING MINUTES OF DECEMBER 6, 2010 - Clerk of the Council Office MOTION: Approve Minutes. 10B SPECIAL CLOSED SESSION MEETING MINUTES OF DECEMBER 10, 2010 - Clerk of the Council Office MOTION: Approve Minutes. ORDINANCES/SECOND READING In the event a Councilmember recorded an "abstention" before consideration of the following ordinance(s) on first reading, such abstention will also be reflected in the minutes for second reading 11A ZONING ORDINANCE AMENDMENT NO. 2010-02 - REQUEST AN AMENDMENT TO CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE (SAMC) IN ORDER TO CREATE A DEFINITION FOR EQUIPMENT RENTAL YARDS AND TO ESTABLISH OPERATIONAL STANDARDS FOR SUCH FACILITIES - Planning and Building Agency Placed on first reading at the December 6, 2010 City Council meeting and approved by a vote of 4-0 (Martinez, Tinajero and Pulido absent). Published in the Orange County Reporter on December 10, 2010. MOTION: Place ordinance on second reading and adopt. ORDINANCE NO. NS-2812 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE DEFINITION OF AND OPERATIONAL STANDARDS FOR EQUIPMENT RENTAL YARDS CITY COUNCIL MINUTES 4 DECEMBER 20, 2010 1 0C-4 BOARDS / COMMISSIONS / COMMITTEES 13A APPOINTMENTS TO THE SANTA ANA WORKFORCE INVESTMENT BOARD - Community Development Agency MOTION: Appoint Mr. Steve Piwnica, Chief Financial Officer of Royalty Carpet Mills, Inc., and Mr. David Elliott, President of the Santa Ana Chamber of Commerce, both as private sector members and Carlos de la Riva, Economic Development Specialist III, Workforce Investment Act (WIA) representative for the Adult, Dislocated Worker and Youth programs, to the Santa Ana Workforce Investment Board. 13B NOMINATED BY COUNCILMEMBER MARTINEZ AS THE WARD 2 REPRESENTATIVE FOR A FULL TERM EXPIRING DECEMBER 9, 2014 - Clerk of the Council MOTION: Appoint. Residing Name Board/Commission Ward 1. Michael L. Macres Personnel Board 3 2. Elizabeth R. Michel Recreation and Parks Board 2 3. Ana Chavez Youth Commission - Regular 2 4. Luisa Camacho Youth Commission -Alternate 5 13C NOMINATED BY COUNCILMEMBER MARTINEZ AS THE WARD 2 REPRESENTATIVE FOR A FULL TERM EXPIRING DECEMBER 9, 2014 - Clerk of the Council MOTION: Reappoint. Residing Name Board/Commission Ward 1. Brian Bist Environmental and Transportation 2 Advisory Committee (ETAC) 2. Lynnette Verino Community Redevelopment/ 5 Housing Commission 3. Alfonso Bustamante Historic Resources Commission 2 4. Patrick Yrarrazaval Planning Commission 3 13D NOMINATED BY COUNCILMEMBER TINAJERO AS THE WARD 2 REPRESENTATIVE FOR A FULL TERM EXPIRING DECEMBER 9, 2014 - Clerk of the Council MOTION: Reappoint. CITY COUNCIL MINUTES 5 DECEMBER 20, 2010 1 0C-5 Residing Name Board/Commission Ward Susan Tuchler Environmental & Transportation 6 Advisory Committee (ETAC) 13E NOMINATED BY COUNCILMEMBER BUSTAMANTE AS THE WARD 3 REPRESENTATIVE FOR A FULL TERM EXPIRING DECEMBER 11, 2012 - Clerk of the Council MOTION: Appoint. Residing Name Board/Commission Ward Gerald A. Tiritilli Recreation and Parks Board 3 FINAL TRACT MAP NOTIFICATIONS Pursuant to Section 34-183 of the Santa Ana Municipal Code, the City Engineer has received this Final Map and is in the process of reviewing the map for final approval. The City Engineer shall approve or disapprove this map within 10 days of the City Council Meeting. 17A FINAL PARCEL MAP NO. 2009-109 - 1720 EAST WILSHIRE AVENUE - Public Works Agency MOTION: Receive and file. MISCELLANEOUS ADMINISTRATION 19A CLOSED SESSION REPORT - None. 19B EXCUSED ABSENCES - Clerk of the Council Office MOTION: Excuse Councilmember Vince Sarmiento. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A APPROPRIATION ADJUSTMENT TO RECOGNIZE HUD FUNDS FOR THE MAINSTREAM PROGRAM CITY COUNCIL MINUTES 6 DECEMBER 20, 2010 1 0C-6 MOTION: Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2011-110 - Approving an amount of $1,189,344 for housing assistance payments (HAP) and administration of 100 Mainstream Vouchers PROJECTS/CHANGE ORDERS 23A CONTRACT AWARD FOR FIRST STREET REHABILITATION BETWEEN GRAND AVENUE AND 1-5 (PROJECT NO. 116735) - Public Works Agency MOTION: Continue consideration of matter, at the request of staff. 23B REDUCED SET OF ALTERNATIVES FOR SANTA ANA-GARDEN GROVE FIXED GUIDEWAY PROJECT - Public Works Agency MOTION: Approve a Reduced Set of Alternatives for the Santa Ana and Garden Grove Fixed Guideway project for conceptual engineering and environmental analysis. AGREEMENTS 25A DEFERRED COMPENSATION SERVICES - With ICMA-RC for a period of 5 years with provisions for two one-year extensions - Finance & Management Services Continued from the December 6, 2010 Council meeting by a vote of 5-0 (Martinez and Pulido, absent). MOTION: Continue consideration of matter to a future date, at the request of staff. MOTION: Authorize the City Manager and Clerk of the Council to execute the following agreements, subject to non-substantive changes approved by the City Manager and City Attorney and/or actions as noted on the Request for Council Action report. (Item 25B and 25C) 25B REQUEST FOR PROPOSALS FOR SECURITY GUARD SERVICES AND THIRD AMENDMENT WITH SECURITAS SECURITY SERVICES - Public Works Agency and Parks, Recreation & Community Services Agency 1. Authorize the Public Works Agency to send a Request for Proposals to qualified companies to provide security guard CITY COUNCIL MINUTES 7 DECEMBER 20, 2010 1 0C-7 services at the Santa Ana Regional Transportation Center, the Santa Ana Zoo at Prentice Park, the Library, and the corporate yard. 2. AGMT NO. 2010-248 - Execute an amendment extending the agreement with Securitas Security Services USA, Inc. on a month- to-month basis not to exceed a term of six months, in an amount not to exceed $34,068 per month. 25C TEMPORARY CONSULTING SERVICES FOR INFORMATION TECHNOLOGY - Execute amendments in a total aggregate amount not to exceed $3,290,000 for a one-year term or until the funds are expended - Finance & Management Services AGMT NO. 2010-249 - With Concorde Consulting, Inc. AGMT NO. 2010-250 - With SoftMaster, Inc. AGMT NO. 2010-251 - With The Comdyn Group, Inc. AGMT NO. 2010-252 - With Telfords 25D GRAFFITI REMOVAL SERVICES - With Graffiti Protective Coatings, Inc. in an amount not to exceed $600,000 with an option to extend the agreement for four additional one-year renewals - Public Works Agency MOTION: 1. Continue consideration of matter to the January 4, 2011 City Council Meeting. 2. Extend the terms of the current contract for 30 days. MOTION: Tinajero SECOND: Benavides VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez, Pulido, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Sarmiento (1) **END OF CONSENT CALENDAR** CITY COUNCIL MINUTES 8 DECEMBER 20, 2010 1 0C-8 BUSINESS CALENDAR RESOLUTIONS 55A RESOLUTION AND AGREEMENT WITH PUBLIC AGENCY RETIREMENT SERVICES FOR SOCIAL SECURITY ALTERNATIVE PROGRAM SERVICES - Finance & Management Services Continued from the December 6, 2010 Council meeting by a vote of 5-0 (Martinez and Pulido, absent). MOTION: Per staff's request, continue the matter to a future date. MOTION: Benavides SECOND: Alvarez VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez, Pulido, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Sarmiento (1) JOINT SESSIONS OF THE CITY COUNCIL AND COMMUNITY REDEVELOPMENT 80A JOINT PUBLIC HEARING - AGREEMENTS FOR ACQUISITION AND SALE OF REAL PROPERTY AND ESCROW INSTRUCTIONS FOR 602 N. GARFIELD AVENUE AND 809-11 AND 902 BROWN STREET - Community Development Agency Legal notice published in the O.C. Reporter on December 6, 2010 and December 13, 2010. Public Hearing opened at 6:20 p.m. There were no public speakers and the Hearing closed. MOTION: 1. Adopt a resolution. RESOLUTION NO. 2010-062 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE SALE OF AGENCY OWNED PROPERTY LOCATED AT 602 N. GARFIELD AVENUE, 809- 811 BROWN STREET AND 902 BROWN STREET; AUTHORIZING THE CITY MANAGER TO EXECUTE DOCUMENTS AS NECESSARY; AND CITY COUNCIL MINUTES 9 DECEMBER 20, 2010 1 0C-9 MAKING CERTAIN FINDINGS WITH RESPECT THERETO, ON BEHALF OF THE CITY 2. AGMT NOS. 2010-253 AND 254 - Authorize the City Manager to execute all required documents for the acquisition of real property from the Santa Ana Community Redevelopment Agency located at 602 N. Garfield Avenue and 809-11 Brown Street (APNs 398-312-10 & 11) in the amount of $150,000, and 902 Brown Street (APN 398-315- 01) for the amount of $95,000, plus normal closing costs and escrow fees. MOTION: Martinez SECOND: Benavides VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez, Pulido, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Sarmiento (1) THE CITY COUNCIL RECESSED AT 6:20 P.M. TO THE COMMUNITY REDEVELOPMENT AGENCY MEETING, FOLLOWED BY THE HOUSING AUTHORITY MEETING, AND RECONVENED AT 6:22 P.M. WITH SAME MEMBERS PRESENT WORK STUDY SESSION WSA HOUSING ELEMENT FOLLOW-UP: HARBOR PLAN AND INCLUSIONARY ORDINANCE - Planning and Building Agency Item continued at the request of staff. COMMENTS 90A CITY MANAGER'S COMMENTS - None 90B CITY COUNCILMEMBER COMMENTS Councilmember Tinajero: • Wished all Happy Holidays; • Requested adjournment in memory of Douglas Uselton and his father Steven Uselton of Buena Park, who died as a result of an auto accident while enroute to a speech tournament. CITY COUNCIL MINUTES 10 DECEMBER 20, 2010 1 0C-10 Councilmember Benavides: • Wished all Merry Christmas and Happy New Year. Councilmember Bustamante: • Echoed holiday sentiments. • Wished City staff happy holidays and expressed appreciation for efforts. Councilmember Martinez: • Merry Christmas and Happy New Year to all; • Encouraged residents to participate in "Toys for Tots" program and thanked those who have contributed; • Noted alternatives provided on Agenda Item 23B (Fixed Guideway Project); and • Thanked staff for service and commitment to the City; look forward to City's sustainability. Mayor Pro Tern Alvarez: • Asked all to participate in the "Toys for Tots" program; • Noted $369k grant received by the Police Assistance League by outgoing California Governor; • Wished all a Merry Christmas. Mayor Pulido: • Wished all a Merry Christmas and Happy New Year; • Adjourned in memory of Douglas and Steven Uselton and retired City employee C.J. Keller. ADJOURNED- 6:34 P.M. - The next meeting of the City Council is scheduled for Tuesday, January 4, 2011 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Adjourn In Memory of C.J. Keller and Douglas and Steven Uselton Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES 11 DECEMBER 20, 2010 1 0C-11 1 0C-12 REQUEST FOR COUNCIL ACTION ` CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended DESTRUCTION OF El As Amended El Ordinance on 1st Ordinance on 2nd Reading OBSOLETE CITY RECORDS ? ng ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER (~?-~CITY MANAGER RECOMMENDED ACTION Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution 2006-045. DISCUSSION On July 3, 2006, the City Council approved a resolution outlining the records retention schedule for the agencies, departments, and offices of the City. City records are governed by the Public Records Act which provides the time in which records need to be kept. The Citywide Records Team compiled the Citywide Records Retention Schedule which sets forth the retention period for a particular record. The Municipal Code requires that the destruction of a City record be approved by the City Attorney. In accordance with Section 513 of the Citywide Records Retention Schedule Resolution, the City Attorney has approved the list of records proposed for destruction from the departments as outlined in the attached documents. FISCAL IMPACT There is no fiscal impact associated with this item. 19C-1 19C-2 MEMORANDUM To: Laura Sheedy, Assistant City Attorney City Attorney's Office From: Mark Lawrence, Executive Assistant to the City Manager Date: January 1, 2011 Re: REQUEST FOR DESTRUCTION OF RECORDS The City Manager's Office requests your consent to destroy city records on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2006-045. Thank you. 19C-3 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CITY MANAGER'S OFFICE 2011 RECORD RECORD RECORD EXPIRATION CATEGORY SERIES DESCRIPTION DATES Chronological Files Staff Memoranda and Correspondence Januaryl, 2009 and prior Correspondence/ Januaryl, Chronological Files 2009 and prior Councilmember Self-explanatory Council Requests Mayor Inquiries processed for Mayor Januaryl, 2009 and prior Wards 1 through 6 Inquiries processed for Councilmembers Januaryl. 2009 and prior Correspondence General Correspondence Self-explanatory Januaryl. 2009 and prior Staff Inquiries processed for Staff Januaryl. 2009 and prior Monthly Status City Manager Self-explanatory Januaryl, Reports 2009 and prior Payroll Records Council/Staff Self-explanatory Januaryl, 2009 and prior Januaryl, Travel Folders Council/Staff Self-explanatory 2009 and prior APPROVE: CONSENT: /5) /A,//U David N. Rea Date Joseph W. Fletcher Date City Manager City Attorney RECORDS DESTROYED: AUDITED BY: Volume Weight Mark Lawrence Date in Cubic Feet in Pounds Assistant to the City Manager 19C-4 19C-5 ~N ORAIyG O r Zy MEMORANDUM j`~~-- To: Joe Straka, City Attorney's Office Date: December 10,2010 From: Fire Marshal Subject: REQUEST FOR DESTRUCTION OF RECORDS The Santa Ana Fire Department requests your consent to destroy city records on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2006-045. Thank you. Lori Smith Fire Marshal v, -o Attachment LS:lor r" y, w cc: Mark Eide, Administrative Captain Chris Caswell, Administrative/P10 Captain Jeff Talmage, Paramedic Coordinator Z:\RecordsDestructionMemoBla nk.doc 19C-6 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE FIRE DEPARTMENT 2010 RECORD RECORD RECORD EXPIRATION CATEGORY SERIES DESCRIPTION DATES EMS Pre-Hospital Care Patient Medical 1/1/03 -12/31/03 Reports Information APPROVE: CONSENT: David N. Ream Date os h W. Fletcher Date City Manager City Attorney J RECORDS DESTROYED: AUDITED BY: 6 Banker Boxes Volume Weight Lori Smith Date In Cubic Feet in Pounds Fire Marshal I Z: \RecordsDestructionMemoBlank.doc 19C-7 19C-8 REQUEST FOR COUNCIL ACTIONa CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended REQUEST FOR PROPOSALS FOR ? As Amended 1st Reading STRUCTURAL PLAN CHECK SERVICES El Ordinance on El Ordinance on 2 n "d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file the Request for Proposal for Structural Plan Check services. DISCUSSION The Building Safety Division in December received a plan check submittal for the construction of a 37-story high rise structure located at 1001 North Broadway. After reviewing the submittal, it was determined that special skill would still be required to plan check the structural part of this project. The attached Scope of Work has been prepared accordingly (Exhibit 1). FISCAL IMPACT There is no fiscal impact associated with this action. "y. Trevino Executive Director Planning and Building Agency FH:rb rb\reports\RFP Structural Plan Check 1001 N. Broadway Exhibit: 1. Scope of Work 19D-1 REQUEST FOR PROPOSAL STRUCTURAL PLAN CHECK SERVICES 1001 NORTH BROADWAY PROJECT SCOPE OF WORK 1. Review and approved the structural part of the 37-story office tower at 1001 North Broadway with deferring the following items from the first submittals: cladding, equipment anchorage, stairs and elevators. 2. Also assuming that the building configurations, structural systems & framing for the subject building will be identical to the 2008 drawings that NYA reviewed & approved previously. 3. All building elements shall be redesigned as required to meet the CBC 2007 code requirements. Among others, we list below a few of the important code changes that may impact the subject building redesign: a. It should be verified by the design team & the architectural plan reviewer if the code changes triggers any occupancy category changes especially with respect to the use of the two story atrium spaces at building entry or any other public assembly type uses (the Building Importance factor, I, could go up). b. The entire lateral force resisting system will need to redesigned & rechecked due to the code change. In particular, for the 37-story tower this utilizes a dual structural system - the R factors have been reduced in the new code. New/ different redundancy checks, irregularity checks, modeling requirements, P-Delta checks, etc. will need to be performed as part of the new lateral design. c. Design needs to be updated for new code load combinations; Design of discontinuous/ irregular elements for overstrength needs to include resistance factors. d. All concrete anchorage related items need to satisfy ACI 318-05 Appendix D requirements. e. All wind design related items will need to be redone per the new code requirements. Wind load requirements are more involved & higher per the new code - especially for roof elements & misc. parapets, canopies etc. f. Steel SMRF elements & corresponding column bases/ anchorages need to be designed per AISC 2005 Seismic Provisions. g. Foundations need to be redesigned corresponding to new code forces & requirements incorporating new findings on reduced punching shear capacity of unreinforced concrete deep sections, etc EXHIBIT 1 1901-2 REQUEST FOR R. COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE APPROVED REQUEST FOR PROPOSALS FOR ON- ? As Recommended CALL SERVICES TO SUPPORT THE E] Amended E] Or dinance on 1St Reading NPDES STORMWATER PROGRAM ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the Public Works Agency to send a Request for Proposals to qualified consulting firms to provide on-call services for support of the NPDES Stormwater Program. DISCUSSION The Santa Ana Regional Water Quality Control Board (SARWQCB) under the Federal Water Quality Act has adopted the National Pollution Discharge Elimination System (NPDES) for storm water management. The NPDES controls direct discharges into navigable waters. Direct discharges or "point source" discharges are from sources such as pipes and sewers. Each City within the SARWQCB boundaries must comply with the NPDES regulations. In order to meet them, staff will need additional support and technical resources. Support will be required in the following areas to address the City's Local Implementation Plan: • Program Management • Municipal Activities • New Development/Significant Redevelopment • Construction • Existing Development Staff is requesting City Council approval to issue four separate Requests for Proposals to cover the program areas listed above to qualified consulting firms, soliciting proposals to provide the required services (Exhibit 1). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 19E-1 Request for Proposals To Support the NPDES Program January 4, 2011 Page 2 FISCAL IMPACT There is no fiscal impact associated with release of this Request for Proposals. 1 ft-Raul Godinez 'tor Public Works gency RG/JP Exhibit 1: Scope of Work 19E-2 Scope of Work for NPDES Services Catch Basin and Drainage Emergency Response and Cleaning Services: 1. The consultant shall implement the established model maintenance procedure for drainage facilities (catch basins, storm drains inlets, open channels, etc.). The contractor is responsible for cleaning and maintaining at least 80 percent of the City's drainage facilities on an annual basis, with 100 percent of the facilities included in a two-year period, using the model maintenance procedures developed under the City's Stormwater Program. 2. The consultant shall control the discharge of spills, leaks, or dumping of any materials other than stormwater and authorized nonstormwater. Commercial/Industrial Inspection and Database Management: 1. The consultant shall maintain an inventory of industrial/commercial facilities within the city limits. All sites that have the potential to discharge pollutants to the MS4 should be included in this inventory regardless of whether the facility is subject to business permits, licensing, the State's General Industrial Permit, or other individual NPDES permit. This database must be updated annually. This inventory must be maintained in a computer-based database system and must include relevant information on ownership, SIC code(s), General Industrial Permit WDID # (if any), size, location, etc. Inclusion of a Geographical Information System is required, with latitude/longitude (in decimals) or NAD83/WGS8439 compatible formatting. 2. The consultant shall prioritize industrial and commercial facilities within their jurisdiction as a high, medium or low threat to water quality. 3. All high-priority facilities shall be inspected at least once a year. All medium-priority sites are to be inspected at least once every two years, and all low-priority sites are to be inspected at least once per permit cycle. 4. The consultant shall ensure that a minimum 10 percent of the sites with the highest potential for pollutant discharge, be ranked `High' and next 40 percent of highest potential sites be ranked "Medium," for inspection purposes. Inspection of Construction Projects for NPDES Compliance: 1. The consultant shall conduct construction site inspections and review construction documents, subject to limitations on municipal action under the constitutions of California and the United States, for compliance with its ordinances (grading, Water Quality Management Plans, etc.), local permits (construction, grading, etc.), the Model Construction Program and the Construction Runoff Guidance Manual. NPDES Program Management and On Call Support Services: 1. The consultant shall assist City staff in the resolution of illicit discharge incidents in accordance with the processes set forth in the established model maintenance procedure for illicit discharges. 2. The consultant shall provide technical assistance and support with the overall management of the NPDES program on an as-needed basis. Exhibit 1 19E-3 19E-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended APPROPRIATION ADJUSTMENT FOR El Amended El Or dinance on 1ST Reading WORKFORCE INVESTMENT ACT ? Ordinance on 2"" Reading CALIFORNIA NEW START GRANT ? implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Approve an appropriation adjustment recognizing $68,419 in Workforce Investment Act funds awarded to the Santa Ana WORK Center by the State of California Employment Development Department for a Prison-to-Employment Program. DISCUSSION In 2007, the Public Safety and Offender Rehabilitation Services Act of 2007 was enacted to reform California's prison system by reducing prison overcrowding and increasing rehabilitative programming. Among its provisions, the Act required California Department of Corrections and Rehabilitation (CDCR) to develop an Inmate Treatment and Prison-to-Employment Plan. CDCR developed a partnership with the California Workforce Investment Board and the Employment Development Department to utilize California's One-Stop system to enhance the employability of parolees. In December of 2010, the City of Santa Ana WORK Center was awarded $68,419 to provide services to parolees, which will include job search activities and supportive services. Staff will participate in offsite meetings on a monthly basis with the local Parole and Community Team (PACT). PACT is composed of parole officers and other community service workers whose focus is to provide a range of resources and services to assist parolees in their effort to reintegrate into the community. Program participants will be served in various community centers including non profits. Staff anticipates serving approximately 25 participants through this process. 20A-1 AA WIA California New Start Grant JANUARY 4. 2011 Page 2 FISCAL IMPACT Funds for this program are available in the California New Start account (no. 12318759 - various). APPROVED AS TO FUNDS AND ACCOUNTS: Cynthia J. Nelson Francisco Gutierrez Deputy City Manager for Development Executive Director Services Finance & Management Services Agency Community Development Agency CJ N/LAO/m I r 20A-2 REQUEST FOR. COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED APPROPRIATION ADJUSTMENT ? As Recommended ACCEPTING THE 2010 RECOVERY El Amended El Or dinance on 1s1 Reading ACT EDWARD BYRNE MEMORIAL ? Ordinance on 2Id Reading JUSTICE ASSISTANCE GRANT ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CIT ANAGER RECOMMENDED ACTION 1. Approve an appropriation adjustment recognizing the 2010 Recovery Act Edward Byrne Memorial Justice Assistance Grant in the amount of $166,778 into the revenue account (no. 12814002- 52001) and appropriate same into the 2010 Recovery Act Edward Byrne Memorial Justice Assistance Grant Expenditure account (no. 12814409-61040). 2. Authorize the City Manager, Chief of Police, and the Clerk of the Council to execute an agreement with the County of Orange, Sheriff's Department to transfer the 2010 Recovery Act Edward Byrne Memorial Justice Assistance Grant Program funds in the amount of $166,778. DISCUSSION The 2010 Recovery Act Edward Byrne Memorial Justice Assistance Grant (JAG) program is the primary provider of federal criminal justice funding to state and local jurisdictions. It is a formula grant that blends the previous Byrne Formula and Local Law Enforcement Block Grant (LLEBG) programs. JAG requires a single unit of county government to function as the applicant/fiscal agent to apply for, receive, and administer the funds on behalf of the entire county. A memorandum of understanding designated the County of Orange, Sheriff-Coroner Department as the lead agency for this program. For FY 2010, $205,899 has been allocated for Santa Ana. The City agreed to allocate 10 percent of the total funding, or $20,590, to the Orange County Pro-Active Methamphetamine Laboratory Investigative Team to supplement their resources. JAG also allows the fiscal agent for each county to use a portion of the award for costs associated with administering the funds. The Orange County Sheriff-Coroner Department will retain $18,531 (9.0 percent) for administrative fees. The remainder of the funds in the amount of $166,778 will be utilized by the Police Department for Gang and CCU overtime front line enforcement programs. 20B-1 2010 RECOVERY ACT EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT January 4, 2011 Page 2 FISCAL IMPACT The appropriation adjustment will enhance the Recovery Act 2010 JAG revenue account (no. 12814002-52001) by an amount of $166,778 and increase the same into the Recovery Act 2010 JAG Expenditure account (no. 12814409-61040). APPROVED AS TO FUNDS AND ACCOUNTS: Paul M. Walters Francisco Gutierrez Chief of Police Executive Director Police Department Finance & Mgmt. Services Agency 20B-2 SHERIFF-CORONER DEPARTMENT SANDRA HUTCHENS COUNTY OF ORANGE SHERIFF-CORONER CALIFORNIA UNDERSHERIFF JOHN L. SCOTT EXECUTIVE COMMAND TIM BOARD RICK DOSTAL MIKE JAMES JAY LEFLORE 431 THE CITY DRIVE SOUTH RESEARCH AND DEVELOPMENT ORANGE. CA 92868 COMMANDERS (714) 935-6661 MARK BILLINGS FAX (714) 935-6669 LEE TRUJILLO W. DAVID WILSON November 23, 2010 Paul Walters, Chief of Police City of Santa Ana P.O. Box 19811 M-97 Santa Ana, CA 92702 RE: 2010 Justice Assistance Grant Fund Distribution Agreement Chief Walters. ~ As you kno«, the 2010 Edward Byrne Memorial Justice Assistance Grant program (JAG), requires a single unit of county government to function as the applicant/fiscal agent to apply for, receive and administer the funds on behalf of all sub-grantees eligible to receive funds. The County of Orange designated its Sheriffs Department to act as the applicant/fiscal agent for the JAG. In order to satisfy a JAG program requirement, a Memorandum of Understanding (MOU) was signed by all eligible sub-grantees acknowledging the Sheriffs Department as the single applicant/fiseal agent for the JAG funds. The 2010 JAG application was completed and the county is awaiting the transfer of funds, which will be deposited into a trust account as required by law. To legally distribute these federal funds, the County of Orange is required to utilize a formal distribution method to reimburse the local agencies for their expenditures and for transfers of funds to the County Methamphetamine Task Force. The attached documents outline the financial and programmatic reporting procedures for the 2010 JAG program. Please obtain formal City Council approval for the attached document titled "2010 JAG Agreement to transfer funds" and return two original hard copies with the City Clerk and City Council signatures to me no later than January 6, 2011, keep one original for your records. No reimbursements will be authorized until recipients submit the distribution document described above. Please feel free to contact me with any questions regarding these requirements. Thank you for your prompt attention to this matter. Sincerely, Susie Cabrera, Administrative Manager/Grants 714-935-6869 scahrerutci;ocsd.urLJ PROUDLY SERVING THE UNINCORPORATED AREAS OF ORANGE COUNTY AND THE FOLLOWING CITIES AND AGENCIES: ALISO VIEJO • DANA POINT • LAGUNA HILLS • LAGUNA NIGUEL • LAGUNA WOODS • LAKE FOREST , MISSION VIEJO RANCHO SANTA MARGARITA • SAN CLEMENTE • SAN JUAN CAPISTRANO • STANTON • VILLA PARK OC PARKS • DANA POINT HARBOR , JOHN WAYNE AIRPORT • OCTA • SUPERIOR COURT 20B-3 Department of Justice Office of Justice Programs Bureau of Justice Assistance I Office of Justice Programs wmhingwn, nr. 20331 i~ September 10, 2010 Mrs. Janet Nguyen County of Orange 10 Civic Center Plaza Santa Ana, CA 92701-4017 I Dear Mrs. Nguyen: On behalf of Attorney General Eric Holder, it is my pleasure to inform you that the Office of Justice Programs has approved your application for funding under the FY 10 Edward Byrne Memorial Justice Assistance Grant (JAG) Program Local Solicitation in the amount of $796,439 for County of Orange. Enclosed you will find the Grant Award and Special Conditions documents. This award is subject to all administrative and financial requirements, including the timely submission of all financial and prograffunatic reports, resolution of all interim audit findings, and the maintenance of a minimum level of cash-on-hand. Should you not adhere to these requirements, you will be in violation of the terms of this agreement and the award will be subject to termination for cause or other administrative action as appropriate. If you have questions regarding this award, please contact: Program (Questions, Dean Iwasaki, Program Manager at (202) 514-5278; and Financial Qut stions, the Office of the Chief Financial Officer, Cuw-wner Service Center (CSC) at (8t10) 458-0786, or you may contact the CSC at ask ocfo@usdoj.gov. C:ongratulauons, and we look forward to working with you. Sincerely, James H. Burch H Acting Director Enclosures I 20B-4 Department of Justice Office of Justice Programs Bureau of Justice Assistance Grant ~ FAGF 1 OF 5 4 i i i RLCI'PJEN-r NAME ANO ADDRFSS (Includiug 1,13 Cale) 4 AW'ARO NUMBER 2010-DJ BX-0324 1 County of Orangc 100: w Center Flaw S. FROJE(TPERIOD~ FROM I01012009 TO 091'.102017 Santa A.A. CA 92701-401, BUDGET KNOO FROM l0A)120D9 TO 09/102011 16 AWARD DATE 0911W2010 ~7_AC'1'IUN IA GRANTEEIRSIVFNI)OR NO It SUPPLEMENT NUMBER Initial i )50U WR1 00 ~I 9 PREVIOUS AWARD AMOUNT S0 PROJECT JTR,F 1t).. AMOUNT OF TffIS AWARD S 796,4:39 1-Y 2010 Justice Assistance Glaut Program 11. TOTAL AWARD S 796,439 i 11 SPECIALCONDITIONS - I ' I, THE ABOVE GRANT PROJECT IS APPROVED SU'I IECr TO SUCH CONDITIONS OR LIMITATIONS AS ARE SET FORTH ON THE ATTACHF,D PAGE(S). i I I it 51 ATt7'roRY AUTHORITY I--OR GKANT _ 1'hn Pmiect is suFPoited under F'Y 10 (BIA - 1 ACT) 42 USC '75U, et ttN I l O.METHODOI PAYMENT j Ci PKS AGENCY APPROVAL GRAN-I LE ACCEPTANCE 16 TYPFD NAME AND TIT1 L Of- APPROVING OFFICIAL 18. TYPED NAME AND TITLF OF Ali moRI7,LD GRANTEE OFFICIAL lames H- Burch fl )"1 Nguyen Acting Director Board of Sulrcrvnws Chat 17.SIGNATUREOI:APPROVINGOFFICIAL OR1ZEDRECIPIENI'OfFICIAL i 19A DATE *'_o6~ AGENCY USE ONLY 20 ACCOUNTING CLASSWICATION CODES f HSCAL FUND BUD. DIV. YEAR CODE Act of REG SUB POMS AMOUNT X B OJ 80 00 00 796439 I I OJP FORM 400012 (REV. 5-R7) PREVIOUS EDITIONS ARF.OBSOLUEE_ APPROVED AS TO FORM OFFICE OF THE COUNTY COUNSEL ORANGE, COUNTY, CALIFORNIA OJPFORM 40002(REV 4-89) By lC~/ 4-` ~ Dep* Dm: 20B-5 ATTACHMENT A Budget Narrative: Purchase of 9 Taser X26 devices at the following cost break down: 9 @ $814.95 ($7334.55), Tax @ 8.75% ($641.77), Extended Warranty, 9@ $184.95 ($1660.50) for a total of $9,636.82. Timeline and/or,Rroiect plan: Within one month of purchase and receipt of Taser devices, all remaining personnel will be trained and full deployment is anticipated. Fundin Total Allocation: $11,001 PROACT Contribution: (5 $ 550 Administrative Fee (9%): $990 Funds Retained by City/County: $9,461 Santa Ana City: The City of Santa Ana proposes to use the 2010 Justice Assistance Grant funding as follows: Project Obiectives: The City of Santa Ana is the county seat and the largest and most densely populated municipality in Orange County. Its residents are overwhelmingly Latino and its population is the youngest of any city of its size in the nation with a median average age of 26.1 years. Census data reports 14.1% of all families and 16.5% of all individuals are at or below the poverty level as compared to the national averages of 9.8% and 1.3.3%. The housing foreclosure rate is 6.52%, compared to the national average of 1.84% and the State of California's Average of 3.47%. Unemployment in January 2008 was 7.2%, and in January 2009 it is 12.0%. During the last decade the City made great strides in reducing crime and disorder in the community through collaborative community partnerships, technological advancements (including crime analysis) and carefully targeted enforcement efforts. However, the City has disproportionally suffered the consequences of the current recession and has been forced to make draconian cuts to its current and future budgets, thus significantly reducing the number of sworn officers. There are fewer officers now than in 1985, and budget deficits will further reduce their ranks as early as this year. Due to the current recession and financial crisis the gains from the last decade are in jeopardy and the well being of the community is threatened. The Department employs 1.02 officers per 1,000 population which is dramatically below stare and national aycrag s. This ratio is based on 42 unfunded sworn officer positions, more than 10% of total strength. Crime, which had been on a steady long-term downward trend, is rising in many categories. The 2010- DJ-BX-0324 Page 26 of 34 20B-6 ATTACHMENT A Santa Ana criminal street gang population of approximately 6,900 which accounts for less than two percent of the City's population, this criminal element constitutes a significant impact on fear in the community and threatens the safety and stability of our neighborhoods. It is our belief that Gangs in Santa Ana are responsible for a disproportionate amount of the crime being committed. Through the use of grant funding the City of Santa Ana will augment its Gang Enforcement Units, and Career Criminal Unit with suppression units working overtime to target enforcement of gang members and Career Criminals involved in violent behavior. The Department currently lacks the man power and fiscal resources to address this problem, these officers will be deployed directly into the neighborhoods being most affected by the current state of affairs and will be funded for the three year grant period. This funding will equate to 2,565 hours of additional law enforcement presence on our streets. The Santa Ana Police Department is additionally providing 10% of its allocated funds to Pro-Act Program in support of their operational needs. Goals of the PrOlect: The goal of these projects is to reduce criminal activity through enhanced enforcement efforts, increase public safety and equip frontline law enforcement with needed safety equipment. i Strategies to be used for project: The use of selective enforcement overtime coupled with crime analysis data allows resources to be specifically deployed in areas of increased criminal activity during time frames found to be most beneficial to project goals. • Contact gang members and Career Criminals to gain intelligence and investigative information for prosecutorial purposes • Increase the number of arrest and prosecution of gang members and Career Criminals • Reduce the fear gang members and Career Criminals evoke in the community through I high visibility police presence and enforcement activates. Budget Narrative: Include breakdown for Personnel, travel, equipment, supplies, consultants/contracts, other costs, etc. Funds will be utilized for personnel overtime and frontline law enforcement safety equipment. No funds are allocated for travel, supplies, consultant / contracts, etc... All funds, except those allocated to PROACT, will be utilized in support of frontline law enforcement efforts only. 2010- DJ-BX-0324 Page 27 of 34 20B-7 ATTACHMENT A Timeline andlor project plan: Identify when the goals and objectives will be completed Month 1: Gang Enforcement and Career Criminal enforcement Initiated Month 2-36: Gang Enforcement and Career Criminal enforcement continues throughout the life of the grant. Funding: Total Grant Allocation: $205,899 PR©ACT Contribution (10%): $20,590 Administrative Fee (9%): $18,531 Funds Retained by City: $166,778 City: Stanton The City of Stanton ,proposes to use the 2010 Justice Assistance Grant funding as follows: Pro1ea 06,iectives. Include type of programs to be funded and the need for the i programs for the four year grant period The City of Stanton is a diverse community presenting unique challenges for law enforcement. A large Hispanic immigrant population and the resulting language barrier can cause a gap between residents, businesses and law enforcement providers. In many cases immigrant residents are fearful of police due to their immigration status. Stanton is home to several active criminal street gangs which use fear and intimidation of residents as a method for ensuring many crimes are never reported to police. 1 - ` Through implementation of community policing practices we intend to increase awareness and positive interaction among residents, business owners and law enforcement in a community effort to reduce crime. Reducing crimes against persons and businesses will help ensure that the City of Stanton has an active and flourishing business community supported by its residents. It is a commonly recognized fact that public support is necessary for business to flourish. This is also the case for police effectiveness in accomplishing their core mission of preventing crimp:. Building relationships with the public increases police legitimacy and affects how well they can control crime. - 2010- DJ-BX-0324 Page 28 of 34 20B-8 4 cOo ~ c~ il! a iA V? 69 iA 44 V! H! 4A iA iI? V! 4A N ~ O O~ W N N NA .j1. V .p N W W N'I N .y~ N .'A V O T N O 00 N O W O 0, Ul Ul 0.0 4b 0% .4. L, li co N N 10 ON to %D W Lr 'I W O c W O N N Ln O W O t3. H N O 40~ v+ tr? v? 4A V 46A 46A aA t,^ to aA 164 yr ts? w? 44 Fs, iA a p 06 N j,.~ N N W W N W G~ ; D `1-~ 1+ O~ N A r~? ',,y n~ n `P 'gyp V W %D V co W N O S W V O si O W C+ a'` W 4, w Or co N+ N O 00 W o C O 0 0 0 0 0 0 0 0 0 0 0 0 Coco 0000 O O O O O O O .-•i.-.. 9"l O *Cl O Vt O 190 I*L" O AO ]w J, I D r,* Vf 44 J4 ~r? 4A 69 f A V? 64 V! 64 40Y i/i 4A 3 O 'p ti+ N ?A+ 46 W V N Q {T N O T co Ln w 1-w W Ln V N Ln co O co tW-~ Np ~ O 0 1 0 0 0 0 O O O Lin p y? 611 {A 44 4bA 4b y ~A 46A 6A 64 4+4 44 yy 64 4A iA 64 f,A bA N a o V O jn W Ln 00 W O w W O %D %D V 'D 'D E En ,D V V O U d 9 46 m W N \ .4, V O O 00 V O tr? 6A ~ w? bA 64 b4 Vt 6A iA 6A irs ~ N t~ W N 1-+ Fr F-+ W ~ QQ y N: D p Cn t-+ OD A :D O 00 C~ 00 N v p p C Ow ~D W V V CT W w N V co H+ ~D N v N O O CO z 00 V V V 00 CO d tp C CL y ~D ? :A Cn W O N :P P N rN-~ W O~ cn Ln W V V V Co V W P W O m w O N N Ln O co O l o i 20B-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended DONATIONS TO POLICE ? As Amended ? Ordinance on 15t Reading DEPARTMENT TO PURCHASE ? Ordinance on 2"d Reading REPLACEMENT CANINES ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CIT MANAGER RECOMMENDED ACTION 1. Authorize the acceptance of donations in the amount of $2,250 from various business groups and community members, to be used by the Police Department K-9 Unit to assist in the purchase of new Police Dogs. 2. Approve an appropriation adjustment recognizing the donation in the amount of $2,250 into the Police Special Revenue Fund, Gifts and Donations revenue account (no. 02414002-57081) and appropriate same into the Police Department K-9 Program expenditure account (no. 02414432- 63001). DISCUSSION The Police Department Field Operation Bureau operates six K-9 teams that support officers in the field seven days a week. Four of the K-9 teams are crossed trained in narcotics detection, assisting Field Operations, Investigations staff and outside law enforcement agencies with narcotic searches. The Police Department K-9 Unit has a donation fund that assists the Department in the replacement costs for retiring dogs. Several business groups and community members who desire to support local law enforcement and impact the local community in a positive manner have donated $2,250 to the Police Department K-9 Unit to help replace retiring canines. FISCAL IMPACT Approval of the appropriation adjustment will enhance the Police Special Revenue Fund, Gifts and Donations revenue account (no. 02414002-57081) by $2,250 and appropriate same into the Police Department K-9 Program expenditure account (no. 02414432-63001). APPROVED AS TO FUNDS AND ACCOUNTS: Paul M. Walters Francisco Gutierrez Chief of Police Executive Director Police Department Finance & Mgmt. Services Agency 20C-1 20C-2 A, REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: January 4, 2011 TITLE: APPROVED ? As Recommended TARGET STORES DONATION TO El Amended E] Or dinance on 15S Reading HELP IN OUTFITTING A FORENSICS ? Ordinance on 2nd Reading RESPONSE VEHICLE ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER TY MANAGE RECOMMENDED ACTION 1. Authorize the acceptance of a donation in the amount of $1,000 from the Target Stores, to be used by the Police Department Crime lab to assist in the outfitting of a Forensics Response vehicle. 2. Approve an appropriation adjustment recognizing the donation in the amount of $1,000 into the Police Special Revenue Fund, Gifts and Donations revenue account (no. 02414002-57081) and appropriate same into the Police Special Revenue Fund, Operating Materials and Supplies expenditure account (no. 02414400-63001). DISCUSSION The Police Department operates a Forensics Crime Lab. The Lab units support the Field Operations Bureau with day to day crime scene investigation and collection of evidence. Target Stores desires to support local law enforcement and impact the local community in a positive manner by donating $1,000 to the Police Department. This donation will be used by the Police Department in support of outfitting a Forensics Response vehicle for the Crime Lab. FISCAL IMPACT Approval of the appropriation adjustment will enhance the Police Special Revenue Fund, Gifts and Donations revenue account (no. 02414002-57081) by $1,000 and appropriate same into the Police Special Revenue Fund, Operating Materials and Supplies account (no. 02414400-63001). APPROVED AS TO FUNDS AND ACCOUNTS: Paul M. Walters Francisco Gutierrez Chief of Police Executive Director Police Department Finance & Mgmt. Services Agency 20D-1 20D-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended CONTRACT AWARD FOR ? As Amended CELLULAR PHONES, ACCESSORIES, El Ordinance on 15` Reading ? Ordinance on 2"d Reading AND AIRTIME SERVICE El ImSet Public plementing Res Foon (SPEC. NO. 10-053) CONTINUED TO r FILE NUMBER CI MANAGER RECOMMENDED ACTION Award contracts for cellular phones, accessories, and airtime service for a three-year period in an annual aggregate amount not to exceed $315,000 with the following vendors: Sprint Nextel Verizon DISCUSSION The City of Santa Ana utilizes cellular phones and airtime services for field personnel, and for staff required to respond in immediate or emergency situations. Verizon Wireless provides a variety of analog and digital cellular phones designed to meet the individual requirements of staff. Sprint Nextel provides a dual system phone that functions both as a mobile phone and two-way radio, providing a link between field personnel and office operations. Both vendors provide various airtime plans to fit staff requirements. The Santa Ana Ordinance No. NS-2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. The Western States Contracting Alliance (WSCA) establishes California Multi-State Cooperative Agreements for Commodities, IT Goods & Services, and Telecommunication Goods and Services. WSCA agreements are available to all State of California governmental entities that expend public funds for the acquisition of both goods and services. These contracts were awarded based upon a competitive bid process and meets the City's requirements. Both Sprint Nextel and Verizon are value added re-seller's offering WSCA pricing. 22A-1 Contract Award Cellular Equipment and Service January 4, 2011 Page 2 FISCAL IMPACT Funds are available in the various departmental Cellular Phone Charges account (no. 62012). APPROVED AS TO FUNDS AND ACCOUNTS: - I Nt I k- , :L , Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency EG 22A-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended CONTRACT RENEWAL TO ORANGE ? As Amended ? Ordinance on 1" Reading COUNTY AUTO PARTS FOR ? Ordinance on 2 Reading AUTOMOTIVE PARTS ? Implementing Resolution (SPEC. NO. 09-009) ? Set Public Hearing For CONTINUED TO r FILE NUMBER CITY NAGER RECOMMENDED ACTION Renew the contract with Orange County Auto Parts for the purchase of miscellaneous automotive parts for a one-year period in the annual amount not to exceed $50,000. DISCUSSION The Fleet Maintenance Division of the Finance and Management Services Agency requires automotive parts to maintain the City's extensive fleet. Vehicle parts are purchased and stocked on- hand in a 1300 category inventory at the Corporate Yard Fleet Facility. Non-stock items are ordered on an as-needed basis. On March 2, 2009, the City Council awarded a contract to Orange County Auto Parts for a one-year period with provisions for two one-year renewals. The vendor has performed satisfactorily during the past contract period and has agreed to renew the contract without an increase in pricing. Staff recommends the final renewal of the contract. FISCAL IMPACT Funds are available in the Equipment Maintenance, Garage Operation account (no. 07510100 63202). Francisco Gutierrez , Executive Director Finance and Management Services Agency km 22B-1 i 22B-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended CONTRACT RENEWAL TO WILLIAMS & ? As Amended ? Ordinance on 15t Reading MAHER, INC. FOR ELECTRICAL ? Ordinance on 2°d Reading SERVICES ? Implementing Resolution (SPEC. NO. 06-064) ? Set Public Hearing For CONTINUED TO F FILE NUMBER CITY MANAGER RECOMMENDED ACTION Renew the contract with Williams & Maher, Inc. for electrical services in an annual amount not to exceed $150,000. DISCUSSION The City maintains in excess of 50 buildings including Fire stations, recreation and senior centers, park restrooms, libraries, as well as City Hall, the Police facility and the Corporate Yard. Electrical services are required at times by all City departments for the purposes of rewiring and relamping, installation of outlets, and general electrical maintenance. Occasionally, critical electrical failures require an immediate response to maintain safety or vital operations. The contract for electrical services provides for both maintenance and emergency services for all City departments. On June 5, 2006, the City Council awarded a contract to Williams & Maher, Inc. for a two-year period with provision for three, one-year renewals. The vendor has performed satisfactorily during the past contract period and has agreed to renew the contract without an increase in pricing. Staff recommends the final renewal of the contract. FISCAL IMPACT Funds are available in the various departmental Maintenance & Repair of Buildings & Grounds accounts (no. 62320). Francisco Gutierrez Executive Director Finance and Management Services Agency BP 22C-1 22C-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended CONTRACT RENEWAL TO El As Amended ? Ordinance on 15t Reading ENTERPRISE FLEET SERVICES FOR ? Ordinance on 2nd Reading LEASED/RENTAL VEHICLES ? Implementing Resolution (SPEC. NO. 08-074) ? Set Public Hearing For CONTINUED TO FILE NUMBER CIT MANAGER RECOMMENDED ACTION Renew a contract with Enterprise Fleet Services for leasing and rental of vehicles for a two-year period in the annual amount not to exceed $150,000. DISCUSSION The Santa Ana Police Department leases vehicles for the Special Investigations Division surveillance program. Leasing a variety of vehicles allows them to be interchanged, in order to maintain anonymity and safety of the police officers. On January 5, 2009, the City Council awarded a contract to Enterprise Fleet Services for a two-year lease period with provision for one two-year lease renewal covering a maximum of 20 vehicles. The vendor has performed satisfactorily during the past contract period and has agreed to renew the contract offering new vehicle leases based on the same rate structure. In addition, rental vehicles are used throughout the City on a daily and/or weekly basis. Staff recommends the final renewal of the contract. FISCAL IMPACT Funds are available in the Police Contract Service - Professional account (no.01114445-62300). APPROVED AS TO FUNDS AND ACCOUNTS: A i- Paul M. Walters Francisco Gutierrez Chief of Police Executive Director Finance & Management Services Agency km 22D-1 22D-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended El Ar Amended CONTRACT AWARD TO (ZONE FOR ? Ordinance on 15t Reading SANTA ANA ZOO SIGNAGE ? Ordinance on 2"d Reading (SPEC. NO. 10-055) ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Award a contract to iZone for educational and wayfinding signage for the Santa Ana Zoo at Prentice Park in the amount not to exceed $28,000. DISCUSSION On November 5, 2007, the Parks, Recreation and Community Services Agency was awarded by the Institute of Museum and Library Sciences Museums an America Program Grant in the amount of $150,000 for the creation and implementation of a master graphics program at the Santa Ana Zoo at Prentice Park. The signage includes animal and plant identification, interpretive totems, interactive panels, wayfinding kiosks and monument signs. The signage will provide a consistent, attractive, and educational bilingual signage program to help zoo visitors learn, provoke thinking and inspire the goal of supporting lifelong learning. iZone, as a sole source manufacturer of digitally printed high-pressure laminate signage, offers durable and graffiti resistant graphics that have been utilized with success at the zoo in graphic panels. The Santa Ana Zoo will install 117 signs and circular panels with cores of recycled material 100% post-consumer. To allow for unanticipated charges, an additional five percent contingency has been included in the award amount. FISCAL IMPACT Funds are available in the Improvement Other Than Building account (no. 15913220-66220). APPROVED AS TO FUNDS AND ACCOUNTS: Gera do Mouet Francisco Gutierrez Exec tive Director Executive Director Parks, Rec. & Comm. Svcs Agency Finance & Management Services Agency KM 22E-1 22E-2 REQUEST FOR a COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended CONTRACT AWARD TO OFFICE El Amended DEPOT FOR OFFICE SUPPLIES F] Ordinance on 1St Reading ? Ordinance on 2"d Reading (SPEC. NO. 10-052) ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CIT MANAGER RECOMMENDED ACTION Award a contract to Office Depot for the purchase of office supplies based upon the City of Los Angeles contract for a one-year period, with provision for four one-year renewals, in an annual amount not to exceed $250,000. DISCUSSION The City utilizes an assortment of office products for its daily operations such as specialized paper, binders, file folders, writing utensils, calendars, as well as small office equipment. Office Depot has an on-line ordering system, which provides next day delivery service, tracking and payment information for the requesting agency. During the current fiscal year, the City has implemented changes to its office supplies ordering process and centralized all on-line orders resulting in a 30% reduction in office supplies expenses. The City of Los Angeles recently bid and awarded a contract for office supplies to Office Depot. The contract offers 40-70 percent discount through the Los Angeles City cooperated contract program. By using the contract, the City benefits from the quantity pricing available to the City of Los Angeles. The City adopted Ordinance No. NS-2312 authorizing the City to purchase against contracts with other government agencies utilizing a competitive bid process. Office Depot was awarded a contract as a result of open, competitive bidding, and meets the City's requirements. 22F-1 Contract Award for Office Supplies January 4, 2011 Page 2 FISCAL IMPACT Funds are available in the various departmental Office Supplies accounts (no. 63000) APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency SH 22F-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended CONTRACT AWARD TO CENTRAL ? As Amended ? Ordinance on 15t Reading COAST SURFACE GRINDING, INC. FOR ? Ordinance on 2"d Reading ANNUAL SIDEWALK MAINTENANCE ? Implementing Resolution (SPEC. NO. 10-048) ? Set Public Nearing For CONTINUED TO / c FILE NUMBER CIT MANAGER RECOMMENDED ACTION Award a contract to Central Coast Surface Grinding, Inc. for annual sidewalk maintenance in an annual amount not to exceed $150,000. DISCUSSION The Public Works Agency's Maintenance Services Division is responsible for maintaining the sidewalks of Santa Ana. Staff evaluates the condition of the sidewalks and identifies uneven surfaces and cracks that require repair. Once identified, the repair work is contracted. Offset grinding is the preferred method to repair uneven surfaces caused by underlying tree roots that raise sidewalk areas, resulting in risks to pedestrian traffic. During the previous contract term, 2,200 sidewalk hazards were repaired using offset grinding. The notice inviting bids was advertised on November 17, 2010 and bids were solicited. A summary of the bid invitations and bids received is as follows: 6 Invitations For Bid mailed 3 Invitations For Bid mailed to Santa Ana vendors 5 Bids received 2 Bids received from Santa Ana vendors Bids were received and opened on November 22, 2010 and evaluated (Exhibit 1). The bid received from Central Coast Surface Grinding, Inc. is responsive to the specification and meets the City's requirements. 22G-1 Contract Award for Sidewalk Maintenance January 4, 2011 Page 2 FISCAL IMPACT Funds are available in the Public Works Roadway Maintenance account (account no. 02917660 62300). APPROVED AS TO FUNDS AND ACCOUNTS Francisco Gutierrez Executive Director Finance and Management Services Agency BP 22G-2 ABSTRACT OF BIDS CONTRACT AWARD FOR SIDEWALK MAINTENANCE (10-048) Vendor Central Coast Surface Hardy Bens Grinding, Harper Inc. BPR, Inc. Asphalt, Inc. Inc. Location Atascadero Santa Ana Port Hueneme Santa Ana Total $ 44,850.00 $ 47,767.50 $ 57,500.00 * $ 66,231.00 Vendor Elite Bobcat Service, Inc. Location Corona Total $ 185,000.00 'includes 1 % Local Vendor Preference Exhibit 1 22G-3 22G-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2010 TITLE: APPROVED ? As Recommended CONTRACT AWARD TO FISHER F-1 Amended SCIENTIFIC FOR FIREFIGHTER F1 Ordinance on 1St Reading ? Ordinance on 2"d Reading TURNOUT COATS $ PANTS ? Implementing Resolution (SPEC. NO. 10-054) ? Set Public Hearing For CONTINUED TO FILE NUMBER CI MANAGER RECOMMENDED ACTION Award a contract to Fisher Scientific Company LLC for a two-year period, under the Cooperative Purchase Provision of the City of Sacramento, for the purchase of firefighter turnout coats and pants in an annual amount not to exceed $23,375 and increase the aggregate limit for miscellaneous equipment and supplies in an amount not to exceed $25,000 annually. DISCUSSION In effort to protect fire suppression personnel in the performance of their duty, the Fire Department Maintenance Section provides protective clothing for approximately 195 firefighters and 30 reserve firefighters. The turnout set includes, but not limited to, turnout pants and turnout coats. The ensemble is worn on all structure fires, vehicle accidents, hazardous material incidents and most training sessions. Due to new Personnel Protection Equipment (PPE) standards, the Fire Department's Uniform Committee has designed a five year rotation plan for structural firefighting gear. The recommended action will begin to supplement the department's current inventory of out dated sets and allow for the first phase of turnout set replacements which will meet the new National Fire Protection Agency (NFPA) recommendations. Santa Ana City Ordinance No. NS-2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. The City of Sacramento's contract with Fisher Scientific Company LLC was awarded in 2007 for a 5-year contract as a result of open, competitive bidding, and meets the City's requirements. The City of Santa Ana will be utilizing the final two years of the contract. Additionally, Fisher Scientific Company LLC provides miscellaneous equipment and supplies. The purchase of the turnouts, when combined with previous purchases by the Fire Department during the current fiscal year, exceeds the $25,000 aggregate limit. In order to facilitate future purchases, staff recommends an increase to the aggregate limit. 22H-1 Contract Award for Firefighter Turnout Coats & Pants January 4, 2010 Page 2 FISCAL IMPACT Funds are available in the Fire Maintenance, Uniform & Tools account (no. 01115360-63100). APPROVED AS TO FUNDS AND ACCOUNTS: Ii-Nr David Thomas Francisco Gutierrez Fire Chief Executive Director Fire Department Finance & Mgmt. Services Agency EG 22H-2 REQUEST FOR.. COUNCIL ACTION 3 3 CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED CONTRACT AWARD FOR FIRST ? As Recommended STREET REHABILITATION BETWEEN ? As Amended Reading I't GRAND AVENUE AND 1-5 PROJECT El Ordinance on (PROJECT El Ordinance on 2 n nd Reading NO. 116735) ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Relieve United Paving Company of their bid in the amount of $944,436.50. 2. Award a contract to Bannaoun Engineers Constructors Corporation, the lowest responsible bidder, in accordance with unit bid prices in the estimated amount of $1,005,870.50 for construction of First Street Rehabilitation between Grand Avenue and 1-5. 3. Approve a funding analysis with a total estimated construction cost of $1,257,079. DISCUSSION First Street between Grand Avenue and the 1-5 freeway has been identified as a high priority in the City's Pavement Management System (Exhibit 1). The pavement is deteriorating due to weather, age, and heavy usage. Some of the adjacent curbs, gutters, sidewalks, driveway approaches, and curb ramps are also in various states of disrepair and require replacement. This project provides for construction of new street pavement and replacement of damaged concrete curbs, gutters, sidewalks, driveway approaches, and curb ramps. Once completed, these improvements will enhance the ride quality, surface drainage, and appearance of the street. The Notice Inviting Bids was advertised on November 17 and 19, 2010, and bids were opened on December 6, 2010. A summary of the bid invitations mailed, the bids received, and the bid results follows. Santa Ana Contractors receiving notices: 16 Contractors requesting bidding documents: 14 Bids received: 8 Bids received from Santa Ana Contractors: 1 While the City made outreach efforts to Santa Ana contractors regarding the Notice Inviting Bids, only one of the 16 Santa Ana contractors "tte~ a bid as a prime contractor: Hardy and Harper. Contract Award For First Street Rehabilitation January 4, 2011 Page 2 The other 15 Santa Ana contractors did not submit a bid either because they are either not capable of performing this type of work, unable to obtain insurance because the project is too large, or they work as a subcontractor to certain prime contractors. NAME OF RESPONSIVE BIDDER CITY BID AMOUNT 1. Bannaoun Engineers Construction Corp. Chatsworth $1,005,870.50 2. Hardy & Harper Santa Ana $1,033,000.00 3. Elite Bobcat Service, Inc. Corona $1,041,889.00 4. R. J. Noble Company Orange $1,043,609.60 5. All American Asphalt Corona $1,047,047.00 6. Excel Paving Company Long Beach $1,114,085.10 7. Silvia Construction, Inc. Rancho Cucamonga $1,263,359.20 A total of eight bids were received and all but one were responsive. Three days after the bid opening, United Paving Company requested to be relieved of their bid, stating that they had made a clerical error in filling out the bid. After examining United Paving Company's bid and other documents, staff has found sufficient grounds for the relief, and therefore recommends that United Paving Company's request be granted. The lowest bid was submitted by Bannaoun Engineers Constructors Corporation for $1,055,870.50, which is above the Engineer's estimate of $1,026,060. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from future review. Categorical Exemption Environmental Review No. 2010-132 will be filed for the project. FISCAL IMPACT The funding analysis shows a total estimated construction cost of $1,257,079 for the project (Exhibit 2). Funds are available in the Proposition 1 B Fund (accounting unit 03017660-66220). APPROVED AS TO FUNDS AND ACCOUNTS: J( _R odi W- A z II Francisco Gutierrez Executive i ector Executive Director Public Wor Agency Finance & Management Services Agency RG/wA Exhibit 1: Project Location Map 2: Funding Analysis 23A-2 N n Z N W > Q F F Z W ! N N J > a z Y Q J V 2 0 J U W Z U Q ~ 3 C9 s T FIRST STREET z 0 r J ® PROJECT AREA EXHIBIT 1 ~GpTioy SANTA ANA TITLES CITMDADATL FIRST STREET REHABILITATION PAW A AANUNAY DATE: BETWEEN GRAND AVENUE AND 1-5 A aat moo (PROJECT NO. M6735) 23A- FUNDING ANALYSIS PROJECT NO. 116735 FIRST STREET REHABILITATION BETWEEN GRAND AVENUE AND 1-5 Construction Contract $1,005,871 Contract Administration $30,270 Inspection and Testing $79,879 Survey Staking $40,472 Contingencies $100,587 TOTAL ESTIMATED CONSTRUCTION COSTS $1,257,079 Exhibit 2 23A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended AMENDMENTS TO HOMELESSNESS ? As Amended PREVENTION AND RAPID RE-HOUSING El Ordinance on 1S` Reading ? Ordinance on 2"d Reading PROGRAM AGREEMENTS ? Implementing Resolution ? Set Public Hearing For CONTINUED TO r FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Authorize the City Manager and the Clerk of the Council to execute the attached amendment with Mercy House in the amount of $108,000, subject to non-substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager and the Clerk of the Council to execute the attached amendment with Interval House in the amount of $108,000, subject to non-substantive changes approved by the City Manager and City Attorney. 3. Authorize the City Manager and the Clerk of the Council to execute the attached amendment with Aids Services Foundation decreasing the grant in the amount of $73,000, subject to non- substantive changes approved by the City Manager and City Attorney. 4. Authorize the City Manager and the Clerk of the Council to execute the attached amendment with WISE Place decreasing the grant in the amount of $40,000, subject to non-substantive changes approved by the City Manager and City Attorney. 5. Authorize the City Manager and the Clerk of the Council to execute the attached amendment with Olive Crest decreasing the grant in the amount of $103,000, subject to non-substantive changes approved by the City Manager and City Attorney 6. Authorize the City Manager to execute future amendments to the scope of services, change in funding amount, or milestone dates with Homelessness Prevention and Rapid Re-Housing (HPRP) sub-recipients. 25A-1 Amendments to HPRP Program Agreements January 4, 2011 Page 2 DISCUSSION The American Recovery and Reinvestment Act of 2009 (Recovery Act) appropriated $1.5 billion for communities to provide financial assistance and services to prevent individuals and families from becoming homeless and to help those who are experiencing homelessness to be quickly re- housed and stabilized. Santa Ana was allocated $2,831,989 under the terms of the funding distribution formula established by the U S. Department of Housing and Urban Development (HUD) for these programs, which are titled Homelessness Prevention and Rapid Re-Housing (HPRP). On September 8, 2009, City Council authorized the execution of agreements with nine local HPRP non-profit sub-recipients to carry out HPRP services. On September 7, 2010, after one year of operation, City Council authorized amendments with three sub-recipients to transfer funds between programs and to expand HPRP services to better meet the needs of the community. The HPRP program requires, by statute, that grantees expend 60% of their award funds within two years of the date that HUD signed the grant agreement. Should a grantee be unable to meet this requirement, HUD may recapture unused HPRP funds and reallocate them. Considering current expenditure rates and projections as to whether each grantee will meet the requirement, staff and sub-recipients have agreed upon the following adjustments to the HPRP allocations: Organization Original Allocation Returning Aids Services Foundation $170,000 $73,000 Olive Crest $468,444 $103,000 WISE Place $145,000 $40,000 TOTAL Available for Reallocation $216,000 These returned funds will be re-allocated evenly to Interval House and Mercy House who have the interest and ability to receive and spend additional funds. As of October 31, 2010, Interval House has expended 41.55% of the Homelessness Prevention allocation and Mercy House has expended 46.15% of its Homelessness Prevention allocation. Due to the 60% deadline requirement less than a year away, staff is requesting that future modification be authorized by the City Manager in order to address the need for program modifications in a timely manner. 25A-2 Amendments to HPRP Program Agreements January 4, 2011 Page 3 FISCAL IMPACT There is no fiscal impact associated with this action. The grant amount of $216,000 previously awarded to Aids Services Foundation, Olive Crest and WISE Place will be reallocated evenly to Interval House and Mercy House. No additional grant fund is involved. r Cynthia J. NeIsc(K Deputy City Manager for Development Services Community Development Agency CJN/TE/mlr Exhibits: 1. Mercy House Amendment 2. Interval House Amendment 3. Aids Services Foundation Amendment 4. WISE Place Amendement 5. Olive Crest Amendment 25A-3 i AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND MERCY HOUSE FOR THE USE OF HOMELESSNESS PREVENTION AND RAPID REHOUSING GRANT FUNDS THIS AMENDMENT TO AGREEMENT is entered into on the _ day of 20_, by and between Mercy House, a California non-profit corporation ("Subrecipient") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS: I A. The parties entered into that certain Agreement Between the City of Santa Ana and Mercy House for Use of Homelessness Prevention and Rapid Rehousing Grant Funds (Program Year 2009-10), dated _,20 (hereinafter "said Agreement") by which Subrecipient has been providing support to homeless women or those who are at risk for homelessness under the Homelessness Prevention and Rapid Re-Housing program ("HPRP") B. The HPRP program requires, by statute, that grantee's expend 60% of its award funds within two years of the date that the U.S. Department of Housing and Urban Development ("HUD") signed the grant agreement. HUD may recapture and reallocate unused HPRP funds if a grantee cannot meet this requirement. C. Based upon current expenditure rates and projections as to whether each grantee can meet this requirement, the parties hereto have agreed to this amendment to increase services and funding for this Subrecipient. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this Amendment to Agreement, the parties agree as follows: 1. The Scope of Work and Budget that are referenced in the Agreement shall be amended and replaced with the revised Exhibit A attached hereto and incorporated herein. 2. Section VI, A. "Agreement Amount" shall be increased by $108,000, for a total "Agreement Amount" not to exceed $ due to the additional services. 3. The City Manager is authorized to execute future amendments to the Scope of Services, change in funding amount or milestone dates with regard to HPRP Subrecipient Agreements that were previously approved under the HPRP Program. 4. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 1 i 25A-4 i i IN WITNESS WHEREOF, the parties hereto have executed this Amendment to Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA I i MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: SUBRECIPIENT JOSEPH W. FLETCHER Mercy House City Attorney By: LISA E. STORCK By: Assistant City Attorney Title: Tax ID: I EXHIBIT 1 2 25A-5 0 C) 0 0 0 0 0 0 0 00000000 0 idoo o o° m °bo000o0 0 VJ U-j co Nco r,~N (O © co Efl 69 d3 69 69 69 E9 64 64 ifY X~. G1 L V 40 o 0 0 o O N N ~ o c > 69 ~ l yc.. OrC 0 M0 07 L M r- y n . i d o ry w r~ r, G> O 00 00 M cD 01 N ~ C~D N M ~ ODD N C Q QNMIN - N CV M i, N m 69 63 69 (O9 y} ff} t9 69 Ers V w+ A N CO CD O ~ O I- 0) C r+ i"t 00 d CD 00 O I- M N rn O CD N M, M 't LO ~ O = w tiCDN00';tNCO I~ O N 00 r- u6 c- cc 41 E G1 N O N ~p d a C\j o~ca 609, 60~1 64 irs po 0 o a o 0 0 0 0 00000000 0 CV 0o 000000 c a) LO C hoos?c~CD oCD C) ro o m C1 m CY) (6 LO X L T 00 N ~ N ,T N CD CD _ N O O m M U co V co, co U) a- 0 Cco 6D69 69 616l 64 69 63400 a) U a, N CO ~ O (U C N r m U + LL' aCL c E c p sow °c_~ °a.~ X CU rn .Ln O (0 O + Z (n N Q J. }x` (U N 0 C C m V Y C C~ ¢ .O d fA Z C (II o a b o HIBIT A ¢QUV~cn~~ N U~ Q 25A-6 25A-7 i I i SECOND AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND INTERVAL HOUSE FOR THE USE OF i HOMELESSNESS PREVENTION AND RAPID REHOUSING GRANT FUNDS i THIS SECOND AMENDMENT TO AGREEMENT is entered into on the _ day of 20 , by and between Interval House, a California non-profit corporation ("Subrecipient") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS: A. The parties entered into that certain Agreement Between the City of Santa Ana and Interval House for Use of Homelessness Prevention and Rapid Rehousing Grant Funds (Program Year 2009-10), dated , 20(hereinafter "said Agreement") by which Subrecipient has been providing support to homeless women or those who are at risk for homelessness under the Homelessness Prevention and Rapid Re-Housing program ("HPRP"). B. On September 7, 2010, said Agreement was amended to transfer funds between programs and the services were expanded to better meet the needs of the community. C. The HPRP program requires, by statute, that grantee's expend 60% of its award funds within two years of the date that the U.S. Department of Housing and Urban Development ("HUD") signed the grant agreement. HUD may recapture and reallocate unused HPRP funds if a grantee cannot meet this requirement. D. Based upon current expenditure rates and projections as to whether each grantee can meet this requirement, the parties hereto have agreed to this amendment to increase services and funding for this Subrecipient. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this Third Amendment to Agreement, the parties agree as follows: 1. The Scope of Work and Budget that are referenced in the Agreement shall be amended and I replaced with the revised Exhibit A attached hereto and incorporated herein. 2. Section VI, A. "Agreement Amount" shall be increased by $108,000, for a total "Agreement Amount" not to exceed $ due to the additional services. 3. The City Manager is authorized to execute future amendments to the Scope of Services, change in funding amount or milestone dates with regard to HPRP Subrecipient Agreements that were previously approved under the HPRP Program. EXHIBIT 2 i 25A-8 i 4. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: SUBRECIPIENT JOSEPH W. FLETCHER Interval House City Attorney By: LISA E. STORCK Carol Anne Williams Assistant City Attorney Executive Director Tax ID: i I EXHIBIT 2 2 25A-9 I, pp P: O O O O O ~ OPCAO O 40 0 co (D N t- r- C) N O d ' LOMCOOOti0N O ' m cl co co N N N ~ a J a- a»r m ry~ c~ EFr 64 fA 64 6FT o% Ef} 6% 64 N N N P o o CD ID N co V ti Cfl N O co Nco to C-4 Cd co V m _ C O r' N O OM O 3 O Or>N~~(6~ L6 C4 O 6p. 1609, 69~ 16-11 1 is> ° Lo .T, N N f : O e- m = Z7 cD cp C4 vi o0 .6~ cC V O , OMLO to OOOMDN T Q V r(pfpfl:~- 60 a r r • Q C1 O K a/ CO CD LJJ # H9 v3 b4 fA EFi EA iR .C C O 000000 0 co N CD 0 C; 4 cO Cl ~ N O co 0 4 M Lf~ N M O 0 p x N Xt~ L Q f.~ Co O M tD O M r r N e- N 0 a) N ~ 7 ~'r N M V m d ~E0 x a cn . Q9 va va r~r ~ ~ N o a cn ci a m W ~mNU r Z v~ d a c .y ro Q 0Em~ N E m O cn C m 0 N -C i _t O t _C 2"o 05 Q Co O1. m ~ E, ` r- °aM aL°JO~ ~ EXHIBITA 25A-10 25A-11 AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND AIDS SERVICES FOUNDATION FOR THE USE OF HOMELESSNESS PREVENTION AND RAPID REHOUSING GRANT FUNDS THIS AMENDMENT TO AGREEMENT is entered into on the day of 20by and between Aids Services Foundation, a California non-profit corporation ("Subrecipient") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS: A. The parties entered into that certain Agreement Between the City of Santa Ana and Aids Services Foundation for Use of Homelessness Prevention and Rapid Rehousing Grant Funds (Program Year 2009-10), dated , 20_, (hereinafter "said Agreement") by which Subrecipient has been providing support to homeless women or those who are at risk for homelessness under the Homelessness Prevention and Rapid Re-Housing program ("HPRP"). B. The HPRP program requires, by statute, that grantee's expend 60% of its award funds within two years of the date that the U.S. Department of Housing and Urban Development ("HUD") signed the grant agreement. HUD may recapture and reallocate unused HPRP funds if a grantee cannot meet this requirement. C. Based upon current expenditure rates and projections as to whether each grantee can meet this requirement, the parties hereto have agreed to this amendment. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this Amendment to Agreement, the parties agree as follows: 1. The Scope of Work and Budget that are referenced in the Agreement shall be amended and replaced with the revised Exhibit A attached hereto and incorporated herein. 2. Section VI, A. "Agreement Amount" shall be reduced by $73,000, for a total "Agreement Amount" not to exceed $ due to the reduced services. 3. The City Manager is authorized to execute future amendments to the Scope of Services, change in funding amount or milestone dates with regard to HPRP Subrecipient Agreements that were previously approved under the HPRP Program. 4. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. i EXHIBIT 3 I 25A-12 I IN WITNESS WHEREOF, the parties hereto have executed this Amendment to Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA I i MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: SUBRECIPIENT JOSEPH W. FLETCHER Aids Services Foundation City Attorney By: LISA E. STORCK By: Assistant City Attorney Title: Tax ID: I EXHIBIT 3 2 25A-13 i I gSSa y mr~cciei ~ ~ ~ ~ ~ o m co ~ Y N3 tR fR 64 to d4 69 to b~! 89 gaS°a o Cl CD m 6* 6t 69 b9 t L C ~ G3 ~ ~ irg? v, a S8 ti 0 0 0 "T V) ra.`rmna~ Q> - c ai va eA GV co C N 13 E .0 c ~ 1-1 t! a .c vi tit C U. c UZc " C> C) 0 o°, to o ai U 00 a c a C) 4 Cwo `f C' m O N m 'i3 m yu ~ ~v CA ~ 2 to lC Q „N tD ( Of N O 1. C O td O O oat IBITA 25A-14 25A-15 i THIRD AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND WISE PLACE FOR THE USE OF HOMELESSNESS PREVENTION AND RAPID REHOUSING GRANT FUNDS THIS THIRD AMENDMENT TO AGREEMENT is entered into on the _ day of 20_, by and between WISE Place, a California non-profit corporation ("Subrecipient") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"), i RECITALS: A. The parties entered into that certain Agreement Between the City of Santa Ana and WISE Place for Use of Homelessness Prevention and Rapid Rehousing Grant Funds (Program Year 2009-10), dated , 20_, (hereinafter "said Agreement") by which Subrecipient has been providing support to homeless women or those who are at risk for homelessness under the Homelessness Prevention and Rapid Re-Housing program ("HPRP"). B. On September 7, 2010, said Agreement was amended to transfer funds between programs and the services were expanded to better meet the needs of the community. C. The HPRP program requires, by statute, that grantee's expend 60% of its award funds within two years of the date that the U.S. Department of Housing and Urban Development ("HUD") signed the grant agreement. HUD may recapture and reallocate unused HPRP funds if a grantee cannot meet this requirement. D. Based upon current expenditure rates and projections as to whether each grantee can meet this requirement, the parties hereto have agreed to this amendment. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this Third Amendment to Agreement, the parties agree as follows: 1. The Scope of Work and Budget that are referenced in the Agreement shall be amended and replaced with the revised Exhibit A attached hereto and incorporated herein. 2. Section VI, A. "Agreement Amount" shall be reduced by $40,000, for a total "Agreement Amount" not to exceed $ due to the reduced services. 3. The City Manager is authorized to execute future amendments to the Scope of Services, change in funding amount or milestone dates with regard to HPRP Subrecipient Agreements that were previously approved under the HPRP Program. 4. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 4 i 25A-1 6 IN WITNESS WHEREOF, the parties hereto have executed this Third Amendment to Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager I APPROVED AS TO FORM: SUBRECIPIENT JOSEPH W. FLETCHER WISE Place City Attorney By: LISA E. STORCK Kathleen Davis-Bowman Assistant City Attorney Executive Director Tax ID: i i EXHIBIT 4 2 25A-17 C) 000000000 =,`0o00oo00oCD 0000000oo0 0o00oo00oCD MCO~cooQioM oic~i r-_ oricoaio0 TI- 0 OM1-t~Od'M _ ~O CO I- O oM000~tOM~0C) O -p Ci M v to N N 7 M M LO cfl tri co m N m " E9 69 E9 69 69 E9 E9 69 69 ii? 69 69 69 E9 69 69 69 69 69 EA 0 0 0 0 0 0 0 0 O'= 000oo i . 0000o Ul ~avvicdcoao0o d ¦ N ~Omcn 00 CD 000 o N OONMOf~Nmm O L -:.(6 CO O T- cl CO ` V - U) co d d 69 69 EA EA 61} 69 69 69 69 40% 000000000 O N N y 0 0 0 0 0 0 0 0 0 0 G1 G1 d CD rim06mo0 MCD W0(nvchOo Q• OM00-U-)mrCpOO G1 i M M to Co Lo Cc V V c C _ 4f~ E9 69 69 69 69 69 69EA69*-, d ~t0000)t- X00 CA C N i- r- 0) c) ) C7~ Q C1 q~i N L6 Cl CA CA co O co d ¦ r C CA co OO 0 ~ P- - V'IT C CD 'Q N ~ LC) U) ~ CO qT , CO .Q N = Q p 04 a) aCoi C •Cc o 0 ~ m r E ~ T- 0 QQ QQ N m 69 69 69 69 E9 69 69 01). 69 No 69 E9 69 69 69 69 E9 ~ 69 EfY V 4.' 00 0 N O M O O O ci C d Ch pl~ IT O r O O co) O O i- 00 00 O ti co C ti to a) Ch 0 O C E o- ~ E x W 69 69 16`16`160. 69 69 69 69 60%. W 6i1 rn 0000000o00 c 0 0 0 0 0 0 0 0 0 0 N a., CO 0 0 C) ai ca r~ o 0 W O tO00001,-CD o U o U = d o0gLOLf) n rn~o a w s- M O N O- ~ N ~ O L LU -0 (L = U) w> Um ~ 69 69 69 69 69 69 69 69 69 vr~ ~ ~ 6~ U) U) r'c).0U)0CL U) U) Cc m Na r- a) 2 2) O O - o w ca m N r o c O a) m a) o Z cu p to a! L N co N c p tv Cf 'c cu N N N CU N E co ~ U co U u) u) U) cu E a) (D CD O M O cm L L u) U O¢ N E c m c c c c N c m V c co Ocoo c c U¢ .c Cyr C1 p ' E vii c V a1 N 11N N in y a 3 +i -aMD 00 a) O co Eve oc0 oa ¢0 00=xUwcnF-- Oa ¢UOO=iU~ 0n - 25A-18 i ~a 0 00 cu ~E mZ a C O N a) cn r a~ O Q EXHIBIT A 25A-19 25A-20 i SECOND AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND OLIVE CREST FOR THE USE OF HOMELESSNESS PREVENTION AND RAPID REHOUSING GRANT FUNDS THIS SECOND AMENDMENT TO AGREEMENT is entered into on the of January 2011, by and between Olive Crest, a California non-profit corporation ("Subrecipient") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS: A. The parties entered into that certain Agreement Between the City of Santa Ana and Olive Crest for Use of Homelessness Prevention and Rapid Rehousing Grant Funds (Program Year 2009-10), dated , 20_, (hereinafter "said Agreement") by which Subrecipient has been providing support to the homeless youth or those who are at risk for homelessness. B. The parties previously amended the Scope of Work for the services that Subrecipient j provides to the City. C. The HPRP program requires, by statute, that grantee's expend 60% of its award funds within two years of the date that the U.S. Department of Housing and Urban Development ("HUD") signed the grant agreement. HUD may recapture and reallocate unused HPRP funds if a grantee cannot meet this requirement. D. Based upon current expenditure rates and projections as to whether each grantee can meet this requirement, the parties hereto have agreed to this amendment. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this Second Amendment to Agreement, the parties agree as follows: 1. The Scope of Work and Budget that are referenced in the Agreement shall be amended and replaced with the revised Exhibit A attached hereto and incorporated herein. 2. Section VI, A. "Agreement Amount" shall be reduced by $103,000, for a total "Agreement Amount" not to exceed $ due to the reduced services. j 3. The City Manager is authorized to execute future amendments to the Scope of Services, change in funding amount or milestone dates with regard to HPRP Subrecipient Agreements that were previously approved under the HPRP Program. 4. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 5 i 25A-21 i IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement on the date and year first written above. I ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: SUBRECIPIENT JOSEPH W. FLETCHER Olive Crest City Attorney By: LISA E. STORCK Name: Edward J. Becker Assistant City Attorney Title: CFO Tax ID: i EXHIBIT 5 2 25A-22 OD. o Cn o o Lo rn o O Co 00 O LO O LO p') O O C) Lo d M CN M CND O N ~ LLo y N e " Ch M CD T N - L 4) jr T T m t-; 69 69 4o, 69 69 69 b9 60, 411~ W N N 0) OLQ O~ (D O O N ¢ioarCD T(M o 6 ~-CTNN000O O ~C N 0) CD CD O 0 LO O ` N 00 c0 C,~ Ch CD C C, Ch T p V ~z LO • ~ i 69 61) 69 69 603, 69 69 69 EA N t{ L `.Sz y.r V i? ` d ~ c ° Cb00000 co cDd ao0orno0 (1) 0 F+vNNOONO o N O C O O 'It r-. ti r- CD N 00 LO co W ~ T T T N O cd E > CV C N Q r 64 ER 69 69 69 69 1, 69 Ile. O .r C N= Q O iD LLQ o o c~ 17 0 w w O V) d .0 " Lo a co r-- ti o0 G .C 4) tU CO ti rn T O" N 'C p x: cy O U5 d N x f Q. Ll.I ;Y -16') 69 69 69 64 69 69 u> vd v Cl) o +r :x.00000000 0 d ~ d ~30000000 c~ o •Q CA a) C) OD N O N O co 0 (0 C) 0 .7 Q ,1u O O T U m ~ N N N N T- ~ Cl) c0 . w N i U w O~ 0 L~9.:. L 1 I 0 0.' N U1. 69 60 69 69 69 69 6q Q91 fA - e~ N r. o W .C. N w C fn .0 0 7 CC E E.) 00 co a (1) 0 co 'C: :z, M =3 a CO Cl 0 M 'a 0) U) 0 a) a) z CO C13 U) NEB m U 0 U o a~ c c c co co co c- N U) a) 0 a 00 o E IBITA or :1Q00 00=Q~ co F- Of 25A-23 25A-24 REQUEST FOR F COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended AMENDMENTS TO AGREEMENTS WITH ? As Amended Reading 1 s' ENTREPRENEURIAL TRAINING PROVIDERS El Ordinance on El Ordinance on 2n d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO 422zcqQ~ r FILE NUMBER CITY ANAGER RECOMMENDED ACTION Authorize the City Manager and the Clerk of the Council to execute the attached amendments with the following entrepreneurial program operators for Program Year 2010-11, subject to non- substantive changes approved by the City Manager and City Attorney: a. Goodwill Industries of Orange County to provide entrepreneurial training to a modified number of 50 unemployed individuals and extend the term of the agreement to February 28, 2011. b. Delhi Center to provide entrepreneurial training to a modified number of 50 unemployed individuals and extend the term of the agreement to May 30, 2011. DISCUSSION The Santa Ana Workforce Investment Board received $4.4 million dollars through the American Recovery and Reinvestment Act of 2009 (ARRA) intended to preserve and create jobs, promote the nation's economic recovery and assist those most affected by the recession. On October 12, 2009, a Request for Proposals was released by the Santa Ana W/O/R/K Center (SAWC) to solicit entrepreneurial training providers to augment existing job training programs. Goodwill Industries of Orange County and Delhi Center were awarded funds for their respective projects. On February 16, 2010, City Council authorized the execution of agreements with each agency to provide entrepreneurial training for Santa Ana residents. Both programs have been extensively marketed in Santa Ana and the community response has been high; however, ARRA requirements are extremely restrictive and the majority of applicants showing interest have not met program requirements. For this reason, the organizations have 25B-1 Amendments to Entrepreneurial Training Agreements January 4, 2011 Page 2 requested to reduce the number of individuals trained and will focus efforts on more individualized training. Goodwill Industries entered into a contract for $180,830 to serve 160 individuals. The average cost per participant is $1,130. The modification would raise the average cost to $3,617 per participant. Delhi Center entered into a contract for $122,000 to serve 100 individuals. The average cost per participant is $1,220. The modification would raise the average cost to $2,440 per participant. According to a survey conducted by The California Association for Micro Enterprise Opportunity, the average training costs through entrepreneurial programs is approximately $5,000 per participant. The cost increase per participant for both programs would still be significantly less than the average cost. FISCAL IMPACT There is no fiscal impact associated with this action. Cynthia J. elson Deputy City Manager for Development Services Community Development Agency CJN/LO/CR/SV/kg Exhibits: 1. Goodwill Industries of Orange County Amendment 2. Delhi Amendment 25B-2 i AMENDMENT TO AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT (AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009) THIS AMENDMENT, made and entered into this 40i day of January, 2011, by and between Goodwill Industries of Orange County ("Contractor") and the City of Santa Ana, a charter, city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City and Contractor entered into that certain Agreement Under the Workforce Investment Act (American Recovery and Reinvestment Act of 2009) effective February 1, 2010 (Agreement #A-2010-022), hereinafter referred to as "said Agreement". B. The parties hereto now desire to amend Section I A, to reduce the number of individuals to be served, and to extend the term of said Agreement. Relevant exhibits affected by these changes will also be amended. WHEREFORE, in consideration of the mutual and respective covenants and promises hereinafter contained and made, and subject to all of the terms and conditions of said Agreement as hereby amended, the parties hereto do hereby agree as follows; I 1. Section I A. of said Agreement is amended to reduce the number of individuals served to fifty (50). Exhibits A (Program Narrative) and B (Statement of Work) shall be amended accordingly, and the updated Exhibit A- 1, attached hereto, reflects the revised Program Outcomes. 2. Exhibit F to said Agreement is hereby replaced with the amended Exhibit F, attached hereto and incorporated herein by reference. The amount of City's Obligation remains as stated in said Agreement. 3. Section III, "Time Period of Agreement" is hereby amended and extended through May 31, 2011. i 4. Except as hereinabove modified, the terms and conditions of said Agreement remain unchanged and in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Amendment to said Agreement the date and j year first above written. CITY OF SANTA ANA, a municipal corporation of the State of California ATTEST; "CITY" I By: Maria D. Huizar David N. Ream Clerk of the Council City Manager APPROVED AS TO FORM: "CONTRACTOR' Joseph W. Fletcher Goodwill Industries of Orange County City Attorney BY; BY; Lisa E. Storck Name: Gregory Mathes Assistant City Attorney Title: Director of Program Development EXHIBIT 1 25B-3 i i Goodwill Industries of Orange County Future Business Owners Program Program Outcomes • 300 individuals served In year one (people attending orientation/introduction and completing self-assessment) • 100% of assessment participants have a clear understanding as to whether or not they are ready to be an entrepreneur • 50 individuals in assessment session enroll in business planning course • 50% of business planning course participants (25) complete entire business planning course • 100% of individuals that complete business planning course have a business plan • 1 out of every 10 individuals attending the business planning course (5) starts their business within 12 months • 50% of individuals who graduate from course (13) experience an income increase • 60% of graduates (15) are able to reduce their reliance on public assistance • 50% of graduates who start a business (3) are still operating three years later • 50% of graduates who start a business (3) will grow that business large enough to hire additional employees Monthly Participant Plan Apr May Jun Jul Aug Se t Oct Nov Dec Jan Feb Mar Apr May Totai Planned I Enrollments 7 4 3 0 3 0 0 3 3 12 8 7 0 0 50 I II i EXHIBIT A-1 25B-4 i Goodwill Industries of Orange County Future Business Owners Program BUDGET FORM i Match/In Administrative Program Total Kind PErsQnl~el - i Salaries* 109,182 109,182 Benefits 30,849 30,849 Other (list)* Total Personnel 140,031 140,031 _ W77 Rent or user fee* 15,200 15,200 Utilities 0 0 Phones 390 390 Internet fees Parkin fees Security 0 0 Maintenance Insurance Equipment* Rental fees Purchase 37,320 Vehicle lease charges (vehicles may not be purchased) Office expenses 740 740 consumables Accounting Services Legal services Auditing services Indirect costs 15,235 15,235 (attach indirect cost rata plan**) Staff training 3,478 3,478 Staff travel/mileage 4,082 4,082 Customer Training* Support services* Profit (for profits only) Other (list)* 1,674 1,674 26,435 Total Operating 15,235 25,564 40,799 Expenses ! 15,235 165,595 180,830 GRAND TOTAL (Total Personnel + Total Operating Expenses) * attach a separate sheet detailing these costs * * must be approved by cognizant agency EXHIBIT F i ; 25B-5 I 25B-6 i AMENDMENT TO AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT (AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009) THIS AMENDMENT, made and entered into this 4 h day of January, 2011, by and between Delhi Center ("Contractor") and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City"). i RECITALS A. The City and Contractor entered into that certain Agreement Under the Workforce Investment Act (American Recovery and Reinvestment Act of 2009) effective February 1, 2010 (Agreement #A-2010-023), hereinafter referred to as "said Agreement". B. The parties hereto now desire to amend Section I A, to reduce the number of individuals to be served, and to extend the term of said Agreement. Relevant exhibits affected by these changes will also be amended. WHEREFORE, in consideration of the mutual and respective covenants and promises hereinafter contained and made, and subject to all of the terms and conditions of said Agreement as hereby amended, the parties hereto do hereby agree as follows: 1. Section I A. of said Agreement is amended to reduce the number of individuals served to fifty (50). Exhibits A (Program Narrative) and B (Statement of Work) shall be amended accordingly, and the updated Exhibit A-1, attached hereto, reflects the revised Program Outcomes. I 2. Exhibit F to said Agreement is hereby replaced with the amended Exhibit F, attached hereto and i incorporated herein by reference. The amount of City's Obligation remains as stated in said Agreement. 3. Section III, "Time Period of Agreement" is hereby amended and extended through February 28, 2011. 4. Except as hereinabove modified, the terms and conditions of said Agreement remain unchanged and in j full force and effect. i IN WITNESS WHEREOF, the parties hereto have executed this Amendment to said Agreement the date and year first above written. CITY OF SANTA ANA, a municipal corporation of the State of California ATTEST: "CITY" i By: Maria D. Huizar David N. Ream Clerk of the Council City Manager APPROVED AS TO FORM: "CONTRACTOR" Joseph W. Fletcher Delhi Center City Attorney BY: BY: Lisa E. Storck Name: Margarita Chavez Assistant City Attorney Title: Interim Executive Director EXHIBIT 2 i 25B-7 Delhi Center Childcare Training Entrepreneurial Program Program Outcomes Enrolled in Program 50 Completed Training 35 Submit State Application for Licensure 15 Complete Business Plan 35 Classes (entire trainings) 8 Obtain State License 5* I Active Licensed Business 5* * Due to the budget deficit and recession, California state licensing has not held any State Licensing Orientations and has put Community Care Licensing on hold since August 2010. The lcensure process takes anywhere from 2-6 months. Currently applications are being accepted but are not being processed. In order to submit an application the candidate must attend a state orientation. State orientations statutes vary by county. Orange County has not scheduled any orientations in the near future. Community Care Licensing's office greeting is stating that no orientations are scheduled. They can be contacted at (714) 703-2800. Steps to ensure milestones are met • Increase outreach to Include o talk with licensed providers to remind them of our services o local grocery stores o neighborhood associations o more surrounding schools (elementary & Junior high) o community clinics o community youth programs • Offer more support with business plan development • Continue with monthly educational workshops • Offer the training and explain to clients that even though licensing is currently on hold, as soon as they are issuing licenses they will be prepared to apply. Monthly Participant Plan Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Total Planned Enrollments 6 111 0 2 1101 8 181 8 50 EXHIBIT A-1 25B-8 Delhi Center Childcare Training Entrepreneurial Program BUDGET FORM i Match/In p „ p Administrative Program Total Kind f `s~41~k~Ollt~.e~.~~' 1 ..~fi'~ it •i1 7' 1 s Salaries* $5,000 $80,708 $85,708 Benefits $1,050 $14,320 $15,370 Other (list)* Total Personnel $6,050 $95,028 $101,078 77 Rent or user fee* Utilities $3 582 $3,582 Phones $3,415 $39415 j Internet fees Parkin fees Security Maintenance $4,318 $4,318 Insurance $3,217 $35217 Equipment* Rental fees Printing $1,545 $1,545 Vehicle lease charges (vehicles may not be purchased) Office expenses $785 $785 consumables Accounting Services $2,777 $2,777 Legal service s Auditing services Indirect costs (attach indirect cost rate plan*) Staff training Staff travel/miles a $436 $436 Customer Training* Support services* $847 $847 Profit for profits only) Other marketin meetin s Total Operating Expenses $209922 $20,922 GRAND TOTAL $6,050 $115,950 $122,000 (Total Personnel + Total Operating Expenses) * Attach a separate sheet detailing these costs, Must be approved by cognizant agency. EXHIBIT F j 25B-9 25B-10 REQUEST FOR COUNCIL ACTION Ail CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended AGREEMENT WITH SYSTEMS ? As Amended ? Ordinance on 1s' Reading MAINTENANCE SERVICES FOR DATA ? Ordinance on 2nd Reading CENTER MAINTENANCE & SUPPORT ? Implementing Resolution SERVICES ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY ANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with Systems Maintenance Services and exercise an option for the second one-year extension to the existing agreement in an amount not to exceed $150,000 per year, for data center maintenance and support services, subject to non-substantive changes made by the City Manager and City Attorney. DISCUSSION System maintenance and support services for the City Data Center and the Police Data Center are needed to provide repair and preventive maintenance on server class computers, tape libraries, storage devices and other related equipment. Some 200 pieces of equipment are covered under the current agreement. This computer equipment runs all Santa Ana Police Department computerized systems including: computer aided dispatch, records management, jail management, crime scene investigation, special analysis, etc. The City Hall Data Center hosts the payroll system, Lawson financial system, utility billing system, business tax system, Santa Ana Property Information (SAPIN) system, the City web site, City electronic mail system, and many departmental systems for City Agencies. A Request for Proposal (RFP) for "Data Center Maintenance and Support Services" was issued in June 2006 and advertised. Nine firms were proactively sent the RFP. A total of five proposal responses were received and evaluated by a team of specialists from the Information Services Division. Based on the recommendation of the evaluation team, the City Council approved a three- year agreement with Systems Maintenance Services (SMS) for required data center maintenance and support services. The term of this agreement commenced on February 1, 2007 and expired on January 31, 2010. One-year extension to the agreement was exercised that will expire January 31, 2011. 25C-1 Agreement Renewal for Data Center Maintenance & Support Services January 4, 2011 Page 2 Systems Maintenance Services (SMS) has provided excellent maintenance and service during its Agreement with the City. The staff of the Information Services Division recommends extending the current agreement for a one-year period to expire January 31, 2012. This will be the second amendment to the agreement. FISCAL IMPACT Funds are budgeted and are available in the Technology Plan account (10910147-62300). APPROVED AS TO FUNDS AND ACCOUNTS Francisco Gutierrez Executive Director Finance & Management Services Agency I 25C-2 EXTENSION OF MAINTENANCE AGREEMENT THIS EXTENSION OF MAINTENANCE AGREEMENT is entered into this day of 2011, by and between Systems Maintenance Services, Inc. ("SMS") and the City of Santa Ana ("City"). RECITALS: A. The parties entered into Agreement a-2007-061, dated March 19, 2007, (hereinafter "said Agreement") by which SMS has provided maintenance and repair of server-class computers and related equipment for the City. B. The term of the Agreement was three (3) years, with an option to extend for two (2) additional one- year periods. The parties hereto desire to exercise the option to extend the Agreement for the second one-year term. WHEREFORE, in consideration of the covenants contained in the Agreement, and subject to all the terms and conditions of the Agreement, except those amended in this Extension of Agreement, the parties agree as follows: 1. Section 3, "Term" of the Agreement, shall be extended through January 31, 2012. 2. Section 4, `Compensation' shall be amended to increase compensation $150,000, to pay for services during the extended term from February 1, 2011 through January 31, 2012. 3. All other terms and conditions of the Agreement shall remain in effect and unchanged. IN WITNESS WHEREOF, the parties hereto have executed this Extension of Maintenance Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney SYSTEMS MAINENANCE By: Laura Sheedy SERVICES, INC. Assistant City Attorney (NAME) (Title) 25C-3 25C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended AMENDMENT TO AGREEMENT FOR VOLUME ? As Amended ? Ordinance on 1s` Reading LICENSING FOR MICROSOFT SOFTWARE AND ? Ordinance on 2nd Reading PRODUCTS THROUGH COMPUCOM, INC. ? Implementing Resolution ? Set Public Hearing For CONTINUED TO r zz, FILE NUMBER CIT MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute the attached amendment to the Enterprise Licensing Agreement with CompuCom, Inc., to extend the term for an additional three-year period in an annual amount of $432,000 subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION Software license is a legal instrument which grants end-users the right to use and redistribute software without copyright infringement. As such, the City is required to obtain software licensing to comply with legal requirements by purchasing individual licenses or through an enterprise licensing agreement. Purchasing an enterprise license for the entire organization is a cost effective means for managing software as a resource and insuring the City's compliance with software use laws and agreements. City Council authorized such a volume licensing agreement in January 2008. Staff requests Council approval an agreement amendment to extend the term of Enterprise and Select Volume Licensing Agreements with Microsoft Licensing, GP for an additional three-year term. The City licenses a great many products from Microsoft Corporation which is by far the largest manufacturer of software used by the City. The Microsoft Enterprise Agreement, negotiated by the County of Riverside, has provided the City with a managed, all-inclusive solution to license Microsoft products. Acting as Microsoft's reseller for the agreement has been CompuCom, Inc. CompuCom was selected after the City conducted in 2008 a competitive process among five firms qualified to serve as the "Large Account Reseller" under the County of Riverside/ Microsoft agreement. Over the past three years, CompuCom has provided excellent service to the City and is again recommended to act as the "Large Account Reseller" on behalf of the City under the Microsoft volume license programs. By piggy-backing on the County of Riverside's Microsoft Enterprise Agreement, the City will receive substantial savings over either consumer pricing or the standard Microsoft government rates for other volume licensing programs. In addition, the agreement entitles the City to premium services upgrades, patches, revisions and technical support during the 3-year term of the agreement. The City would also piggy-back on a State of California Select volume license agreement for the occasions 2501-1 when the City needs Microsoft products not available or in such small quantities not to be economical under the Microsoft Enterprise Agreement. CompuCom would also act as the City's Select "Large Account Reseller." FISCAL IMPACT Funds are available in the Information Services Technology Plan Other Contractual Services (1091014762300). The recommended action incorporates a 10% contingency if additional licenses are needed during the three-year term. APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25D-2 25D-3 FIRST AMENDMENT TO LARGE ACCOUNT RESELLER AGREEMENT BETWEEN THE CITY OF SANTA ANA AND COMPUCOM SYSTEMS, INC THIS FIRST AMENDMENT, made and entered into this _ day of , 201 by and between CompuCom Systems, Inc., a Delaware corporation (hereinafter "CompuCom"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City and CompuCom entered Agreement A-2008-013, dated January, 7th 2007, hereinafter referred to as "said Agreement", by which CompuCom has provided large account reseller (LAR) Microsoft Licensing services for the City's purchase of Microsoft products. B. The parties now desire to amend said Agreement to extend the term and to increase compensation to provide licensing fees during the extended term.. WHEREFORE, in consideration of the mutual and respective covenants and promises hereinafter contained and made, and subject to all of the terms and conditions of said Agreement as hereby amended, the parties agree as follows: 1. Section 2.a., COMPENSATION, shall be deleted in its entirety and replaced with the following: "a. City agrees to pay, and CompuCom agrees to accept as total payment for its services, the fees and charges for Microsoft licenses and related products purchased through CompuCom as Microsoft's LAR, as identified in Exhibit B-1, attached hereto and incorporated by reference. The total sum to be expended under this Agreement shall not exceed $432,000, annually, during the three year term of this Agreement. 2. Section 3, TERM, shall be deleted in its entirety and replaced with the following: "This Agreement shall commence on January 7, 2008 and terminate on December 31, 2013, unless terminated earlier in accordance with said Agreement. The term of this Agreement may be extended upon a writing executed by the Executive Director of Finance and Management Services and the City Attorney." 3. Except as hereinabove modified, the terms and conditions of said Agreement and all Exhibits thereto, remain unchanged and in full force and effect. 25D-4 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement the date and year first above written. CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: Date JOSEPH W.FLETCHER City Attorney Laura Sheedy Assistant City Attorney COMPUCOM SYSTEMS, INC. (NAME) (Title) Date 25D-5 EXHIBIT B-1 COMPUCOM SYSTEMS, INC. Software quote And Microsoft EA - 3-year True Up Price Schedule Effective January 1, 2011 through December 31, 2013 25D-6 Com uCom - software uote Quoted by Sam Andrews CompuCom 3320 Data Drive Suite 100 Rancho Cordova CA 95670 Phone 818-988-2195 sam.andrews com ucom.com FPlea;sefax; your POsto Client Assistance Center at 800-366-9994. You may call 800-400-9852 o tion 2 to check status on orders. o: City of Santa Ana Tom Ger en ter en santa-ana.or Quote to renew expiring EA enroliment# Date 1211712010 4693512, January 2011 Important. Please provide the email address of the recipient designated to receive a Com uCom "order confirmation" Quantity Part # Descrf tion Unit Price Ext. Price ente rise'' loducts Professional Desktop (SA) [this bundle includes Office Pro Plus, Windows 7 Enterprise upgrade and 2,000 A07-00042 Core CAL] $ 133.50 $ 267,000.00 2,000 359-00792 SQL CAL (SA) Device CAL $ 24.92 $ 49,840.00 additional roducts $ _ 2 395-02504 Ex-change Server Enterprise SA $ 605.06 $ 1,210.12 3 312-02257 Exchange Server Standard SA $ 105.67 $ 317.01 Forefront TMG Standard Edtn 1-Processor (SA) 1 4WD-00286 - new name for ISA Server $ 195.80 $ 195.80 1 H04-00268 Sharepoint Server (SA) $ 735.82 $ 735.82 17 076-01912 Project (SA) $ 92.91 $ 1,579.47 54 228-04433 SQL Server Standard Server (SA) $ 136.71 $ 7,382.34 8 228-03148 SQL Server Standard 1-Processor (SA) $ 1,071.15 $ 8,569.20 12 P72-00188 Windows Server Enterprise (SA) $ 352.09 $ 4,225.08 140 P73-00226 Windows Server Standard (SA) $ 108.34 $ 15,167.60 20 P71-00886 Windows Server Datacenter 1-Processor (SA) $ 359.20 $ 7,184.00 Windows Remote Desktop Services CAL (SA) 1,032 6VC-01253 Device CAL $ 12.65 $ 13,054.80 _ new Items'added at start of next FA term $ - Exchange Server Enterprise (StepUp) from Exch 1 395-03039 Svr Std $ 1,189.02 $ 1,189.02 Forefront TMG Standard Edtn 1-Processor 1 4WD-00285 (Lic/SA) $ 456.84 $ 456.84 10 228-04437 SQL Server Standard Server (Llc/SA) $ 312.69 $ 3,126.90 Windows Server Enterprise (StepUp) from Win 1 P72-00815 Svr Std $ 568.76 $ 568.76 Windows Server Datacenter 1-Processor 14 P71-01541 Ste U) from Win Std Svr $ 585.30 $ 8,194.20 3 R39-00374 Windows Server External Connector (Lic/SA) $ 703.74 $ 2,111.22 NOTEM Please type "Electronic Software Delivery" on our PO Product-total $ 392,108.18 Sub-Total $ 392,108.18 8.75 Tax ESD - nontaxable $ _ Shipping No Char e Total Your ANNUAL EA renewal rice Jan 2011, 2012 and 2013 $ 392,108.18 Prices good for 30 days total of 3 years of payments = $1,176,324.54 Pass-Through Warranty and Other Rights. As a reseller, end-user warranties and liabilities (with respect to any third party hardware and software products provided by CompuCom) shall be provided as a pass-through from the manufacturer of such products. All software products are subject to the license agreement of the applicable software supplier, as provided with the software packaging or in the software at time of shipment. Santa Ana -3YR EA (final) - 12-20-10 REV 25L-27 EXHIBIT B-1 12-20-10 25D-7 City of Santa Ana - 3 year price-protected True Up table For term 2/1/2011 to 1/31/2014 CompuCom Systems, Inc. Sam Andrews, sam.andrews@compucom.com, 818-988-2195 t1 kTrue. U True U g r" Part## Des~ripYon r, p 6 N' enterprise products A07-00041 Professional Desktop (Lic/SA) $678.42 $566.46 $454.50 359-00765 SQL CAL (Lic/SA) Device CAL $171.84 $145.44 $119.04 additional products 395-02412 Exchange Server Enterprise (Lic/SA) $4,251.90 $3,597.78 $2,943.66 312-02177 Exchange Server Standard (Lic/SA) $742.68 $628.44 $514.20 4WD-00285 Forefront TMG Standard Ed 1-Proc (Lic/SA) $1,375.80 $1,164.12 $952.44 H04-00232 Sharepoint Server (Lic/SA) $5,170.86 $4,375.38 $3,579.90 076-01776 Project (Lic/SA) $597.54 $497.10 $396.66 228-04437 SQL Server Standard Server (Lic/SA) $941.70 $796.86 $652.02 228-03159 SQL Server Standard 1-Provessor (Lic/SA) $7,527.12 $6,369.12 $5,211.12 6VC-01251 Windows Remote Desktop Svcs CAL (Lic/SA) Device $88.80 $75.12 $61.44 P71-01031 Windows Server Datacenter 1-Proc (Lic/SA) $2,524.08 $2,135.76 $1,747.44 P72-00165 Windows Server Enterprise (Lic/SA) $2,474.28 $2,093.64 $1,713.00 R39-00374 Windows Server External Connector (Lic/SA) $2,119.38 $1,793.34 $1,467.30 P73-00203 Windows Server Standard (Lic/SA) $761.40 $644.28 $527.16 Santa Ana -3YR EA (final) - 12-20-10 REV 25L-28 EXHIBIT B-1 12-20-10 25D-8 REQUEST FOR COUNCIL ACTIONLL CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended MAINTENANCE SERVICES AGREEMENT ? As Amended ? Ordinance on 1St Reading FOR POWER SWEEPING, STEAM ? Ordinance on 2"d Reading CLEANING AND PRESSURE WASHING ? Implementing Resolution SERVICES AT THE SANTA ANA ? Set Public Hearing For REGIONAL TRANSPORTATION CENTER CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute a one-year Maintenance Services Agreement with RueVac Property Services subject to nonsubstantive changes approved by the City Manager and City Attorney for power sweeping, steam cleaning and pressure washing services at the Santa Ana Regional Transportation Center, with three 1-year extension options. DISCUSSION The Santa Ana Regional Transportation Center (SARTC) is a regional hub, combining Amtrak, MetroLink, Orange County Transit Authority, and other bus and taxi services. The City maintains the facility for the travelling public and tenants. A Request for Proposals (RFP) to solicit proposals for power sweeping, steam cleaning and pressure washing services was prepared. The RFPs were mailed on November 2, 2010. Below is a summary of the proposals solicited, and those received: 20 Request for Proposals mailed 3 Request for Proposals mailed to Santa Ana vendors 2 Proposals received 0 Proposals received from Santa Ana vendors The ratings and fees for the two proposals received are as follows: RATING BID AMOUNT NAME OF RESPONSIVE BIDDER Power Steam/ Power Sweeping Steam/ Pressure Sweeping Pressure RueVac Property 83.75 81.5 $737 per month $2,300 per month E.P. Maintenance 50.75 54.5 $930 per month $2,500 per month 25E-1 Maintenance Services Agreement for Steam Cleaning and Pressure Washing At the Santa Ana Regional Transportation Center January 4, 2011 Page 2 The proposals received were rated by a team from the Public Works and Community Development Agencies. The proposals were evaluated according to the firm's experience, understanding of the scope of work, references and cost to the City. RueVac Property Services received the highest average score. The proposal submitted by this firm is consistent, reasonable, and in line with staff's estimate. Because of the quality of personnel, experience, and cost to the City, it is recommended that RueVac Property Services be retained for the required services. FISCAL IMPACT Funds are available in the Maintenance & Repair - Building and Ground account (accounting unit 06717650-62320). APPROVED AS TO FUNDS AND ACCOUNTS: RaAGodi Z11 Francisco Gutierrez Executive rector Executive Director Public Wo Agency Finance & Management Services Agency RG/CK Exhibit 1: Maintenance Services Agreements 25E-2 AGREEMENT FOR PROVISION OF MAINTENANCE SERVICES THIS AGREEMENT, made and entered into this 3rd day of January, 2011 by and between RUE VAC PROPERTY SERVICES, INC., a California corporation (hereinafter "Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. City desires to retain a contractor having special skill and knowledge in the field of power sweeping services. B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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 Contractor shall supply all labor, materials, equipment and transportation necessary for maintaining all areas of the two parking lots, all paths of entry, bus parking stalls and driveways and all four levels of the parking structure clean and well swept, at the Santa Ana Regional Transportation Center ("SARTC"), as set forth in Exhibit A attached hereto and incorporated by reference. At all times while providing power sweeping services for City, Contractor shall comply with all Federal, State and local requirements for collection, filtering and disposal of waste and water. Initially Contractor shall power sweeping services on a two times per week basis. City retains the option to increase the frequency of services up to three times per week. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for services, a monthly fee of $737.00. The total sum to be expended under this Agreement shall not exceed $10,000.00, annually, during the term of this Agreement. b. Payment by City shall be made within 30 days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Invoices shall be mailed to Santa Ana Regional Transportation Center, Alma Flores, 1000 East Santa Ana Blvd., Suite 108, Santa Ana, CA 92701 I 25E-3 3. TERM This Agreement shall commence on January 1, 2011 and terminate on December 31, 2011, unless terminated earlier in accordance with Section 12, below. This Agreement may be renewed for two successive 12-month periods upon the written agreement of the City and Contractor, at least 30 days prior to the termination of the then current term. In the event City Council does not provide funding for services during succeeding fiscal periods, the City shall notify the provider of such occurrence and contract shall terminate on the last day of current fiscal period without penalty or expense to the City. 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25E-4 d. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. e. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Contractor agrees to 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 health, and claims for property damage, which may arise from the direct or indirect operations of the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that 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. 7. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to 25E-5 any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 8. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 telefacsimile (714) 647-6956 With courtesy copies to: Public Works Agency - Administrative Services City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647-5069 and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647-6515 To Contractor: RueVac Property Services Ronald K. Lyons 600 West Taft Avenue Orange, California 92865 telefacsimile 714-998-3294 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 25E-6 addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 12. TERMINATION This Agreement may be terminated • Immediately upon the written agreement of both parties • By the City upon thirty (30) days written notice to Contractor • By the Contractor upon 120 days written notice to City 13. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 25E-7 15. COMPLIANCE WITH GOVERNMENTAL REQUIREMENTS Contractor shall maintain all necessary licenses, permits, approvals, waivers and exemptions necessary for the provision of services hereunder and shall carry out all services pursuant to this Agreement in substantial conformity with all applicable laws, ordinances, statutes, codes, rules, regulations, orders, and decrees of the United States, the State of California, the County of Orange, the City, and of any other political subdivision, agency, or instrumentality exercising jurisdiction over the City, including all applicable federal, state, and local occupation, safety and health laws, rules, regulations and standards, applicable state and labor standards, prevailing wage requirements, the City zoning and development standards, City permits and approvals, building, plumbing, mechanical and electrical codes, as they map apply, and all other provisions of the City and its Municipal Code (as they may apply), and all applicable disabled and handicapped access requirements, including, without the limitation, the Americans With Disability Act, 42 U.S.C. § 12101 et seq., Government Code § 4450 et seq., and the Unruh Civil Rights Act, Civil Code § 51 et seq. 16. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: RUE VAC PROPERTY SERVICES, INC. By: Laura Sheedy Assistant City Attorney RONALD K. LYONS President Tax ID# 25E-8 EXHIBIT A CONTRACT SPECIFICATIONS AND REQUIREMENTS FOR POWER SWEEPING AT SARTC 1. SCOPE OF SERVICES A. The contractor will provide all labor, supervision and equipment needed to provide all necessary components of power sweeping. B. Contractor shall obtain within five (5) days of executing this contract, a current City of Santa Ana Business Permit and shall maintain a current business permit throughout the term of said contract. C. Contractor agrees to conform to all applicable federal and State Occupational Safety and Health Act standards in the performance of these duties. D Whenever a question as to the meaning of any portion of the specifications is in dispute or where there may be more than one interpretation given to any portion of the specifications the interpretation by City shall be final. E. If the contractor fails to provide services as per specifications, City shall have the right to contract for said deficiencies and bill back the incumbent contractor. H. SUCCESSFUL CONTRACTOR'S RESPONSIBILITIES A. Provide all transportation, labor, equipment, and materials to complete proposed project. B. Provide trained personnel. C. Provide identification for all employees servicing the area. Identification must be produced for the Security Guard on Duty upon arrival at each scheduled job on property. III. SCOPE OF SERVICES Contractor shall supply all labor, materials, equipment and transportation necessary for the removal of trash, dust and debris from parking lots, vehicular entryways, bus parking stalls, bus and all four levels of parking structure as indicated on the attached map (Attachment F) of the SARTC . Contactor shall provide sweeping services in all designated areas two (two) times per week. City reserves the right to increase the frequency of sweeping to three (3) times per week. All work at the SARTC shall be performed between the hours of I Ipm and 4am. 25E-9 The areas to be swept are designated on the site plan in Attachment F and consist of the following: all entrances, driveways, curbs, parking lots, parking structure levels, bus lanes and bus stalls, courtyard, exterior walkways, utility drive area and platforms. Contractor must leave the area clean and free of all trash, dust and debris. The Contractor must remove all of the trash dust and debris from the facility. The sweeping process must not damage any surfaces. The sweeping process must not damage adjacent areas in any way. The contractor will be responsible for all damage to the surrounding areas. The City reserves the right to suspend the work wholly or in part if deemed necessary for the best interest of the City. This suspension will be without compensation to the Contractor, other than to adjust the contract completion/delivery requirements. Hindrances or delays from any cause under this agreement shall be provided for by the Contractor at no cost to the City. Such delays, if due to the fault or neglect of the City Coordinator, shall entitle the Contractor to an extension of time allowed for completing the work sufficiently to compensate for the delays. Contractor must notify the City Coordinator of any cause of delay. The contractor, upon completion of the job and prior to final acceptance shall remove all supplies, materials, debris, rubbish, etc. caused by the operation and leave the finished site in a neat, orderly condition. Sweeping must include area under and around vehicles parked in lots or in parking structure. In or around all corners and recesses and other structures located within the sweeping area. All curbs adjacent to the Depot property must be swept, removing all dirt and grime. The Contractor will be responsible for the proper disposal of all waste, according to requirements specified by the City. 25E-10 ATTACHMENT 1 GENERAL CONDITIONS The following is included as an attachment to the basic contract and must be complied with by the contractor. 1. Contractor shall furnish employee identification cards for those employees working. Employees will be required to permanently wear such identification cards whenever so working. Contractor shall agree that the City will approve all employees used in executing this agreement. Contractor shall check in and out with Security Guard on Duty each and every time contractor is on the premises. 2. Contractor shall maintain a twenty-four (24) hour, seven (7) day a week telephone and facsimile machine service and shall respond within two (2) hours to clean up any work left undone after the City notifies the contractor of failure to perform. The City will notify the contract service company by facsimile of any and all failures to comply with this procedure. 3. Contractor shall designate in writing to the City the name of the person who will officially represent the contractor and be responsible for communication between the Agency and the contractor. 4. The contractor agrees that the services covered by this agreement shall be performed by carefully selected and efficient employees in conformity with accepted power sweeping standards and practices. The contractor further agrees that upon request by City the contractor will remove from premises any employees who, in the opinion of City are guilty of improper conduct or are not qualified to perform the work assigned. Contractor further agrees to provide City with a steady and dependable work force. Employee turnover will be kept to a minimum. 5. The following security requirements shall be in effect at all times. Failure to abide by any of these items by any contractor's employee may result in removal from the facility and or criminal charges. All of the contractor's personnel to work for the City at The Depot at Santa Ana must provide the following information before beginning work: a. First name, middle name, last name b. Date of birth c. Current residence address d. Photocopy of valid government-issued photo identification e. Photocopy of valid Social Security Card f. Proof of United States citizenship or legal work status 25E-11 The contractor shall be notified of any employee that is refused for employment within the facility. The above information requirement shall also apply to employees who begin at any later date. Decisions of the City are final and are not subject to arbitration. 6. When an employee leaves the service of the contractor, the contractor shall notify City within twenty-four (24) hours. 7. Contractor's employees shall not report to work, nor be allowed to work, while under the influence of alcohol or narcotics. Persons that are under the influence of alcohol or narcotics shall be denied work. In the event of a dispute between contractor's staff and City staff regarding work procedures, security measures, etc., City shall have the final decision. 8. Contractor shall provide all sweeping appliances, utensils, equipment, etc. 9. Contractor will provide all prescribed services for the SARTC. Attachment F identifies the areas covered by this agreement. 25E-12 25E-13 AGREEMENT FOR PROVISION OF MAINTENANCE SERVICES THIS AGREEMENT, made and entered into this 3`d day of January, 2011 by and between RUE VAC PROPERTY SERVICES, INC., a California corporation (hereinafter "Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. City desires to retain a contractor having special skill and knowledge in the field of steam cleaning and power washing of streets and sidewalks. B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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 Contractor shall supply all labor, materials, equipment and transportation necessary for the removal of stains and deposits from cement and brick paver sidewalks at the Santa Ana Regional Transportation Center ("SARTC"), as set forth in Exhibit A attached hereto and incorporated by reference. At all times while providing steam cleaning services for City, Contractor shall comply with all Federal, State and local requirements for collection, filtering and disposal of waste and water. Initially Contractor shall provide steam cleaning and power washing on two times per week basis. City retains the option to increase the frequency of services up to three times per week. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for services, a monthly fee of $2,300.00. The total sum to be expended under this Agreement shall not exceed $30,000.00, annually, during the term of this Agreement. b. Payment by City shall be made within 30 days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Invoices shall be mailed to Santa Ana Regional Transportation Center, Alma Flores, 1000 East Santa Ana Blvd., Suite 108, Santa Ana, CA 92701 3. TERM This Agreement shall commence on January 1, 2011 and terminate on December 31, 2011, unless terminated earlier in accordance with Section 12, below. This Agreement may be renewed for two successive 12-month periods upon the written agreement of the City and Contractor, at least 30 days prior to the termination of the then current term. 25E-14 In the event City Council does not provide funding for services during succeeding fiscal periods, the City shall notify the provider of such occurrence and contract shall terminate on the last day of current fiscal period without penalty or expense to the City. 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: 25E-15 (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. e. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Contractor agrees to 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 health, and claims for property damage, which may arise from the direct or indirect operations of the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that 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. 7. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 25E-16 8. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 9. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 telefacsimile (714) 647-6956 With courtesy copies to: Public Works Agency - Administrative Services City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647-5069 and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647-6515 To Contractor: RueVac Property Services Ronald K. Lyons 600 West Taft Avenue Orange, California 92865 telefacsimile 714-998-3294 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 25E-17 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 12. TERMINATION This Agreement may be terminated • Immediately upon the written agreement of both parties • By the City upon thirty (30) days written notice to Contractor • By the Contractor upon 120 days written notice to City 13. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 15. COMPLIANCE WITH GOVERNMENTAL REQUIREMENTS Contractor shall maintain all necessary licenses, permits, approvals, waivers and exemptions necessary for the provision of services hereunder and shall carry out all services pursuant to this Agreement in substantial conformity with all applicable laws, ordinances, statutes, codes, rules, regulations, orders, and decrees of the United States, the State of California, the County of Orange, the City, and of any other political subdivision, agency, or instrumentality exercising jurisdiction over the City, including all applicable federal, state, and local occupation, safety and health laws, rules, regulations and standards, applicable state and labor standards, prevailing wage requirements, the City zoning and 25E-18 development standards, City permits and approvals, building, plumbing, mechanical and electrical codes, as they map apply, and all other provisions of the City and its Municipal Code (as they may apply), and all applicable disabled and handicapped access requirements, including, without the limitation, the Americans With Disability Act, 42 U.S.C. § 12101 et seq., Government Code § 4450 et seq., and the Unruh Civil Rights Act, Civil Code § 51 et seq. 16. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. 1 UIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Laura Sheedy Assistant City Attorney RUE VAC PROPERTY SERVICES, INC. RONALD K. LYONS President Tax ID# 25E-19 EXHIBIT A CONTRACT SPECIFICATIONS AND REQUIREMENTS FOR PRESSURE WASHING AND CLEANING I. CITY RESPONSIBILITIES A. Provide location of water hookups. II. SUCCESSFUL CONTRACTOR'S RESPONSIBILITIES A. Provide all transportation, labor, equipment, and materials to complete proposed project. B. Provide trained personnel. C. Provide identification for all employees servicing the area. Identification must be produced for the Security Guard on Duty upon arrival at each scheduled job on property. III. SCOPE OF SERVICES The contractor shall provide the services set forth in Attachments 1, 2 and 3 under the following criteria: A. The contractor will provide all labor, supervision and equipment needed to provide all necessary steam cleaning and pressure washing. B. Contractor shall obtain within five (5) days of executing this contract, a current City of Santa Ana Business Permit and shall maintain a current business permit throughout the term of said contract. C. Contractor agrees to conform to all applicable federal and State Occupational Safety and Health Act standards in the performance of these duties. D Whenever a question as to the meaning of any portion of the specifications is in dispute or where there may be more than one interpretation given to any portion of the specifications the interpretation by City shall be final. E. If the contractor fails to provide services as per specifications, City shall have the right to contract for said deficiencies and bill back the incumbent contractor. 25E-20 ATTACHMENT 1 SPECIFICATIONS AND REQUIREMENTS FOR STEAM CLEANING AND PRESSURE WASHING AT THE SARTC 1.1 Contractor shall supply all labor, materials, equipment and transportation necessary for the removal of stains and deposits from cement and brick paver sidewalks as indicated on the attached map (Attachment F) of the SARTC. 1.2 All work at the SARTC shall be performed between the hours of 11 pm and 5am, excluding Friday and Saturday. 1.3 The areas are described below: Four Levels of Parking Structure Annually (all floors, ledges, landings, walls, & pipes) Walkway to Santa Ana Boulevard Semi-Annually Flag Area Semi-Annually Concrete Drive Area from Fountain to Flags Semi-Annually Parking Structure - North & South Stairways and Elevator entrance areas Quarterly Parking Structure - Entry and Exit areas (booths, etc.) Quarterly Parking Structure - Main Entrance Area to Greyhound area Quarterly North Esplanade Quarterly Northbound Platform Quarterly Southbound Platform Quarterly Courtyard Stairways to Second Level Quarterly Pedestrian Bridge from Parking Structure to Quarterly 2"d floor of building Pedestrian Bridge over tracks and stairways Quarterly Walkways from Courtyard to south Quarterly driveway and trash area Bus bays 1-10 Monthly Main Entrance Monthly Fountain and surrounding area Monthly Courtyard Monthly South Esplanade Monthly West Esplanade Monthly East Esplanade Monthly Landing area inside 1" floor of Parking Structure Monthly Landing area inside 2"d floor of Parking Structure Monthly Landing area inside 3rd floor of Parking Structure Monthly All lower walls and columns/pillars with brick material in the areas described above are to be included in the work performed. 25E-21 1.4 The City reserves the right to order cleaning in specific areas. Areas shall be cleaned in any combination or sequence as determined by the Executive Director of the Public Works Agency or the designated representative. 1.5 The City will provide the water necessary to complete the cleaning of the sidewalks. 1.6 Process used by the Contractor must leave the area clean and free of stains, deposits including mineral deposits, and all loose or embedded materials, including chewing gum. The Contractor must remove all debris from the area; all water must be captured using zero-discharge technique and removal of all affluent from the sidewalks. The cleaning process must not damage the concrete surfaces and the brick paver surface. The process must not damage adjacent areas in any way. The contractor will be responsible for all damage to the surrounding areas. 1.7 The City reserves the right to suspend the work wholly or in part if deemed necessary for the best interest of the City. This suspension will be without compensation to the Contractor, other than to adjust the contract completion/delivery requirements. 1.8 Hindrances or delays from any cause under this agreement shall be provided for by the Contractor at no cost to the City. Such delays, if due to fault or neglect of the City Coordinator, shall entitle the Contractor to an extension of time allowed for completing the work sufficiently to compensate for the delays. Contractor must notify the City Coordinator of any cause of delay. 1.9 The contractor, upon completion of the job in any space and prior to final acceptance shall remove all supplies, materials, debris, rubbish, etc. caused by the operation and leave the finished site in a neat, orderly condition. All walls and glass door entries shall be free of dirty water and/or mud stains. 1.10 All sidewalk gutters must be cleaned of all gum and other debris and substances. 1.11 The cleaning process must use hot water under high pressure for the most effective cleaning. The temperature of the water is to be 250 degree Fahrenheit minimum. 1.12 All gum must be removed from the paver, concrete and other sidewalk surfaces. 1.13 Pressure washing is to include the areas behind the sidewalk benches, bus stop areas, and other structures located on the outside of the building structures. 1.14 Bus stop areas are to be cleaned of all debris, gum, dirt and grime. 1.15 The Contractor will furnish all the equipment, labor, supplies and anything else necessary to clean, gum, dirt, grime, oil and other fluids from the pavement areas shown. The project will require power surface cleaning of concrete, pavers and asphalt surfaces. The cleaning activities include simultaneous mechanical removal of materials or pollutants from the surface of the pavement, through application of water under pressure with elevated temperatures used in the cleaning process and the collection of the waste and water. The water is to be filtered to one (1) micron particulate size. 1.16 This method is to produce measurable results which will capture and remove at least 95% of the waste pollutants, dirt, and other debris from the pavement surfaces. The Contractor will be responsible for the disposal of all recovered waste in accordance with all applicable local, state and federal laws and regulations. 25E-22 1.17 Power wash liquids should be applied to the surface at minimum water temperature of 250 degree Fahrenheit. Power wash shall be applied to the various surfaces at an operating pressure of 3500 PSI. 1.18 Cleaning chemicals used in the performance of the work activities shall be within the following OSHA Hazard Standards guidelines: 1. NFPA Hazardous Materials Identification System • Health 1 • Flammability 0 • Reactivity 0 • Contact Hazard 0 2. Reactivity • Stable • No conditions to avoid • No incompatibility • No hazardous decomposition or by-products • No hazardous polymerization 1.19 Submittals shall include data on equipment, materials, methods, experience of personnel, Material safety Data Sheets (MSDS), certification of OSHA required training, data generated during completion of contract activities, including but not limited to analytical results, methodologies, chain of custody documentation, health and safety plan, waste management plan, storm water inlet management plan and any other information required as part of this project. 1.20 As part of the Best Management Practice included within a Storm-water Pollution Prevention Program required at a regulated facility by the NPDES permit of the Clean Water Act, no discharges will be allowed into the storm drain system or any type drain system. Appropriate cost for circumvention of the storm drain system discharges are assumed incorporated in the bid. 25E-23 ATTACHMENT 2 GENERAL CONDITIONS The following is included as an attachment to the basic contract and must be complied with by the contractor. I . Contractor shall furnish employee identification cards for those employees working. Employees will be required to permanently wear such identification cards whenever so working. Contractor shall agree that the City will approve all employees used in executing this agreement. Contractor shall check in and out with Security Guard on Duty each and every time contractor is on the premises. 2. Contractor shall maintain a twenty-four (24) hour, seven (7) day a week telephone and facsimile machine service and shall respond within two (2) hours to clean up any work left undone after the City notifies the contractor of failure to perform. The City will notify the contract service company by facsimile of any and all failures to comply with this procedure. 3. Contractor shall designate in writing to the City the name of the person who will officially represent the contractor and be responsible for communication between the Agency and the contractor. 4. In the event Agency requires a change in the scope of the work set out in this agreement, for any reason, the contractor shall provide in the attached Request for Proposals an hourly rate for labor and materials or a unit price. Such rates or unit price shall be in force during the first year of the contract and shall be negotiated for the succeeding years in accordance with the methods for changes set forth elsewhere in this agreement. 25E-24 5. The contract may be terminated under the following conditions: a. By mutual written agreement of both parties. Termination under this provision may be immediate. b. Upon thirty (30) days written notice by City to contractor. The contractor may terminate responsibility of agreement by notifying City one hundred and twenty (120) days prior to termination date. 6. The contractor is engaged as an independent contractor and will be responsible for any federal or State taxes applicable to this agreement and for complying with the requirements of all federal and state laws pertaining to income tax, unemployment insurance and other insurance applicable and necessary for its employees. 7. The contractor agrees that the services covered by this agreement shall be performed by carefully selected and efficient employees in conformity with accepted steam cleaning and pressuring washing standards and practices. The contractor further agrees that upon request by City the contractor will remove from premises any employees who, in the opinion of City are guilty of improper conduct or are not qualified to perform the work assigned. Contractor further agrees to provide City with a steady and dependable work force. Employee turnover will be kept to a minimum. 8. The following security requirements shall be in effect at all times. Failure to abide by any of these items by any contractor's employee may result in removal from the facility and or criminal charges. All of the contractor's personnel to work within the City provide the following information before beginning work: a. First name, middle name, last name b. Date of birth c. Current residence address d. Photocopy of valid government-issued photo identification e. Photocopy of valid Social Security Card f. Proof of United States citizenship or legal work status The contractor shall be notified of any employees that are refused for employment within the facility. The above information requirement shall also apply to employees who begin at any later date. Decisions of the City are final and are not subject to arbitration. 9. The contractor shall not engage in discrimination in hiring, selection, retention, promotion, or treatment of any person in receipt of the benefit of any services or activities made possible by, or resulting from, the contract. Discrimination means any act that unreasonably differentiates treatment, intended or unintended, based on age, handicap, national origin, race, marital status, religion, or sex. 10. When an employee leaves the service of the contractor, the contractor shall notify City within twenty-four (24) hours. 12 25E-25 11. Contractor's employees shall not report to work, nor be allowed to work, while under the influence of alcohol or narcotics. Persons that are under the influence of alcohol or narcotics shall be denied work. In the event of a dispute between contractor's staff and City staff regarding work procedures, security measures, etc., City shall have the final decision. 12. Contractor shall provide all cleaning appliances, utensils, equipment, etc. No storage of equipment or supplies shall be provided to the contractor. 13 25E-26 REQUEST FOR COUNCIL ACTION, CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended SITE LICENSE AGREEMENT FOR TAXI El Amended El Or dinance on 15` Reading SERVICES AT THE SANTA ANA ? Ordinance on 2nd Reading REGIONAL TRANSPORTATION CENTER ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CIT MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute a two-year agreement with A White & Yellow Cab Inc. subject to nonsubstantive changes approved by the City Manager and City Attorney for taxi services at the Santa Ana Regional Transportation Center, with three one- year extension options. DISCUSSION Since 1986 the City has contracted with a single company to provide taxi service as a convenience for the Santa Ana Regional Transportation Center (SARTC) patrons. This has ensured consistent service from a reliable taxicab company at the SARTC. A Request for Proposals (RFP) to solicit proposals for taxi services was prepared. The RFPs were mailed on October 25, 2010. Below is a summary of the proposals solicited, and those received: 7 Request for Proposals mailed 2 Request for Proposals mailed to Santa Ana vendors 3 Proposals received 2 Proposals received from Santa Ana vendors The ratings and proposed revenues for the three proposals received are as follows: NAME OF RESPONSIVE BIDDER RATING REVENUE TO CITY A White & Yellow Cab Inc. 93 $6,176 per month Cabco Yellow, Inc. 76 $3,750 per month American Ground Transportation 46 $4,000 per month 25F-1 Site License Agreement for Taxi Services At the Santa Ana Regional Transportation Center January 4, 2011 Page 2 The proposals received were rated by a team from the Public Works and Community Development Agencies. The proposals were evaluated according to the firm's corporate and management experience, driver experience, references and compensation to the City. A White & Yellow Cab Inc. received the highest average score of 93. The proposal submitted by this firm is consistent, reasonable, and in line with staff's estimate. It is the current taxi service provider and has been since 2005. Staff is pleased with the quality of service provided. Because of the quality of personnel, experience, and compensation rate, it is recommended that A White & Yellow Cab Inc. be retained for the required services. The agreement term will begin on January 1, 2011 and terminate on December 31, 2012 and includes three 1-year extension options. FISCAL IMPACT The agreement will provide revenues to the SARTC in the amount of $6,176 per month for total revenues of $74,112 per year in the Concession-Taxi Stand Revenue Account (accounting unit 06717002-53815). APPROVED AS TO FUNDS AND ACCOUNTS: i -R I Godine II Francisco Gutierrez Executive Di ctor Executive Director Public Works Tgency Finance & Management Services Agency RG/CK Exhibit 1: Site License Agreement. 25F-2 25F-3 DO NOT RECORD SITE LICENSE AGREEMENT BETWEEN THE CITY OF SANTA ANA AND A WHITE AND YELLOW CAB, INC. THIS LICENSE AGREEMENT ("Agreement") is made and entered into this 3`d day of January, 2011, by and between the City of Santa Ana, a charter city and municipal corporation, duly organized and exiting under the constitution and laws of the State of California, herein referred to as "Licensor", and A White and Yellow Cab, Inc., a California corporation, herein referred to as "Licensee". RECITALS: A. The City of Santa Ana desires to provide taxi cab services at The Santa Ana Regional Transportation Center, and after reviewing various proposals, desires to contract for such services with Licensee. B. Licensee represents that it is qualified to provide such services to City. In undertaking the performance of this Agreement, Licensee represents that it is knowledgeable in its field and that any service performed under this Agreement will be performed in compliance with all required standards of the United States Department of Transportation and include all City, County, and State licenses. NOW THEREFORE, in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all terms and conditions hereof, the parties hereto agree as follows: ARTICLE 1- TERMS OF LICENSE Section 1.01 License Area and Use (a) Licensor owns the real property described in Exhibit "A" attached hereto and made a part hereof (the "Property"), commonly known as The Santa Ana Regional Transportation Center ("SARTC") located at 1000 East Santa Ana Boulevard, Santa Ana, California. Licensor grants to Licensee the privilege of a personal, non-exclusive, revocable license ("License") to encroach upon the "License Area", as herein described and shown in general in Exhibit "B", attached hereto and incorporated herein by reference, for the purpose of accommodating a taxi cab transportation company and for no other purpose. (b) The right and permission of Licensee is subordinate to the prior and paramount right of Licensor to use the Property in its entirety for public 1 25F-4 DO NOT RECORD purposes to which it presently is and may, at the option of Licensor, be devoted. Licensee undertakes and agrees to use the License Area and to exercise this License at all times in such manner as will not unreasonably interfere with the full use and enjoyment of the Property by Licensor. (c) Licensee hereby acknowledges that title to the Property is vested in Licensor and agrees never to assail or resist the same, and further agrees that Licensee's use and occupancy of License Area shall be referable solely to the permission herein given. (d) As a covenant to this Agreement, Licensee shall adhere to and comply with all responsibilities enumerated in Rider 1 and Rider 2, attached hereto and incorporated herein. Section 1.02 Term (a) The term of the Agreement for the License Area ("Term") shall be two years (2) commencing on January 1, 2011 ("Commencement Date") with three-one (1) year extensions which are exercisable at Licensor's sole discretion. Earlier termination of this License shall be in conformance with Section 5.02. (b) The Licensee or Licensor must inform each other, in writing, of its interest not to extend the term of the Agreement. Section 1.03 Compensation/Consideration (a) Upon the Commencement Date, Licensee shall pay to Licensor monthly compensation in the amount of $6,176.00 per month ("Compensation") for use of the License Area. Compensation will be due upon execution of this Agreement and thereafter on or before the 1 st of each month, payable to "The City of Santa Ana" and remitted to: City of Santa Ana, Public Works Agency, ATTN: Christy Kindig, 20 Civic Center Plaza, M-21, Santa Ana, CA 92701. A late charge of ten percent (10%) shall be applied after any payment hereunder is due but unpaid after the l01h of the month. In addition, one and one-half percent (1.5%) interest per month shall be added for each month that payment hereunder is due but unpaid. (b) Licensee's monthly compensation payments shall be subject to an automatic annual adjustment of two and one-half percent (2.5%) per year or CPI, whichever is greater, throughout the life of the Agreement. (c) For any Renewal Term, Licensee shall pay the then current compensation, increased by two and one-half percent (2.5%) or CPI, whichever is greater. 2 25F-5 DO NOT RECORD (d) Any holding over after the expiration of the Term or Renewed Term, with the consent of Licensor, shall be construed to be an extension from month to month and shall otherwise be consistent with the terms and conditions contained herein. Section 1.04 Licensee's Proposal. In response to Licensor's Request for Proposals sent out on October 25, 1020, Licensee submitted the most responsive proposal. Licensee's Proposal dated November 23, 2010 is attached hereto as Exhibit C, and all terms and conditions contained therein are incorporated herein as if set forth in their entirety. Section 1.05 Non-Possessory Interest Licensor retains full possession of the License Area and Licensee will not acquire any interest temporary, permanent, irrevocable, possessory or otherwise by reason of this Agreement, or by the exercise of the permission given herein. Licensee will make no claim to any such interest. Any violation of this provision will immediately void and terminate this Agreement. Section 1.06 Non-Recording Neither party shall record this Agreement. ARTICLE 2 - TAXES AND UTILITIES Section 2.01 Taxes Licensee is responsible for all taxes on the License Area. ARTICLE 3 - IMPROVEMENTS AND ACCESS Section 3.01 Licensee's Responsibilities. (a) Licensee shall hold title only to Licensee's property and any equipment placed on the License Area by Licensee. Licensee shall be responsible for the cost of repairing any damage to the License Area and will leave the License Area in satisfactory condition as approved in writing by Licensor. Licensee shall be required to remove all of its property/equipment upon expiration/termination of the License. Any personal property, equipment or other improvements that are not removed within thirty days of expiration/termination shall become the property of Licensor, at Licensor's option. 3 25F-6 DO NOT RECORD (b) Each party shall provide access to the License Area to the other party, and its employees, agents, contractors and subcontractors, twenty-four (24) hours a day, seven (7) days a week. Except in the case of emergencies, Licensor shall give Licensee twenty-four (24) hours notice prior to entry into the License Area. Licensor represents and warrants that it has full rights of ingress and egress to and from the License Area, and hereby grants such rights to Licensee to the extent required to maintain, and operate within the License Area. Licensee's exercise of such rights shall not cause undue inconvenience to Licensor. (c) Licensee shall maintain License Area in a clean condition. Licensee shall at its sole cost and expense, be responsible for improvement and repair of the License Area. Licensee shall be responsible for any damage to the Property, to the License Area or to access roadways or other nearby facilities. All improvements and repairs are to be coordinated by the City utilizing City approved vendors. (d) Upon the expiration or termination of this Agreement, Licensor shall approve in writing the surrender of the License Area by Licensee only after being satisfied that License Area has been left in good and clean condition, less ordinary wear and tear. (e) Quiet Enjoyment. Upon Licensee paying the license fee reserved hereunder, and observing and performing all of the covenants, conditions, and provisions on Licensee's part to be observed and performed hereunder, Licensee shall have quiet possession of its License Area for the entire term hereof, subject to all the provisions of this License. (f) Licensee shall enforce a company dress code which will provide uniformity in the dress and appearance of all of its employees, as well as in the presentation of its vehicles. In order to convey professionalism, all drivers shall wear A White and Yellow Cab uniforms. (g) All of the vehicles in Licensee's fleet must be kept clean, in good repair and a like-new condition. All vehicles shall be uniform in appearance and color, clearly displaying the company logo and phone number. (h) Licensee shall provide a list of the primary drivers for SARTC which shall be updated by Licensee periodically as needed. These drivers will undergo training regarding provision of services at SARTC. (i) Licensee shall ascertain the fitness of each of its drivers and shall enforce appropriate disciplinary action in regards to SARTC and follow through with disciplinary action for any violations of the actions. 4 25F-7 DO NOT RECORD (j) Subcontractors to be used by Licensee are subject to Licensor's prior approval. Any subcontractor performing work for Licensee upon Licensor's Property must have commercial general liability insurance coverage and name the City of Santa Ana as an additionally insured. (k) Licensee shall provide taxicab service at SARTC from 5:00 a.m. to 12 Midnight on a daily basis. Peak periods of 6am to 9am and 3pm to 7pm, Monday through Friday will have a minimum of three taxis, with five being the preferred service level. (1) Licensee shall maintain its Orange County Taxi Administration Program (OCTAP) licensing and certification. Failure to maintain such OCTAP certification shall be reason for Licensor to terminate this Agreement. Section 3.02 Liens Licensee will not permit any mechanics' or materialmens' or other liens to stand against the License Area by reason of any use or occupancy by Licensee, or any person claiming under Licensee. ARTICLE 4 - INDEMNITY AND INSURANCE Section 4.01 Indemnification, Defense, Hold Harmless Licensee shall protect, defend, indemnify and save and hold harmless Licensor, its officers, officials, employees, and agents from and against any and all liability, loss, claim, damage, expense, cost (including without limitation costs and fees of litigation of any nature) arising out of or in connection with Licensee's use or occupancy of the License Area, or from the conduct of its business, or from any activity, work or thing which may be permitted or suffered by Licensee in or about the License Area, or from Licensee's failure to comply with any of Licensee's obligations contained in the Agreement by Licensee, its officers, agents or employees except such loss or damage which was caused by the sole negligence or willful misconduct of Licensor. In the event Licensor is named as codefendant, Licensee shall notify Licensor of such fact and shall represent Licensor in such legal action unless Licensor undertakes to represent itself as codefendant in such legal action, in which event Licensor shall bear its own litigation costs, expenses and attorney's fees. Licensee further agrees to indemnify, hold harmless, and pay all costs for the defense of the Licensor, including fees and costs for special counsel to be selected by Licensor, 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. Licensor may make all reasonable decisions with respect to its representation in any legal proceeding. Section 4.02 Insurance 5 25F-8 DO NOT RECORD In addition to the Licensee's covenant to indemnify and hold harmless Licensor, Licensee shall obtain and furnish to Licensor, a policy of general public liability insurance, commercial general liability insurance including motor vehicle coverage for all vehicles in Licensee's fleet of cars, servicing the License Area. The policy shall indemnify Licensee and Licensor, its officers, agents and employees, while acting within the scope of their duties, against any and all claims arising out of or in connection with the License Area, and shall provide coverage in not less than the following amount: combined single limit bodily injury, personal injury and property damage, liability, of $1,000,000 per occurrence. $2,000,000 aggregate. Licensor also requires an Additional Insured Endorsement, as attached and incorporated herein as Exhibit D. The policy shall name the City of Santa Ana, its agents, officers, employees and volunteers as Additional Insureds, and shall specifically provide that Licensee's insurance coverage shall be primary. Under no circumstances shall the above-mentioned insurance contain a "deductible" or any other similar form of limitation on the required coverage. Licensee is required to give the Licensor no less than thirty (30) days notice of cancellation or reduction in coverage. No cancellation provision in any insurance policy shall be construed in derogation of the continuous duty of Licensee to furnish insurance during the term of this Agreement. Failure to comply with the insurance provisions contained herein shall be deemed an event of default under this Agreement. Licensee shall maintain the required insurance certificates in accordance with the terms of this Agreement as well as pursuant to the Orange County Taxi Administration Program (OCTAP) standards. Should any of Licensee's insurance policies have a deductible, the Licensee is fully responsible for payment of said deductible, with no monetary contribution by Licensor. Section 4.03 Property Insurance Licensee shall provide to Licensor, before entering the License Area, and shall maintain in force during the entire term of this Agreement, property insurance with extended coverage endorsements thereon, on the License Area in an amount equal to the full replacement cost and/or value thereof; this policy shall contain a replacement cost endorsement naming Licensee as the insured and shall not contain a co-insurance penalty provision. The policy shall contain a special endorsement that such proceeds shall be used to repair or rebuild any such improvements so damaged or destroyed; and if not so used, such proceeds shall be paid to Licensor. The proceeds of any such insurance payable to Licensor shall be used for rebuilding or repair as necessary to restore the License Area at the discretion of Licensor. The policy shall name Licensor as an Additional Insured. The policy or policies shall also contain the following endorsements: 1. The insurer will not cancel or reduce the insured's coverage without thirty (30) days prior written notice to Licensor; and 6 25F-9 DO NOT RECORD 2. Licensor will not be responsible for premiums or assessments on the policy. A complete and signed certificate of insurance with all endorsements required by this Section shall be filed with Licensor prior to the execution of this Agreement. At least thirty (30) days prior to the expiration of any such policy, a signed and complete certification of insurance showing that coverage has been renewed, shall be filed with Licensor. Section 4.04 Certificates of Insurance; Additional Insured Endorsements Prior to execution of this Agreement, Licensee shall furnish to Licensor certificates of insurance and additional insured endorsements to each of Licensee's insurance policies, subject to approval of the City Attorney, evidencing the foregoing insurance coverages as required by this Agreement; these certificates shall: 1. provide the name and policy number of each carrier and policy; 2. shall state that the policy is currently in force; and 3. shall promise to provide that such policies will not be canceled, suspended, voided, reduced in coverage or in limits, or modified without thirty (30) days prior written notice of Licensor; and 4. Licensee shall provide the onsite Property Manager with an up to date list of the license plate numbers for each of its insured vehicles. Licensee shall maintain the foregoing insurance coverages in force throughout the term of this Agreement. The requirement for carrying the foregoing insurance coverages shall not derogate from the provisions for indemnification of Licensor by Licensee under the Agreement. Licensor or its representatives shall at all times have the right to demand the original or a copy of all these policies of insurance, which Licensee shall provide within ten (10) days of Licensor's request. ARTICLE 5 - TERMINATION AND DEFAULT Section 5.01 Termination in the Event of Casualty or Condemnation (a) In the event of any damage, destruction or condemnation of the License Area, which renders the License Area unusable or inoperable in Licensor's judgment, Licensee shall have the right, but not the obligation, to terminate the Agreement with respect to the subject License Area by giving written notice to Licensor within thirty (30) days after such damage, destruction or condemnation. If by virtue of such casualty or condemnation, Licensor determines that the License Area is no longer adequate for Licensee to continue its operations, or any repairs to the License Area have not been 7 25F-10 DO NOT RECORD completed or cannot reasonably be completed within sixty (60) days from the date of the damage, destruction or condemnation, this License Agreement will become null and void. (b) In the event of condemnation, unless Licensee is allowed by the condemning authority to continue its operations in the License Area, this Agreement shall terminate as of the date title to the Property vests in the condemning authority or Licensee is required to cease its operations, whichever is earlier. If any property described herein or hereinafter added hereto is taken in eminent domain, the entire award shall be paid to Licensor. Section 5.02 Termination/Events of Default (a) This Agreement may be terminated on fifteen (15) days prior written notice as follows: (1) by either party upon a default of any covenant or term hereof by the other party, which default has been noticed and is not cured within thirty (30) days of receipt of written notice of default, provided that the grace period for any monetary default is only ten (10) days from receipt of notice; or (2) by Licensee if Licensee is unable to occupy and utilize the License Area due to any action of the Department of Transportation. (b) Licensor shall have at its sole discretion the option of terminating this Agreement if Licensee loses its license to provide taxi cab transportation services for any reason, including, but not limited to, non-renewal, cancellation, or expiration of its license to provide such services. Licensee 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. (c) Failure of Licensee to maintain current insurance coverage in the amounts and pursuant to the terms contained herein shall constitute default of contract which shall be cause for termination of this Agreement. (d) Failure of Licensee to maintain current OCTAP certification and required permits shall constitute default of contract which shall be cause for termination of this Agreement by Licensor. ARTICLE 6 - ASSIGNMENT, ABANDONMENT, DEFAULT, INSOLVENCY Section 6.01 Assignment Licensee may not assign this Agreement. This Agreement is personal to Licensee, and Licensee will not assign, transfer or sell this Agreement or any privilege hereunder in whole or in part, and any attempt to do so will be void and confer no right upon any third party- 8 25F-11 DO NOT RECORD Section 6.02 Abandonment by Licensee Should Licensee breach this Agreement and abandon the License Area prior to the expiration of the Term or Renewal Term, Licensor may: (a) Continue this License in effect by not terminating Licensee's right to the License Area, in which event Licensor shall be entitled to enforce all of its rights and remedies under this Agreement, including the right to recover the compensation/consideration specified in this Agreement as it becomes due under this Agreement; or (b) Terminate this Agreement and recover from Licensee: 1. The amount necessary to compensate Licensor for all detriment proximately caused by Licensee's failure to perform its obligations under this Agreement, including the monthly license fee for up to six months, during which time City shall negotiate with another provider to obtain replacement taxi services. When such services are again in place, or after six months, whichever occurs first, Licensee's obligation to pay monthly license fee shall terminate. Section 6.03 Default by Licensee Should Licensee default in the performance of any of the terms, conditions, or obligations contained in this Agreement, Licensor may, in addition to the remedies specified in Section 6.02 of this License, re-enter and regain possession of the License Area in the manner provided by the laws of unlawful detainer of the State of California then in effect. Section 6.04 Insolvency of Licensee The insolvency of Licensee as evidenced by a receiver being appointed to take possession of all or substantially all of the property of Licensee, or the making of a general assignment for the benefit of creditors by Licensee, or the filing of a petition in bankruptcy shall terminate this Agreement and entitle Licensor to re-enter and regain possession of the License Area. Section 6.05 Cumulative Remedies The remedies given to Licensor in this Agreement shall not be exclusive, but shall be cumulative and in addition to all remedies now and hereafter allowed by law or elsewhere provided in this Agreement. Section 6.06 Waiver of Breach 9 25F-12 DO NOT RECORD The waiver by Licensor of any breach by Licensee of any of the provisions of this Agreement shall not constitute a continuing waiver or a waiver of any subsequent breach by Licensee either of the same or another provision of this Agreement. ARTICLE 7 -HAZARDOUS MATERIALS Section 7.01 A. At the time of execution of this License, Licensor warrants that the License Area is clean and contains no known hazardous materials. Licensee represents and warrants that it will comply with all environmental laws during the term of this License; its use of the License Area herein will not generate any hazardous substance, and it will not store or dispose on the License Area nor transport to or over the License Area any hazardous substance. Licensee further agrees to clean-up and remediate any hazardous substance on the License Area and Property, and hold Licensor harmless from and indemnify Licensor against any release of any such hazardous substance and any damage, loss, or expense or liability resulting from such release including all attorneys' fees, costs and penalties incurred as a result thereof. "Hazardous substance" shall be interpreted broadly to mean any substance or material defined or designated as hazardous or toxic waste, hazardous or toxic material, hazardous or toxic or radioactive substance, or other similar term by any federal, state or local environmental law, regulation or rule presently in effect or promulgated in the future, as such laws, regulations or rules may be amended from time to time; and it shall be interpreted to include, but not be limited to, any substance which after release into the environment will or may reasonably be anticipated to cause sickness, death or disease. B. Licensee must keep its License Area clean and free of graffiti, trash and debris and any substances emitted from or related to maintenance of its vehicles, including but not limited to, substances such as oil, gasoline, transmission fluid, etc. ARTICLE 8 - MISCELLANEOUS Section 8.01 Force Majeure - Unavoidable Delays Should the performance of any act required by this Agreement to be performed by either Licensor or Licensee be prevented or delayed by reason of an act of God, strike, lockout, labor troubles, inability to secure materials, restrictive governmental laws or regulations, or any other cause except financial inability not the fault of the party required to perform the act, the time for performance of the act will be extended for a period equivalent to the period of delay, and performance of the act during the period of delay will be excused, provided, however, that nothing contained in this section shall excuse the prompt payment of compensation by Licensee as required by this Agreement or the performance of any act rendered difficult solely because of the financial condition of the party, Licensor or Licensee, required to perform the act. Section 8.02 Notice 10 25F-13 DO NOT RECORD Any written notice or required submittals, given under the terms of this Agreement, shall be delivered personally, or mailed, certified mail, postage prepaid, addressed to the party concerned as follows: To Licensor: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 With courtesy copies to: Executive Director of the Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 Telefacsimile (714) 647-5069 and, City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, CA 92702 Telefacsimile (714) 647-6515 To Licensee: A White & Yellow Cab Inc. 2406 S. Main Street Santa Ana, CA 92707 Telefacsimile (714) 434-1500 ATTN: Hossein Nabati A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11 25F-14 DO NOT RECORD Section 8.03 Contract Administrator The Executive Director of the Public Works Agency, or his designee, shall be City's License Administrator for this Agreement and all approval and notices required to be given herein shall be so directed and addressed. Section 8.04 Compliance with Laws Licensee shall at Licensee's own cost and expense comply with all statutes, ordinances, regulations, and requirements of all governmental entities, including federal and state, county and municipal, relating to Licensee's use and occupancy of the License Area and whether such statute, ordinances, regulations, and requirements be now in force or hereinafter enacted. The judgment of any court of competent jurisdiction, or the admission by Licensee in a proceeding brought against Licensee by any government entity, that Licensee has violated any such statute, ordinance, regulation, or requirement shall be conclusive as between Licensor and Licensee and shall be considered grounds for termination of this Agreement by Licensor. Licensee will obtain all permits and other governmental approvals, required in connection with Licensee's activities hereunder, and update such permits/approvals as necessary. Section 8.05 Binding on Heirs and Successors This Agreement shall be binding on and shall inure to the benefit of the heirs, executors, administrators, successors, and assigns of the parties hereto. The provisions of this Section shall not be deemed to be a waiver of any of the conditions against assignment set forth herein. Section 8.06 Partial Invalidity Should any provision of this Agreement be held by a court of competent jurisdiction to be either invalid, void, or unenforceable, the remaining provisions of this Agreement shall remain in full force and effect unimpaired by the holding, so long as the reasonable expectations of the parties hereto are not materially impaired. Section 8.07 Waste or Nuisance Licensee shall not commit or permit the commission by others of any waste on the License Area. Licensee shall not maintain, commit, or permit the maintenance or commission of any nuisance as defined in Section 3479 and/or Section 3480 of the California Civil Code on the Premises or License Area; and Licensee shall not use or permit the use of the License Area for any unlawful purpose. Section 8.08 Repairs Licensee shall be required to make any repairs to the License Area occurring from damages caused by Licensee, its employees, agents, contractors, and subcontractors. All 12 25F-15 DO NOT RECORD improvements and repairs are to be coordinated by the City utilizing City approved vendors. Section 8.09 Time of Essence Time is expressly declared to be of the essence in this Agreement. Section 8.10 Governing Law 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. Section 8.11 Survival Terms and conditions of this Agreement which by their sense and context survive the termination or expiration of this Agreement, shall so survive. Section 8.12 State of Emergency/Public Necessity Due to the fact that SARTC has been designated a Homeland Security Evacuation Center, upon the declaration of a state of emergency/public necessity, Licensor may give immediate notice in writing to Licensee to suspend or revoke normal operation under this Agreement without liability to Licensee when the emergency/public necessity so requires, or to suspend operation immediately hereunder temporarily in the event of such public emergency, as may be determined by the City Manager. Such suspension will terminate as soon as the public necessity or emergency no longer exists. Licensee shall be compensated for any time of suspended use or operation by Licensor in the form of an equal amount of time added onto the term of the License by Licensor (i.e. Licensee suspends operation for 2 months due to state of emergency, License is extended an additional 2 months). Section 8.13 Conflict of Interest Licensee covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of this License Agreement specified herein. Section 8.14 Attorney's Fees In the event suit is brought by either party to enforce the terms and provisions of this Agreement or to secure the performance hereof, each party shall bear its own attorney's fees. 13 25F-16 DO NOT RECORD Section 8.15 Exclusivity and Amendment This Agreement constitutes the entire agreement and understanding between Licensor and Licensee respecting the License Area, the licensing of the License Area to Licensee, or the License Term herein specified, and correctly sets forth the obligations of Licensor and Licensee to each other as of its date. Any agreements or representations respecting the License Area or their licensing between the parties not expressly set forth in this instrument are null and void. This Agreement or any part of it may not be changed, altered, modified, limited or extended orally or by any Agreement between the parties, unless such Agreement is expressed in writing, signed and acknowledged by Licensor and Licensee, or their successors in interest. Section 8.16 Captions Captions used in this Agreement are for ease of reference only and shall not affect the construction or interpretation of this Agreement. Section 8.17 Non-Discrimination Licensee shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Licensee affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by and through their authorized officers the day, month and year first written above. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney 14 25F-17 DO NOT RECORD By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: LICENSEE: RAUL GODINEZ, II By: Executive Director Title: Public Works Agency Tax ID # RIDER #1 RESPONSIBILITIES OF LICENSEE 1. Licensee shall conform to all reasonable requirements set forth by Licensor. 2. Licensee shall occupy the Taxi Stand only. 3. Licensee shall pay all unsecured property taxes for vehicles operating at SARTC. 4. Licensee shall pay for all improvement costs, including all approved signage for its License Area. All improvements must be approved by SARTC management prior to installation and shall be performed by City approved vendors/contractors. 5. All Licensee's agents/drivers shall remain in their vehicles outside of SARTC at the Taxi Stand at all times during Licensee's business hours. Should a driver need to come into SARTC facility, he/she must park his/her vehicle in a marked parking stall in the parking lot. No vehicles can remain in line at the Taxi Stand without a driver inside. 6. Licensee's drivers will inform friends and/or relatives that they may not visit the drivers while they are on duty at SARTC. 15 25F-18 DO NOT RECORD 7. Licensee's drivers will inform drivers from other companies that they are not welcome to drive their competing company vehicles on the property to socialize or for any other reason. 8. Licensee's drivers will abide by all posted regulations and safety procedures of the facility. They shall also follow the instruction of facility management or security staff upon request. Drivers shall refrain from any derogatory behavior. Any driver that enters into any kind of escalated dispute or fails to abide by safety procedures will be asked to leave the premises. INITIALS OF LICENSEE EVIDENCING AGREEMENT TO THESE TERMS: 16 25F-19 DO NOT RECORD RIDER #2 DEDICATED TELEPHONES 1. Licensee shall at its own expense install one (1) dedicated telephone in Lobby for travelers use in obtaining a taxicab. 2. Licensee shall at its own expense install one (1) dedicated telephone outside the building for use by travelers in obtaining a taxicab. 3. Dedicated telephone lines shall also serve to address customer service issues, including filing complaints regarding taxi service. 4. All Plans and preparations shall be presented to SARTC management for final approval prior to implementation. 5. Licensee shall keep said telephones in good repair and "like new" condition at its own expense. INITIALS OF LICENSEE EVIDENCING AGREEMENT TO THESE TERMS : 17 25F-20 DO NOT RECORD Exhibit A Site Plan - The Santa Ana Regional Transportation Center 18 25F-21 DO NOT RECORD Exhibit B Site Plan - The Santa Ana Regional Transportation Center with Taxi Stand Location Highlighted 19 25F-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED Q As Recommended AGREEMENT WITH AECOM FOR Q As Amended E3 Ordinance on 1' Reading ENGINEERING SERVICES FOR THE E3 Ordinance on 2 - Reading SANTA ANA BOULEVARD GRADE Il Implementing Resolution SEPARATION (PROJECT NO. O Set Public Hearing For 106727) CONTINUED TO 7~71~ FILE NUMBER CI MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute the attached agreement with AECOM, subject to nonsubstantive changes approved by the City Manager and City Attorney for engineering and environmental services related to the Santa Ana Boulevard Grade Separation Project in an amount not to exceed $1,200,000. DISCUSSION Santa Ana Boulevard is a six-lane east-west principal arterial and carries in excess of 20,000 vehicles per day. Within the City, the OCTA Metrolink RR is a north-south, two-track railroad. At the Santa Ana Regional Transportation Center (SARTC) this railroad serves Metrolink, Amtrak, Union Pacific (UP), and Burlington Northern Santa Fe (BNSF), which connects freight and residents of central Orange County with the outlying areas of nearby regions, including Los Angeles, the Inland Empire, San Diego and beyond. Due to increasing demand for inter- and intracounty rail services resulting from growth in population and employment in the surrounding areas, a grade separation at Santa Ana Boulevard and the OCTA Metrolink RR is required to alleviate the current and potential traffic impacts and hazards posed by the existing at-grade rail crossing. City staff, in conjunction with OCTA, secured $1,500,000 for the preparation of a Project Study Report Equivalent (PSRE) and conceptual engineering plans for the Santa Ana Boulevard Grade Separation Project. The funding is a combination of Measure M Transit and Regional Surface Transportation Program (RSTP) funds. Since the RSTP funds are federal, the procurement of consultant services requires following the guidelines set forth in the Local Assistance Procedures Manual, a Caltrans publication. For consultant contracts in excess of $250,000, a pre-award audit is required for the highest rated firm to determine the Consultant's accounting, estimating, administrative systems, proposed costs, financial condition, and the proposed contract language. Staff released a Request for Proposals (RFP) for these engineering services. Qualified firms were contacted and six firms submitted proposals. Personnel from the Public Works Agency 25G-1 Agreement with AECOM for Engineering Services for the Santa Ana Boulevard Grade Separation (Project No. 106727) January4, 2011 Page 2 evaluated the proposals. Each firm was rated according to its qualifications, experience, and capacity to perform the required work. The fee proposals for the top three firms were opened. The ratings for all six firms and fees for the top three firms are as follows: FIRM SCORE FEES AECOM 94 $1,199,208 Biggs Cardosa Associates, Inc. 85 $1,102,322 RBF Consulting 82 $1,011,351 JL Patterson & Associates, Inc. 76 Huitt Zollars 73 HDR 72 The highest ranking firm, AECOM, submitted two fees. The fee based on the scope in the RFP is $498,676. The alternate fee includes the RFP scope, a Project Report, and a complete environmental analysis for $1,090,386. By having a formal Project Report and certified Environmental Document, the project is better positioned for funding. Because of the experience of key personnel, client satisfaction, a competitive fee proposal, the additional services, their score, and the results of the pre-award audit, it is recommended that the firm of AECOM be retained to perform the required services in the not-to-exceed amount of $1,200,000, which includes a 10 percent contingency. ENVIRONMENTAL IMPACT In accordance with CEQA, the proposed request is not considered a project. Separate environmental documentation will be prepared for the grade separation project. FISCAL IMPACT Funds are available in the Measure M Street Construction Fund (account no. 03217660-66220, project no. 106727, project no. 106727) and the Select Street Construction Fund (accounting unit 05917660-66220, project no. 106727). APPROVED AS TO FUNDS AND ACCOUNTS: MI-Raul Go IF z II Francisco Gutierrez r Executive irector Executive Director Public Wor s Agency Finance & Management Services Agency RG/JG Exhibit: 1. Agreement 25G-2 AGREEMENT FOR PROVISION OF PROFESSIONAL ENGINEERING SERVICES THIS AGREEMENT, made and entered into this 4th day of January, 2011 by and between AECOM, a California corporation (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of engineering to prepare a Project Study Report Equivalent and Conceptual Engineering Plans for the Santa Ana Boulevard Grade Separation Project. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. The project will be funded in part through funds administered by the Federal Highway Administration and Caltrans retains oversight over the project. D. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall provide professional and technical engineering services necessary to investigate alignment alternatives, prepare a Project Study Report Equivalent (PSRE) for the Santa Ana Grade Separation Project, as set forth in City's Request for Proposal, attached hereto as Exhibit A, as further detailed in Consultant's Proposal dated April 6, 2010, attached hereto as Exhibit A-1 and revised Scope of Services and Fee Schedule submitted on December 20, 2010, attached hereto as Exhibit A-2. Exhibit A, A-I and A-2 are incorporated by reference. a. Scope of Work. The PSRE shall include preliminary environmental studies either PEAR or PES as determined by the guidelines., cost estimates for construction and right-of-way, conceptual engineering plans, evaluation of alternative alignment impacts, including right-of-way and traffic detour routes during construction. The PSRE shall include 1) Project Management 2) research and data collection; 3) aerial mapping and field survey; 4) utility survey 5) design and alignment alternatives analysis and development of preferred alternative features and standards; 6) traffic analysis and traffic management plan ; 7) structural analysis; 8) hydraulics and hydrology study; 9) site constraints analysis; 10) conceptual engineering plans; 1 1) right-of-way requirements; and 12) preliminary cost estimates and project schedule Consultant shall also provide an environmental assessment including the preparation of necessary studies and reports, holding the required public hearings, and submittal of documentation to the necessary governing bodies. 1 25G-3 b. Time for Performance. Consultant shall perform and complete all services as may be requested pursuant to the Scope of Work in a timely and expeditious manner. Consultant shall perform such services in accordance with the schedules which Consultant and City may mutually agree as to any particular deliverable, study, job or analysis. In the event that Consultant determines that a proposed schedule for work as requested by the City is not possible or achievable, Consultant shall immediately notify the City's Representative, in writing and seek modifications. No extension of time shall be accepted unless it is evidenced in a writing executed by each Party's Representative. C. Progress Report. Consultant shall submit progress reports at least once a month. The report shall be sufficiently detailed for City's Project Manager to determine whether Consultant is performing to expectations and on schedule, to communicate interim findings, and to specifically address any difficulties or special problems encountered, so remedies can be developed. 2. REPRESENTATIVES a. For purposes of implementing this Agreement, the representative of City shall be the Executive Director of the Public Works Agency, or his designated representative, and the representative of the Consultant shall be James Faber, or his designated representative. Except as may be otherwise stated herein, such representatives shall have the authority to act on behalf of their respective parties in carrying out the terms of this Agreement. b. Consultant shall assign the appropriate key personnel to perform the services required by this Agreement, as set forth in the RFP and Consultant's Proposal. Consultant shall maintain the Project Manager identified in its Proposal, and approved by the City. 3. OWNERSHIP OF REPORTS AND DOCUMENTS Upon completion of all work under this Agreement, ownership and title to all reports, documents, tracings, plans, specifications, estimates and maps prepared or obtained under the terms of this Agreement shall be delivered to, and become the property of City. Basic survey notes and sketches, charts, computations, and other data prepared or obtained pursuant to this Agreement shall be made available upon request of the City without restriction or limitation on their use. Consultant shall furnish the City all necessary copies of data needed to complete the review and approval process. 4. FINISHED AND PRELIMINARY DATA All of Consultant's finished technical data, including but not limited to illustrations, photographs, data including without limitation source code, binary code, all media, technical documentation and user documentation, photoprints and other graphic information required to be furnished under this Agreement, shall be City's property upon payment and shall be furnished with unlimited rights and, as such, shall be free from proprietary restriction except as elsewhere authorized in this Agreement. Consultant further agrees that it shall have no interest or claim to such finished, City-owned, technical data; furthermore, said data is subject to the provisions of the Freedom of Information Act, 5 USC 552. 5. COMPENSATION a. The method of payment for this contract will be based on actual cost method. The City will reimburse the Consultant for actual costs (including labor costs, employee benefits, travel, equipment rental costs, overhead and other direct costs) incurred by the Consultant in performance of the work. The Consultant will not be reimbursed for actual costs that exceed the estimated wage rates, employee benefits, travel, equipment rental, overhead and other estimated costs set forth in the approved 2 25G-4 Consultant's Cost Proposal (Exhibit A-2), unless additional reimbursement is provided for by contract amendment. In no event, will the Consultant be reimbursed for overhead cost at a rate that exceeds the City's approved overhead rate set forth in the Cost Proposal. In the event that the City determines that a change to the work from that specified in the Cost Proposal and contract is required, the contract time and/or actual costs reimbursable by the City shall be adjusted by contract amendment to accommodate the changed work. The maximum total cost shall not exceed $1,200,000 unless authorized by contract amendment. b. Reimbursement for transportation and subsistence costs shall not exceed the rates specified in the approved Cost Proposal. C. When milestone cost estimates are included in the approved Cost Proposal, the Consultant shall obtain prior written approval for a revised milestone cost estimate from the Contract Manager before exceeding such cost estimate. d. Progress payment will be made monthly in arrears based on services provided and allowable incurred costs. If consultant fails to submit the required deliverables in accordance with the time schedule set forth in the Scope of Services, City shall have the right to delay payment and/or terminate this Agreement in accordance with the provisions of Section 15, Termination. e. Payment will be made as promptly as City fiscal procedures will permit following receipt of itemized invoice in triplicate, evidencing work performed. The invoice shall be submitted no later than forty-five (45) calendar days after performance of the billed services. Invoices shall follow the format stipulated in the approved Cost Proposal, and shall reference this Agreement number and Project title. Final invoice must contain the final cost and all credits due to the City, including any equipment purchased. Final invoice shall be submitted not later than sixty (60) calendar days after completion of the work. Invoices shall be mailed to City's Project Manager at the following address: Jason Gabriel 20 Civic Center Plaza (M-36) P.O. Box 1988 Santa Ana, CA 92702 f. No payment will be made prior to approval of any work, nor for any work performed prior to approval of this Agreement. g. Salary increases will be reimbursable only if the new salary is within the salary range identified in the approved Cost Proposal and is approved by City's Project Manager. For personnel subject to prevailing wage rates, all salary increases which are the direct result of changes in the prevailing wage rates are reimbursable. h. All subcontracts in excess of $25,000 shall contain the above provisions. i. The parties mutually agree that this project will be funded through Federal funds, and that said funding is contingent on approval of the Project by the Federal Highway Administration (FHWA), and FHWA allocation of funds to the Project. Consultant shall not commence services until it receives a written Notice to Proceed (NTP) executed by the Executive Director of Public Works. Said NTP is contingent on 1) City's receipt of FHWA and California Department of Transportation (Caltrans) approval of the Project and appropriation of FHWA funds for completion of the Project. If the FHWA does not authorize funding for said Project, the City may terminate this Agreement, as set forth in Section 15, below. 3 25G-5 6. PERFORMANCE PERIOD a. This contract shall go into effect on January 4, 2011, contingent upon approval by the City, and the Consultant shall commence work after notification to proceed by the City's Contract manager. The contract shall end on January 1, 2013, unless extended by contract amendment. b. The Consultant is advised that any recommendation for contract award is not binding on the City until the contract is fully executed and approved by the City. 7. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of 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, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $2,000,000 combined single limit. Such insurance shall include coverage for owned, hired and non-owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, and $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: 4 25G-6 (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 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 effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 9. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief caused by the negligent acts, omissions or willful misconduct of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on its behalf, arising out of the performance of this Agreement, except to the extent caused by the sole negligence, active negligence or intentional misconduct of the City or any other indemnified party. 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, asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the negligent acts or willful misconduct of the Consultant, its contractors, subcontractors, agents, employees or other persons acting on its behalf. City may make all reasonable decisions with respect to its representation in any legal proceeding. 10. CONFIDENTIALITY OF DATA a. If Consultant receives from the City financial, statistical, personal, technical, or other data and information which are designated confidential 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. b. Permission to disclose information on one occasion shall not authorize the Consultant to further disclose such information, or disseminate the same on any other occasion. C. Consultant shall not comment publicly to the press or any media regarding the Agreement or City's actions regarding the same, except to City staff, Consultant's own personnel involved in the performance of this Agreement, at a public hearing relating to the Agreement, or in response to questions posed by a Legislative committee. d. Consultant shall not issue any news release or public relations item of any nature whatsoever, regarding the work performed or to be performed pursuant to this Agreement, without City's prior review of the contents thereof and written approval. 5 25G-7 C. Any subcontract entered into as a result of this Agreement shall contain all of the provisions of this Section. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk ofthe City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 facsimile 714- 647-6956 With courtesy copies to: Executive Director of the Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-36) P.O. Box 1988 Santa Ana, California 92702 facsimile 714- 647-5635 and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 facsimile 714- 647-6515 To Consultant: AECOM Mr. James Faber 999 Town & Country Road Orange, California 92868 facsimile 714-567-2441 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set 6 25G-8 forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 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. is. TERMINATION a. 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: (i) 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. However, any use of unfinished work product shall be at City's sole risk. (ii) Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. b. City may terminate this Agreement for Consultant's default if a federal or state proceeding for the relief of debtors is undertaken by or against Consultant, or if Consultant makes an assignment for the benefit of creditors, or if Consultant breaches any term(s) or violates any provision(s) of this Agreement and does not cure such breach or violation within ten (10) calendar days after written notice thereof by City. Consultant shall be liable for any and all reasonable costs incurred by City as a result of such default, including but not limited to re-procurement costs of the same or similar services defaulted by Consultant under this Agreement except that, Consultant shall not be liable for any costs exceeding the amount of total compensation payable under this Agreement to Consultant by the City, as identified in Exhibit A-2. 7 25G-9 16. AUDIT AND INSPECTION OF RECORDS Consultant shall provide City, the FHWA, Caltrans or other agents of the City, such access to Consultant's accounting books, records, payroll documents and facilities ofthe Consultant which are directly pertinent to this Agreement for the purposes of examining, auditing and inspecting all accounting books, records, work data, documents and activities related hereto. Consultant shall maintain such books, records, data and documents in accordance with generally accepted accounting principles and shall clearly identify and make such items readily accessible to such parties during Consultant's performance hereunder and for a period of three (3) years from the date of final payment by City. Consultant shall permit any ofthe foregoing parties to reproduce documents by any means whatsoever or to copy excerpts and transcriptions as reasonably necessary. 17. AUDIT REVIEW PROCEDURES a. Any dispute concerning a question of fact arising under an interim or post audit of this contract that is not disposed of by agreement, shall be reviewed by the Executive Director of the Public Works Agency. b. Not later than 30 days after issuance of a final audit report, the Consultant may request a review of unresolved audit issues by the City's Chief Financial Officer. Such request shall be made in writing. C. The filing or review of an audit dispute will not excuse the Consultant from full and timely performance ofthis Agreement. 18. SUBCONTRACTING Consultant shall perform all work contemplated in its Proposal, and no work pursuant to this Agreement shall be subcontracted without the written authorization by City, except that work expressly identified in Consultant's Proposal. Any subcontract in excess of $25,000 shall contain all the provisions of this Agreement which are applicable to subcontractors. 19. FORCE MAJEURE Either party shall be excused from performing its obligations under this Agreement during the time and to the extent that it is prevented from performing by an unforeseeable cause beyond its control, including but not limited to: any incidence of fire, flood; acts of God; commandeering of material, products, plants or facilities by the federal, state or local government; national fuel shortage; or a material act or omission by the other party; when satisfactory evidence of such cause is presented to the other party, and provided further that such nonperformance is unforeseeable, beyond the control and is not due to the fault or negligence of the party not performing. 20. COST PRINCIPALS a. Consultant agrees that the Contract Cost Principles and Procedures, 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq., shall be used to determine the allowability of cost individual items. 8 25G-10 b. Consultant agrees to comply with federal procedures in accordance with 49 CFR, Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. C. Any costs for which payment has been made to Consultant that are determined by subsequent audit to be unallowable under 48 CFR, Federal Acquisition Regulation System, Chapter 1, Part 31.000 et seq., are subject to repayment by Consultant to City. 21. PROGRAM FRAUD / FALSE OR FRAUDULENT STATEMENTS a. Consultant acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801 et sue. and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to this Project. Accordingly, by signing this Agreement, Consultant certifies the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to this Agreement or the FHWA assisted project for which this contract work is being performed. In addition to other penalties that may be applicable, Consultant further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on Consultant to the extent the Federal Government deems appropriate. b. Consultant acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under a contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FHWA under the authority of 49 U.S.C. § 5307 et seq., the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307, et seq. on the Consultant, to the extent the Federal Government deems appropriate. C. Consultant agrees to include the above two clauses in each subcontract financed in whole or in part with Federal assistance provided by FHWA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions. 22. SUSPENSION AND DEBARMENT Consultant's signature affixed herein, shall constitute a certification under penalty of perjury under the laws of the State of California, that the Consultant has complied with Title 49, Code of Federal Regulations, Part 29, Debarment and Suspension Certificate, which certifies that he/she or any person associated therewith in the capacity of owner, partner, director, officer or manager, is not currently under suspension, debarment, voluntarily excluded, or determined ineligible by any federal agency within the past three (3) years; does not have a proposed debarment pending; and has not been indicted, convicted, or had a civil judgment rendered against it in a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three (3) years. Any exceptions to this certification must be disclosed to the City. 23. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. 9 25G-11 Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 24. JURISDICTION - VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be government and construed in accordance with the laws of the State of California. 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. 25. 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 her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 26. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. Captions and headings in this Agreement, including the title of this Agreement, are for convenience only and are not to be considered in construing this Agreement. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 10 25G-12 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Laura Sheedy Assistant City Attorney AECOM RECOMMENDED FOR APPROVAL: RAUL OODINEZ II PATRICK L. SOMERVILLE, PE Executive Director Vice President Public Works Agency Tax ID# 11 25G-13 EXHIBIT A REQUEST FOR PROPOSAL SANTA ANA GRADE SEPARATION 12 25G-14 ~.y r rr { d '~.M' ~ ~i ~ r . - - ~ I~'I1 ~ ~'"II ~ ill i~ ~ I ~4~+J ~J~'.a ~ . , t.. { REQUEST FOR PROPOSAL PROJECT STUDY REPORT EQUIVALENT AND CONCEPTUAL ENGINEERING PLANS FOR SANTA ANA BOULEVARD GRADE SEPARATION PROJECT ?8 f ~PPM~ ~ 4 I ~ Y ~ p h x ~ ~ ~ * ul a P(~ ~ I : i `Y ,F + L it I ~ x ~ i w ~ I ~ ~ ~ 1 ~ f ' ~ ~ ~ r ~y y ~ I ~ c ~ ~ y r G ~ s f ~~r~ s, C ~ ~ f .i Ire; ~ r r~f' i~d. Ar. fi. _ ~ ~ ~ " ~a i ~ ~ r ' 7 P ry v ~ ~ ~ ~ ~ ' a ~ ~ I p~ I 1 ~ ; ~`F ~ ~ ~ w~"~n,,.,. ~ 1" ~ ~ , u'~ ~ ~ IIII I ,y ~v~ sir, ~ ~'d'~ 6 { ~ ~ ~ it p ~ ~ ~ ~ ~ i,ti ~ p ~ ~ ~ 1 ~ r ~ ' k L/1 ~ ~ I yf + ~ K r ~ / J~ k' m~ r ~ .I F ~s,Y,f,~~"~ ' M'~. ~ y~ 6~ Itt1~l ~ ~ r .,L ~ ~ ~r Yyfj~~'~A ,~f~,,., ~ ;v 7 i d 14 ~ t 4 TIi" F l., ~ 1 ~ w tY _ ~ y' ~ 1 E V9'~ ,I , ~ u ~ ~ ~ 4 y 33 I i ~ M' 5 ~ ~d d r w p ~ ~ qtr f m, ~ ~`r I ~ 4.. *x i , r ~ ~ I ~'F it ~ ~ ~.i?„'~ u i - ~ e ~ ~ ~ h ~ ~ ' h I ,r .~r , ~ ~ ,~°'~ht ' ~ti 7 ~ I ~ ~ q~ ~ J" day ~ y Y.... ~ 'i w ~ ~ o a r, W ! 6 aWr , ~ "h. w + ~ ~ ~ ~ ~ a `~,n J ~ ; ~ ~ ~ : ~ °~w ~ pu a " ' n ~ ~ ~ ~ ~ ~ ~ r- ,I , , i , . , ~ j# ~ i~ ~ I~~ to"" ~ di k I I~ ! u"11 ~ f s~ 9 i m i ~ P,~ ~ ~"1~Y"~~~ 1~i + i ~ ' ~ 1 r i I ~ 7 ~ P. ar ~ a .a , r . n ~ y,,q w suer rd I ~ m i rr , x ~ A ~~~'g~~y-~~/~~/~ I Z, e. ..~,7,~ k~~. .i V_. - e im a ti5~191~L^Y-40..7\.,F ~+YL .t ~~r? pi o, ,F R. p CITY OF SANTAANA PUBLIC WORKS AGENCY 20 CIVIC CENTER PLAZA SANTA ANA, CALIFORNIA 92702 Issued by: Souri Amirani, Deputy City Engineer City of Santa Ana REQUEST FOR PROPOSAL PROJECT STUDY REPORT EQUIVALENT AND CONCEPTUAL ENGINEERING PLANS FOR SANTA ANA BOULEVARD GRADE SEPARATION PROJECT TABLE OF CONTENTS I. INTRODUCTION 3 II. PROJECT BACKGROUND 3 III. CONTENT OF PROPOSAL 4 IV. SCOPE OF WORK 5 V. GENERAL REQUIREMENTS ...............................................................................14 VI. PROJECT BUDGET .............................................................................................15 VII. PERFORMANCE PERIOD ...................................................................................15 VIII. CONSULTANT SELECTION COMMITTEE ..........................................................16 IX. ESTABLISHING OF FEES ...................................................................................16 X. PROFESSIONAL SERVICES AGREEMENT .......................................................16 XI. INSURANCE REQUIREMENTS ...........................................................................16 XII. CITY RESPONSIBILITY .......................................................................................16 XIII. EXAMINATION OF SITE PRIOR TO SUBMITTING PROPOSAL ........................17 XIV. RIGHT TO REJECT PROPOSALS .......................................................................17 XV. SCHEDULE ..........................................................................................................17 XVI. PROPOSAL SUBMITTAL DEADLINE .................................................................18 XVII. ISSUING OFFICE .................................................................................................18 XVIII. ADDENDA ............................................................................................................18 XIX. CLARIFICATIONS ................................................................................................18 XX. JOINT VENTURES ...............................................................................................19 XXI. PRIME CONSULTANT RESPONSIBILITIES .......................................................19 XXII. DELAYS ................................................................................................................19 XXIII. PROJECT CONTROL ...........................................................................................19 XXIV. RULES FOR PROPOSALS ..................................................................................19 XXV. METHOD OF PAYMENT ......................................................................................19 XXVI. REGULATIONS 20 XXVII. THE CITY'S AFFIRMATIVE ACTION PROGRAM 20 XXVIII. DBE GOAL 20 XXIX. WAGE RATES 20 APPENDICES APPENDIX A -LOCATION MAP APPENDIX B -PROPOSED SANTA ANA BOULEVARD GRADE SEPARATION APPENDIX C -SAMPLE PROFESSIONAL SERVICES AGREEMENT APPENDIX D-SAMPLE CERTIFICATION OF INSURANCE APPENDIX E -CERTIFICATION OF NON-DISCRIMINATION BY CONSULTANT APPENDIX F -FEDERAL REQUIREMENTS 2 REQUEST FOR PROPOSAL PROJECT STUDY REPORT EQUIVALENT AND CONCEPTUAL ENGINEERING PLANS FOR SANTA ANA BOULEVARD GRADE SEPARATION PROJECT I. INTRODUCTION The City of Santa Ana Public Works Agency City} desires to enter into an agreement with a qualified consulting engineering firm for the preparation of Project Study Report Equivalent (PSRE} for the Santa Ana Boulevard Grade Separation project at the LOSSAN Corridor crossing. The proposed grade separation is adjacent to the Santa Ana Regional Transportation Center (SARTC}. The major elements of the PROJECT's PSRE are: • Environmental evaluation documents • Cost Estimates for construction and right-of-way • Conceptual engineering plans • Evaluation of right-of-way impacts • Evaluate traffic detour routes for Santa Ana Blvd. and trains during construction. The PSRE and conceptual engineering plans of the grade separation shall address land use and impacts associate with future improvements. For all questions, requests for clarification, and comments on this Request for Proposal (RFP}, see section XIX. Clarifications. II. PROJECT BACKGROUND The proposed grade separation at Santa Ana Boulevard is in conjunction with the City's Santa Ana Regional Transportation Center (SARTC} Master Plan located at 1100 East Santa Ana Boulevard, which entails new station areas, additional parking and improved pedestrian and bicycle access to accommodate the expansion of ~etrolink services, Santa Ana's Fixed Guideway Project and the addition of the Bus Rapid Transit ~BRT}. Santa Ana Boulevard is a six-lane east-west principal arterial and currently carries in excess of 20,000 vehicles per day. Within the City, OCTA ~etrolink RR is a north-south two-track railroad. At SARTC, this railroad serves Metrolink, Amtrak, Union Pacific (UP} and Burlington Northern Santa Fe (BNSF}, which connects freight and residents of central Orange County with the outlying areas of nearby regions, including Los Angeles, Inland Empire, San Diego and beyond. Due to increasing demand for inter and intea-county rail services resulting from 3 . 7 growth in population and employment in the surrounding areas, the City proposes the grade separation to alleviate the current and potential trafi~ic impacts and hazards posed by the existing at-grade rail crossing at Santa Ana Boulevard and OCTA ~etrolink RR. Based on the land use and the proximity of the Interstate 5 (I-5} ramps to the east and Santiago Street to the west, the proposed PROJECT will likely depress Santa Ana Boulevard under the railroad tracks to provide uninterrupted flow of roadway and rail traffic, which will improve freight movement, corridor crossing safety, and air quality. III. CONTENT OF PROPOSAL In order to maintain uniformity with all proposals furnished by the Consultants, all proposals are limited to a maximum of 30 pages (excluding front and back covers, section dividers and resumes} and shall include the following: A. Cover letter highlighting the Prime Consultant's qualifications and the primary location where the PROJECT work will be performed. There shall be indication that the proposal will be valid for 90 days and must be signed by an ofi~icer that has authority to bind the Consultant. B. Project understanding and approach discussing the PROJECT, key issues, and any suggestions or special concerns that the City should be made aware of. This section should demonstrate experience and expertise in all areas required to perform work described in the Scope of Work. C. A detailed scope of work identifying each required task for the preparation of PSRE in accordance with the City, OCTA, Southern California Regional Rail Authority (SCRRA}, Federal Highway Administration (FHWA}, Federal Railroad Administration (FRA}, BNSF, California Department of Transportation (Caltrans} and other involved agencies' policies and requirements, along with any additional tasks not currently identified in this RFP, but are necessary for the successful completion of the PROJECT. D. Project schedule, project management plan (PMP} and quality assurance/quality control (QAIQC} plan to be implemented on the PROJECT that will ensure the required services to complete in a timely manner and a quality acceptable to the City. The QA/QC shall ensure that reports, plans, estimates, and other documents are complete, accurate, proofread, and checked to meet professional engineering and environmental practices prior to submitting for review. The Consultants shall provide the firm's workload and the ability to perform the work requested, specifically as it relates to the Project Manager and key personnel. E. Project team organizational chart identifying the Project Manager and those who will be performing the work along with a brief resume of each team member, including similar type of projects in which he/she has been directly 4 involved in. A minimum of three references for similar size and type projects, including contact name, organization, and phone number, shall be provided for the Project tanager. The Project tanager will be the primary contact person to represent the firm and will be the person to conduct the presentation, if invited for an interview. Sub-consultants, if any, shall be identified with the same requirements as for the prime consultant. F. List of similar projects which your firm completed within the last five (5}years. Project information shall include project description, agency, client name along with contact information, year completed, project construction and design costs, and team members that worked on the projects. G. Five (5) bound copies and one electronic copy in PDF format on a Compact Disc (CD} of a complete responsive proposal shall be submitted. IV. SCOPE OF WORK The Consultant shall be responsible for the preparation and submittal of the PSRE through completion, with the approval from the City and other involved agencies. The PROJECT is federally funded and Caltrans retains stewardship responsibility for project development documents to be reviewed by Federal Highway Administration (FHUVA}, the Consultant shall prepare the PSRE in accordance with the Caltrans Preparation Guidelines for Project Study Report in the Caltrans Project Development Procedures Manual (PDPM}. All necessary documentation, studies, estimates, conceptual engineering plans and exhibits shall be in accordance with the compliance documentation for California Environmental Quality Act (CEQA} and National Environmental Protection Act (NEPA}, unless otherwise noted, under the direction of a California registered Civil Engineer. The following is the breakdown of the scope of work for the PROJECT as well as the minimum deliverables required. Any additional tasks or deliverables deemed necessary by the Consultant shall be clearly identified in the proposal. A. Management and Administration The Consultant is fully responsible for the overall project management, administration and coordination of the PROJECT, including but not limited to the following: 1. Management and Coordination -The Consultant shall be the liaison with responsiblelcooperating agencies and other stakeholders, monitor project progress and maintain project files. Other responsibilities of the Consultant include supervising sub-consultants, coordinating, monitoring and reviewing design for conformance with the standards, policies and procedures of all affected agencies, including but not limited to the following: 5 a. City of Santa Ana b. Southern California Regional Rail Authority c. OCTA Metrolink d. Amtrak e. Burlington Northern Santa Fe Rail f. California Public Utilities Commission (CPUC) g. Federal Highway Administration (FHWA) h. Federal Railroad Administration (FRA) i. Santa Ana Regional Water Quality Control Board (SARWQCB) j. Southern California Air Quality Management District (SCAQMD) k. California Department of Transportation (Caltrans) I. US Environmental Protection Agency (EPA) 2. Project Schedule -Within two (2) weeks of the Notice to Proceed, the Consultant shall prepare a project schedule in Microsoft Project 2003 format utilizing the Work Breakdown Structure (WBS) to be approved by the City. The project schedule shall clearly identify the critical path and include the required tasks and subtasks of the Consultant, sub-consultants and all involved agencies to complete the PROJECT. All deliverables shall clearly be identified. The project schedule shall be updated on a regular basis reflecting the actual progress and distributed at the PDT meetings. Any change to the project schedule must be approved by the City. Additionally, the Consultant shall develop the project schedule for the design, right-of-way, and construction phases of the PROJECT for both design-build and design-bid-build options. Deliverable -Project Master Schedule with biweekly updates and status tracking 3. Meetings - Project Development Team (PDT) meetings shall occur monthly with all stakeholders and shall be held at the City of Santa Ana. The Consultant shall prepare and send out the agenda and any necessary communication documents a minimum of five (5) business days in advance, prepare and distribute meeting minutes, new action/decision items and disposition of previous action/decision items and other communication documents within five (5) business days after the meeting to all attendees and invitees. The Consultant shall identify any additional meetings, including agency coordination and technical workshop meetings, as they deem necessary. Deliverables -Agendas, minutes and action items; attendance at monthly PDT meetings. 4. Progress Reporting -Progress reports shall be submitted at monthly intervals, indicating progress achieved during the reporting period in 6 25G-20 relation to the progress scheduled. The progress report shall discuss significant issues and present proposed corrective action, show status of major changes, and identify next month's activities. The Consultant shall provide the City with two (2} copies of the progress report. Deliverables -Monthly Progress Reports submitted in both hard copy and electronic format. B. Permits The Consultant shall be responsible for securing all necessary encroachment permits for field studies and work related to document preparation, such as surveying and geotechnical activities. Additionally, the Consultant shall submit any required traffic control plan to the City for review and concurrence prior to beginning any field study. The Consultant shall obtain necessary training including applicable rail safety program prior to performing field study. The Consultant shall identify all potential project-related permit requirements in the PSRE and include the cost in the cost estimate. Deliverables - Documentation of all potential project-related permit requirements. C. Research & Data Collection The Consultant shall thoroughly research and collect information related to the PROJECT, including existing field conditions, as-built plans, studies, encumbrances and record drawings (including utilities}, reports, agreements, right-of-way data, and all future improvement plans adjacent to or affecting the project site. The Consultant shall review and document the collected data, physical constraints, and deficiencies and include the cost estimate for design solutions. Deliverables -Documentation of pertinent project information including photographs, mapping, schematics, field notes, existing studies and any study findings. D. Utility Survey The proposed grade separation will greatly impact public services and utilities. The Consultant shall conduct a survey that identifies all impacts to these facilities and is solely responsible to conduct all necessary research to complete this task. City staff will be available to answer questions and provide guidance. At a minimum, the Consultant shall consult with Public Works Agency staff and the following service and utility providers: 7 1. Sewer/waste water (Santa Ana PWA) 2. Water/water well replacement (Santa Ana PWA) 3. Solid waste/refuse (Santa Ana PWA) 4. Fire service/paramedics/fire alarm system (Santa Ana FD) 5. Police services (Santa Ana PD) 6. Recreational Facilities (Santa Ana Parks, Recreation & Community Services Agency) 7. Street and site drainage (Santa Ana PWA) 8. Electricity (Southern California Edison) 9. Natural gas (Southern California Gas Company) 10. Communication services (AT&T) 11. Cable T.V. (Time Warner) 12. Bus Services (OCTA) As part of this survey, the Consultant shall include both a field review as well as a review of available as-built drawings, encroachment permits, and utility franchise agreements for the projects areas. The results of this review shall be a database of utility records indicating type of utility, owner, drawing number, and other relevant information. Consultant shall also prepare a utility base map of the PROJECT area showing locations of all existing utilities. Deliverables -Utility Database and Base Map. E. Field Survey/Topography The Consultant shall perform all surveys and aerial mapping necessary to complete the requested scope of services. The Consultant shall prepare an aerial topographic survey map at a scale of 1" = 20' of the PROJECT site and surrounding area to provide all necessary information for horizontal and vertical controls. Survey of the PROJECT site shall be prepared in US Customary English units by a California licensed Land Surveyor in Microstation V8 format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. Survey shall be done to cover at least 100 feet beyond the PROJECT's ultimate right-of-way and shall include locating building foot prints, utilities, trees, sidewalks, fences, poles, meters, vaults, structures, street furniture, curb and gutters, etc. Deliverables -All electronic files and field notes for field survey/topography data collection. F. Traffic Studies The Consultant shall perform the traffic analysis in accordance to the PSRE development. The analysis shall support the preparation of the traffic impact section of the required environmental evaluation documents. The Consultant shall analyze travel-demand model and prepare future traffic projections for 8 25G-22 impacted roadways and intersections. A trafi~ic analysis for each developed alternative (mentioned in Conceptual Engineering Plans} is required. The Consultant shall identify all unavoidable adverse traffic-related impacts and the mitigation measures. The Consultant shall develop a Transportation Management Plan (TMP) for each developed alternative to provide continuous trafi~ic circulation and access, with adequate space for safe and efficient construction. The TAP shall include construction handling practices, including lane closures, detour routes, accommodation for bicycle and pedestrian traffic, mass transit, work- hour restrictions, and others. The Consultant shall include the associated cost for each developed alternative along with the mitigation solutions for TMP in the cost estimate section. Deliverables -Traffic analysis and TMP for each developed alternative. G. Preliminary Geotechnical Investigation The Consultant shall prepare a preliminary geotechnical review of the projects areas. Existing subsurface information for the projects areas shall be collected, including geologic maps published by the California Division of Mines and Geology, geologic maps published by the United States Geological Survey, and ground water well information. The Consultant shall provide seismic and geological hazards that may have a significant impact on the design and construction of the projects. Deliverables -Geotechnical Analysis. H. Conceptual Hydraulics and Hydrology Study The Consultant shall analyze existing drainage systems for their ability to accommodate future design flows in accordance with applicable agency standards including proposed improvements. A Preliminary Hydraulics and Hydrology Study shall be prepared summarizing potential storm water quality impacts and develop options to avoid, reduce, or minimize the potential for storm water quality impacts. These results shall be coordinated with the City's existing faster Plan of Drainage. The Consultant shall ensure that the PROJECT includes sufficient right-of-way and budget for required storm water controls and identify PROJECT specific permanent and temporary measures that may be required to mitigate anticipated impacts. Drainage areas and total disturbed area will be defined, as will climatic conditions, existing drainage site conditions, site permeability, soil texture, existing vegetation (if any), and groundwater. Deliverables -Hydraulics and Hydrology Study. 9 I. Constraints Analysis The Consultant shall prepare an evaluation of site constraints that may limit PROJECT design options, including the need to maintain ongoing freight and passenger rail operations, and the need to maintain adequate vehicle and transit access on affected arterials. All constraints developed by all studies and investigations carried out for this PSRE shall be considered in this analysis. Deliverables -Site Constraints Analysis. J. Alternatives Analysis and Structural Type Selection The Consultant shall develop a minimum of three ~3} viable alternatives for the grade separation and develop initial screening criteria. Based on the land use and the proximity of the I-5 ramps to the east and Santiago Street to the west, Santa Ana Boulevard will likely be lowered to cross the existing railroad tracks in an undercrossing configuration. Consideration of alternatives and criteria should be given to unique construction requirements such as "shoofly" track, California PUC vertical and horizontal track clearances, Metrolink and OCTA requirements and criteria, construction staging requirements and the TMP. Each alternative must efi~iciently accommodate the existing platform at SARTC and limit the construction cost and right-of-way impacts. Based on the screening criteria, the Consultant shall work with City and stakeholder staff to reach consensus on the alternatives to be carried forward. The Consultant shall then develop criteria for evaluating the remaining alternatives and shall consider construction impacts as one factor. The remaining alternatives shall be further refined and evaluated using the evaluation criteria and the results of all studies and investigations carried out for this PSRE. To assist in the documentation of comparisons between alternatives, the Consultant shall prepare a matrix of selection criteria and evaluation results for each alternative. Based on the evaluation, the Consultant shall recommend one or more alternatives and include an assessment of potential risks and strategies to mitigate, minimize, or eliminate risks as the recommended PROJECT proceeds through design and construction. Deliverables -Alternatives recommendation, criteria for evaluation, refined alternatives, matrix of selection criteria, and assessment of alternative risks. K. Conceptual Engineering Plans The plan development shall include two (2) milestone deliverables -Draft Conceptual Engineering Design and Final Conceptual Engineering Design. A plan set shall be prepared for each alternative. The Consultant shall prepare 10 five (5) sets of half-size (11" x 17"} engineering plans and preliminary quantities and estimates plus electronic files for each conceptual engineering plan submittal to the City. Additionally, the Consultant shall provide the necessary number of copies of engineering plans to participating agencies and other interested parties for review and comment. Plans shall be prepared in conformance with the latest City Computer-Aided Design and Drafting (CADD}standard. The Consultant shall coordinate review and approval of rail realignment and shoofly design with appropriate agencies. The conceptual engineering plans shall be at a scale of 1" = 20' and shall include, but not be limited to, the following: 1. Existing and proposed centerlines and right-of-way lines, curb lines, easements, medians, sidewalks and join lines on public and private properties. 2. Topographic survey for the PROJECT area to facilitate the preparation of engineering drawings, right-of-way maps and itemized cost estimates for traffic handling, construction and right-of-way acquisition. 3. Plans for Santa Ana Boulevard and OCTA Metrolink RR (proposed track and shoofly} including profiles and superelevation diagrams. 4. Plans and details for railroad bridge to accommodate the existing two tracks and an additional future track (including Advanced Planning Study level of detail}. 5. Plans for retaining walls} and soundwall(s} (if necessary}. 6. Plans for existing utilities and drainage, including relocation of existing utilities and assessment of a pump station for the sump condition resulting from the proposed depressed roadway (if necessary}. 7. Plans and details for access modifications, including creating cul-de- sacs at affected intersections as needed. 8. Street approaches for all legs of the intersections at Interstate 5 (I-5} ramps, Santiago Street, and Santa Ana Boulevard to ensure appropriate lane transitions. 9. Plans for necessary preliminary grading. 10.PIans forchannelization and signal modification. 11.PIans for stage construction, traffic handling, and detour (including detour layouts, profiles and superelevation diagrams, construction area signs, etc...}. Deliverables -Conceptual Drawings. L. Right-of-Way The Consultant shall determine the right-of-way required and the right-of-way data sheet estimates for each PROJECT's alternative. The Consultant shall prepare right of way maps on the scale of 1" = 20'. Right-of-way map shall include existing and new street centerlines, existing and proposed right-of way lines, property lines, agency boundaries, all adjacent parcels and cross 11 streets, topography, building foot prints (including set-back to proposed right- of-way lines}, parcel numbers, addresses, indication of full or partial take of each property and amount of right-of-way needed per parcel for each alternative. The Consultant shall identify in detail any loss of on-site parking for each parcel affected by the PROJECT. The Consultant shall submit the right-of-way map to the City and participating agencies for review and approval. Final maps shall be delivered on mylar and electronically as both .PDF and .DGN files. All electronic files related to the right-of-way maps shall become property of the City. Following approval of the right-of-way map, the Consultant shall prepare a cost estimate for acquiring right-of-way. The Consultant shall provide sufficient information to the City to facilitate the preparation of cost estimates for land acquisition, structure demolition, relocation, administration and other miscellaneous costs. The Consultant shall identify the public improvements cost per parcel for the purpose of right-of-way dedication in exchange for public improvements for all partial takes. The Consultant shall utilize a California licensed land surveyor to prepare legal descriptions and exhibits for all partial and full takes as well as a plan for the reuse of remnant parcels of the partial takes. Deliverables -Right-of Way survey. ~ . Cost Estimates The Consultant shall prepare a cost estimate for final design, shoofly, permitting, right-of-way acquisition, TMP, construction, utilities relocation, and potential mitigation measures. The construction estimate shall include details of estimated quantities and unit costs for major items of work based on current prices. The Consultant shall verify current prices with manufacturers, material suppliers and contractors. The cost estimates shall be prepared for each alternative and submitted at each milestone along with the conceptual engineering plans. Deliverables -Cost Estimates. N. Environmental Evaluation The Consultant shall prepare the environmental evaluation documents for the PROJECT in accordance with CEQA and NEPA guidelines. The procedures shall include the City of Santa Ana adopted environmental rules for the implementation of CEQA and NEPA. The Consultant shall prepare the Preliminary Environmental Analysis Report SPEAR} in accordance to Caltrans PEAR Handbook to comply with the requirement of the PSRE. 12 The environmental analysis and documentation activities required by the CEQA and NEPA shall include, but not be limited to, the following specific requirements: 1. The Consultant shall research and review previous studies and environmental documentation applicable to the PROJECT. The Consultant shall prepare a technical memorandum summarizing the review of pertinent documents. 2. The Consultant shall submit five (5} copies and participant agencies' required number of copies of the environmental evaluation documents plus electronic files for City and participant agencies to review. After the review, the Consultant shall incorporate revisions to the document and submit the required number of revised copies plus electronic files for review and approval. The Consultant shall be responsible for re- submittals until all City and participant agencies' comments have been addressed to the satisfaction of all stakeholders. Deliverables - Environmental Checklist ,PEAR and I SA. 0. PSRE Submittal The Consultant shall submit ten (10} copies of the Draft PSRE plus electronic files for review and comment. The Consultant shall also provide a sufficient number of copies for all stakeholders. In addition of the requirements of Caltrans' PSRE, the Consultant shall analyze, describe, and evaluate all potential environmental impacts of the proposed PROJECT, provide any necessary and available mitigation measure, and compare the relative impacts for each alternative and indicate the level of impacts after mitigation. After the review, the Consultant shall incorporate revisions to the document and submit the required number (same number as Draft PSRE} of Final PSRE plus electronic files for review and approval. The Consultant shall be responsible for re-submittals until all City and participant agencies' comments have been addressed The Consultant shall draft the Resolution of Certification with the required findings. The City Council will review and approve the Draft Resolution and City staff will prepare the Final Resolution. Deliverables -Draft and Final PSRE. P. Submittal Format At Completion The Consultant shall maintain PROJECT files using the City's specified filing system. The Consultant shall be responsible for obtaining information on the filing system, file naming convention, and CADD standard at the beginning of the PROJECT. At the PROJECT closing, the Consultant shall submit all 13 . 7 drawings, reports, estimates, letters, exhibits, and other project-related documents in the correct filing and on a CD or Digital Video Disc (DVD}. The submitted files' format shall be: 1. Drawings shall be prepared in ~icrostation V8 format based on the latest City CADD standard. All final conceptual plans shall also be submitted in PDF format. 2. Electronic copies of the environmental reports shall be submitted in Microsoft Word 2007 format, the exhibits of the environmental reports shall be in PDF format, and the cost estimates shall be in Microsoft Excel 2007 format. V. GENERAL REQUIREMENTS A. All work shall be performed in conformance with the latest City of Santa Ana, Caltrans, and other involved agencies' policies, procedures and standards. B. The Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City and other involved agencies. C. The Consultant has total responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The documents and plans will be reviewed by the City for conformity with the requirements of the Agreement. Reviews by the City do NOT include detailed review or checking of environmental reports and designs or the accuracy with which such reports and designs as depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. D. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. The minimum standard of appearance, organization and content of the documents shall be that of similar types produced by the City and set forth in related City of Santa Ana and other involved agencies' manuals. The Consultant shall modify its work as necessary to meet the level of acceptability defined by the criteria above. E. The Consultant shall have a QA/QC plan in effect during the entire time work is being performed under the Agreement. The QA/QC plan shall establish a process which includes checking procedures for report preparation, a discipline and interdisciplinary check of the environmental reports and conceptual engineering plans, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by 14 affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. F. ~anualslStandards -Where applicable, engineering design of all PROJECT improvements shall be compatible and in accordance with the following, but not limited to: • A Policy on Geometric Design of Highways and Streets (AASHTO} • CPUC General Orders Requirements • California Regional Water Quality Control Board Requirements • Manual of Uniform Traffic Control Devices (MUTCD} • Standard Specifications for Public Works Construction (SSPWC} • Caltrans Project Development Procedures Manual (PDPM} • Caltrans Highway Design Manual • Caltrans Guidelines for Preparing a Preliminary Environmental Analysis Report (PEAR} • Caltrans Standard Environmental Reference • OCTA Right of Way Manual • BNSF Design Guidelines for Industrial Track Projects • BNSF Utility Accommodation Policy • SCRRA Grade Separation Guidelines • City of Santa Ana Standard Plans and Specifications It shall be the responsibility of the Consultant to verify that the latest version and/or update of these documents are obtained. G. The Consultant's work will be subject to inspections by representatives of the City of Santa Ana and other involved agencies. VI. PROJECT BUDGET The maximum project budget for performing all tasks defined in the scope of work is $1.3 million. VII. PERFORMANCE PERIOD A. The contract shall begin upon approval by the City Council, and the Consultant shall commence work after notification to proceed by the City. Unless extended by contract amendment, the contract shall terminate upon acceptance by the City of Santa Ana of the PROJECT and upon completion of the terms of this agreement by the Consultant. B. The Consultant is advised that any recommendation for contract award is not binding on the City until the Agreement and all pertinent paperwork are fully executed and approved by the City Council. 15 VIII. CONSULTANT SELECTION COMMITTEE The City has established a Consultant Selection Committee to evaluate each consultant's proposals. The evaluation of each proposal will be based on technical criteria and qualifications listed in the RFP, reference checks, and other information which will be gathered independently. A final listing of the most qualified consultants will then be established for possible interview. IX. ESTABLISHING OF FEES A fee proposal is to be submitted separately in a sealed envelope plainly labeled "Fee Proposal". The fee proposal shall include anot-to-exceed fee and a detailed labor hour breakdown by task and classifications. Include all incidental costs estimated to accrue during the life of the contract. Include a billing rate schedule for the prime consultant and any sub consultants with an hourly billing rate by classification. The hourly rate shall remain in effect during the life of the PROJECT. The fee proposal will not be opened until the consultants have been evaluated by the proposal selection committee. In conformance with the Brooks Act, the City will select the consultant based on qualifications, and then negotiate a contract price based on available funding and a further breakdown of the not-to-exceed cost submitted in the fee proposal. The City will retain 10% of the final contract until final delivery of the deliverables. X. PROFESSIONAL SERVICES AGREEMENT A sample Professional Services Agreement is enclosed for your review, as Appendix C. The RFP and the consultant's proposal will be attached and become part of the agreement as exhibits. XI. INSURANCE REQUIREMENTS A certificate of insurance is enclosed for your reference as Appendix D. Please refer to the sample agreement for the necessary amounts of general liability, automotive, worker's compensation and professional liability insurance. The appropriate endorsements are also shown within the sample contract agreement. The certificate shall include the Cities of Santa Ana and Irvine, Caltrans and their officers and employees as insured or additional insured. XII. CITY RESPONSIBILITY The City of Santa Ana will be responsible for the following: 16 A. Making available existing City plans and records. The Consultant shall be responsible for researching available records and paying for copies of records. B. Boiler plate of the City of Santa Ana general provisions and specifications. C. City of Santa Ana Standard Plans. XIII. EXAMINATION OF SITE PRIOR TO SUBMITTING PROPOSAL Each consultant must inform himself/herself fully of the conditions relating to the PROJECT and the employment of labor thereon. Failure to do so will not relieve a successful consultant of the obligation to carry out the provisions of the contract. XIV. RIGHT TO REJECT PROPOSALS A. The City of Santa Ana reserves the right to reject any or all proposals submitted and no representation made hereby that any contract will be awarded pursuant to this RFP or otherwise. B. All costs incurred in the preparation of the proposal, the submission of additional information and/or any aspect of a proposal prior to award of a written contract will be borne by the respondent. The City of Santa Ana will provide only the stafi~ assistance and documentation specifically referred to herein and will not be responsible for any other cost or obligation of any kind, which may be incurred by the respondent. All proposals submitted to the City of Santa Ana become the property of the City. XV. SCHEDULE The City's tentative schedule for this PROJECT is as follows: RFP Issued: March 2, 2010 Pre-Proposal Meeting: March 16, 2010 Question Due Date: March 31, 2010 Proposal Due Date: April 6, 2010 Interview Date: April 22, 2010 Contract Award: May 17, 2010 Upon issuance of Notice to Proceed, the Consultant shall submit a detailed schedule for the PROJECT. 17 XVI. PROPOSAL SUBMITTAL DEADLINE Proposals are due in the office of the Executive Director of the Public Works Agency at 20 Civic Center Plaza -Ross Annex (M-36}, 3rd Floor, Santa Ana, CA 92701 Attn: Souri Amirani on or before 5:00 p.m.,Tuesday, April 6, 2010. XVII. ISSUING OFFICE Santa Ana Public Works Agency, ofi~ice of the Executive Director. XVIII. ADDENDA Any subsequent changes in the RFP from the date of issuance to date of submittal will result in an addendum by the issuing office. Any written addenda issued pertaining to this RFP shall be incorporated into the terms and conditions of any resulting Agreement. Consultants shall acknowledge receipt of addenda in their proposals. XIX. CLARIFICATIONS A. Examination of Documents If the Consultant requires clarification to any part of this RFP, the Consultant shall notify the City in writing as described below. If the City feels a clarification is warranted, the City will issue a written addendum clarifying the matter, which will be sent to all firms in receipt of this RFP. B. Submitting Requests 1. All questions, including questions that could not be specifically answered at the pre-proposal conference must be put in writing and must be received by the City no later than 5:00 p.m., March 31, 2010. 2. Requests for clarifications, questions and comments must be clearly labeled, "Written Questions" and reference the RFP in question. The City is not responsible for failure to respond to a request that has not been labeled as such. 3. Any of the following methods of delivering written questions are acceptable as long as the questions are received no later than the date and time specified above: a. U.S. fail/Personal Courier: City of Santa Ana Attn: Jason Gabriel 20 Civic Center Plaza Ross Annex (~-36) Santa Ana, CA 92701. b. Facsimile: (714} 647-5635 18 c. E-Mail: Submit questions by email to both Souri Amirani, Deputy City Engineer at samirani(a~santa-ana.orq and Jason Gabriel, Senior Civil Engineer at~ga. oriel :,santa-ana.orq. C. City Responses Responses from the City will be emailed to all Consultants in receipt of this RFP no later than April 2, 2010. Consultants may also request responses be sent via U.S. fail by e-mailing or faxing the request to Jason Gabriel, Senior Civil Engineer. Inquiries received after March 31, 2010, will not be responded to. XX. JOINT VENTURES The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. All responses to this RFP shall be on a prime - subcontractor basis. XXI. PRIME CONSULTANT RESPONSIBILITIES The selected consultant will be required to assume responsibilities for all services offered in his/her proposal. The selected consultant will be the sole point of contact with regard to contractual matters, including payment of any and all charges resulting from the contract. XXI I . DELAYS The City reserves the right to delay scheduled dates if it is to the advantage of the City of Santa Ana. XXIII. PROJECT CONTROL Control of the PROJECT shall remain the total responsibility of the City of Santa Ana. XXIV. RULES FOR PROPOSALS The signer of the proposal must declare in writing that the only person, persons, company or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud; and, that the signer of the proposal has full authority to bind the principal proposer. XXV. METHOD OF PAYMENT The consultant shall submit invoices to the City of Santa Ana. The invoice shall include a detailed breakdown of the services, the tasks, the hours, and hourly 19 rates. It should be noted that no more than 90 percent of the total payment amount will be made prior to the final completion and approval of all work and delivery of final products. XXVI. REGULATIONS The selected consultant shall be expected to comply with all applicable federal and state regulations, and contract provisions. The ensuing contract shall contain such contractual provisions and conditions necessary to define a sound and complete agreement. XXVII. THE CITY'S AFFIRMATIVE ACTION PROGRAM The City has an afi~irmative action program. The purpose of the affirmative action program is to encourage certified minority business enterprises and women business enterprises. All Submitting firms must have established affirmative action programs approvable by the City. The attached Appendix E, "Certification of Non-Discrimination by Contractors" shall be completed by each submitting firm and included in the proposal. XXVIII. DBE GOAL The Disadvantage Business Enterprise (DBE} goal for this PROJECT is 1.67%. The Underutilized Disadvantage Business Enterprise (UDBE} goal for this PROJECT is 2.22%. This information may be submitted with your proposal. If it is not, it must be submitted and received by the administering agency no later than the time specified in the federal requirements attached (Appendix F}. XXIX. WAGE RATES Because this PROJECT is federally funded, the rate of wages for each craft or type of worker or mechanic employed under this contract shall be specified under the current determinations of the Department of Labor as required under the Davis-Bacon Act. The current wage determination can be obtained at the following location: http:llfrwebgate.access.gpo.go~, i-bin/_, etdoc.cgi?dbname=Davis- Bacon&docid=CA20080035 Notwithstanding the conditions hereinabove, the California Labor Code stipulated that not less than the general prevailing rate of per diem wages for each craft or type of worker or mechanic needed to execute the contract in the locality in which the work is to be performed, and not less than the general prevailing rate of per diem wages for holiday and overtime work as determined by the Director of Industrial Relations of the State of California shall be paid to all workers employed. A copy of the prevailing rate of per diem wages is on file at the City of 20 Santa Ana Public Works Agency -Construction Division, and is available on request to any interested party. Where a discrepancy exists between federal and state prevailing wage rates, the policy of the California Department of Labor is to require that the higher of the two prevailing wage rates shall apply. 21 APPENDIX A LOCATION MAP 25G-36 z w J Q U 17TH ST I a > p a o 0 p 3 Z Z a J WA H T AV Tq WASHINGTON AV 13TH ST) qNq ~r 0 ~G FRUIT ST o n ~ ~P I OCTA ~ P P RRTRO~INK z 5~ I a bTH ST ~ 6TH ST ~ ~ ~ ~ a 1 a 4TH T ~ ~ S T ~ 1 ~ 1 z 1ST ST W ~ cs > a WALNUT S T W ~ is ~ ~ a ~ a 1 a 1 CHESTNUT AV ® PROJECT AREA J~p't~oNa ~OCATI0~1 f~AP o ~'~s w SANTA ANA Title » SA~1TA ASIA BOU~EIIARD~ ' EPARATI0~1 PUBLIC WORKS AGENCY APPENDIX B PROPOSED SANTA ANA BOULEVARD GRADE SEPARATION 25G-38 I, ~ r~ ~ .,Y. , v . 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II r ~ ~ C ~ , .~C. tits ~ ~ ~ ~ uli,, ~a' T >W ~ ~,,i ~ ~ 'ulllllll Im 0~ ~ I y ~ ~ ~ } J ~ R 'a$' / ~ 4Y ~ ~i,.l,, \ ` e it v ~ V 1 t \ ~ / t ~ ~ ~ z ~ ~ _ ,u.l ~ : WF E . r \ 1~ E ^4 ~ ~ I~ M1, _ _ ~ ~ , i ~ ~ r. • * i~" j/ 5": :Yq r ~ J~ ~ 4 ' ~ ~ ~ , ,~7' / fit,, ' \ yil, '~~_Z1 ,x.'.~ ~ 'BSI q.: .~t a . ~ ~ . ~ 9 ~ ~ Fem. ~ ' ~,r ; °l ~ ~ ' • i Pn7,(' K` S r ii ~ ~ I w _ { M. I~ ry(, y~ A\,,., ~I'W ~ 'ri11I' \ / TV oti.' °"~A~ f, t^.., /nip ~ ~r ~ ~ 'KJ!. ~ I ~ N'- - ~ ~!~ti ' k ~ A ,'~'~I v, R l % a ~ r~' ~ 1 m g,~ o s,~' ~ 1 „ ~ ' ~ a-'7-i ,Y ~ I;,*~'` - - I XXO I 1?q~`"' P. ~ I ''I" L ~ l _ i ! \ ~'a. J I.,, r t# w, i~ ~riy ; / n" 'r rb \ 1~,q~ ,~t 'i'L }~1r~~ ~Y,Itif ~~t'~~~' ~ Iii ~ o' / . , ~ ~ ~~II . r ~ . . ~ ~ lI ~ 2'~/ 'til is iY l ti Ru + ~ ~ r I ~ r,, x, a I J~ : ~ ~ r ~ ~ -1 ~ , ' ~ ' ~ ~ ~ _ a a~ -~~,~s,~ J ,4- i ' , ` x i APPENDIX C SAMPLE PROFESSIONAL SERVICES AGREEMENT 25G-40 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this day of , 2006 by and between (NAME OF CONTRACTING ORGANIZATION, a California TYPE ~JF ENTITY (hereinafter "Consultant"), and the City of Santa Ana, a charter city and. municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of B. Consultant represents that Consultant is able alld willing to provide such serf%ices 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 perfor~»ed in compliance ~~~-ith such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, inconsideration of the mutual and respective promises, and subject to the terms and conditions h ereinafter set forth , th e p a rt i e s agree a s fo 1 lows 1. SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges Identified in Exhibit A. The total sum to be expended under this Agreement shall not exceed $ during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for tivork tivhich fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on 200 ,unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended upon a writing executed by the Executive Director of NAME OF RELEVANT AGENCY) and the City Attorney. 1 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not Intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; howe~-~er, the services to be provided by Consultant shall be provided in a manner consistent with a 11 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 Prior to undertaking performance of wort; under this Agreement, Consultant shall maintain and shall require its subcontractors, i f any, to obtain a n d maintain ins a ra n c e as described below: a. Commercial General Liability Insurance. Consu}taut shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insureds) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including Beat}1 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 follo~~~ ink :single limit coverage applying to bodily and personal injury, lnCludlnv~ death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Consultant shall supply City with a fully executed additional i n cured endorsement i n substantiall y th e form attached hereto as Exhibit B upon execution of this Agreement and shall be approved in form by the City Attorney. 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 autorl~obiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for ~~~orker's compensation or to undertake self insurance. Prior to commencing the performance of the ~~~ork under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. I f 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. 2 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. (11) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (111) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect `~-ithout thirty (30) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by thi s section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any `~~ork performed prior to approval of insurance by the City. 6. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counse}, and 1-epr-esentatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and c}aims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement, and fio111 any c}aim that personal injury, damages, just compensation, restitution, judic i a } or equitab }ere } i of 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, ,j ust compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the e~~ents referred to in this Section or by reason of the terms of, or effects, arising frorll this A~~reenlent. The Consultant further agrees to indemnify, hold harmless, and pay a] }costs for the defense of the City, including fees and costs for special counsel to be se}ected 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 i-elief due to personal or property rights arises by reason of the terms of, or eff-ects ari s i n~ from th i s Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 7. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such infor111ation 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 3 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 caller //leans. 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 avvallable 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 requihed to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 8. 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 wit11 perfor111ance of services specified under this Agreement. 9. NOTICE Any notice, tender, demand, deli~Tery, 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, posta` e prepaid, ol~ sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: ToCity: Clerk of the City COllllcll City of Santa Arta 20 Clvlc Center Plaza (M- ~0) P.O. Box 198 Santa Ana, CA 92702-1988 teletacslmlle (714) 647-6956 with Colll'tesy CopleS to: Executive Director of (NAME OF RELEVANT AGENCY) City of Santa Ana ?0 Civic Center Plaza (M-~ P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) and, 4 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647-6515 To Consultant: INSERT NAME, ADDRESS, TELEFACSIIVILE Attn: A party may change its addre s s by ~ i i ng notice in wri t i n ~ to the oth e r p a rty . There after, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, te~~der, dema~ld, delivery, or other communication shall be effective or deemed to hay-re been liven three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, any notice, tender, demand, delivery, or other 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. 10. EXCLUSIVITY AN D AMEND NEE NT 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 terr~ns of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written Instrument signed. by the City and ~by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 11. 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 5 shall be construed to limit the City's ability to have any of the services which are the subj ect to this Agreement performed by City personnel or by other consultants retained by City. 12. TERMINATION This Agreement may be terminated by the City upon thirty (30) days ~~~ritten 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 ter~~~ir~ation, 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 `~~hich fails to meet the standard of performance specified in the Recitals of this Agreement. 13. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national or•i~in, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. JURISDICTION - E N [1 E 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 ollt of, ill connection with or by reason of this Agreement. 15. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, ~~~~aivers, and exemptions necessary for the provision of the services hereunder a~~d 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, tivaivers, and exemptions. Said inability shall be cause for termination of this Agreement. 16. MISCELLANEOUS PROVISIONS 6 a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries o~• damages to City in the event that such authority or power is not, in fact, held by the signatory o~~ i s withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and. year first above written. ATTEST: CITY OF SANTA ANA PATRICIA E. HEALY DAVID N. KEAM Clerk of the Council City Mana,~er APPROVED AS TO FORM: JOSEPH W. FLETCHER City Attorney By: Name of Attorney City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT (DIRECTOR NA M E) (NAME) Executive Dlrectar of the TITLE) Employer ID # or Individual SS # 7 APPENDIX D SAMPLE CERTIFICATE OF INSURANCE 25G-48 a C~~4DM CERTIFICATE A F L IA B I L I TY I N S U RAN C E DATE (MMlDDlYY) a11311zaa1 PRODl1CER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. INSURERS AFFORDING COVERAGE INSURED INSURER A: INSURER B: INSURER C: INSURER D: INSURER E: COVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE POLICY EXPIRATION LIMITS GENERAL LIABILITY X111111111 a11a112aa1 a11a112aa2 EACH OCCURRENCE $ 1,aaa,aaa X COMMERCIAL GENERAL LIABILITY FIRE DAMAGE (Any one fired $ 5a,aaa CLAIMS MADE ~ OCCUR MED EXP (Any one persons $ J,aaa PERSONAL & ADV INJURY $ 1,aaa,aaa GENERAL AGGREGATE $ 2,aaa,aaa GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMPIOP AGG $ 2,aaa,aaa POLICY PRO- LOC Al1TOMOBILE LIABILITY X222222222 a11a112aa1 a11a112aa2 COMBINED SINGLE LIMIT ~Eaaccident) ~ 1,aaa,aaa X ANY AUTO ALL OWNED AUTOS BODILY INJURY $ SCHEDULED AUTOS Per person HIRED AUTOS BODILY INJURY NON-OWNED AUTOS Per accident) $ PROPERTY DAMAGE $ E E ATTA H E D AD D I T I NAL Per accident) S C ~ GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $ ANY AUTO INSURED E N D ~ RS E M E N T OTHER THAN EA ACC $ AUTO ONLY: AGG $ EXCESS LIABILITY EACH OCCURRENCE $ OCCUR ~ CLAIMS MADE CAVE RAG ES D E P E N D ~ N TYPE AGGREGATE $ ~FAGREEMENTIC~NTRACT DEDUCTIBLE $ RETENTION $ $ WORKERS COMPENSATION AND XXX333333333 a11a112aa1 a11a112aa2 X ORY LIMITS ~ R EMPLOYERS' LIABILITY E.L. EACH ACCIDENT $ 1,aaa,aaa E.L. DISEASE - EA EMPLOYEE $ 1,aaa,aaa E.L. DISEASE -POLICY LIMIT $ 1,aaa,aaa OTHER PL444444 a11a112aa1 411a112oa2 Each Occurrence 1,aaa,aaa Professional Liability DESCRIPTION OF OPERATIONSlLOCATIONSlVEHICLESlEXGLl1SI0NS ADDED BY ENDORSEMENTlSPECIAL PROVISIONS Certificate Holder is additional insured per attached. Project No. CERTIFICATE HOLDER ADDITIONAL INSURED; INSURER LETTER: CANCELLATION SHOl1LD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION City of Santa Ana DATE THEREOF, THE ISSUING INSURER WILL MAIL 3a DAYS WRITTEN 20 Civic Center Plaza -Ross Annex ~M- ~ NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, Santa Ana, CA 92701 Al1THORIZED REPRESENTATIVE ACORD 25-S (7191 ~ ACORD CORPORATION 1988 L- ~ EXHIBIT B ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center P1 aza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representati~~~es are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such lnstlrallce as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except w ith respect to the company's 1 i mits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced. in coverage ur- limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion ofthe follotivin`~, including countersignature, is required to make this endorsement effective.) Effective ,this endorsement form as a part of Policv # Issued to Named Insured Countersigned by Authorized Representative 8 APPENDIX E CERTIFICATION OF NON-DISCRIMINATION BY CONSULTANTS 25G-51 CITY OF SANTA ANA PROJECT STUDY REPORT EQUIVALENT AND CONCEPTUAL ENGINEERING PLANS FOR SANTA ANA BOULEVARD GRADE SEPARATION PROJECT PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, 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 Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualmed applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor 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 Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24,1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24,1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction 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. CITY OF SANTA ANA PROJECT STUDY REPORT EQUIVALENT AND CONCEPTUAL ENGINEERING PLANS FOR SANTA ANA BOULEVARD GRADE SEPARATION PROJECT PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR (continued 7. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed Title Firm Date APPENDIX F FEDERAL REQUIREMENTS Certification of Consultant ............................................................................Exhibit 10-F Certification of Local Agency Exhibit 10-G Local Agency Proposer UDBE Commitment Consultant Contracts Exhibit 10-01 Local Agency Proposer DBE Information Consultant Contracts)......... Exhibit 10-02 Nonlobbying Certification for Federal Aid Contracts Exhibit 10-P Disclosure of Lobbying Activities Exhibit 10-Q Equal Employment Opportunity Certification .....................Exhibit 12-E Attachment C Non-Collusion Affidavit .........................................................Exhibit 12-E Attachment D Debarment and Suspension Certification ............................Exhibit 12-E Attachment E Local Assistance Procedures Manual EXHIBIT 10-F Certification of Consultant, Commissions & Fees Exhibit 10-F Certification of Consultant, Commissions & Fees CERTIFICATION OF CONSULTANT I HEREBY CERTIFY that I am the ,and duly authorized representative of the firm of ,whose address is ,and that, except as hereby expressly stated, neither I nor the above firm that I represent have: (a) employed or retained for a commission, percentage, brokerage, contingent fee, or other consideration, any firm or person (other than a bona fide employee working solely forme or the above consultant) to solicit or secure this agreement; nor (b) agreed, as an express or implied condition for obtaining this contract, to employ or retain the services of any firm or person in connection with carrying out the agreement; nor (c) paid, or agreed to pay, to any firm, organization or person (other than a bona fide employee working solely forme or the above consultant) any fee, contribution, donation, or consideration of any kind, foror in connection with, procuring or carrying out this agreement. I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans) in connection with this agreement involving participation ofFederal-aid Highway funds, and is subject to applicable state and federal laws, both criminal and civil. (Date) (Signature) Page 10-43 LPP 06-02 ~ May 1, 2006 Local Assistance Procedures Manual EXHIBIT 10-G Certification of Local Agency Exhibit 10-G Certification of Local Agency CERTIFICATION OF LOCAL AGENCY I HEREBY CERTIFY that I am the of the (local agency) ,and that the consulting firm of ,or its representative has not been required (except as herein expressly stated), directly or indirectly, as an express or implied condition in connection with obtaining or carrying out this Agreement to: (a) employ, retain, agree to employ or retain, any firm or person, or (b) pay or agree to pay, to any firm, person or organization, any fee, contribution, donation, or consideration of any kind. I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans) in connection with this Agreement involving participation offederal-aid highway funds, and is subject to applicable state and federal laws, both criminal and civil. (Date) (Signature) Page 10-45 LPP 06-02 25G-56 May 1, 2006 Local Assistance Procedures Manual EXHIBIT 10-01 Local Agency Proposer UDBE Commitment (Consultant Contracts) EXHIBIT 10-01 Local Agency Proposer UDBE Commitment (Consultant Contracts) NOTE: PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS FORM LOCAL AGENCY: LOCATION: PROJECT DESCRIPTION: PROPOSAL DATE: PROPOSER'S NAME: CONTRACT UDBE GOAL WORK DESCRIPTION OR SERVICES TO BE UDBE CERT N0. NAME OF EACH UDBE PERCENT ITEM N0. SUBCONTRACTED (or contracted if AND EXPIRATION (Must be certified at the time PARTICIPATION the proposer is a UDBE) DATE proposals are due -include UDBE OF EACH UDBE address and phone number) For Local Agency to Complete: Local Agency Proposal Number: TOtal Claimed UDBE Federal-Aid Project Number: COmmltmerit % Federal Share: Proposal Date: Signature of Proposer Local Agency certifies that the UDBE certifications have been verified and all information is complete and accuratelunless noted otherwise. Date (Area Code) Tel. No. Person to Contact (Please Type or Print) Print Name Signature Date Local Agenc Representative (Area Code) Telephone Number: Local Agency Proposer UDBE Commitment (Consultant Contracts) (Rev 6/27/09) Distribution: (I) Original -Local agency files Page10-73 LPP 09-02 ~ ~ July 31, 2009 EXHIBIT 10-01 Local Assistance Procedures Manual Local Agency Proposer UDBE Commitment (Consultant Contracts) INSTRUCTIONS -LOCAL AGENCY PROPOSER UDBE COMMITMENT (CONSULTANT CONTRACTS) ALL PROPOSERS: PLEASE NOTE: It is the proposer's responsibility to verify that the UDBE(s) falls into one of the following groups in order to count towards the UDBE contract goal: 1) African Americans; 2) Asian- Pacific Americans; 3) Native Americans; 4) Women. This information must be submitted with your proposal. Failure to submit the required UDBE commitment will be grounds for finding the proposal nonresponsive. A "UDBE" is a firm meeting the definition of a DBE as specified in 49 CFR and is one of the following groups: African Americans, Native Americans, Asian-Pacific Americans, or Women. The form requires specific information regarding the consultant contract: Local Agency, Location, Project Description, Proposal Date, Proposer's Name, and Contract UDBE Goal. The form has a column for the Work Item Number and Description or Services to be subcontracted to UDBEs (or performed if the proposer is a UDBE). The UDBE prime contractors shall indicate all work to be performed by UDBEs including work to be performed by its own forces, if a UDBE. The UDBE shall provide a certification number to the Consultant and notify the Consultant in writing with the date of decertification if their status should change during the course of the contract. Enter UDBE prime consultant and subeonsultant certification numbers.The form has a column for the Names of certified UDBEs to perform the work (must be certified on the date proposals are due and include UDBE address and phone number). There is a column for the percent participation of each UDBE. Enter the Total Claimed UDBE Participation percentage of items of work submitted with proposal pursuant to the Special Provisions. (If 100% of item is not to be performed or furnished by the UDBE, describe exact portion of time to be performed or furnished by the UDBE,) See "Notice to Proposers Disadvantaged Business Enterprise Information," (Exhibit 10-I) to determine how to count the participation of UDBE firms. Note: If the proposer has not met the contract goal, the local agency must evaluate the proposer's good faith efforts to meet the goal in order to be considered for award of the contract. Exhibit 10-O1 must be signed and dated by the consultant submitting the proposal. Also list a phone number in the space provided and print the name of the person to contact. For the Successful Proposer only, local agencies should complete the Proposal Number, Federal- aid Project Number, Federal Share, and Proposal Date fields and verify that all information is complete and accurate before filing. Page 10-74 July 31, 2009 ~ LPP 09-02 Local Assistance Procedures Manual EXHIBIT 10-02 Local Agency Proposer DBE Information (Consultant Contracts) EXHIBIT 10-02 Local Agency Proposer DBE Information (Consultant Contracts) NOTE: PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS FORM LOCAL AGENCY: LOCATION: PROJECT DESCRIPTION: TOTAL CONTRACT AMOUNT PROPOSER'S NAME: WORK DESCRIPTION OR SERVICES TO BE DBE CERT N0. NAME OF EACH DBE DOLLAR AMOUN T OF ITEM N0. SUBCONTRACTED (or contracted if AND EXPIRATION (Must be certified at the time EACH DBE the proposer is a DBE) DATE proposals are due -include DBE address and phone number) For Local Agency to Complete: Total Claimed DBE Local Agency Contract Number: Participation Federal-Aid Project Number: % Federal Share: Contaact Award: Local Agency certifies that the DBE certifications have been verified and all informations is complete and accurate. Signature of Proposer Print Name Signature Date Date (Area Code) Tel. No. Local Agency Representative (Area Code) Telephone Number: FOr CaltrallS ReVIeW: Person to Contact (Please Type or Print) Print Name Signature Date Local Agency Proposer DBE Information (Consultant Conttarcts) Caltrans District Local Assistance Engineer (Rev 6127109) Distribution: (I) Copy -Fax or scan a copy to the Caltrans District Local Assistance Engineer (DLAE) within 15 days after contract execution. Failure to send a copy to the DLAE within 15 days after contract execution may result in deobligation of funds for this project. (2) Original -Local agency files Page 10-74a LPP 09-02 ~ July 31, 2009 EXHIBIT 10-02 Local Assistance Procedures Manual Local Agency Proposer DBE Information (Consultant Contracts) INSTRUCTIONS -LOCAL AGENCY PROPOSER DBE INFORMATION (CONSULTANT CONTRACTS) SUCCESSFUL PROPOSER: The form requires specific information regarding the consultant or other contract: Local Agency, Location, Project Description, Total Contract Amount, Proposal Date, and successful Proposer's Name. The form has a column for the Work Item Number and Description or Services to be Subcontracted to DBEs. The prime consultant shall indicate all work to be performed by DBEs including, if the prime consultant is a DBE, work performed by its own forces, if a DBE. The DBE shall provide a certification number to the prime consultant. Enter DBE prime consultant's and subconsultant's certification number. The form has a column for the Names of DBE certified contractors to perform the work (must be certified on or before the proposals are due and include DBE address and phone number). Enter the Total Claimed DBE Participation dollar amount of items of work in the total DBE Dollar Amount column. (If 100% of item is not to be performed by the DBE, describe exact portion of time to be performed by the DBE.) See "Notice to Proposers Disadvantaged Business Enterprise Information," (Exhibit 10-I) to determine how to count the participation of DBE firms. Exhibit 10-02 must be signed and dated by the successful proposer at contract execution. Also list a phone number in the space provided and print the name of the person to contact. Local agencies should complete the Contract Number, Federal-aid Project Number, Federal Share, and Contarct Award fields and verify that all information is complete and accurate before signing and sending a copy of the form to the District Local Assistance Engineer within 15 days of contract execution. Failure to submit a completed and accurate form within the 15-day time period may result in the deobligation of funds on this project. District DBE Coordinator should verify that all information is complete and accurate. Once the information has been verified, the District Local Assistance Engineer signs and dates the form. Page 10-74b July 31, 2009 LPP 09-02 Local Assistance Procedures Manual EXHIBIT 10-P Nonlobbying Certification for Federal-aid Contracts Exhibit 10-P Nonlobbying Certification For Federal-Aid Contracts The prospective participant certifies by signing and submitting this proposal/bid to the best of his or her knowledge and belief that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. (2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subj ect 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/her proposal/bid that he/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. Page 10-75 LPP 09-02 ~ July 31, 2009 Local Assistance Procedures Manual EXHBIT 10-R Disclosure of Lobbying Activities Exhibit 10-Q Disclosure of Lobbying Activities DISCLOSURE OF LOBBYING ACTIVITIES COMPLETE TKIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: ? a. contract ? a. bid/offer/a lication ? a. initial pp b. grant b. initial award b. material change c. cooperative agreement c. post-award d. loan For Material Change Only: e. loan guarantee year quarter f. loan insurance date of last report 4. Name and Address of Reporting Entity 5. If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime: Prime ?Subawardee Tier , if known Congressional District, if known Congressional District, if known 6. Federal Department/Agency: 7. Federal Program Name/Description: CFDA Number, if applicable 8. Federal Action Number, if known: 9. Award Amount, if known: 10. a. Name and Address of Lobby Entity b. Individuals Performing Services (including (If individual, last name, first name, MI) address if different from No. l0a) (last name, first name, MI) (attach Continuation Sheet(s) if necessary) 11. Amount of Payment (check all that apply) 13. Type of Payment (check all that apply) $ ? actual ? planned ? a. retainer b. one-time fee 12. Form of Payment (check all that apply): c. commission a. cash d. contingent fee b. in-bind; specify: nature e deferred Value f. other, specify 14. Brief Description of Services Performed or to be performed and Date(s) of Service, including officer(s), employee(s), or member(s) contacted, for Payment Indicated in Item 11: (attach Continuation Sheet(s) if necessary) 15. Continuation Sheet(s) attached: Yes ? No ? 16. Information requested through this form is authorized by Title 31 U.S.C. Section 1352. This disclosure of lobbying reliance Signature: was placed by the tier above when his transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. print Name: 1352. This information will be reported to Congress semiannually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject Title: to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Telephone No.: Date: Authorized for Local Reproduction Federal Use Only: Standard Form - LLL Standard Form LLL Rev. 04-28-06 Page 10-77 LPP 06-02 ~ May 1, 2006 EXHIBIT 10-Q Local Assistance Procedures Manual Disclosure of Lobbying Activities INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime federal recipient at the initiation or receipt of covered federal action or a material change to previous filing pursuant to title 31 U.S.C. Section 1352. The filing of a form is required for such payment or agreement to make payment to lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress an officer or employee of Congress or an employee of a Member of Congress in connection with a covered federal action. Attach a continuation sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. 1. Identify the type of covered federal action for which lobbying activity is and/or has been secured to influence, the outcome of a covered federal action. 2. Identify the status of the covered federal action. 3. Identify the appropriate classification of this report. If this is afollow-up report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last, previously submitted report by this reporting entity for this covered federal action. 4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District if known. Check the appropriate classification of the reporting entity that designates if it is or expects to be a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the first tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants. 5. If the organization filing the report in Item 4. checks "Subawardee" then enter the full name, address, city, State and zip code of the prime federal recipient. Include Congressional District, if known. 6. Enter the name of the federal agency mal~ing the award or loan commitment. Include at least one organization level below agency name, if known. For example, Department of Transportation, United States Coast Guard. 7. Enter the federal program name or description for the covered federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans and loan commitments. 8. Enter the most appropriate federal identifying number available for the federal action identification in item 1(e.g., Request for Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract grant. or loan award number, the application/proposalcontro1 number assigned by the federal agency). Include prefixes, e.g., "RFP-DE-90-001." 9. For a covered federal action where there has been an award or loan commitment by the Federal agency, enter the federal amount of the award/loan commitments for the prime entity identified in item 4 or 5. 10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in Item 4. to influenced the covered federal action. (b) Enter the full names of the individual(s) performing services and include full address if different from 10 (a). Enter Last Name, First Name and Middle Initial (Ml). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (Item 4) to the lobbying entity (Item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-bind contribution, specify the nature and value of the in-kind payment. 13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature. 14.Provide a specific and detailed description of the services that the lobbyist has performed or will be expected to perform and the date(s) of any services rendered. Include all preparatory and related activity not just time spent in actual contact with federal officials. Identify the federal officer(s) or employee(s) contacted or the officer(s) employee(s) or Member(s) of Congress that were contacted. 15. Check whether or not a continuation sheet(s) is attached. 16. The certifying official shall sign and date the form, print his/her name title and telephone number. Public reporting burden for this collection of information is estimated to average 30-minutes per response, including time for reviewing instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503. SF-LLL-Instructions Rev. 06-04-90«ENDIF» Page 10-78 May 1, 2006 ~ LPP 06-02 Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment C (THE BIDDER'S EXECUTION ON THE SIGNATURE PORTION OF THIS PROPOSAL SHALL ALSO CONSTITUTE AN ENDORSEMENT AND EXECUTION OF THOSE CERTIFICATIONS WHICH ARE A PART OF THIS PROPOSAL) EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION The bidder ,proposed subcontractor ,hereby certifies that he has , has not , participated in a previous contract or subcontract subject to the equal opportunity clauses, as required by Executive Orders 10925, 11114, or 11246, and that, where required, he has filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance, a Federal Government contracting or administering agency, or the former President's Committee on Equal Employment Opportunity, all reports due under the applicable filling requirements. Note: The above certification is required by the Equal Employment Opportunity Regulations of the Secretary of Labor (41 CFR 60-1.7(b) (1)), and must be submitted by bidders and proposed subcontractors only in connection with contracts and subcontracts, which are subject to the equal opportunity clause. Contracts and subcontracts which are exempt from the equal opportunity clause are set forth in 41 CFR 60-1.5. (Generally only contracts or subcontracts of $10,000 or under are exempt.) Currently, Standard Form 100 (EEO-1) is the only report required by the Executive Orders or their implementing regulations. Proposed prime contractors and subcontractors who have participated in a previous contractor subcontract subject to the Executive Orders and have not filed the required reports should note that 41 CFR 60-1.7(b) (1) prevents the award of contracts and subcontracts unless such contractor submits a report covering the delinquent period or such other period specified by the Federal Highway Administration or by the Director, Office of Federal Contract Compliance, U.S. Department of Labor. Page 12-79 LPP 01-04 ~ March 15, 2001 Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment D Noncollusion Af~davlt (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY I COUNTY of 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 other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Noncollusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Noncollusion Affidavit. Bidders are cautioned that making a false certification may subject the certifier to criminal prosecution. Page 12-81 LPP 01-04 ~ March 15, 2001 Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment E DEBARMENT AND SUSPENSION CERTIFICATION TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 The bidder, under penalty of perjury, certifies that, except as noted below, he/she or any other person associated therewith in the capacity of owner, partner, director, officer, and manager: • Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; • Has not been suspended, debarred, voluntarily excluded or determined ineligible by any federal agency within the past 3 years; • Does not have a proposed debarment pending; and • Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past 3 years. If there are any exceptions to this certification, insert the exceptions in the following space. Exceptions will not necessarily result in denial of award, but will be considered in determining bidder responsibility. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action. Notes: Providing false information may result in criminal prosecution or administrative sanctions. The above certification is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Certification. Page 12-83 LPP 01-04 ~ March 15, 2001 EXHIBIT A-I CONSULTANTSPROPOSAL APRIL 6, 2010 13 25G-67 il~ ~ li llr~ m i., q o,,,. ~ "u^.p ~=.i,~ q'.. " a ~ - IIII, 9': 'M^ r ."pig M '"~a ~ Vix Of'~1Q V u~. '.x.. ~ ~ w~'v ~N. iii d I I III ~ I! my~ III ~ , ~i~ III III ~ ~ II ~ III ~ Ik Ik ~ III III 4r III III , II Iflr III E i i ; d III: 1 ~ ~r Y Iv"i. ~ ~ ir,~,.,, , ray eiiiyr ~.~.wt ~ ~~i F f ua f ~ / ~ ,w ~ r ,r l ~ 1 , ~ ~ e y f. n „v A . r riF' F i w w i, T r ~ ~ ~ 1 i i ~Y_^- ry 1~ ~i 2 rt.. ` L ~ ~ ~ ~i w t. ti z 1 r N ~ ~ ~ # : t - 4 * ~ ~ « a i _ ~ y I j ~ . ~ i~ y, ~ ~ .X M . .y ~ ~ ~ ~ ~ iI f - _ . f +ij , ' ~ .n i i ma ~ f ~ f JJJ H r y 4 ~ ? fi~ I r' _ i ~ ~I~ i~ i Ilh i ; i ti's ~ r ~ ~ ~ ~ ~ ~ 1. IIII ~ i ~1 ~ i I rr ~ i t ' , ~ II I ~ -r,; 1 re.Yt~ i I 1 . IIWM 17f. Ylk' ~ ~ ~ T" I'. ~~f lid i l l n i i ~ . ...Y,....... v w. _ a iii. r, - R , ~ _ uu . iii w9i... ~ . ~ u .,m l ii ¢ ~M,r~ "gyn.. i ,y v. ~ vo "sa. ~ 3m v.MU `Nh4~s. ~ Nn ~ _ rv nvi ~ AECOM 714.567.2501 tel ~ 999 Town & Country Rd. 714.567.2441 fax Orange, CA 92868 www.aecom.com April 6, 2010 SouriAmirani Public Works Agency 3rd Floor 20 Civic Center Plaza -Ross Annex (M-36) Santa Ana, CA 92701 Subject: Proposal for Project Study Report Equivalent and Conceptual Engineering Plans for Santa Ana Boulevard Grade Separation Project Dear Ms. Amirani: Situated between I-5 to the east and downtown Santa Ana to the west, Santa Ana Boulevard offers the traveling public true regional mobility with freeway access for vehicles and the adjacent Santa Ana Regional Transportation Center (SARTC) for both bus and rail. Mobility through this passageway however can sometimes be cumbersome due tothe at-grade rail crossing of the OCTA/SCRRA railroad (2-track configuration), The construction of a railroad grade separation would greatly enhance travel mobility, reducing delays, and provide a significant safety enhancement for both vehicles and pedestrians. The challenge will be to determine the most cost effective solution which enhances the community while limiting impacts to the SARTC and I-5 freeway ramps, the traveling public during construction, and the residential neighborhood. Here is where AECOM excels. Railroad grade separations are one of our specialties and we can bring a wealth of grade separation expertise to the City. In the last 10 years alone, we have been at the helm of close to 50 railroad grade separations, ranging from simple to the very complex. In doing so, we have served a broad range of clientele. In addition to our relevant project experience, we also bring a vast knowledge of how the City does business, coming from our Project Director, Mr. Pat Somerville, who has worked for the City for the past ten years through our on-call engineering services contract. We are eager to bring this expertise to the City to assist in moving this railroad grade separation project forward. To do so, we are committing Mr. James Faber as the Project Manager. He has led the effort on many similar projects and has successfully and efficiently delivered them on time and within, or below, budget. We are committing two well seasoned veterans in Edward Ng (35 years) and Mohan Char (15 years) to lead the Civil and Structural efforts, respectively. To summarize, the AECOM advantage on this project consists of: A complete understanding of a grade separation project and the process it entails, based upon our extensive project expertise and the in depth know-how of our committed staff Staff availability; we are ready to start immediately Extensive experience of successfully working with the city, OCTA, and SCRRA Proven track record in timely and cost effective project delivery Demonstrated flexibility and responsiveness to changing project needs On behalf of AECOM, I am proud to present this team of firms and staff to the City. We recognize the importance of the City's undertaking and want to make sure "it happens" successfully. The undersigned hereby states that: only the person, persons, company or parties interested in the proposal as principals are named therein; the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; the proposal is, in all respects, fair and in good faith without collusion or fraud; and, the signer of the proposal has full authorityto bind the principal proposer. Sincerely M Patrick L. Somerville, PE Vice President (714) 567-2755 pat.somervi lle@aecom.com ~`~II °.II fl rc 1111111 "1111 where projects with environmental approval are clearly IIL IIL. IIL.. 111111 favored. We understand clean this ro~ectis rou ed b Y p J g p Y The purpose of this Project Approach is to demonstrate to OCTA into the next phase of grade separation projects, with the City of Santa Ana (City) our team's grasp of the project the current phase under design, so with this next phase, there challenges and key issues, and to demonstrate our ability to may be stiff competition from other projects/cities with OCTA achieve the project objectives efficiently, cost effectively, and for a potentially limited pool of available funds. Moving Santa expediently. Our technical review of the project requirements Ana Boulevard ahead of the others likely will yield budgetary and the site-specific constraints has enabled us to identify a dividends. number of key project objectives: We also provide, within AECOM, the ability to seek project Maximize the City's "Bang for their Budget" funding. On our team is Mr. John Barna, whose expertise Effective coordination with Southern California is project funding. As a former member of the California Regional Rail Authority (SCRRA) and the Orange County Transportation Commission (CTC), Mr. Barna was intimately Transportation Authority (OCTA) involved with project funding decisions made by the CTC. Define/maintain a realistic and comprehensive We plan on using Mr. Barna to assist our team and the City schedule for completion in the hunt for funding. Additionally, with a project that has Define a detailed scope of services sufficient to achieved environmental clearance at an early time within the eliminate contract change orders project's development, we will have a strong candidate for Maintain project budget any funding that can be identified and competed for. AECOM Identify and study (a minimum of) three (3) alternatives also has advocates that can seek out funding opportunities at that meet the need and purpose of the project the Federal level. Maintenance of traffic during construction II I~ I I~ I I I .,I i i i ~ ~ It is very critical to the success of this project to effectively We have visited the project site, have come to a clear coordinate and communicate with both SCRRA and OCTA. understanding of the project challenges and issues, have As the City well knows, the railroad right of way within the reviewed the scope of services, and have produced a schedule for the completion of the scope of services. During this time of coming to a thorough understanding of the project, we have arrived at the conclusion the City can get more for the budget they have allotted for this phase of the project. We offer for the City's consideration, to complete this phase and the next phase of the project, the Project Approval/Environmental Document (PA/ED) Phase, for less than the $1.3M stated as the Project Budget on page 15 of the RFP. Therefore, we propose to complete a PSRE, a Project Report, and obtain environmental approval through an approved ED for the project, all for under the budgeted amount listed in the RFP. We can say this because we have solicited a complete scope of services and a fee for obtaining environmental clearance from our subconsultant ICF-Jones and Stokes. The full scope for this is included for the City's u reference in the appendix, along with a schedule for this u proposed, expanded project definition. Our fee for this expanded project definition is included separately, along with our fee for the services defined in the RFP. ii This strategy yields benefit to the City for the delivery and completion of the project, since moving expediently into the environmental phase will result in better project readiness. The project becomes a real project sooner. With the environmental phase completed, it can be better positioned for funding, whether funding may ultimately come from OCTA, or from another source, such as Federal stimulus funds, a i , II II ~~r ~ II x „N~~~ ~~~~~~~W ~ I ' ~ III II I I I ir~ ~ ~ . ~~II~~'~'~'~'~~~~~° II , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , project limits is owned by OCTA, and the railroad is operated is included as ~ on page 17. We are committed to and maintained by SCRRA (BNSF, Amtrak, and the UPRR aggressively pursue the schedule, once it is reviewed have user rights). Because of this, any and all impacts to the and approved by the City. We will constantly monitor progress railroad infrastructure and operations need the approval of to identify variances from said schedule to ensure that the first, and foremost, SCRRA, and ultimately OCTA, project is delivered on schedule, and institute corrective measures in order to get back on track, if the need arises. AECOM offers the City the benefit of a vast amou nt of experience working with SCRRA and OCTA, both at a company, I~ ~ II . and an individual, level. On the company level, AECOM At AECOM, we partner with our clients in developing a currently holds on-call contracts with SCRRA for both design comprehensive scope of services, looking forward in planning and project management/construction management, and the tasks necessary to complete the project. We also through these contracts, have become very familiar with their understand that projects take many unexpected turns along project development procedures and policies, and with their the way, and we have a strong history of being able to roll with staff. On an individual level, our proposed Project Manager, these changes within our original budget. Our team will make Mr. James Faber, has recently completed an assignment with every attempt to address the unforeseen changes as they SCRRA where he served as Project Manager for the Orange arise in order to deliver the project within the agreed upon County Grade Crossing Safety Enhancement Project. Through budget with the City. this assignment, Mr. Faber gained valuable experience, I I I ~ developed valuable relationships with their managers of ~ ~ ~ I bothSCRRA and OCTA, and obtained a clear understanding With these uncertain times, due to the State budget crisis, of how they conduct their business of running the Metrolink project budgets, and the ability to fund such projects, or Railroad. programs, have become increasingly difficult and important. AECOM is also leading the effort on the Orangethorpe We are acutely aware of the importance of maintaining and Avenue grade separation project for OCTA, which gives us maximizing the Project Budget. We will be constantly looking a solid understanding of the OCTA expectations on grade for ways to engineer project savings with the design. In separations, especially related to the balance of project addition, we think it is important to attempt to save design dollars, by working more efficiently, and completing the needs and cost control. project with budget to spare. We feel if we are able to save We will bring this important experience and knowledge of our clients a portion of the budget, then it will give them SCRRA and OCTA to bear on this project to assist the City the flexibility to utilize these savings to help fund other with its delivery, knowing full well we are working for the City, projects. This has consistently been our practice in managing as our client, and working with our partner stakeholders to our projects. We feel that, if we give something back to our ensure this project's success. clients, while providing excellent client service, we have done our job. II I We feel one of the best ways to demonstrate our knowledge ' ' I and our strategy for developing the project is to produce For the Project Study Report Equivalent (PSRE), we will a comprehensive project schedule. This project schedule develop roadway alternatives to meet the need and purpose of the project, and when these are developedlnsufficient I iiiiiiii iiiiiiii II II II I ~ iui 1111111 II II r, ~ i I, II II ~ ~ ~ II x „N~~~ ~~~~~~~W ~ I ' ~ III II I I ir~ ~ ~ . II ° . II ~v detail, they will be scored based upon criterion defined by Some of the disadvantages are: the Project DevelopmentTeam (PDT), includingthe definition of the importance, in terms of point values, for each of the Introduces two sets of reversing curves to the factors used for comparison. It will be our responsibility horizontal alignment, resulting in the most degraded to thoroughly study these alternatives, so an accurate and final alignment, when compared to the other two defensible account of each relative to the other can be alternatives achieved. The RFP mentions developing "initial screening Has the least effective land use planning, given the criteria" to assist in this process, and this is exactly how we remnant parcels from the current street alignment develop the grade separation projects we have successfully adjacent to the residential properties completed. We use a Comparison Matrix shown as I Requires additional work to reestablish access to and have included an example within this proposal, located Fruit Street and the adjacent properties. Even though immediately after the alternatives figures.This example has the RFP states this leg of Fuller Street is to become a been populated with very preliminary data, but serves well cul-de-sac, it may be prudent to revisit keeping this to show how this tool assists in the differentiation ofthe access to Santa Ana Boulevard in support of future studied alternatives. development Three (3) alternatives are included in this proposal, more fully Alternative 3: North Alignment described as follows: This alignment is also shown in II I ,.Beginning from the Alternative 1: Centerline Alignment-Undercrossing western limit of the project, this alternative turns northerly, continues northwesterly on tangent, then turns southerly This alternative follows the existing centerline of the matching the existing alignment easterly of the I-5 SB on- roadway,and is shown in plan and profile in I„ ,,.The ramp. Similar to Alternative 1, the profile daylights at or near profile for Alternative 1 daylights at or near the Santiago the Santiago Street centerline requiring, at most, a minor Street centerline requiring, at most, a minor overlay on the overlay on the westerly project limit, and for the easterly westerly project limit, and for the easterly limit, also meets limit, also meets the existing roadway at or near the I-5 SB the existing roadway just west ofthe I-5 Southbound (SB) off- off-ramp. Some of the advantages of this alignment are: ramp. Some of the advantages of this alignment are: • Similar to Alternative 2, it minimizes utility relocations • Requires no additional right of way, and incurs no Similar to Alternative 2, it can be constructed with less foreseeable relocation or severance costs disruption to the traffic than Alternative 1 • Most effective for Land Use, since it maintains the existing use through-out the project Some of the disadvantages are: • Maintains the existing tangential alignment for Santa .The City has stated right of way acquisition within the Ana Boulevard residential parcels located between Santiago Street Some of the disadvantages are: and Lincoln Avenue, north of Santa Ana Boulevard, is very controversial to the neighborhood; therefore this • Requires the most utility relocations, those affected disadvantage is fairly encompassing, and probably is being gas, water, sewer, and storm drain enough to classify Alternative 3 as non-viable • Requires traffic to be detoured away from the existing/ Impacts the alignments of both the I-5 on and off- futurepath oftravel for a longer duration, when ramp, resulting in the need to involve Caltrans in a compared to the other two alternatives permit/oversight role, increasing both the schedule and Alternative 2: South Ali nment the cost of the project g May be the most environmentally impactful,due tothe This alignment is shown in III°~° ...Beginning from the need to construct the new roadway on the currently western limit of the project, this alternative turns southerly vacant parcel westerly ofthe I-5 SB off-ramp using a set of reversing curves, continues for a short distance Overcrossing Alternative parallel to the existing centerline, then turns northerly using another set of reversing curves, finally matching the Our site visitations, and our discussions with the City, have existing alignment west ofthe I-5 SB off-ramp. Similar to educated us on the constraints of the project, such that at Alternative 1, the profile daylights at or near the Santiago this early stage of the project development, it can be safely Street centerline requiring, at most, a minor overlay on the stated that the roadway overcrossing alternatives can be westerly project limit, and for the easterly limit, also meets discounted (although we will study them to ensure the the existing roadway just west ofthe I-5 SB off-ramp. Some alternative analyses are thorough and complete). It appears of the advantages of this alignment are: that overcrossings will not be the most cost effective solution to this project, nor without substantial public controversy, • Requires the least amount of utility relocations due to the visual impact and close proximity of the residential • Can be constructed with the least amount, and properties to Santa Ana Boulevard (as mentioned above in duration, of traffic disruption the discussion on Alternative 3). 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Study (APS) for Santa Ana Grade Separation Improvements. ~ ~ ~ " ! W. The purpose of Advance Planning Study is to evaluate ~ „ ~ ~ ~ .;A . ~ ~ I, ~ feasible structure types, understand City, County, OCTA, , , ~ w SCRRA, and Caltrans requirements, identify constraints, ~ ~ , ~ ~ "w,r ~ ~ and develop associated cost estimate summary for the i ~ I~~~~L N ~ ~ _ ti, r.; ; ~ ~ structure work involved. Additional APS's will be re ared as a"~ ~ ~ ~ ` ~ y appropriate to consider alternative structure types. ~ ~,r-~i~~~~~ ~ ~ ~ ~ r,,~~~~,-~~~~~ A com rehensive desi n memo must be re ared to ~ ~ ~ ~ ~n p g p p ~ 7, ~>t ar ~ - summarize and document the following key items:1) ti important, or unusual, design assumptions or structure ~ ~ ~ ~ features, particularly any deviations from standards .,.u..: ~ ~ ~ ~ : . ~ ~n to accommodate the site constraints, 2) discussions with City/County/OCTA/SCRRA/Caltrans/Stakeholders/ ~ ~ I:~~. Resource Agencies concerning any key assumptions, 3) I~.,I.~,,, ~.~~~~,-n,~,~ ~,r~~r°~'~~~il~'11 cit re uirements such as aesthetics im rovements in the The span length required to span the Santa Ana Boulevard y q p roadbed is approximately 134'. The typical span range for vicinity of the structure, or other obstructions, 4) special this type of construction extends to about 150-ft under foundation requirements, special excavations such as Type Cooper E-80 loading. Therefore, even though the required A, Type D (if ground water is shallow), and/or hazardous span is nearing the upper limit of the typical structure span or contaminated material, shoring adjacent to the tracks, length, this structure type is suitable for construction of new 4) special construction requirements, including limited underpass. The total structure depth for the replacement of site accessibility, 5) stage construction, and 6) SCRRA the double track would be approximately 13'-6". Provisions Requirements (closure windows, flagmen etc.). can be made in the bridge design so that is capable of The information identified in the APS as listed above supporting a future third track, should this become a and preliminary structure costs are used as a part of the requirement of OCTA/SCRRA. To support a possible third evaluation to select the best project structure alternative, track, the through girder, on the either left or right side of which will be carried into the design phase along with the the underpass, will be required to have a structure depth preferred roadway alignment alternative. approaching 15' in order to support the full weight of a Cooper E-80 live load. Two structure alternatives are presented and discussed in detail in the ensuing sections. The abutments will be precast type and will be supported on drilled shafts (the shafts can be constructed under Construct Through Girder Underpass on-site and Roll normal, single track weekend closures prior to the 56 hour into Place for Final work window, while the abutments would be placed as one This structure alternative has the distinct advantage of of the first operations during said window). The through constructing the bridge in place without long-term disruption girder underpass structure can be constructed in the of Metrolink's service operations, thereby eliminating the staging areas near the project site. Once the substructure need of shoofly tracks and station modifications, and work is completed, and the 56 hour work window has been minimizing the time for the vehicular traffic to be detoured implemented, the bridge superstructure can be placed on around the construction site. While the traveling public has rollers and moved from the staging area location to the been moved to a detour road, this completed structure can finished main line alignment. be rolled into place over a 56 hour weekend work window, Special details will be required, including jacking stiffeners from Friday night to Monday morning, when train service can in the through girders where the bridge jacks are to be then be restored. What will remain will be the construction placed for raising the bridge off of its bearings, and bearing of the depressed roadbed for Santa Ana Boulevard, in a "top stiffeners at the locations where roller bearings are to be down" construction sequence, that is to build the walls first, placed in order to support the bridge and roll it from the and then excavate the roadway in front of the wall to final staging area to its final installation location on the main line grade. Upon completion of roadway construction, traffic can alignment. In addition, a system must be constructed to resume the normal pattern on the new facility. This method support the dead load of the bridge superstructure on the for construction of the bridge has been done successfully, roller bearings and guide its movement from the staging area previously in 1994, for the double track bridge over the Santa to its final installation position. The bridge bearings used to Ana River. I"" ~ shows the general plan sheet of this support the bridge at the staging area can be removed and proposed structure type, and the construction sequencing placed on the finished abutment seats in the final installation associated with buildingthis structure. location. Construct Precast Prestressed Box Girder Underpass a . i„ ~ii „ ~~~~~~ii~ Iir~~~ e~,k~~~ . ~ „d i~~,~~ IE;;;;;~~~~ iii , ~ I~ ~ . i , I~~~ ~ ~ ,,,,,v ir~o~~,~ ~ir~a . ~~,,,,y ~a,~ii~~,~ ird ~ ~ ~t'ii~~iu~~n I~~r,u „,I I ~ ~ , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , This superstructure alternative will require shoofly tracks, construction due to adequate redundancy in the system or station modifications, and detoured traffic to isolate the the ability to backfeed the service to the end users. bridge site com pletely for construction. Th is alternative proposes to construct a railroad bridge by lowering the Santa Construction Staging: Where a utility corridor is not Ana Boulevard. Atwo-Span Structure Alternative would work feasible and services must remain in service, construction very well at this location. This proposed double track railroad staging must account for both the existing and permanent bridge structure is approximately 126.7 feet long and 40.3 location of the utilities to ensure continual service. With feet wide, with no skew to Santa Ana Boulevard. A Pier Bent the staged construction approach on this project, this is needed in the median of Santa Ana Boulevard, which will is a feasible approach, though it may require temporary result in the maximum span length of 63.3 feet, and therefore relocations to clear the stage one construction. a SCRRA Standard Precast/Prestressed (PC/PS) Double Cell Box Girder Structure can be used for the structure type. Attention is directed to General Plan - PC/PS Con Box Alternative, . A precast, simply supported structure is the preferred railroad bridge type because of its flexibility for repair and replacement in the future. Significant shoring would be r, ~ ~ r~"" " required around the construction area when constructing the ' i W r ham.. tr~~.l bridge. Retainingwalls would be required forthe roadway M~`'~ ~ ~ ~d, ~ ~ `2z-~ ~ ' A, ~ , r, de ression. In order to facilitate the traffic sta in /handlin ~ ~ ' p gg g ~ - ~ during the construction, the walls constructed parallel to „I~,1,~ , ~ ~ ~ ~ ~s Santa Ana Boulevard could be constructed using "top-down" " ~ r'tA`~'" ,~F',; ter„ ~w,~~„~ Diu R~awdh~Y~ 1 9,,t.~, y. M1~~ I r+k~1 ~kc ,~~~~~.n~ ~ ~ ~ <r~ construction. - f~~~~, ~ ~,~x ~ ~ .!N...... ~ } ~'61 / rW~ kr °"ref ~ r Ili i° ~ ...III Always a significant concern on any grade separation due A-~-~ ~ r ;y to the impact to existing facilities, AECOM takes a tried and trued approach to coordinating these efforts. This starts with ~ „ ~ ~ s,.. our current relationships that we have developed on past iip"~ ~ projects with each of the utility companies, which allows us ~ ~ ~ to understand each of their needs, to develop a strategy for ~ their relocation and to address im acts both Burin and after ~ . p g r ~ ,r, uu,llllluu~' construction ~ ~ P ` /~'i~v a' The key is to be proactive, meeting early and often, and ~~~aV,;~.,~~,~iiii I ~~~i~~ ~r~~p~~~7~ liiii~ ~~~~u.a„~~~~~~~~ ~,~a„~~~.~~, disseminatingthe project information to each utility ii~~~~.a~~~a~tli~ii°~~u i~~~~.~; ~6 '~,p~~ ~~i~~aii~a,~iiir~~u company. AECOM will develop a conceptual relocation plan and refine this further with input from the utility companies. No one will know the impacts and obstructions to be encountered better than our designers, and it is up to us to convey this information to the utility companies. Our goal will be to provide a single relocation, when feasible, for each utility within the project site. We have effectively achieved this on past projects through the use of: Utility Corridors: Utilize easements or acquired right-of- wayoutside the Santa Ana Blvd. footprint, combining with access roadways to better utilize space.The utility corridor allows for a single relocation of each utility, eliminating the need for temporary relocations, especially as the agency typically will bear the cost of one of these relocations. This will be the preferred method, especially with City owned land on the south side, as well as many utilities already located within the old Fruit Street right-of-way, outside of the grade separation improvements. Temporary Shutdowns: Early discussions with the utility companies, especially water and gas, might yield the fact that particular pipelines may be taken out of service during a . ~~~~~ii Il~ir~~ ~,k~~~ ~„d I~ ~ i~~,~~ IE;;;;;~~q~,~fia~~ ~ i... .~ii ir~ot,~ ~ir~a . ~~,,,,y ~a,~ii~~,~ ird ~ ~ ~t'ii~~iu~~n I~~i~,u d....U Y~ YF L ~ ~ y y ~ a 3 , # ~ ~ m a m 3 i ro a~ ~ W JZ ` m ~ N m ~ n ~ ~ ~ 0~ y U aQ ~m w~ ~ ~m ~ ~ ~W a~ a m ~ Uwe ~ A! 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We have discussed previously in this proposal a potential ~ ~ strategy to minimize the duration of traffic interference, , R _ ~ , ~ ~ ~ ~ this being the roll in structure alternative for the bridge ~ ~ superstructure, since the bridge can be manufactured onsite, ~ ~ ~ ~ while traffic is still in its existing pattern. Only when the new bridge is moved into its final location and during the ~ ° ' ~ ` construction of the majority of the approach work is there a ~ ~ . ~ '~~~~'r^r , ,~1 y r ~ i need to detour the traffic. We have included one ossible lan fortraffic handlin and construction sta in and this lan g g~ g~ p . , . corres onds to this ro osed construction scheme. Please ~ IIII t p p p A , ~ ~w reference „ ~ ~ ~ ~ `q+q P~ ~ ; "'""'r~ shows utilizing the south side of Santa Ana ~g ' ~ Boulevard for a detour road, beginning from the [insert detour ~ ~ ' ~ ~ ~ ~ , r II ~e0 r h n rli rvi mil n hi r r h oad p oto se tea e a e a adjace t to t spa ag ap ] M ; ~ ~ ~u~, ~ intersection with Santiago Street on the westerly limit of , ~wM> b ~ the project, then turning southerly, before running parallel a ~ to Santa Ana Boulevard, finally meeting the existing street ~ ~r M~ . alignment and profile near the Fuller Street intersection. This ~ ~ ° ~P~ ' ~ detour road is proposed to be two lanes in each direction. ~ ~ ~ ~ ° ~ ~ Of course this reduction of the third lane in each direction ~ ~ . for the detour road would require the need for further " ~ ~ I~ ~ I AIC,~ ~ r ~ . o Iw~, ' I , n traffic studies to confirm the viability of this configuration ~ in terms of Level of Service (LOS) for both the road and the The RFP mentions the possible need for temporarily locating intersections, and surrounding network of streets. The figure the railroad operations onto shoofly tracks. This would shows the proposed first stage of the construction, during be necessary for all other strategies for constructing the which the majority of the improvements can be completed, underpass bridge structure. We have included II°~~~°'~~~ and with only the south side (eastbound traffic direction) of Santa this figure shows one possible plan for the alignment of the Ana Boulevard, both at and near the west, and east, end shoofly tracks, this being easterly of the existing alignment, tie-ins to the existing alignment and profile needing to be beginning just southerly ofthe I-5 crossing, turning easterly constructed. The next stage would shift traffic to north side and then running parallel to the existing tracks until well of the roadway, while completing the final work elements. southerly of the station, and then turning easterly to join the existing track alignments. The RFPalso mentions To evaluate the traffic impacts during construction, our the importance of the shoofly alignments to utilize the approach will look at several alternatives for traffic flow station platforms.This alignment achieves that need, with through the project site, and impacts to the surrounding passengers being able to access the westerly track from street and freeway network, including: the existing platform, with a temporary, probably asphalt The use of a reversible lane to address peak hour concrete, platform, which can be constructed for access to traffic movements. A moveable barrier could be used the easterly track. An SCRRA Standard Pedestrian Crossing to provide three westbound lanes in the morning, and would be required at both ends of the platform to cross the three eastbound lanes in the evening. shoofly tracks for access to the easterly track. Due to physical constraints at Fuller consideration ~ - r~,_ . might begiven to aone-way couplet using Fruit Street ~ for eastbound traffic to Grand Avenue with westbound G ~ ~ traffic onSanta Ana Boulevard. This couplet would be join together prior to Santiago Street. Close evaluation ofthe I-5 ramps for circulation will ~ ~~j;iill also be a key component. With advance notification, i. "y traffic utilizingthe Grand Avenue exits may instead ~ ~ ~ , ~ use 17th Street and 4th Street with alternative routes, , , . , , further reducing the load on Santa Ana Boulevard Burin construction. ~ g T _ R~~ ; " _ ~ I 6 it ° II ~ d _ II • o u.„~ i. u ~ ~ p ~ II"II ~ . ~I ~ IY~'n a,;~ IY' ~ ~ IY'" II ~ a~ . i ,~~~~II~ Ii~lY~~b~~,k'~ . „d I""~ IE;;;;;q~,~fi~~ I ~ ~ ~ li l , li~~~ „ , ~ ,,,,,v Ir~o'~,~ ~Ir~a . ~~,,,,y ~a,~ll~~,~ Ir ~ ~ ~t'ii~~lY~'n IPIYR„p Ira ~ r N d....A z Z J W ~ p a fi Z pZZ ~ C7 Q Q Q O Ga H ~ ~ ~ J ~ N Q ma w z V (n G o o z I I ~r r ~;b ~~i' rfj nt ~ !":d ~J ~ ~U OL1.J ~ A ~ ~ „ ~ r y' 'r ~ ;v W ~ ~ r Iwi Q a ~ Q Q Z ~ \:I ~ ~ w a . . ~Rd oz W I ~ ' ,a ~ ~v z- J H w H III z~ - ~ k ~ ~ o w ° ~ a z p ~ ~ ~ p ~ ~ ~ , " ~ ,r Q 'i...u... t~z ~r ~ ~ f n u ~ Q { w , ~,r r _ r ~ _ r „ W. . ~ ~y. r 4~ ~ ~ 1 11 _ ems. , . ~ i r,r z h w yp Ix. ~s. i ~ u..~ y. ~ ~ ( I ` ''I ~ 4 ~ ~ ; - ~ ~ 1 ,.z ~ e~~ ~ , { TM I I '~-e. _ ~ Fes,; r ~ ~ ~ v E I4 i P ~ ~ a m~ A ~ 3'~. f` r I iii ' i i M ~I ~ re i i - - r ~ use _ i a-1 o ~ .r... .tee ~.~ra:. ~ w~rtm, w .sr~.,-~..,, - ~ - . ~ ~I ~xarx.;,.,x.a ~ I ~ 1 I ~ ~ _ i~ 4 ~ Vii, ~ ; ~ _ t.__ . s, i i? 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"~M. 1 pp y~yY 1~~ I~~~~~~ rN" ~'i_ "~"`tl I ~ ~ II AECOM has thoroughly reviewed the scope of work included of the environmental evaluation to produce a Preliminary in the RFP. We believe it to be comprehensive and adequately Environmental Survey (PES) form. Therefore the deliverable cover the needs related to the Project Study Report under this task is proposed to be a PES, and not a PEAR or an Equivalent for this project. For brevity, we will not repeat the ISA. scope of services herein, accepting as provided in the RFP with the following clarifications, inclusions or exclusions Task Q Aesthetics: AECOM suggests the inclusion of an from the scope of work. aesthetics task as part of the scope of services. Having prepared severalaesthetic plansforgradeseparations, Task B. Permits: Permits will not be required for including the recent Aesthetic Guidelines for the OCTA Grade geotechnical activities, since the geotechnical work, per Separations along the Orangethorpe Corridor, the ability Task G, will be limited to research of existing subsurface to provide photo-quality images of the completed project information for adjacent project areas. greatly enhances the public understanding and acceptance of the project. AECOM can provide static photosimulations or Task E. Field Survey/Topography: Aerial mapping will a dynamic visual flythrough (video) of the project. In addition, be provided for the project limits as requested, noting all of AECOM has enlisted Glenn R. Johnson Scale Models, located the identified surface features. If OCTA grants permission in downtown Orange, on past projects to create a scale model and the City approves, this aerial mapping can utilize and of the project. This model can be used at public outreach augment existing mapping of the project site, gained from our meetings and be put on display in the lobby of City Hall, Each surveyor's work on an adjacent project for OCTA. The scale of of these are great tools that AECOM can provide to the City. this topographic map is at 1 "=40'. Field survey will be limited to establishing the record centerline for Santa Ana Boulevard As noted in the Project Understanding and Approach section, and its cross streets as well as top of rail elevations adjacent we firmly believe that we can take this project to the next to Santa Ana Boulevard. This information is sufficient fora step within the given budget identified in the RFP. Included in planning level document. the appendix of this proposal is a detailed scope of services and associated schedule to provide a complete Project Task L. Right-of-way: Existing right-of-way and property Report/Environmental Document (PR/ED), readying this lines will be established from record documents. As noted project for the final design phase and better positioning the in Addendum 2, legal descriptions and plats will not be City for funding. required at this time. The Deliverable will be a right-of-way impact map clearly delineating the need for fee acquisition, In providing the PR/ED, a full PSRE will not be required, and easements for utilities, subsurface features, or slopes, and the initial phase will be the alternatives analysis. A value temporary construction easements. A matrix will be included analysis, required on any State or Federally funded project for each parcel listing any right-of-way impact, square over $25 million in value, will be provided at the conclusion footage of acquisition and/or easement, along with additional of the alternatives analysis. At that point, the Project Report severance impacts such as loss of access or parking. will be developed with a preferred alternative and the environmental clearance process will commence. Task N. Environmental Evaluation: Sincethe project is not on Caltrans system (an interstate or state highway), We look forward to the opportunity to discuss this approach where a Preliminary Environmental Analysis Report further with the City. (PEAR) is required, it is sufficient for the commencement r,,,.. ~a Ir s ''19' k r • ~ u r r. { ai rf ~ m ~h ~ ~ r• ~u u,~"1d sY r.«~nwlr,~,ES~x2k5~; ~ Y~ N . ~ ~ SbWMY i III':. r ~i'i'. 9, ~ r I ~ 2 ` + 1] { 1 ~ r ~ ~ ~ ~ ~ . . II"~ ii ir° II"~ . w„~~ n c. i, ,r, ~ i ~~~~~ii Il~ir~~ ~,k~~~ . ~ ~„d ~ i~~,~~ IE;;;;;~~q five , I~ ~ I~ i... ii „ I, ~ , ~ , i I~~~ I ir~ot,~ ~ir~a . I~,,,,y ° ~a,~ii~~,~ ird ~ ~ ~t'ii~~iu~~n I~~i~,u I~~;.~~ II ~ . , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , 111111 uu uuu ~ ' iiiii .VIII iiiiii iii. 111111 II iiiiii~i~l Ilo n, Ilo III ull I Ilo Ilo II Ilo The AECOM team's project manager, Mr. James Faber, will Quality is essential on all ~M serve as our single point of contact for the City of Santa Ana engineering projects. AECOM is ISO "°v `~~`~°'°'°NB'~~°'°~ c~~ri~ic;ar~ r and will be proactive in the processing of the project through 9001:2000 certified and employs .4 ACCOM USA Inc. if M ~ DMJM fIARRI$ & CTCI Caltrans. In this capacity he will be responsible for: a quality management system as shown below in I ~ .This Delivering the project scope of work and meeting the program incorporates quality review project schedule and budget at each working level from the , Serving as primary contact with the City and other project manager down and from the agencies, as required,to meet project needs discipline level up, and is continually 15n9oo,zooo° Managing the AECOM team, including the authority to reinforced during the project. make decisions on behalf of the team and to commit There are four components to this corporate resources to meet project requirements approach. They address all aspects Scheduling and internally coordinating the team's work of the project and are performed Ensuring that the project's technical/professional and continually and at major milestones contractual requirements are thoroughly fulfilled during project development. They include: Establishing clear lines of communication both internally and externally IL ~ ~ ~ ~ . _IL During the project, prior to any Chairing all regular project team meetings and being formal submittal, the design and reports are reviewed by the the primary respondent to the City discipline managers. Initiating and maintaining a quality management program tailored to the project ~ i'~~ ~°I The project manager and discipline lead engineers will review the construction documents I ~ 'I for coordination, accuracy, client drafting standards, and The effectiveness of our communication with the City definition of work. of Santa Ana and all project participants is crucial to a i I ~Ilf Following review by the lead successful project. Mr. Faber is dedicated to fostering a engineers, the QC team will coordinate an independent productive communication process and to providing proactive constructibility review to verify criteria compliance, evaluate design issue resolution, working with the City as an extension the comprehensive quality of the geometric plans and design of staff. plans, and resolve potential constructibility issues. II""°Im III H ' I ~ ~ ~ ° ~ °~~°"'I III'"I ~ I Imm~l ° ° . I ~ . II ~ II I QA/QC reviews AECOM takes a very proactive stance in addressing issues will be conducted on an impromptu basis and prior to each and comments as they arise. This eliminates the need milestone submittal. These will be independent reviews led by for rehashing previous issues ormulti-cycle reviews and the project manager with the involvement and management responses at each submittal milestone, thus allowing afast- review of the Project Director, James Faber, PE. tracked project delivery. There are several components in In addition, we will draw upon our own vast construction achieving this: management resources to review the bid documents for items Develop an action list, each uniquely numbered, from that may lead to potential contractor change orders at each each meeting, tracking them through resolution milestone submittal. Conduct workshop meetings with Caltrans and other Planning & Engineering C!ualityfAssurancel stakeholders prior to submittal milestones to review alsciprlneRevlew CoordnationRevieu~ Constru~tibllityRuview Cuallty'~antral the product and receive feedback, as well as allow project Managers Project Manager ConstructibilityTeam Independent Caltrans and the other stakeholders to familiarize Technical Leaders QA/QCTeam • Calculations ' Checkaccuracy • Completeness • Formal Review themselves with the submittal package • Consistancy &accuracy • Documentation • Dimensions between disci lines • Constructibili • Detailed a royals Develop a comment response matrix to track • DesignTheory p pp • Physics! interference • Change order comments through to closeout • Errors&omissions potential Meet as necessary to ensure agreement on comment 'Claims potential resolution prior to submittal ar I ,I i , ' k II II ~ ~ II M N~~~ W ~ I ' ~ III II I I I ~v ird ~ ~ ~ L ,~"l',; fi ire il,,,, „ , ~ , ir~ ~ ~ . II ~ . II 111111 iiiiii III. Environmental -Engaging the environmental planners II during the initial alignment studies will be critical to ensuring AECOM has developed the schedule shown in III ° I I that the all components are adequately covered in the PES based upon past experience on similar projects. We have or PEAR, which will facilitate approvals through the City for demonstrated our ability to deliver planning documents on CEQA and Caltrans for NEPA. grade separations, from Feasibility Studies and PSRE's to Response Procedures - AECOM takes a very proactive full Project Report/Environmental Documents. Within the stance in addressing issues and comments as they arise. last 12 months, AECOM has worked on the following grade This eliminates need for rehashing of previous issues separation planning documents: or multi-cycle reviews and responses at each submittal Raymond Avenue milestone. There are several components in achievingthis: Orangethorpe Avenue 1. Develop and action list, each uniquely numbered, to Baldwin Park Avenue track them from inception to closure. Puente Avenue Jurupa Avenue 2. Conduct workshop meetings with stakeholders prior to McKinley Street submittals to review the product and receive feedback. Streeter Avenue 3. Develop a comment response matrix to track comments through to closeout. Our experience also helps us understand the critical AECOM is confident that in our approach to this project, along elements which need to be address to ensure the project with our relationships with the City, SCRRA, OCTA, Caltrans, schedule is met, and these include: and the utility companies, we will meet the schedule as Third Party Coordination -Actively engaging third parties, shown. from the railroads to the utility companies, from day one of the project is essential. Maintaining the open line of communication and flow of information is crucial to timely responses, direction and approval. Early agreement on design parameters, such as vertical clearances for the railroad, as well as relocation alternatives for utilities, will help pave the path for approvals. ID Task Name Duration M-1 M1 M2 M3 M4 M5 M6 M7 M8 1 NTP 0 days 2 Phase I- PSR and PES or PEAR 175 days 3 Project Management/Coordination 170 days 4 Project Study Report 175 days _ 5 Research & Data Collection 5 days ~ 6 Obtain ROE from SCRRA 30 days 7 PreparelObtain Approval Traffic Control Plan 15 days 8 lJtility Identification 50 days ~ 9 Topo/BaselField WorklDesign Surveys 20 days ~ 10 Pre are Alternatives Conce is 3 Min. 50 da s p p ~ ) y 11 Prepare Traffic Analysis and TMP for Alts. 30 days 12 Geotechnical Recommendations 30 days 13 Structural APS's 30 days ~ 14 Hydraulics and Hydrology Study 30 days ~ 15 Right-of-Way _Identification 10 days ~ ~ 16 Cost Estimates 20 days e ' ~ ' 17 Structural Type Selection 20 days ~ 18 Conceptual Engineering Plans for Alts. 20 days ~ ~ _ 19 Draft Project Study Report Equivalent 30 days ~ 20 Submit Draft PSRE to City 0 days 21 City Review Draft PSRE 15 days P 22 Final PSRE 10 days ~ 23 City Review/Approve Final PSRE 15 days ~ 24 Environmental PES or PEAR 40 days 25 Environmental PES _or PEAR 40 days ~i ~ II~~ ire I~~~s~~d S~~ I~~ ~~d u„~ I,~~ ar ,I~ ~ , II II ~r ~ II x „N~~~ I~~~~~~W ~ I III II I I I ~vir~ ~ ~ l ~,~~„ficn u.... „ ir~ ~ ~ . II ~ . II 111111 AECOM has formed a team of leading professionals ~Wpry who have delivered stellar quality grade separations for - ~ i i ~ III ~~~t agencies throughout southern California. This section of our Earth Mechanics Inc. EMI w proposal presents the AECOM team and key personnel and ~ ~ ( ) as founded as a California demonstrates our capability to deliver the best value to the Corporation in February,1989. EMI is a geotechnical and City of Santa Ana. earthquake engineering consulting company. The firm specializes in site investigation and foundation design • AECOM is a full service engineeringfirm for projects related to transportation and infrastructure A_COM providing services since 1933.The firm is a constructions and rehabilitations. The firm is experienced leader in the planning, engineering, program in providing services to local county and city agencies management and construction management of highway, bridge and transportation commissions. EMI has offices located projects and has unparalleled experience on grade separations. throughout southern California. The headquarters is in AECOM has held Engineering News-Record's #1 ranking in Fountain Valley, Orange County. ~ ~ ~W - transportation in the nation since °P 2001 EMI has long been supporting AECOM on numerous I ~dersla~fVed ~.a~suit r ~ ~n~,~~~~~ e,~an ~zwrcl.l~l ,offering the City strong local ~ I ~u~~°~~~~'~ ~`re'~~~A knowledge and resources, proven transportation projects throughout southern California, i ~ I, J ~y~n~gariy ~car+e' J ~ 10~"~~~~~~~~~ ~ effective project delivery and quality including the First Street Bridge widening for the city of ~~r Santa Ana, as well as three recent grade separations on U systems, and specialty expertise ~ ~ . ~ from around the world when it's Raymond Avenue, city of Fullerton; Monte Vista Avenue, a~ city of Upland; and State Street/University Avenue in San needed. AECOM has specialized ~ ractices that include Bernardino. I, P transportation, facilities, environmental services, water ~o~e~ r,,, m Y k v~y!! ~ I ~ N,~~~t~ _,~~~~~I III III III III III II. III .resources, and energy. The firm is .gin I~ f r ° - PM c:idAne~ - c-=~#~, ~rra~~p~~~t1°~ focused on client satisfaction and for N'r~~consecu~eve Founded in 1969 ICF International is a local multidisci linar ~e~~s high quality performance and is a ~ p y ~ ~ Fortune 500 company with more environmental consulting firm with along-standing ~1 ~ than 46,000 employees around the reputation of excellence in environmental analyses and world and current annual California Environmental Quality Act (CEQA) and National revenues exceeding $6 billion. Environmental Policy Act (NEPA) compliance. As such, we have a firm understanding of environmental laws and AECOM has included four specialty subconsultants to assist regulations, and we bring this knowledge to our role on the on this project. The selection of these subconsultants was AECOM team. based on our extensive experience working with them, their proven history of high quality work on similar projects, and Their staff has worked on numerous southern California their proven ability to produce and deliver work products that transportation projects relevant to this project, including will meet the City's standards and are completed on time the preparation of the environmental documentation for the and within budget. To help the City achieve its participation Auto Center Drive Grade Separation, Riverside Avenue Grade goals, we have included two DBE firms on our team. Coast Separation, and Streeter Avenue Grade Separation in support Surveying is a DBE and Earth Mechanics is aDBE/UDBE. of AECOM. . , V III Ili u v Xmh~ r^v / ~ / 16 9 r ~~~t ui~~~~~~~ ~ ui~~~~~~~~~~~ Coast Surveying, Inc., a California Corporation, was founded in 1981 and has over twenty-eight years of surveying, Overland, Pacific & Cutler, Inc. (OPC) was established in mapping and right of way engineering experience working 1980 to provide professional services for clients with projects for such governmental agencies as: Caltrans, OCTA, SCRRA, involving land and Right of Way acquisition, relocation counties of Orange and Los Angeles, and numerous cities assistance, project planning and property management. throughout the area. The firm is a Certified DBE firm and is Over the years, the company has developed a reputation financially stable. for consistent quality, continues to set the standard for the Coast Surveying has a long standing relationship with the professional right of way community. City of Santa Ana, providing services as part of an on-call OPC has provided Right of Way services to hundreds of surveying contract, aswell assupporting AECOM ontheir on- clients throughout the United States. OPC has a long standing call engineering services since 2000, delivering over 16 task working relationship with AECOM, providing right-of-way order projects. services or support on several grade separations, including Monte Vista Avenue, Raymond Avenue, and Orangethorpe Avenue. a . i , II II ~~r ~ II x „N~~~ ~~~~~~~W ~ I ' ~ III II I I I ir~ ~ ~ . II ~ . II ~o~ IIL IIIIII ....111111 IIII VIII 111111 IIIIIIIL.IIIIIII ~ 111111 IIII III Project Manager, James Faber, has developed our project organization focused on providing comprehensive coverage of the main project functions. Where applicable, James reached out to subconsultant firms where we have a strong working relationship. The project organization chart in III it ~ shows the lines of communication and areas of subcontract work. James Faber will serve as the single point of contact and be solely responsible for directing the team as we work together to deliver this project for the City of Santa Ana. Dual Role t,} r E ~ ui f I All staff are AECOM, except as noted: ~ C =Coast Surveying ~ E =Earth Mechanics J =Jones & Stokes Pat So me rvi lle, P E WWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWWW 0 =Overland Pacific Cutler James Faber, PE* Roadway Bridges Traffic Studies/TMP Tanja Brix, PE Bob Fish, PE Tim Erney, AICP Traffic/Staging Retaining Walls Survey Carmen Gendusa, PE, TE Bob Price, PE Calvin Yoshitake, PLS, RLS (C) Utilities Geotechnical Environmental Albert Pan, PE Lino Cheang, PE, GE (E) Brian Calvert (J) Drainage Aesthetics Right-of-Way James Enriquez, PE J.T. Barr, RLA Ray Armstrong, SR/WA (0) Rail Shoofly Rail Coordination Alan Bosch, PE Dan Davis ' f i :p ~ II ~ I ii ii it ~,:II w,.~ ii ii , , Ir~u, ii ui IIII uu° 111111 IP° VIII IIIIII uuuuu a uuuu... uuuuuuui. uuu uu IIIIII IIIIII IIIIII VIII IIIIII IIIIII ~ VIII IIL IIIIII 111111 IIIIII 111111 111111 The key personnel delivering the PS&E are available to perform the work and are committed for the duration of the contract. identifies their current assignments and average availability through the life of the project. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I l . rr . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~II::: u : ~c~ I J L. If.°~II,;; ~~~~9 pII p ~p ~ V~~'~I IM1,:~1 "W.: kMN M„x 16Y IIkaWa ~y ....'4.w RAM ~.A ~ ~I.k "W::~M N.. I A.r I" " R..M N.II Y.F II" C eirrro ,'~V c~'~116~IY~ i , i ~II~~Ir1 II I~ 1~ ~~~:rlr~~~u°~~ V ii ~:~u°71 r °II;°; ~P'i~ G ~ ~ ~'IY'~; I 1`11 II , ~ ~ , , a, II I~ . _I I ~ . . II=~h ID, II~IL, _ ~ _I ~ I I I ''ii W If ~ rn~~ II::.II/Il:lllf::~ '1f'"ir~~ II...rr'ny,Alllf~°~ lf~lr~a~~~i~~'~:~~ ,a ~IIIf~~~ yy r,r ,a I ~ ~i ~ ALU, o~f .~~Ih~~il e ' ~ II Ilr~lrnl , ~ a co ir~in nra it .a ~ ~ , l co In c l,~„au s ii Ire o ~~~Ih~~i1 ii s I~~ ir~~ , ,r I I ,I I , II Il 0 ~ II M „N~~~ ~~~~~~~W ~ ~ ~'M I ' ~ III II I I ~valr~J ~ ~ ~ L ~,i~„lion IL... „ Salle ~ ~ . gym, p i ~ ~ uuumiu~~~~~ ~ i 111111 • AECOM has assigned Mr.James Faber, PE, as Project Auto Center and McKinley Grade Separation Projects Manager and single point of contact for this project. Mr. for the City of Corona; Faber is a registered civil engineer with 25 years experience 3rd Street and Iowa Grade Separation Projects for the in railroad, highway and bridge design, construction City of Riverside management, and project management. Mr. Faber's Glen Helen Parkway Grade Separation Project for San expertise is successfully managing and delivering grade Bernardino County separation projects, having worked on 10 such projects in Rancho Vista Grade Separation Project for the City of the last 14 years, including: Palmdale. Redondo Junction and Pacific Coast Highway Following are cameo resumes for Mr. Faber along with the key Grade Separation Projects for the Alameda Corridor personnel for the project. Provided in the Appendix are the Transportation Authority (ACTA) full resumes for all individuals on the team. Dillon Road Grade Separation for the City of Coachella University Parkway Grade Separation Project for the San Bernardino Association of Governments (SANBAG) IIi~ Irm_ul~or is a i~e~;~i~t~e:~ed ci~~i i enin~~~sr wit e~mtnsii~ e°'~~ei~iience in N ~~~~a~~~~ ~ irii desii in, cons~~truc~~t°~ n~ and pro"c~t~ ~Tl~lis sin iraN ~iroa ~ loin mane em t~, ~ ~ mains einnn~~ Project Manager exleriiince includes orkiiin ii in ,~I~e iroad desk in sectlion of Cau.trains District 12~~, Ili~~~~~°~~t ~~i ii~ III"~° ~ ~ H e its I~ ro~~ icy eint ~ n tl~e mainageme~t of lar scale, m u l~~~i,~~.~~,d iisc ii Ip li ine prop ec~~~s, wind docuir~en . y lairo° Ii true n ~s ..or o . eve io . iraii an e~ s~~, e e BS/1984/Civil Engineering IVii~~~~~ Faber is ~atNOn, INR III.., aind project i ainagemen p in Ncro t software rya ~icii tin M PE/1990/California, No:45668 (ncludliin M~ ~ N iiirosoft II:. ro~ect),~~ Il wm Chris Saed ~ Glen Helen Parkway Grade Separation over UPRR+BNSF, San Bernardino, San Bernardino County California 909.387.7877 ~ Iowa Ave Grade Separation over BNSF, Riverside, California 3rd St. Grade Separation over BNSF, Riverside, California Linda Bazmi ~ McKinley St. Grade Spp?ra:;~n over BNSF, Corona, California City of Corona ~ Auto Center Drive Grade Separation over BNSF, Corona, California 951.739.4960 ~ PM Services for Orange County Grade Crossing Safety, Orange County, CA Dillon Road Grade Separation over UPRR, Coachella, CA Mike Livingston ~ University Parkway/State Street Grade Separation over BNSF, San City of Palmdale Bernardino, California 661.267.5300 ~ Redondo Junction Grade Separation, Los Angeles, California Pacific Coast Highway Grade Separation, Alameda CountyTransportation Authority (ACTA), Los Angeles County, California . ~ ~ ~ r y yr,.r h a zape,~ ~ f .t i, r 4 - 4 I ~ F 1 11 ^ . 'r, ~ + ~ ~ ~ `.r3 P ~Il~, ,p F ~ ~ S' _ ~ r i IC;~ ii ir~ ~ ~ in„~,„ i~~ I~"~ i~~~li~ I ir~~u~ ii n~t~,~ . ~ ,r ~~~~~ii Il~ir~~ ~,kt~ . ~ ~„d ~ i~~,~~ IE;;;;;~~~~ five , ~ ~ i... ii ir~o~t~ Dina . ~~,,,,y ~a,~ii~~,~ ird ~ ~ ~t'ii~~iu~~n I~~r,u II~~~~~~~~~ , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , w'~III'i, ~m~:°~~~~vllll~" Sp~''Ilallll.E"~ In cIIlVllll ~~'~~II~1~"~': ~ II~1 ~'~~ld ma~~~',~"~II~`~~~'~~l't~, wlllth "~cUS mun~ ndof pro rams~~~ % mane ed iciipa transportationa ercaprta iiimprovement He as Project Director the study, preliimiiinary engineering, and final desii n ~~or ~iiie reds separatiions and i p i p p lance 'includes easiiibiiiliity IIIIIIIIIIC~~°~ ~~~~'i'I~uiui, III~~~ "ii ~'ill~~~~~uiu~~ rovi°ded iinde endent reviiiews onfour others~~~ Hiiis e er~~ studiiies, f~ IF, preparatiion of rii ht.~of..way maps, permiiittiin , constructiion sta iin , construction support, and claims analysiis,~ Ilr~, omerviiille began hiis career wiith the PE/1995/California, No: 56141 (Civil) Ciiity of IFullerton iiin 1 6~, Il~iis eleven years of experiience iin the public sector proiiides hiiim wiith a detained understandiiin of overnmental and a ency processes, project fiiinance~, and needs analysiiis, as well as the techniiical and contractual reuiiirements for the desii nand construction of ciiviiil projects, • First Street Bridge widening/Replacement Project, City of Santa Ana, California • Raymond Avenue Grade Separation, Fullerton, California • Nogales Street Grade Separation (Alhambra Subdivision), City of Industry, California • Nogales Street Grade Separation (Los Angeles Subdivision), Los Angeles County, California • Brea Canyon Road Grade Separation, City of Industry, California • Orangethorpe Avenue Grade Separation, Anaheim and Placentia, California III~I~, I~~'! vs ~~~~o~~~essio~~~l c~iviil en ine~~~~~~iiin e.:periiience sns bctN~~~ government end priivate consultant en iiineeriiin Hiiis work experiience iiincludes mane ement and Civil Lead desii n of roadways, hii hways, transiiit faciiliiities, draiinage systems, and water III'~IIIIIII~ Viii III~° 'li ~m~~~ ~~,lii systems, as ell as buiiildin and retaiiining wall structures~~~ Hiiis tasks have iincluded geometric layout productiion; report preparatiiion~ preliiminary and fiiinal desiii n; y g y h t,. o... way BS/1972/Civil Engineering utiliiit coordiination~ draiiina e desiii n~ structural desiii n; serve ii ~i n ,rii PE11991/California, No:46767 coord~inatiiion~ and preparation of plans, speciiifiiicatiiionsy and est~imates,~ Ilr,~ N ys experiience comes from a variiiety of projects, iincludiiin roadway iiimprovements, new freeways, interchan es, free ay ideniiin ,railroad overheads, and briiidge replacements, • Jurupa Rd Railroad Grade Separation over UPRR, Riverside County, California • Magnolia Avenue/BNSF Railroad Grade Separation Project, Riverside, California • McKinley St. Grade Separation over BNSF, Corona, California • Design Services for Heritage Springs Pedestrian Bridge and Roadway Improvements, Santa Fe Springs, California • Compton Creek Railroad Bridge, Los Angeles County, California • Margarita Road Undercrossing,Temecula,California • Turner Avenue Railroad Bridge, Ontario, California • Auto Center Drive Grade Separation over BNSF, Corona, California • City College LRT Station Bicycle/Pedestrian Crossing, Sacramento, California a i , II II ~~r ~ II x „N~~~ ~~~~~~~W ~ I III II I I I ~vaird ~ ~ ~ L ~,~~~„fin il,,,, „ ir~ ~ II Ii ~ fl ~~~~~~~rc~~~~~~~ ( ii~.~ M i~ ~ a v ~i i ui ~ n y "a i"~ ~ ` ~ ' i di P ~ ~ w~.a i ~I'~~ di i~ ~ I'~ i~~1 ~ ~ ~ iif ~ E. n , to l IIIIIIII agenciiies, and land developers, and evelopiiin oontract documents for briiid e plans, specificatiiions, and construotiiion cost estii jects~~~ He ii Structures Lead 'mates lip I~ pro s specialized iiin seiiismic nonlii hills y liiinear tiiime dependent creep/ rill r IIIIIIIII~' Iii ill III III~~ "ii ill 'iii ill II shriiinka e analyses. He has an iintiiimate kno lei e of the Caltrans procedures for evelo mentof ro ect..speciiifiiics ial roviiisiiions~~~ Heha, lve PhD/1993/Structural Engineering p p J tankard spec p ~ s been iiinvo BE/1986/Civil Engineering iiin several ohallen iin structural projects for interchan es, rake separatiions, ME/1988/Structural Engineering freeway overcrossiiin s and unercrossiiings, railroad overheads and underpasses, PE/1998/California No: 57894 major toll brie es, and briid e wiiieniin s.~ Monte Vista Grade Separation over UPRR, Montclair, California Auto Center Drive Grade Separation over BNSF, Corona, California Dillon Road Grade Separation over UPRR, Coachella, California Ramona Boulevard Grade Separation over UPRR+Metrolink, El Monte, California University Parkway/State Street Grade Separation over BNSF, San Bernardino, California Compton Creek UPRR Railroad Bridge and Utility Bridge, Rancho Dominguez, California M~m~ E~rn~y iiin the t~ _~ns,~o~mt_~tion ~~aniin ~~~riiin d°~pa~~mtm~~ant ~~n ~n > 'r _.nd a s ~nior prof g y ana e ect mane er or t e I~ III Il..mos n e , s success u m , Traffic Stud ies/TM P ~ es o~ iice~~~ Ike ha over ~0 transportatiion planniiin and en ineeriiing projects throe hoot Calrforniia~~~ IIIIIIIIII~ Iii ~ iii a i~~~ III°~ ii, ~ iii Viii III He ills a certified professional planner wiith experiience mane iiing analyses and MS/1997/Transportation Engineering docu entatiiion for environmental reiiiew pro~eotsy aooess and ciiirculatiion studies, sustaiiinable transportatiion practiiioes, .laDll measures, parking evaluations, MCP/1997/City and Regional Planning BS/1995/Mechanical Engineering peestriiian and bicyole reviiiews, and data oollectiiion pro rams. they experience AICP/2000/United States, No: 015998 iiinclues etaile technical analysiiis of local and re Tonal roadway faciliiities~, ncluing traffio foreoas ~ g pliiit analyses, traffiiio diver ~ p tiional Professional Transportation Planner tin , modal s s°ion'' and o era analyses~~~ He has experiience ooordiiinatiin wiiith local and re iiional transportatiion and enviiironmental a encies iiin outhern Californiia~~~ Nogales Street Grade Separation (LA Subdivision), Alameda Corridor East, Los Angeles, California Temple Avenue and Baldwin Park Grade Separations, City of Industry, California Puente Avenue Grade Separation Feasibility Study, City of Industry, California Los Angeles Metro Exposition Line Phase II Technical Studies, Los Angeles County, California Third Street Light Rail Project US 101 Overcrossingfroject Study Report/ Project Report, San Francisco, California Los Angeles Metro Exposition Line Phase II Technical Studies, Los Angeles County, California Anaheim Fixed-Guideway Project, Anaheim, California Port of Hueneme Truck Access Study, Ventura County, California a i , II II ~~r ~ II x „N~~~ ~~~~~~~W ~ I ' ~ III II I I I ~air~ ~ ~ ~ L ~,~~„fii~ il,,,, „ ir~ ~ ~ . ~ II , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , The AECOM Team brings unparalleled experience in The matrix below (I"" shows recent AECOM projects providing both preliminary and final design services on which are directly relevant examples that our team has grade separation projects. This, coupled with Mr. Faber's completed and which encompass the project elements experience working with municipal agencies and SCRRA, important to the Santa Ana Boulevard grade separation provides the in-depth understanding from the top-down of project. Following this matrix are brief profiles of ten projects the multi-faceted components which make grade separations which include a reference name and telephone contact. We so complex. This knowledge and lessons learned will allow encourage you to contact these references for a full review of the team to understand and address the unique challenges the firm's performance. that this project will encounter. II I If II Ir I~ I~ Irk ~ Irk Ism IC ~ e d~, I oI .I o~E~ ~-~Wan~t I ~ ii ii u~,~~~ i~' a , I' ~ ~o IC'' II"~w u e ~ ~ ~ II ~w u ~I , . ~:C'y x; x; x: a. " ~~i i i II ~o I~°~ _ ~ i I~ ~ 11, Ilo a~ I,~Ie, ~ , , II I, u '~°d~;e °d~;~ Irk ii a I~~,~„ II ii ir, ,~o. ~ _ I d~ ~A&~II ~ II I ; a ~b). I~ ~ u ~°d~~l V ~I I I u' ' ~ II ~ II m p ii t ~ , If,,,,,~ii ~r ~ II i~~ur gir~~:~,d ~,a~ Il~~,~.i~~,~,tii ii~~~ ~~~Ip irfi e ir7~ e ~,~a ,r ,I~ I , II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ I ' ~ III II I I ir~ ~ ~ . "~"`t~ , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , El Monte, California Ramona Boulevard is a secondary highway striped for two lanes in each direction, . „gym with an at-grade crossing of Union Pacific Railroad (UPRR) and Metro Link tracks ° between Cypress Avenue and Stewart Street. The AECOM project team provided i...~~ ~ the design and engineering services tograde-separate this crossing. °x'20 AECOM was the prime consultant and was responsible for coordinating the - - - design with several involved stakeholders including Caltrans, the City of El Monte, UPRR, Metrolink, ACE, the Gas Company, Sprint, Southern California Edison, the ~ , Los Angeles Cou my Flood Control District, and Pacific Bell. The scope of work included preparation of Plans, Specifications, and Estimates (PS&E) for the project. AECOM also provided full construction management services. The construction e o Ii.W„~iii, ~ work consisted of a new railroad bridge to accommodate two tracks for UPRR and Metro Link crossing at Ramona I, ~ lii o ii~~ Boulevard, depressing east-west III~~ ~t ~n. Ramona Boulevard to provide for the .~..q... „ 1°~ grade separation. The project also ~ ' - - .-I mi II' i, S 1l M included design of retaining walls, ~ x y r I new depressed and grade-separated ~ ~ ~ ~ ~ ~ ~ ~ , ,r~, ~ ~ - r'` .y Sx~ sidewalks, storm drain pump station - kw ~y ~~;~tl f ~ loin m and draina e s stems landsca in ~~~~`~~,,a,_ IIPll~llfi~~ I g y p g~ r } ~ Ill~lli and major utility relocations (such ~a, as a 102-inch RCP, fiber optic lines, ~ ~ , ~ ~~`r ~ - telephone trunk lines, and water and ~ ~1 :~s ~ ~ , ; gas main lines). ~ nnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnn Anaheim and Placentia, California The Orange County TransportationAothority (OCTA) selected AECOM to provide preliminary and final design services for a new railroad grade separation to o , ~ replace the existing OrangethorpeAvenue/Burlington Northern Santa Fe (BNSF) ~ Railroad at-grade crossing. The project calls for the design of an overcrossing of Orangethorpe Avenue with the BNSF tracks, with Orangethorpe Avenue being ~ ~ . widened to a six-lane facility that includes a raised median island, six-foot wide sidewalks, and Class II bike lanes. Since Orangethorpe Avenue crosses the BNSF ° Railroad at an approximate 70-degree angle, AECOM developed an innovative ~ ~ approach using precast girders oriented perpendiculartothe railroad tracks.This m. configuration lowers the roadway profile providing significant cost savings while maximizingthe available right-of-wayfor BNSF. A temporary two-lane detour road is to be constructed, enabling Orangethorpe ~e~ II~ ~ ii~~~ ~mw ~ Ave n u e t o re m a i n o p e n d u r i n g Y .I ' i , ~ construction. Significant ~ ~ coordination efforts are provided ~ ~ due to the numerous utilities to be b relocated, including a 36-inch high ' r } pressure gas line, and overhead y electrical facilities. Structural efforts ~ ° ~w a ~ ~ also include two bridges crossing ~ ~ M i J~ r 'i~, ~ over flood control channels, and ~ ~~r~~- extensive MSE walls for the elevated ~ ~~a~~rr~ ~ ~ roadway. Additionally AECOM is ' ~i . r~~wr' , i~~ a preparing acorridor-wide aesthetics ~ ~ ~ ~°'r ~ ~ ~-s ~~;v=~ guideline for OCTA for use in other , ~ ~ t ~ ~ grade separations. ~ ,f ~ w t $~'u ~ ,,;r, I ~ ~<I ~~~~~ii Il~ir~~ ~,k~~~ . ~ ~„d ~ i~~,~~ IE;;;;;~~~~ five , ~ „ ~ i„ . ii „ . ~ , ~ , i g I~~~ gym, p i ~ 6 City of Industry, California AECOM provided complete PS&E for grade separations along 2 transportation corridors located within the City of Industry. As part of the Alameda Corridor ~e „i ,,,,,M East, AECOM provided PS&E for the Nogales Street Grade Separation. AECOM conducted extensive field reviews including utility identification and verification. Project deliverables included a traffic management plan, structure advance planning study, roadway design, drainage design, staged construction and traffic ~~'~~i i~~ detour planning for the construction of the grade separated underpass. i The project included a railroad bridge, a highway bridge, new roadway improvements along Nogales Street and Valley Boulevard, a loop road to provide anew connection between Nogales Street, special design retaining walls, four lane detour road, traffic signals, landscape, right of way and coordination with the cities of Industry and West Covina and property owners. The key project " issues addressed bythe design ~~~iii~i,iiiiir~ was maintain vehicular through ~ ~ ~ ~ traffic, rail operations and access , ~ III~~ wrc k ~ i ~,~i„ to businesses duringconstruction. 1~ r ~ ~ ~ This ro~ect followed Caltrans Pro~ect p J J ~ - ,`~a ~ ~~~~il.. ii ~ F Develo ment rocedures as well ~ , . ~ , p p , r . r i i~,~ ~Ill~i as the uidelines of Union Pacific ~r~;',~ I~~~ g . Railroad. The project was performed ~ ~ f,~~ ~ ~ - U~ on an accelerated schedule to meet , ~ ~e ~ ~ ~ fundin commitments. The ro~ect ~ V ~ ' ~ value is estimated at $22 million. ~ ~ 4 .~y~ ' ~Y ,;i~~ , " Funding is through local state and ~ ~ ~ ~ h 1 , ~ t 1 federal sources. , A, ~ County of Los Angeles, California AECOM provided complete PS&E for the design of the Nogales Street Grade ~~~~,~m Separation project. The project entailed lowering Nogales Street, asix-lane major arterial highway, below the UPRR tracks.The project funding was through state, S°~,,,,,~ °~1~ federal, and local redevelopment monies. The project included athree-track rail bridge, a vehicular bridge for the extension of Railroad Street which is immediately adjacent to the UPRR R/W, concrete pavement for the entire length of the project, retaining walls, special design walls ~ ~ ~ due to close proximity of structures, the relocation of a double 10'x11' box culvert, w relocation of a 54"Sanitation District trunk sewer, widening of the Nogales/Gale intersection to provide dual left turn lanes, and modifications ofthe SR-60 on and off ramps to provide the additional roadway width for the widening. Several ~i~~~~~ ~ ~I~~~~~ alternatives were evaluated in the preparation of the hydrology report in an effort ' to reduce the flows tributary to the pump station. In the existing condition,120cfs III~~ `~r~ ~~r°~~t would be tributary to the proposed pump station, however, with the inclusion of i ~~liil~iii ; gravity storm drain systems outside of the ro osed lowered roadwa ° this volume was reduced to 20 cfs q,. ~ ~ ~ r ~ VIII ~I~~ ~ ' ~ providing a significant savings in pump " ~~2~~ r~' ~~ti~, station costs. Additional deliverables .~w~ ~ ~ ~ ~ ~~~~~a k . ~ "III ~ _ ~ ~r. ~ ~ included atraffic managementplan, ~ ~ 1 I , ,,r, ' structure type selection report, and ~ photosimulations. AECOM provided all coordination with Caltrans in acquiring permits to modify facilities within their ii ~m* " " I R/W, the utility companies, and the UPRR. a . ~~~~~ii Il~ir~~ e~,k~~~ . ~ ~„d ~ i~~,~~ IE;;;;;~~~~ five , ~ „ ~ i„ . ii ir~ot,~ ~ir~a . ~~,,,,y ~a,~ii~~,~ it ~ ~ ~t'ii~~iu~~n IPr,u "~"`t~ , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , City of Industry, California AECOM provided complete plans, specifications, and estimate (PS&E) for grade separations along two transportation corridors located in the City of Industry. As part ~e „I ~ ,,,,,M„ of its work on the Alameda Corridor East, AECOM provided complete design services for the Brea Canyon Road Grade Separation. AECOM conducted an extensive field review, including utility identification and verification. Project deliverables included a traffic management plan, structure advance planning study, roadway design, drainage design, staged construction and traffic detour planning for the construction of the '~~~~~E~°~' grade separated underpass. The AECOM team also prepared visual aids for the client's ~ ~ ~ ~ use in informing the public of the project. The project included a railroad bridge, reconstruction of Brea Canyon Road, a ~.~A railroad shoofly, temporary modifications to the Brea Canyon Road Metrolink Station, permanent modifications to the station's parking lot and access, specially designed w, ~!;w retaining walls, afour-lane detour road, ~ traffic signals, landscape design, right- III~~°~~~ of-way engineering, and coordination with the Cities of Industry and West Covina and " ~ ~ property owners. Key issues addressed _ ~ . ~ ~ in the design included maintenance of ~ ~ . ^ ~ ~ ~ . vehicular throu h traffic rail o erations g ~ p A III~IIIII~;, ~"III~II~ and access to businesses during construction. The project was performed ~ . ' ~ ~ on an accelerated to schedule to meet ~ funding commitments. Funding for the $40 million project was acquired through local, ;~~b state, and federal sources. Riverside, Californ is AECOM designed a new railroad grade separation to replace the Jurupa Avenue/ Union Pacific Railroad at-grade crossing.The City received approximately $6 million in ~e am Congestion Mitigation Air Quality (CMAQ) funds for the project. The project called for the design of an underpass of Jurupa Avenue with the Union Pacific Railroad tracks to create afour-lane road that included a median island and provided on-street parking and six-foot-wide sidewalks. The new bridge now accommodates the three tracks previously located within the railroad right-of-way atthe at-grade crossing. The project also included a shoofly track to detour train traffic while the railroad bridge was under construction, and a minimum of one lane in each direction on Jurupa m~~~ ~ Avenue remained open during construction. ~ A number of parcels within the project limits were acquired in order to construct the improvements. Other impacts included relocation and undergrounding of electrical ~°~~°~i~, p w„~ii~~, ~ ~~~M~ facilities, relocation of sewer and water facilities, and construction of a new storm ~~iii~,~ni drain system to handle the flows tributary to the new sump created by the underpass. III~~~ ~n Services included type selection and ~ design of railroad bridge atJurupa Avenue, ii~~ type selection and design for a pedestrian tunnel or bridge at Mountain View Avenue, - _ =1_____~ n bllll~; landscape and irrigation design, roadway - geometrics, hydrology and hydraulics, traffic detours and shoofly, drainage, utility Y" = ~ j~° relocations and coordination railroad ~ `K~~~~°~ ~ ' ~~~~a,~,~~ coordination, geotechnical services, right- ~ ~ " ~ of-way engineering supporting acquisition, n, r aesthetic considerations, environmental v~. , , approvals, and public outreach. a . ~~~~~ii Il~ir~~ ~,k~~~ . ~ ~„d ~ i~~,~~ IE;;;;;~~q five , ~ „ ~ , i„ . ii ir~o~~,~ ~ir~a . ~~,,,,y ~a,~ii~~,~ ire ~ ~ ~t'ii~~iu~~n I~~r,u ...e ~ `iii A a , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , Corona, California The City of Corona awarded AECOM the Auto Center grade separation project over the BNSF railway line in Corona. The City of Corona is the lead agency. Auto ~e Center Drive runs north/south. Immediately north of the railroad, Auto Center h p ~ is intersected by Railroad Street, which runs east/west, parallel to the railroad. The West Corona Metrolink Station is located on the southeast quadrant of the railroad crossing. ~ ° ,I' AECOM is responsible for all aspects of the project, from start to bid, including obtaining a PUC order to construct; developing and participating in the negotiations with BNSF for the `I"""' construction and maintenance agreement; environmental clearance; right-of-way; surveying; . ~ utl it coor Inatlon; roa wa ; ~ ~ ~ ~R; y y r ` r 4 ~ ~ v brill e' traffic' and eotechnical. ~ ~y, ~ g , g iii The selected alternative consists ~ ~ ~~~III of s annin the roadwa over the ~ p Y g 11 II~~ ~~F~~F railroad and then connecting to Sa ~ Railroad Street northerly of the ~ ~ ~ ~~jf.'' r ~ 4 ? 1 r ~ ' ~ railroad crossing.This alternative ~ ~ ~ ~ ~ ~ ~ was selected because it minimizes ~p,`~~y~~~h. , ~n~°}~ y~x z` `w ti . ~ right of way and environmental ~ , '''by;:~-~ ; i t,~,r ~.Y' Lam. "r ;i~~M w 1 rt u< .\.~i,' impacts. Montclair, California AECOM provided preliminary and final engineering design and construction II ~ management for the Monte Vista grade separation. AECOM was responsible for all aspects of the project, from start to constructioncompletion.Theproject included an investigation of the most cost-effective alternative for separating _ the grades, as well as environmental studies and clearance; right-of-way ~ appraisals and acquisition; final design; plans, specifications, and cost estimates s` for the construction of bridge, roadway, drainage, and grade separation related improvements; relocation of utilities and coordination; surveying; obtaining a PUC order to construct, develop, and participate in negotiations with various agencies; landscaping; traffic; geotechnical; construction engineering; and construction „„,,,,g management services. ~ ~III'~~~~~III~W~w°°~~~ ~~m~~~~~ The selected alternative spanned the roadway over the railroad and the existing ~ ~~fiil,w~'~ State Street Channel, over State Street itself, and provided a connector back to ~ State Street to replace the existing Monte Vista/State Street intersection. This III alternative was selected over an . ~ ~ iii ui ui ui ~~~,ui III"'~ ° undercrossing because of a variety ~~~~~L i of factors, including high cost I', due to the necessity of providing ~ 'I ..I ~ I ~~~~r~~~~~~~' a flume bridge and afour-track r railroad bridge over a depressed JI y g roadwa .The ali nment is offset ~ ~ 10 feet to the east of the existing ~ ' ~ '114 K~ rrw~ .:'~[IRi~INlrt¦rl¦NM ~ 1 ~ J alignment, due to the existing ~ ~ utilities and the need to maintain ~ " ~ ~ ~ ~ ~ ~~a rivate railroad crossin under the J p g bridge for the UPRR to access its ` right-of-way. a . ~~~~~ii Il~ir~~ ~,k~~~ . ~ ::d ~ i~~:~~ IE;;;;;~~q five : ~ ~ i... ii gym, ~ o i ~ ~ San Bernardino, California AECOM provided preliminary engineering for a project Report (PR) and Environmental Document (ED) for the Glen Helen Parkway grade separation ~e over both Union Pacific (UP) and Burlington Northern Santa Fe (BNSF) railroad I,,,,,,,,,W„~M „I„I„~~ tracks. Glen Helen parkway will be realigned and widened to four lanes to improve regional traffic circulation, improve access to the Hyundai Pavillion at Glen Helen, improve fire and emergency service response time, and provide anall-weather i i i io io ~i m i ii i io ~~~m crossing over the Cajon Wash. To support the regional park, the concert venue, and the recreational potential of the area, the project includes an equestrian trail undercrossing and the pedestrian facilities will be ADA compliant.This project is strongly supported by the County Board of Supervisors. The project tasks include development of realignment alternatives, bridge alternatives, evaluation of impacts to utilities and adjacent properties, developing u engineering cost estimates, and assessing right-of-way impacts. Several major ,~iii~ii~~iii~iir~ utility lines cross Glen Helen Parkway and accommodations or relocations of utilities need to be made to construct the proposed improvements. The Cajon III~~ ~ ~ ~ Wash experiences severe flows i , f,.. from the Cajon Pass.The bridge - ~ ~ ,~~s~~~ ~,~,,w~ ~~~~il.. ° must accommodate the flows and ~ . . channel hydraulics will be studied ~ to determi ne the appropriate level x ~ti ~ , , , ~ ~ , ,~q ii r~~y „ a ~ yv ~ of scourprotection and bridge 7~.~ - ~ foundations. Major bridge structures " ~ and retaining walls will be used ~ ~ ~ ~ ~ to span the creek and railroads. ~ It is anticipated that substantial - ~ protection from flood damage will be require construction of dikes and hard surfacing of embankments. ~ ~ Coachella, California AECOM provided preliminary and final engineering design for the Dillon Road .w,,~. grade separation project. AECOM was responsible for all aspects of the project, ~ from start to bid, including obtaining a PUC order to construct; developing and participating in the negotiations with UPRR for the construction and maintenance ~ agreement; environmental clearance; right-of-way; surveying; utility coordination; roadway; bridge; landscape; traffic; and geotechnical. s a,~w The selected alternative consists of spanning the roadway over the railroad and Grapefruit Blvd./Indio Blvd., and then connecting to Avenue 48 westerly of the intersection with Grapefruit Blvd./Indio Blvd. The alignment was offset from the existing alignment to avoid impacting the traffic along Dillon Road/Avenue °~~w 48, but mainly to avoid business ~e ~,,,,,,,,,i„~~~i,;„r,,, loss due to modifying the frontage of Dillon Road, west of Grapefruit Blvd./Indio Blvd.The alternative ~ was selected over an undercrossin IIII due to a variety of factors, including z 1 ,.t, iyY,..- cost, and because of the necessity ~ to connect the tracks to two existing siding tracks, each located less than II'llflllll~ 1000 feet from the current at-grade crossing with Dillon Road. a . ~~~~~ii Il~ir~~ ~,k~~~ . ~ ~„d ~ i~~,~~ IE;;;;;~~~~ five , ~ „ ~ i„ . ii ir~o~~,~ ~ir~a . ~~,,,,y ~a,~ii~~,~ it ~ ~ ~t'ii~~iu~~n I~~r,u ~~II~~'~'~'~'~'~~~~° II Mr. Faber is a registered civil engineer with extensive experience in highway, bridge, Project Manager and railroad design, construction management, and project management. This ex- perienceincludes working in the road design section of Caltrans District 12. He is IIIIIIIIIII; : II II Iii ~ ii~ III~~~. ~°1~'°~° proficient in the management of large scale, multi-discipline projects, and the de- BS/1984/Civil Engineering velopment of construction documents for both rail and highway projects. Mr. Faber PE/1990/California, No:45668 is proficient in MicroStation, INRAIL, and project management software (including Microsoft Project). III' ~ ~ II ~ m m _ ~ II Chris Saed ~ Project manager. Responsible for managing the preliminary I San Bernardino County engineering for the project report (PR) and environmental document (ED) for the 909.387.7877 Glen Helen Parkway grade separation over both Union Pacific (UP) and Burlington Northern Santa Fe (BNSF) railroad tracks. Project tasks include development Linda Bazmi of realignment alternatives, bridge alternatives, evaluation of impacts to City of Corona utilities and adjacent properties, developing engineering cost estimates, and 951.739.4960 assessing right-of-way impacts. The project tasks include development of realignment alternatives, bridge alternatives, evaluation of impacts to utilities Mike Livingston and adjacent properties, developing engineering cost estimates, and assessing City of Palmdale right-of-way impacts. Several major utility lines cross Glen Helen Parkway and 661.267.5300 accommodations or relocations of utilities need to be made to construct the proposed improvements. II' I I "~°~ii~r~~~' Project director. Responsible for construction of the grade separation bridge structure for Iowa Avenue over the BNSF triple tracks. The project will entail the project approval, the environmental document, for both NEPA and CEQA clearance, and the production of the ultimate PS&E construction documents. The structure is a 3-span, 454-ft long,102-ft wide CIP/PS box girder bridge supported on high cantilever seat type abutments and 6-column bents. Both abutments and bents are supported on driven steel piles. w I I ~ ~ , lu~~~~~~: Project manager responsible for the organization of the preliminary engineering on the project report and the environmental document for the grade separation of BNSF's main line tracks at 3rd Street. The grade separation involves three BNSF tracks, a potential future Metrolink track, and a nearby set of UPRR tracks. The City of Riverside contracted AECOM as prime consultant to provide preliminary engineering for a project report and environmental document for the great separation of BNSF's main line tracks at 3rd Street. The grade separation involves three BNSF tracks, a potential future Metrolink track, and a nearby set of UPRR tracks. II II II iI .a~~~ Project manager. Responsible for the production of a project study report and a preliminary environmental analysis report. AECOM is responsible for the production of a project study report (PSR) and a preliminary environmental analysis report (PEAR) for the McKinley Street grade separation over the BNSF railroad. III"'Nn _ n'.. I ~ I _ ~ I Project manager. Responsible for administering all aspects of the project, including obtaining a PUC order to construct; developing and participating in negotiations with BNSF for construction and maintenance agreements; environmental clearance; right-of-way; surveying; utility coordination; roadway; bridge; traffic; and geotechnical reports. The Auto Center Drive overhead is a three-span cast- in-place concrete box superstructure that carries four vehicular traffic lanes and a median over the BNSF ROW. The bridge has a high skew and design features have adapted to the many utility lines present in the area. The structure is a 353-ft long, 76-ft wide CIP/PS box girder bridge supported on high cantilever seat type abutments and drilled shaft bents. a i , II ~~r ~ II x „N~~~ ~~~~~~~W ~ ~ I ' ~ III II I I gird ~ ~ ~ L ~,~~„fii~ il,,,, „ ir~ ~ ~ . ~`~II °.II fl rc Mr. Somerville specializes in civil engineering and management, with a focus on municipal transportation and other capital improvement programs. He has man- ProjectDirector aged the study, preliminary engineering, and final design for five grade separations IIIIIIIIIIC~u~~~~,°~lii~iilll~ , II' "ii ~~~II ~'iii~~~~ii and provided independent reviews on four others. His experience includes feasibil- itystudies, PS&E, preparation of right-of-way maps, permitting, construction stag- BS/1993/Civil engineering ing, construction support, and claims analysis. Mr. Somerville began his career with PE/1995/California, No: 56141 (Civil) the City of Fullerton in 1986. His eleven years of experience in the public sector provides him with a detailed understanding of governmental and agency process- es, project finance, and needs analysis, as well as the technical and contractual requirements for the design and construction of civil projects. i I ~ ~ ~ II ~ I II II Project director for this bridge replacement and widening of the First Street crossing over the Santa Ana River. The bridge will be widened from four lanes to six lanes of traffic and provide 8-foot sidewalks on either side for pedestrians. I ~ ~ _ „ , ~ i ~ ~ ~ ° Project manager working as an extension of city staff to provide engineering services in support of the city's capital improvement program. Projects have an estimated construction value of $2 million and have included First Street rehabilitation; traffic controls plans for Bristol and McFadden; New Horizons Neighborhood rehabilitation; studies, evaluations, and reports for several projects throughout the city; and building improvements at Thornton Park. The project value was $7 million. I I I r Project Manager for the preliminary engineering and final design for the grade separation of Orangethorpe and the BNSF tracks. This $60 million project will raise Orangethorpe over the tracks. AECOM developed a cost effective approach to the bridge addressing the 70-degree skew to provide BNSF will better use of their R/W while minimizing impacts to surrounding properties by minimizing the increase in the roadway profile. Provided coordination for significant utility relocation as well as impacts to three OCFCD drainage channels. ATMP was developed and the design of a temporary bypass road was included for maintenance of traffic. i ~ ~ I ~ ~ Project manager involved in PS&E preparation for the $30 million Nogales Street Grade Separation Project; responsible for the civil design elements, including roadway, drainage, sewer, and utility relocations. Also responsible for the overall coordination efforts with all structural components, elements of the project designed by the subconsultant, and agency interaction. Additionally, coordinated with the 12 utility companies affected by the civil improvements. ~~i~~~: Pro~ect mana erforthe preparation of a Project Report and Environmental Document for the construction of a grade separation at the BNSF railroad tracks. I i II III~~. .Project manager involved in PS&E preparation for the $35 million Brea Canyon Road Grade Separation Project, taking the lead in the civil design elements, including roadway, drainage, sewer, and utility relocations. Also responsible for the overall coordination efforts with Union Pacific, SCRRA, as well as local utilities and agencies. Additionally Mr. Somerville was responsible for extensive coordination with numerous utilities, including MWD, whose main feeder line required relocation. a . i , II II ~~r ~ II x „N~~~ ~~~~~~~W ~ I ' ~ III II I I I ir~ ~ ~ . ~~II~~'~'~'~'~~~~~° II , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , Mr. Ng's professional civil engineering experience spans both government and pri- CivilLead vate consultant engineering. His work experience includes management and de- IIIIIIIII~' II II III~~ "ii 'iii ii~„ sign of roadways,highways,transitfacilities, drainage systems, and water systems, °1 ° as well as building and retaining wall structures. His tasks have included geometric BS/1972/Civil Engineering layout production; report preparation; preliminary and final design; utility coordi- PE/1991/California, No:46767 nation; drainage design; structural design; surveying; right-of-way coordination; and preparation of plans, specifications, and estimates. Mr. Ng's experience comes from a variety of projects, including roadway improvements, new freeways, inter- changes,freeway widening, railroad overheads, and bridge replacements. II ,I I ~ I ~ I I Project manager. Responsible for preliminary engineering development of alternatives, assessment of impacts, and preparation of funding applications for the Jurupa Road/UPRR railroad crossing in the Pedley area of Riverside County. This crossing is considered one of the most hazardous railroad crossings in the entire county. The crossing is located in close proximity to Van Buren Boulevard, designated to be a six lane expressway, which parallels and abuts the railroad right-of-way. The alternative is included combinations of OH over both the railroad and Van Buren Boulevard, and elevating both Van Buren Boulevard and Jurupa Road. Connections between Van Buren Boulevard and Jurupa Road include interchange ramps and loop connector roads. Critical issues included impacts to local businesses, retail malls, and residential properties; drainage, closure and realignment of local streets, and right-of-way impacts. Two spur track connections are proposed to be realigned to shorten the OH structure and vertical profile. Planning and layout of the proposed improvements spanning Van Buren Boulevard had to take into consideration the existing road alignment as well as the future expansion of the roadway and heard the County's general plan. ~ I ~ . I I . II II Project manager. Responsible for preliminary engineering development of alternatives, assessment of impacts, and preparation of funding applications for the Magnolia Avenue/BNSF railroad crossing in the Home Gardens area of Riverside County. This crossing is considered one of the most hazardous railroad crossings in the entire county. The crossing is located in close proximity to the Buchanan Avenue/BNSF crossing. During very heavy traffic conditions, congestion at each of the crossings interact with each other to further exacerbate the congestion and hazards of the crossing. The alternatives developed and evaluated include three overhead alternatives and one underpass alternative involving elevated railroad tracks. The alternatives ranged from a standalone grade separation Project to one that is coordinated in conjunction with the Buchanan Avenue/BNSF crossing in the city of Riverside and the McKinley Street/ BNSF crossing in the city of Corona. Critical project issues included access to adjacent businesses, work adjacent to two flood control channels, extreme skew angle of crossing, potential phasing of improvements, construction staging alternatives facilitating traffic movement, complex bridge column and foundation configurations, and coordination with the railroad and multiple jurisdictions. ,I ~ ~ i~ Pro~ectengineer. Responsible for development of alternatives during planning phase of project. McKinley Street from the SR-91 freeway to Magnolia Avenue is a major arterial lined with retail malls and businesses. Because of the lack of crossings across the Arlington flood control channel and railroad tracks, McKinley Street is a heavily traveled route for access tothe SR-91 freeway by the local community and businesses. Alternatives included a typical OH alternative as well as a UP alternative involving elevating over a mile of railroad track. AECOM was responsible for the production of a project study report (PSR) and a preliminary environmental analysis report (PEAR) for the McKinley Street grade separation over the BNSF railroad. a i , II II ~~r ~ II x „N~~~ ~~~~~~~W ~ I III II I I I ir~ ~ ~ . II ° . II ~v Ms. Brix has considerable experience as a consultant for both large and small firms Roadwa with clients that include both public and private agencies. In the public transpor- t' tation field, her experience includes the design of roadways, rail, utility systems, IIIIIIIII~' °~'il iil III III~~ "ii ~~ill 'iii iil II i parking facilities, grading, and site engineering for building projects. Her land de- velopment experience includes grading, drainage, water, sewer, street, and storm BS/1997/Civil Engineering drain design for entitlement and final design. As a project manager, her responsi- 2001/Civil Engineer/California #61498 bilities have included oversight and input into the design, coordination and work load scheduling of the design team, and budget management. II I I 'i I I ~ ~ ~ .'i I ~ ~ Deputy project manager for the preparation of a Project Report and Environmental Document for the construction of a grade separation at the BNSF rai lroad tracks. I I I II III IIW6' II ~ I ~ ~ ~ Ww I I ~ i I ~ i i I ~ Project engineer responsible for developing preliminary alignments. i ~ IIP~~~~~ ' III II ~~~911~~~~ I II I I II I, d ~w, Design engineer on this $75 million project responsible for design and grading of the marina parking lot using MicroStation SE and InRoads SelectCAD. Cii~~~ ~ P'"""'i I ~ I ~ ~ ~ ° Lead engineer for multiple task orders. Projects included the preparation of PS&E for the First Street rehabilitation project, providing rehabilitation strategies, cost analysis, and final design services; the parking lot reconstructions at Fire Stations #4 and #8 included site assessments and final design services; and Thornton Park, providing grading, drainage, and utility design for this castle-themed administration building. ~~~~~~u II iir I IIL..... ~ ~ III oii~l,~~~ Design engineer responsible for as-built plans using MicroStation for this major rail access project. The project consisted of geometric cross-sections, and horizontal and vertical track alignments for this 2-mile railroad project creating a direct connection from Thenard Junction to the Badger Avenue Bridge for the BNSF, the UPRR, and the SPRR. ""III""III°~oii~in°~~~~~~~ I ~ ' ~ ~ ' iui'ma~~~~ Design engineer responsible for field assessment and site grading. Designed drainage facilities, sewer line, and water line for a recreation facility; and prepared quantities and cost estimates. II II~. ~I Design engineer for parking lot rehabilitation, including field assessments and A.D.A. improvements. Analyzed options for rehabilitation and provided cost estimates for each option. Revised the site grading to improve drainage. III"Olli II II III _III ~ I i ~ Deputy project manager for I I I development of the plans, specifications, and estimates for a new $250 million, 7-mile parkway ranging from four to eight lanes in width. The project will provide a vital east-west link through Bakersfield and will tie into the SR-99 freeway. Responsible for providing design services from the geometric approval drawings through final PS&E, which is divided into three segments to correlate with funding cycles. Improvements included as part of this project were three full interchanges at major arterial street crossings, one bridge widening, four overcrossing structures (including two over the Friant-Kern canal), drainage systems (including pump stations), retaining walls, sound walls, and canal relocations. Extensive coordination is being provided with the utility and water agencies, identifying and addressing the relocation of their facilities. Environmental assistance is being provided with the preparation of a kit fox study to assess the impacts of the parkway on their habitat, and to develop measures to minimize these impacts, including kit fox crossing structures. a i , II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ I ' ~ III II I I ~ir~ ~ ~ . II ° . II ~m~ IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIWIIIIIIIIIIIII ~...,IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII~.~.~~ ~...,IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ~ ~ . ~ wm.~wm.~ Mr. Gendusa's extensive experience in civil design and construction projects in- Traffic/Staging dudes port intermodal and rail facilities, highways, land development, survey- ing, grading plans, sanitary sewer, traffic signals, street lighting, signing/striping, IIIIIIIII~' II II Iii ~ III~~~ "ii iii and detour design. He is experienced in traffic engineering design, operations, BS/1995/Civil Engineering and maintenance. He has conducted feasibility, environmental impact, parking, PE/1999/California, No: 2017 (Traffic} and design studies; solicited project funding; as well as prepared budgets, project PE/1996/California, No: C 54957 (Civil) designs, and construction plans for both highway construction and traffic related projects. I i I I iii I II This is a current project for the Metrolink service extension from riverside tothe I-215 in the City of Perris, CA. Project Engineer and Traffic Engineer for the design of 20 at-grade crossings, including traffic engineering consulting on 5 commuter rail stations, including coordination with the City/County of Riverside and the City of Perris. ~ ~ ~o ~o ~mm u u i ~ ~ i ~ II' I i I I i Project Engineer for the grade crossing safety enhancements along Metrolink right of way between City of Los Angeles and Simi Valley for a total of 63 at-grade crossings, one of which is currently under construction in the City of Glendale. This safety enhancement project also included development of new SCRRA standards and procedures. ~ i I II ~I ~I II II I I .I ~ ~ ~ ~ I ~ ~ ~ Traff i s engineer responsible for design of modified grade crossings, including signing and striping. Also advisor on street and intersection design. i . i ~ ~ i . ~ Tra is engineer responsible for staged construction and final design for traffic signal modification and signing and striping. Also advisor on property access and intersection design. Responsible for quality control of signing and striping. w I ~ . II'I i I ~ i "i I II . Traffic engineer for this $4.5 million widening of a 4,000-foot segment of Gale Avenue within the City of Industry and County of Los Angeles. Conceptual and final design services were provided for two lanes in each direction with a continuous two-way left turn lane. The design included the evaluation of geometric alternatives, coordination with utility companies, materials testing, traffic signals, construction staging, traffic signing and striping, storm drain modifications, and private property restoration. „ I L. II I I i . I I „ L..... I Traffic engineer for the widening and improvement of 5 miles of major arterial roadway. Also signing and striping advisor responsible for quality control of signing and striping. III e~ I __.m_ nm VIII I. I II~~'& ~ ~ II i,L,.I„ _,L.w.„i,L, ~~Trafficengineer for this $75 million, 3-mile freeway widening project through downtown San Bernardino. The project included the construction of a braid ramp/split diamond system with an at-grade ramp connection at Third Street. This alternative was selected by the team members after a comprehensive value engineering process. The geometric approval drawings (GAD) was prepared in close coordination with Caltrans, who prepared the GAD for segments 2 and 3. Also included was the reconstruction of interchanges at 2nd and 5th Streets; eight new bridges, and two bridge widenings. The 5th Street overcrossing required coordination with BI~SF due to its span over existing rail facilities. a . i , ' k II II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ ~ ~ I ' ~ III II I I ir~ ~ ~ . II~~'~'~'~'~'~~~ ° ~ II , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , IIIIIIIII Albert has more than five years of roadway design experience and three years of Utilities claims and scheduling experience in California. He has qualified experience in the IIIIIIIII~' °~'il iil III III~~ "ii ~~ill 'iii iil II local agency and Caltrans project delivery process, and has extensive knowledge of ~ the Primavera (P3) scheduling system. BS/1998/Civil Engineering MS/2002/Construction Management ~ ~ II U II PE/2009/California, No: 74856 Project engineer responsible for horizontal and vertical geometric I design on the proposed alignment, proposed grading, right of way engineering, temporary traffic controls during construction, coordination between our sub consultants, the County, and utility companies, and project plan delivery. I ~ I , I I'~ Project engineer responsible for horizontal and vertical geometric design on the proposed alignment, proposed grading, right of way engineering, value engineering, retaining wall design, temporary traffic controls during construction, coordination between our sub consultants, the City, and utility companies, and project plan delivery. I .I I II -Asa Scheduler, Albert was responsible for review of monthly schedule updates and time impact analysis in direct response to claims by the contractor and for future claims.Grade separation of the UPRR Alhambra Branch crossing at Nogales Street. The major components of work consist of a UPRR grade separation bridge, an overcrossing at Valley Boulevard, retaining walls, depressing Nogales Street, a loop connector road, utility relocations, a pump station, detour roads, landscaping and irrigation, drainage & sewer, and signalization & lighting and other miscellaneous items of work. Avenue S Grade Separation and Avenue Corridor Improvements, Palmdale, CA: Senior scheduler responsible for review of monthly schedule updates and time impact analysis. In addition, Albert reviewed the baseline for approval and acceptance by the resident engineer. AECOM provided full construction management, engineering and inspection services for the City of Palmdale's Avenue S grade separation and Avenue S corridor improvement projects. These projects included the widening of Avenue S, construction of a bikeway, bridge replacement, and traffic signal installations & upgrades. II I . II ~ . I I I I II . As a Scheduler, Albert was responsible for review of monthly schedule updates and time impact analysis in direct response to claims bythe contractor and for future claims. Grade separation at the UPRR and Metrolink crossings of Ramona Boulevard. Ramona Boulevard was lowered to cross under the two existing tracks, as well as to accommodate the construction of a future third track. The project consists of the construction of two railroad bridge structures and a substructure for a future bridge to the north. Also, a temporary shoofly track for both Metrolink and UPRR, a pump station and various retaining walls, a water line and several storm drain lines. I I I ~ II II 'I ~ Project engineer responsible for construction support, final right of way engineering and preparing as-built plans. The structure is atwo-span, 296 foot long, 62 foot wide cast- in-place/prestressed box girder bridge supported on high cantilver seat type abutments and athree-column bent. „ i I :Project engineer responsible for horizontal and vertical geometric design, cost estimates, value engineering between alternatives, and coordination between sub consultants, the City, and utility companies. a i , II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ I ' ~ III II I I ir~ II ° . II , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , Mr. Enriquez has considerable civil engineering experience with public works proj- Drainage ects. His background has concentrated on hydraulics, drainage design, and under- IIIIIIIIIIC~~~~~°~liioiilll~ , III" 'lii ~~~II ~liii~~~~ii~ ground construction, including trenchless construction methods. He has served as project engineer on over $70 million of storm drain, channel, and sewer construc- BS/1993/Civil Engineering tion projects. He has also supervised the design of over $120 million of storm drain PE/1996/California, No: 55520 (Civil) and sewer projects, including $5 million of sewer rehabilitation work. Mr. Enriquez is also very familiar with public works design standards for storm drains and sew- ers, and experienced in the use of standard specifications for public works con- struction. v IuIII~I ~ ~I I ~ I~~ ~~~iia~~~ Lead drainage engineer responsible for the onsite and offsite hydrology and drainage design as part of the overcrossing structure at the Columbia Avenue/BI~SF grade crossing in the City of Riverside. The project includes relocation of a 66-inch regional storm drain under the jurisdiction of the Riverside County Flood Control District. I ~~~~2 ~ Lea rai Wage engineer for this project to prepare the drainage and structural BMP plans and the hydrology and hydraulic calculations/report. The project included drainage for the proposed roadways and conveyance systems for off-site cross drainage. it i i o Iii ~ I V III I I III :::..I_ As project engineer for this $27 million project, prepared the final PS&E for the construction of over 15,000 linear feet of 24-inch to 108-inch diameter reinforced concrete pipe. I I I II I . uuww III I ' I , I I As project engineer, prepared the final PS&E for the construction of over 30,000 linear feet of numerous types and diameters of pipelines. This $12 million project was to construct the underground infrastructure for an automated well re-development system, including 30 existing single, double, and triple casing water injection wells stretched over a 5-mile alignment. The project alignment traversed various types of transportation facilities, including rail roads and sea port container terminals. These facilities were heavily congested with traffic and subsurface utilities, and required special construction methods to minimize construction impacts, including pipe jacking and microtunneling for steel casings up to 54 inches diameter at numerous locations. High groundwater and unfavorable soil conditions also required microtunneling and dewatering. The pipelines included electrical and telecommunication conduits, compressed air lines, and pressurized water and chlorine lines. Gravity disposal lines and were installed in open trenches and through the 54-inch casings. Provided construction support and coordinated the design with engineering consultants for the microtunneled portions of the project and for the integration of the entire automated system. I u I I I I i~lll Project design manager for the design of pump stations to divert low flow urban runoff to sanitary sewers. Coordinated the civil, traffic control, mechanical, and electrical designs, and prepared the final PS&E for six projects. Several projects were located within Pacific Coast Highway and required trenchless methods to minimize traffic impacts. Coordinated utility relocations and provided construction support. Combined project value was $3 million and included six projects. a I. I , II .I II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ I ' ~ III II I I gird ~ I ~ L ~,~~„fii~ il,,,, ,I irl I ~ . , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , Mr. Bosch has demonstrated experience in computer aided design and planning of Rail Shoofly railroad track and terminals, and general civil engineering projects. He has been IIIIIIIII~' II II III~~ "il 'iii ii~„ involved in both the conceptual and final design of rail projects usingAutoCAD, Mi- °1 ° croStation, and InRoads design software for the Port of Long Beach, the Port of Los BS/1995/Civil Engineering Angeles, BNSF Railway, Union Pacific Railroad, Amtrak, Metrolink, California High Studies in Railroad Tracks (Design, Speed Rail Authority, and Alameda Corridor Transportation Authority. In addition, Analysis, and Maintenance), Institute for he is knowledgeable about highway and freeway design, particularly Caltrans and Railroad Engineering at Wilmington, DE AASHTO standards. (1997) PE/2000/California, No: 60849 (Civil) II ~ ~ ~ ' , , I II I I s' ' I I I Civil engineer on a 5,500-foot-long multi segment railroad/highway grade separation structure. Duringthe conceptual stage, designed horizontal and vertical alignment alternatives, including the feasibility of grade separatingthe West Basin lead track over Henry Ford Avenue. Designed detour roads and shoofly tracks, including horizontal alignment, vertical alignments, and typical sections. f. I I I ~ I II I I i C i v i l engineer for an $8.6 million railroad/road grade separation project. Designed shoofly horizontal and vertical alignments. Developed cross-sections and rail details for shoofly tracks; assisted in the design and layout of turnouts, mainline tracks, industry tracks, and various water, storm drain, and utility plans, and in the grading and drainage design. ~I I ~ I Lead track designer/planner to study the feasibility of constructing two rail to rail grade separations for the BNSF and Union Pacific railroads in the city of Colton. II II III II i w I pPnnn m pPnnn~ Ilf °°I~ III ~ ~ ~ ~ Project engineer responsible for the design of arailroad/highway grade separation structure as part of the ACE corridor. Work consisted of designing roadway horizontal and vertical alignments, utility coordination, storm drain and sewer design. In addition, assisted in the preparation of hydrology and hydraulic reports per Los Angeles County Department of Public Works standards. „.m, ,m, ~ I ~ ~ I . w _ ~ ~ Civil engineer for this major grade separation project for the Alameda Corridor. Determined and prepared plans showing construction details for the removal and replacement of various structures around bridge bents and abutments, and assisted in the design of stage construction and utility plans. W 4 IIMP II'.. II. III ~ i III i.... 110 ~ I ny III III ~II~ I ~ W Il~b Ifl ~ AM iWp u1MY I I ~ Civil en ineer for this major rade separation project. Compiled the g g utility file from existing utility as-built plans; identified conflicting utilities and designed relocation plans for conflicting utilities; assisted in coordinating with utility companies; and created pot-hole plans. During the preliminary phase of design,designed stage construction plans and identified needed signageand pavement markings per Caltrans standards. ~ . I'I I ~ I 1 I I I ~ .I I. "~Illlal~~ ivi engineer on a $3.2 million design of a Union Pacific yard facility, including a team track, a loading dock track, four industry spur tracks, and a 220-foot-long covered loading dock. Designed and prepared plans for the railroad track horizontal and vertical alignments, grading, and drainage for the project site. Oversaw final CAD production and coordinated with the Union Pacific engineering staff throughout the duration of the project in order to meet Union Pacific technical specifications for construction of the tracks. All design utilized InRoads for MicroStation. a . I I , II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ ~ ~ III II I I ir~ ~ ~ . ,o~ Dr. Mohan Char has many years of experience working with Caltrans, local agen- Structures Lead cies, and land developers, and developing contract documents for bridge plans, 'i'~ II' 'ii ~~~II i~~ specifications, and construction cost estimates (PS&E) projects. He is specialized III ~ i in seismic nonlinear time-history and nonlinear time dependent creep/shrinkage PhD/1993/Structural Engineering analyses. He has an intimate knowledge of the Caltrans procedures for develop- BE/1986/Civil Engineering ment ofproject-specific standard special provisions. He has been involved in sev- ME/1988/Structural Engineering eral challenging structural projects for interchanges, grade separations, freeway PE/1998/California, No: 57894 overcrossings and undercrossings, railroad overheads and underpasses, majortoll bridges, and bridge widenings. ~ i, i ~ ~ i~ ~ Project manager. AECOM was retained to provide preliminary and final engineering design and construction management for the Monte Vista grade separation over the UPRR. AECOM was selected based on its in-depth understanding of grade separation design and construction management gained from the completion of numerous complex projects, including similar significant projects on the Alameda Corridor such as the Redondo Junction and Pacific Coast Highway grade separationslll °°~°~w ~~w ~ ' I °°Structural iii task manager. Mohan Char is responsible for responsible for developing PS&E for structural portions of this project which included a number of MSE walls. The Auto Center Drive overhead is athree-span cast-in-place concrete box superstructure that carries four vehicular traffic lanes and a median over the BNSF ROW. The bridge has a high skew and design features have adapted to the many utility lines present in the area. The structure is a 353-ft long, 76-ft wide CIP/PS box girder bridge supported on high cantilever seat type abutments and drilled shaft bents. II ~1~~~~ ~ ~ ~ ~~liia~: Structural task manager responsible for developing plans, specifications and estimates for structural portions of this project which included a number of MSE walls. The structure is atwo-span, 296 foot long, 62 foot wide cast-in-place/prestressed box girder bridge supported on high cantilever seat type abutments and athree- columnbent. ~~~~m~~~~ ~ ~ u ~ . Submittals/RFI engineer. Grade separation at the UPRR and Metrolink crossings of Ramona Boulevard. Ramona Boulevard was lowered to cross under the two existing tracks, as well as to accommodate the construction of a future third track. The project consists of the construction of two railroad bridge structures and a substructure for a future bridge to the north. Also, a temporary shoofly track for both Metrolink and UPRR, a pump station and various retaining walls, a water line and several storm drain lines. .Structural task manager. The project straddles the City of San Bernardino and the County of San Bernardino border. University Parkway changes its name to State Street at the city/county boundary. The City of San Bernardino was the lead agency with regards to environmental work. University Parkway/ State Street runs north/south. Immediately south of the railroad, University Parkway/State Street is intersected by Cajon Boulevard, running southeast to northwest, parallel to the railroad. I I i ~ I I Bridge engineer. Civil engineering design for bridge type selection, preliminary engineering design, utility design and relocation, channel hydraulic modeling and studies, final design, and preparation of the construction documents (plans, specifications and estimates) for the Compton Creek bridge, which also included a parallel utility bridge. a . i , II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ ~ ~ III II I I ~ir~ ~ ~ . ~`~II~.II ~m~ , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , ..............~I~I~I~I~I~I~I~I~I~I~I~I~I~I~I~L............._. Bob Fish is a former Caltrans bridge engineer with extensive structural engineer- - ~ ing experience, ranging from bridge and tunnel design to bridge engineering design Bridges support and construction. He is acompany-wide resource for seismic analysis and IIIIIIIIIII; lui° ~~li~ . II' . 'iii design, and has demonstrated expertise in designing with all major forms ofbuild- ingmaterials, including reinforced and prestressed concrete, welded steel, timber, BS/1981/Civil Engineering and masonry PE/1985/California N o: 39540 Civil ( ) SE/1993/California, No: 3674 (Structural) _~'i' gym" Lead structural engineer. II II I I I The structure is a 3-span 454-ft long,102-ft wide CIP/PS box girder bridge supported on high cantilever seat type abutments and 6-column bents. Both abutments and bents are supported on driven steel piles.This project is currently under design, and Robert is responsible for developing PS&E for the Structural portions of the projects which include a number of temporary and permanent MSE walls. II ~ II II ~ ~ II ~ ~ I ~I' ~ , ~ Project manager coordinating the project team subconsultants for surveying, geotechnical, civil, environmental and public outreach. Developing crossing alternatives, working with stakeholders for approval of preferred alternative, developing 30 percent-level design, producing the feasibility study report. I II Lead structural engineer on a new bridge structure carrying First Street over Napa Creek and the U.S. Army Corps of Engineers' future Napa Bypass. The new bridge will be athree-span, cast- in-place prestressed, haunched box girder. The total length is 344 feet and the approximate width is 64 feet. Foundations are designed to accommodate a deep scour potential. Performed the analysis and design, and wrote the specifications for the new bridge. ~ I I r I ~ III Y ~ II IIIIIIIWw I u~ur AS a senior structural engineering manager, developed very detailed cost estimates for three Caltrans projects prior to bid. The task order No.1 cost estimate ($52.6 million) was provided as part of a report "study of cost estimating," containing detailed methodology and practices for developing quantities and cost estimates. The report also provides an evaluation of "risk" (cost and project delay) associated with each item in regards to bidding and construction. Caltrans will use the report to augment and enhance their methodologies. The AECOM estimate was within 2 percent of actual bid. Bid results are still pending for tasks 2 and 3, which required similarly comprehensive and detailed cost estimates. AECOM was retained by Caltrans Division of Structures (District 59) for contract No. 59A0481 to perform on-call structures project development for Caltrans projects within Districts 5, 6, 8, 9, and 10. Under this contract, AECOM completed the first task order assigned by Caltrans Program/Project & Resource Management. Work included developing an extremely detailed cost estimate of a Caltrans project prior to bid. The cost esti mate was provided as part of a report "Study of Cost Estimating," which detailed AECOM methodology and practices for developing both quantities and cost estimates. , ~ ,I, II I., I i, ..i..I,.w. ; IIII'I ~~StructureTask Manager.The -215, Segment 1 project consists of widening and reconstructing the existing six-lane freeway to accommodate the addition of HOV and mixed-flow lanes, with an ultimate 10-lane configuration.This includes new overcrossings and widened undercrossings to accommodate the wider freeway design. Bob was responsible for Type Selection, Independent Check, Seismic Analysis (including fault rupture), project standard special provisions,and Plans, Specifications,andConstruction Cost Estimates (PS&E). a i , II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ ~ ~ III II I I ~vird ~ ~ ~ L ~,~~„fii~ il,,,, „ ir~ ~ ~ . II ~ . II Mr. Price has extensive experience in the bridge field including over 14 years in the design of steel girder, post-tensioned and reinforced concrete box girder, precast- RetainingWalls prestressed concrete I girder, and segmental box girder bridges for highways and IIIIIIIIIII;: II II ~,~lii~ii~~~~ III~~~~~~ railroads from conceptual to final design. He is also experienced in the design of li Viii iii special steel erection equipment and precast concrete segmental viaducts; travel- BS/1992/Civil Engineering ing maintenance scaffolding for major bridges; and seismic retrofit and repair of Coursework, Reinforced and Prestressed steel plate girder, truss, and concrete bridges. He has been a project engineer on Concrete Design, Arizona State University highway bridge replacement and rehabilitation (HBRR) projects in California and is PE/1995/Arizona No: 29684 (Civil) familiar with Caltrans local programs procedures. He has supervised preparation PE/1997/California No: 56855 (Civil) of construction documents and prepared engineering estimates and specifications for roadway and bridge projects in Arizona, Nevada, California, and international projects. He also has designed major arterial street projects for large metropolitan cities, and is experienced in many design-build projects. ~ Ilf~~~iil i ~ j ~~oii Sen for Bri dge Engineer for the independent design check for two underpass structures. I ~ ill III , II II III III II I i II I~ I i I Project Manager for interim safety improvements for two intersections in close proximity.The safety improvements included adding lanes, right turn pockets, re-stripping and signals. Plans included drainage improvements and retaining walls. °"III"° IIL.. I I I . I I I ~I I II Engineer of record, responsible for the design review and PS&E of the bridge. The widening ofThe Old Road at Honor Ranch Road Overcrossing required a tieback wall of 13.5 feet in height. Plans included separate plans for the Tieback Wall. I , i iI „III„ i ul~ J I ~ ~ I Project Manager for interim safety improvements for two intersections in close proximity.The safety improvements included adding lanes, right turn pockets, re-stripping and signals. Plans included drainage improvements and retaining walls. The environmental documentation included a mitigated negative declaration prepared by PMC, our sub. ~ I I I ~i I I, I ~~I~~~~~~~~ Engi Weer of record, responsible for the design review and PS&E of the 3 span, 250 foot long, 4'-3" deep, 76'-9"wide post-tensioned cast-in-place concrete box girder bridge. The bridge plans are staged with the construction of the western section while the existing bridge remains in service. The pier walls line up with the neighboring twin I-5 bridges to maximize hydraulic capacity of the creek. The footings are below scour depth and use steel H-piles. Approaches include a type 5 (L shaped) retaining walls atthe I-5 right-of-way. The widening of The Old Road at Honor Ranch Road Overcrossing required a tieback wall of 13.5 feet in height. Plans included separate plans for the Tieback Wall. III ~ I ~ II III~uRor Engineer of record, responsible for the design of a bridge widening, and a specially designed retaining wall (mechanically stabilized earth) for this project. The submittal for the Structure Type Selection and Seismic Analysis for the 99.518 meter long four span cast-in-place, prestressed concrete boxgirder NutTree Road OC received approval from Caltrans since it passes over I-80. The bridge was widened on both sides from 12.313 meters of existing width to 31.355 meters in width. As part of our type selection submittal, prepared the General Plan and Estimate for two different widening alternatives to meet the restricted vertical clearance associated with the existing structure. Alternatives considered both an 1100mm a . i , II ~ ~ ~ II x „N~~~ ~~~~~~~W ~ ~ ~ I ' ~ III II I I ir~ ~ ~ . II ~ . II rc Mr. Cheang has provided foundation design for close to three hundred new, re- placed and widened structures, statewide, for various transportation and public Geotechnical Services works agencies. These structures include railroad bridges, major water crossings, IIIIIIIII~' °~°'il ~ iil III II"' "ii III 'iii iil II i long viaducts, and overcrossings and undercrossings at major interchanges. He is currently providing foundation design recommendations for two grade separation MS/1979/Civil Engineering BS/1978/Civil En ineerin projects (Streeter Avenue and Riverside Avenue) in the City of Riverside. He is fa- g g miliar with Caltrans design philosophy and criteria, and the review process. He has PE/1987/California No: C41401 (Civil) worked closelywith civil and structural engineers to develop and refine cost-saving GE/1997/California No. 2345 schemes for foundations. Mr.Cheang iscurrently apart-time faculty at California State University, Long Beach, teaching courses on soil mechanics and soil labora- torytesting. ~ I I I wow ui ui ur i These two grade separation projects involve depressed roadways with R/R tracks on a R/R bridge. This project is currently in the field exploration phase. . _ ° I . ° . I ,I ° ° ~ ;;The project i ncludes providing geotechnical recommendations for construction of a R/R bridge and adjoining high retaining walls. I I, I II ° Provided all aspect o foundation design including design of a subdrain system for the depressed roadway. I ~ ~ ' Provided foundation .III ~ ~ design recommendations fora 16-span railroad overpass including several tall retaining walls at the approaches. I i .I x u sill' Collected and reviewed field and laboratory test results to assist Civil and Structural engineers in foundation design for bridges, retaining walls and cut-and-cover structures. I i I ~ I I I ~ T is is a mayo r I I south-end project for the Alameda Corridor. The project includes 2 bridges crossing Dominguez Channel and a long R/R viaduct. I ,I I ' I e~~~ Provided preliminary foundation design recommendations for alternative analyses. II , ~ II II I„ Co llected a nd reviewed field and laboratory test results to assist Civil and Structural engineers in foundation design for bridge alternatives, one of these alternatives is an underpass option with groundwater issues. I I I _ ~ ~ ~ ~ ~ ~ ' ~ _ i ~ This is a underpass but no groundwater issues. The foundation system consists of large-diameter drilled shafts atthe bents and driving piles attheabutments. a . i , II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ I ' ~ III II I I ir~ ~ ~ . II ~ . II , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , J.T. Barr is a licensed landscape architect. His professional experience includes Aesthetics the design and implementation of dynamic urban spaces, including plazas, water- IIIIIIIII~' II II III~~ "ii 'iii ii~„ fronts, parks, transportation corridors, and mixed-use developments. Mr. Barr pro- °1 ° vides leadership for projects of varying scales and budgets. His expertise encom- BS, Landscape Architecture, The Ohio passes design and development of landscape architectural plans and all technical State University, 2002 aspects of project and site development. Licensed Landscape Architect: State of California #5209 I State of Utah #5301 I I II II ~ ' State of Texas # 2552 Produced a visual simulation showingthe existing and proposed condition at a current at-grade crossing. The goal of the project was to separate vehicular and locomotive traffic at an intersection along Columbia Avenue in Riverside, CA. The proposed project entailed the construction of a vehicular bridge over three active BNSF rail lines to ease traffic congestion and improve public safety. Created a photo-realistic simulation illustratingthe size, positioning and architectural detail of the proposed structure. Additionally, key site details were simulated to reflect the resulting changes to the current configuration of the intersection. I ~ ~ I I I I I I ~ li I I I I I I Landscape Architect/Project Manager. AECOM is in the process of preparing comprehensive aesthetics guidelines fora 3.5 mile stretch of Orangethorpe Avenue in Orange County, CA. These guidelines will provide an integrated approach to addressing the future aesthetics integrity of the Orangethorpe Avenue Corridor. This will be achieved by providing consistency in the use of form, materials, textures and finishes, while still being flexible enough to respond to unique project conditions and changes in construction technology. The guidelines focus on the importance of integrating the grade separations into their greater urban context. The corridor structures and adjacent landscape will compliment and relate to the adjacent land uses, creating a distinct and positive identity for the Corridor. II ~ ~ ~ ~ ~ ~ III I I .11111111111 ~ I Simulations were created to assess the visual and spatial impacts of a proposed interchange realignment and bridge expansion over the I-215 corridor. Orange County Transportation Authority, Orangethorpe Corridor Aesthetics Guidelines, Orange County, California: Landscape Architect/Project Manager. Responsible for preparation of comprehensive aesthetics guidelines fora 3.5 mile stretch of Orangethorpe Avenue in Orange County, CA. These guidelines will provide an integrated approach to addressing the future aesthetics integrity of the Orangethorpe Avenue Corridor. ~ ~w,, II ' We have developed a design to redefine a one block area of the Mercado District in downtown Escondido. The design maximizes the use of rich pedestrian paving to expand the pedestrian realm and provide opportunities for gathering during community events. Planting areas were extended into the street to soften the expanse of hardscape. The plant palette consists of native and culturally relevant species which add a layer of texture and scale to the design. String lights are strung between the pedestrian luminaries lining Grand Ave further reinforcing the festival atmosphere in the space. a i , II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ ~I ' ~ III II I I gird ~ ~ ~ L ~,~~„fii~ il,,,, „ ir~ ~ ~ . II ~ . II ~v Mr. Yoshitake has over 35 years of experience in surveying and engineering, includ- ing a 13 year career with the A.T. & S.F. Railway Company (currently BNSFF). Mr. Yoshitake has managed both field and office operations for all phases of surveying Survey Services and mapping services. His experience spans projects for 30 transit centers and 114 bridges /grade separations. He has also played a major surveying role on 5 iiiiiiiii i II~IV ~ ~ ~ III III Vi ~ ili III IV ~ large design-build projects and 20 railroad yards, including 7 intermodal container Major course work/1988/Boundary transfer facilities. Mr. Yoshitake is well-versed in the specifications and protocol Control for CalTrans, CPUC and railroad companies. He has performed Right-of-Way sur- BS/1973/Forestry veys, design surveys and construction staking for 1,000 projects/tasks for public Major course work/1971/Engineering agencies, engineers, contractors, architects, railroads, utilities, private developers PLS/California No: 5822 and owners. RLS/Arizona, No: 24538 a i l ~ I I I I i ~ ~ ~ Survey Project Manager -San Gabriel Trench Phase 1 and 2 (2.2 miles & 4 grade separations) Reference: Duane Kenagy, PE, Sr. VP, Moffatt & Nichol (562) 423- 9551,Nogales Grade Separation (UPRR LA Subdivision), Nogales Grade Separation (UPRR Alhambra Subdivision) and the Brea Canyon Grade Separation. . I ~ ' I ~ ~ ~ _ _ _ I Survey Project Manager. (10 miles & 32 grade separations). The Mid- Corridorsegment is arailroad corridor trench that is 33 feet deep, 40 feet wide, and 50 feet wide, running between the Artesia (91) Freeway in Compton to the Santa Monica (10) Freeway in Los Angeles. 32 railroad grade separations were built over the trench. Mr. Yoshitake managed the combined efforts of 3 survey companies and an aerial mapping company. ~ ~ Survey Project Manager- (14 miles, l3 RR stations, 2 RR boxes and RR yard). Exposition Line Design-Build Project (8 miles, 9 RR stations, 3 grade separations, RR river bridge & RR box). Bus Rapid Transit Orange Line Design-Build Project (13 miles) and the Chinatown Aerial Design-Build Project (3,000 foot long aerial bridge). a i , II ~ ~ II „ ~ W ~ I ' ~ III II I I ir~ ~ ~ . , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , Brian Calvert brings several strong qualifications, including an extensive back- EnvironmentalServices ground working with Caltrans District 8 and in Riverside County, as well as prior IIIIIIIII~' II II III~~ "ii 'iii ii~„ experience with local roadway/highway transportation projects and other infra- °1 ° structure efforts involving bridges. Over his 14-year career, Brian has managed BA (cum laude)1993/Geography and the planning and environmental work associated with a number of relevant pub- RegionalScience, lic infrastructure projects, including overseeing an on-call environmental services MA/2000/Environmental Planning contract for Caltrans District 8, in which 34 task orders were completed, and other projects such as the Clinton Keith Road and I-215 Interchange Project Study Report (PSR) and I-15 Duncan Canyon Crossing Interchange PSR/Preliminary Environmen- talAssessment Report (PEAR). Brian specializes in preparing environmental docu- mentsand reports to meet federal (National Environmental Policy Act [NEPA]) and state (California Environmental Quality Act [CEQA]) regulations. i I, I I °'i~~ I I I I ° °~~~I~ Brian is managing and overseeing the environmental services provided for the proposed grade separation of Streeter Avenue and UPRR at-grade railroad crossing. Environmental services involve preparing the necessary NEPA documents for approval by Caltrans as the NEPA lead agency under NEPA delegation. The project was statutorily exempt from CEQA. Project involves a PES, Natural Environment Study (Minimal Impact), HPSR, Noise Report, Community Impact Assessment, Visual Impact Assessment, and Relocation Impact Document to support the Categorical Exclusion for the proposed project. ~~~~~f~~~ Brian is managing and overseeing the environmental services provided for the proposed grade separation of Riverside Avenue and UPRR at-grade railroad crossing. This project involves preparing the necessary NEPA documents for approval by Caltrans as the NEPA lead agency under NEPA delegation. The project was statutorily exempt from CEQA. Brian is overseeing the preparation of the PES, Natural Environment Study (Minimal Impact), HPSR, Noise Report, Community Impact Assessment, Visual Impact Assessment, and Relocation Impact Document to support the Categorical Exclusion for the proposed project. I ~i ~ III Uw II III ~ II I uM II NW I II ~ I II II I~ WmT M II I ; II II ~ Brian managed and oversaw the environmental services provided for the proposed grade separation Auto Center Drive and BNSF at-grade railroad crossing. The project involves preparation of necessary NEPA documents for approval by Caltrans as the NEPA lead agency under NEPA delegation. The project was statutorily exempt from CEQA. Brian oversaw the preparation of the PES, Natural Environment Study (Minimal Impact), and HPSR, to support the Categorical Exclusion for the proposed project. I „ ,w, „ , , ~ ~,w, „ I ~ III.. ~ I II I .Project Manager. Responsible for managing the preparation of an IS/EA/MND/FONSI for the widening of SR-91, from SR-57 to I-5 in the cities of Anaheim and Fullerton. The widening would include adding a fourth general purpose lane within two segments of the westbound SR-91. The additional lane would be achieved by connecting existing auxiliary lanes through State College Boulevard, Raymond Avenue, Euclid Street, and Brookhurst Road/Brookhurst Street interchanges. The total length of the project is approximately 3.8 miles. a I , II II ~ ~ II x „N~~~ ~~~~~~~W ~ ~ ~ ~ I ' ~ III II I I ir~ ~ ~ . II ~ . II , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , Working in the industry since 1987, Mr. Armstrong is a proven leader in the right of way and acquisition community with both practice and management experience. Right-of-Way Services Mr. Armstrong's management and consulting strength stems from his keen under- IIIIIIIIII"~ ~IIIII~~°~lii~ii ~i~~~~ III°~~°~~ °ii ~~ill ~'iiiii standing of the working relationship between local government agencies and the communities in which they serve. He began his career at a public agency and pro- BA/Business/Finance, Real Estate gressed in the consulting community by providing workable, real-world solutions. Advanced Real Estate Finance Curriculum He earned his reputation by consistently delivering projects without compromise Real Estate Broker, California of his clients or his personal integrity. Today, he handles many of the firms' most challenging, multi-disciplinary projects. Due to his broad perspective into the pub- licagency acquisition/relocation process, Mr. Armstrong is one of the few consul- tantsproviding comprehensive project cost studies for the firm. I , ~ I If Mr. Armstrong has been responsible for the preparation of dozens of cost studies and right of way data sheets in concert with major public works projects throughout California. Notable project examples include Orange County's Centerline project involving hundreds of properties, MagLev train from Los Angeles to Ontario involving more than one- thousand properties, and Right of Way Data Sheets at various interchanges along Interstate 5,10,15, 60, 91, and 215; and State Routes 1, 74, and 90. ~ III II ~ulll Mr. Armstrong was instrumenta in delivering the total probable right of way costs for the Centerline Light Rail Project in Orange County, California, and right of way costs for a series of over crossings for the OnTrac Railroad Lowering Project in Orange County. He also assisted apublic/private developer with assemblage budgets of their property acquisition and relocation assistance program for a project involving hundreds of properties and displacements. II' II III III I I. Mr. Armstrong directed several major Capital Improvement Projects involving regional arterial highways including State Route 90 (Imperial Highway) widening improvements, a project covering five municipalities and 200 full- and part-take acquisitions, and the City of Laguna Niguel's Golden Lantern SmartStreet. He directed the Mid-Valley Parkway Extension Project consisting of acquisition and relocation through numerous municipalities in California's Coachella Valley and participated in management and acquisition activities on the 100+ parcel California State Highway 111 Acquisition and Relocation Project for the cities of Cathedral City and Rancho Mirage. a ~ , II ~ ~ II „ ~ W ~ I ' ~ III II I I gird ~ ~ ~ L ~,~~„fii~ il,,,, „ ir~ ~ ~ . II ~ . II Mr. Erney is the transportation engineering department manager and a senior proj- ect manager for the AECOM Los Angeles office. He has successfully managed over Traffic Studies/TMP 100 transportation planning and engineering projects throughout California. He is IIIIIIIII~' III Iii- iillll III~~'~ °ii ~~ill '°'iii iil II a certified professional planner with experience managing analyses and documen- tation for environmental review projects, access and circulation studies, sustain- MS/1997/Transportation Engineering able transportation practices,TDM measures, parking evaluations, pedestrian and MCP/1997/City and Regional Planning bicycle reviews, and data collection programs. Other experience includes detailed BS/1995/Mechanical Engineering technical analysis of local and regional roadway facilities, including traffic fore- AICP/2000/United States, Registration casting, modal split analyses, traffic diversion, and operational analyses. He has No: 015998 experience coordinating with local and regional transportation and environmental Professional Transportation Planner agencies in Southern California. ~ i I Led the initial planning efforts for the proposed Nogales Street grade separation (Los Angeles subdivision), including preparing estimates of future traffic volumes in the area, estimating the effects of the proposed grade separation on traffic volumes, and evaluating the potential impacts to queues and intersection operating conditions. Provided analysis on proposed bypass road with reduced number of lanes to determine the impact on surrounding streets, intersections, and interchanges. Developed mitigation measures to ensure adequate level of service during the construction period. ~ ~ ~ i ~ o 0 o a i. ~ ~ ly ~ ~ iii". Led the analysis assessments task for the review of possible grade separation options for Temple Avenue and Baldwin Park Boulevard in the City of Industry. For each location, reviewed the traffic impacts of various roadway configurations and possible reconfiguration ofthe northbound and southbound I-605 on-ramps and off-ramps. III ~ I i I i ~ I I I Tim led the transportation evaluation for the proposed new grade separation for the intersection of Puente Avenue and Valley Boulevard in the City of Industry, CA. For this assessment, projected the future background traffic volumes and estimated the vehicles that would be affected by the grade separation. To support the development of the preferred project alternative, conducted multiple intersection level of service and queuing analyses used to rank the effectiveness and secondary effects of each proposed alignment. ~ i I II . ° Performed a peer review of the grade separation evaluation and transportation section of the environmental impact report for this proposed new transit line from downtown Los Angeles to Santa Monica. Using the Metro Grade Crossing policy, assisted in the determination of whether crossings needed to be grade separated (considering upstream and downstream queues and intersection levels of service). In addition, conducted a detailed review of the preliminary draft and draft EIR sections with regards to all traffic, transit, parking, pedestrian, and safety evaluations. n'inr, ~~mw ir. mme ~ ~~mw ~~~~~u i m, i i ; I I II' I u I I .I . I ~ Prepared documentation for the reconstruction of the US 101 overcrossing in conjunction with the Third Street Light Rail project in San Francisco. As part of this effort, investigated the level of service conditions, accident data, and freeway mainline and ramp volumes for future conditions, both with and without the proposed changes. Based on the results of the assessment, recommended revised intersection signalization,signing and striping, and geometrics to minimize impacts to the freeway and adjacent streets. a i , II ~ ~ II „ ~ W ~ I ' ~ III II I I ir~ ~ ~ . II ~ . II Mr. Davis has extensive experience in the planning, design, and construction of rail- RailCoordination road projects,tunnels,bridges,andunderground excavations and support systems. As market segment leaderforfreight rail in the west region, Mr. Davis is responsible IIIIIIIIIII; Iii ~ iil III ~ III~~~~~~~. ii ~~ill ~iii~~ii for the oversight of AECOM projects for BNSF, Union Pacific, and other freight rail Book of Rules - Qualified, BNSF and intermodalgoods-movement clients. His experience includes over 16 years of Studies in Mathematics and Sociology, heavy high-speed freight and passenger line work with Southern Pacific Transpor- College ofthe Redwoods, Grants Pass, tation Company (SPTC) where he was responsible for supervision, budget prepa- Oregon ration, and safety procedures for bridge and tunnel maintenance forces. He also Qualified Roadway Worker, Employee-in- served as project manager for remediation of a mayor chemical spill in the Sacra- - mento River, and cleanup ofBunker-C fuel contamination in railyards. c har e E I C Current g ( ) Qualified Maintenance-of-Way Rules, SCRRA ' N ~ II ~ II 'I Trained in Fall Arrest Equipment II' I ~ ~ ~ Construction relations manager for ACTA's $2.4 billion, Trained in Fall Rescue 23-mile grade-separated urban freight rail corridor. Managed and supervised Railroad Workers with emphasis on consultant teams and multi-discipline staff that provided public outreach Bridges and Fall Protection Requirements assistance. As representative of the Alameda Corridor, organized and executed Thoroughly familiar with CPUC and FRA community and business forums along with open houses. Responsible for Regulations Governing Railroad development and distribution of construction information to business owners, as well as public and special interest groups by providing flyers, construction alerts, and collateral material in English and Spanish. As liaison officer, worked directly with construction crews, owners, tenants and special interest groups to resolve construction related disputes. II II it ~ II II I I ~ ~ III~~~~~~ II ~ I ~I As s u pervi so r/ structure inspector, supervised work force in the repair, maintenance, and construction of railroad bridges and structures under live track conditions for the heavy freight and high-speed passenger line serving the greater Los Angeles area. Reviewed drawings and specifications, prepared reports, and conducted field inspections of railroad bridges, tunnels and structures. Provided construction management and prepared work orders for construction of railroad projects. Responsible for bridge, structures and drainage maintenance schedules with emphasis on safety and adherence to standard railroad specifications ~I i ~ i II' Provided project management for special projects, including environmental post chemical contamination and rehabilitation of ecosystems; and construction and installation of extraction wells for long term remediation of oil contaminated soil. Coordinated between departmental staff, regulatory agencies, municipalities, contractors and engineers to minimize delays to freight and passenger train movements and construction schedules. Served as a member of the railroad emergency disaster response team for derailments, chemical spills, washouts, tunnel fires and earthquakes. ~ ~ ~I~ ~~~~~vp ~~w iii ~ ~ 'wW III mm ii. a . Ilm~ ~~~~~~~~~~~lm~ a ~ I ~~vw ~w mm I ~n i II II II I Force account manager for the Alameda Corridor Engineering Team (ACET)-the program, utility, and real estate management consultant responsible for providing design and construction support services for ACTA's $2.4 billion, 23-mile, grade-separated, urban freight rail corridor from the ports of Los Angeles and Long Beach to the Los Angeles area. Coordinated preparation of preliminary/final design drawings and bid documents; prepared engineering reports; recommended alternatives; reviewed and reconciled force account invoices and payment authorizations. Coordinated rail, infrastructure and private utility relocations with railroads and engineers; coordinated construction phasing among various project stakeholders including, railroads, municipalities and regulatory agencies. Provided technical and managerial support to the Division Construction Manager. a ~ , II ~ ~ II „ ~ W ~ ~ III II I I gird ~ ~ ~ L ~,~~„fii~ il,,,, „ ir~ ~ ~ . APPENDIX E CERTIFICATION OF NON-DISCRIMINATION BY CONSULTANTS 25G-115 CITY OF SANTA ANA PROJECT STUDY REPORT EQUIVALENT AND CONCEPTUAL ENGINEERING PLANS FOR SANTA ANA BOULEVARD GRADE SEPARATION PROJECT PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, 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 Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualmed applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor 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 Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24,1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24,1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction 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. CITY OF SANTA ANA PROJECT STUDY REPORT EQUIVALENT AND CONCEPTUAL ENGINEERING PLANS FOR SANTA ANA BOULEVARD GRADE SEPARATION PROJECT PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR (continued 7. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed Vice President Pat Somerville, PE Title Fig AECOM Technical Services Date 4/6/2010 25G-117 APPENDIX F FEDERAL REQUIREMENTS Certification of Consultant ............................................................................Exhibit 10-F Certification of Local Agency Exhibit 10-G Local Agency Proposer UDBE Commitment Consultant Contracts Exhibit 10-01 Local Agency Proposer DBE Information Consultant Contracts)......... Exhibit 10-02 Nonlobbying Certification for Federal Aid Contracts Exhibit 10-P Disclosure of Lobbying Activities Exhibit 10-Q Equal Employment Opportunity Certification .....................Exhibit 12-E Attachment C Non-Collusion Affidavit .........................................................Exhibit 12-E Attachment D Debarment and Suspension Certification ............................Exhibit 12-E Attachment E Local Assistance Procedures Manual EXHIBIT 10-F Certification of Consultant, Commissions & Fees Exhibit 10-F Certification of Consultant, Commissions & Fees CERTIFICATION OF CONSULTANT I HEREBY CERTIFY that I am the Vice President ,and duly authorized representative of the firm of AECOM Technical Services ,whose address is 999 Town and Country Road, Orange, CA ,and that, except as hereby expressly stated, neither I nor the above firm that I represent have: (a) employed or retained for a commission, percentage, brokerage, contingent fee, or other consideration, any firm or person (other than a bona fide employee working solely forme or the above consultant) to solicit or secure this agreement; nor (b) agreed, as an express or implied condition for obtaining this contract, to employ or retain the services of any firm or person in connection with carrying out the agreement; nor (c) paid, or agreed to pay, to any firm, organization or person (other than a bona fide employee working solely forme or the above consultant) any fee, contribution, donation, or consideration of any kind, foror in connection with, procuring or carrying out this agreement. I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans) in connection with this agreement involving participation ofFederal-aid Highway funds, and is subject to applicable state and federal laws, both criminal and civil. 4/6/10 (Date) (Signature) Pat Somerville, PE Page 10-43 LPP 06-02 ~ May 1, 2006 Local Assistance Procedures Manual EXHIBIT 10-G Certification of Local Agency Exhibit 10-G Certification of Local Agency CERTIFICATION OF LOCAL AGENCY I HEREBY CERTIFY that I am the of the (local agency) ,and that the consulting firm of ,or its representative has not been required (except as herein expressly stated), directly or indirectly, as an express or implied condition in connection with obtaining ar carrying out this Agreement to: (a) employ, retain, agree to employ or retain, any firm or person, or (b) pay or agree to pay, to any firm, person or organization, any fee, contribution, donation, or consideration of any kind. I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans) in connection with this Agreement involving participation offederal-aid highway funds, and is subject to applicable state and federal laws, both criminal and civil. (Date) (Signature) Page 10-45 LPP 06-02 2 5 V ~ ~ 2 0 May 1, 2006 Information regarding a vendor's racial or gender ownership status will not be used as a factor in the City's selection process for any contract. Exhibit 10-02 Local Agency Proposer DBE Information (Consultant Contracts) NOTE: PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS FORM AGENCY: City of Santa Ana LOCATION: 20 Civic Center Plaza, Santa Ana, CA 92701 PROJECT DESCRIPTION: Project Study Report Equivalent and Conceptual Engineering Plans for Santa Ana Blvd. Grade Separation Project TOTAL CONTRACT AMOUNT: $1.3 million PROPOSAL DATE: 4/6/2010 PROPOSER'S NAME: AECOM Technical Servuces CONTRACT DESCRIPTION OR SERVICES TO BE BE Cert. No. AME OF DBEs ERCENTAGE OF ITEM N0. SUBCONTRACTED ND EXPIRATION (Must be certified on the date bids BE ATE are opened -include DBE address and phone number) Task IV.G Geotechnical Investlgatlon CP Firm No. 6956, Earth Mechanics, Inc. 4.0% exp. 12/19/2013 17660 Newhope St., Ste. E ountaln Valley, CA 92708 714.751.3826 Task IV.E Field Survey/Topography CUCP #21228, Coast Surveying Inc. 5~3% etro #287, exp. 15031 Parkway Loop, Ste. B 12/4/2013 Tustin, CA 92780 (714) 918-6266 For Local Agency to Complete: Total Claimed ~ tbd Local Agency Contract Number: Participation 9.3 Federal Aid Project Number: Federal Share: Contract Award Date: Local Agency certifies that the DBE certification(s) has been verified and all information is complete and accurate. w Signature of Proposer Pat Somerville, PE Print Name Signature Date Local Agency Representative 4/h/2~1 ~ 714 5h7 2755 Date (Area Code) Tel. No. (Area Code) Telephone Number: For Caltrans Review: Pat Somerville, PE Person to Contact (Please Type or Print) Print Name Signature Date Caltrans District Local Assistance Engineer Local Agency Bidder - DBE Commitment(Rev 3/09) Distribution: (1) Copy - Fax or scan a copy to the Caltrans District Local Assistance Engineer (DLAE) within IS days of contract execution. Failure to send a copy to the DLAE within 15 days of contract execution may result in de-obligation of funds for this project. (2) Original -Local agency fil Exhibit 10-01 Local Agency Proposer UDBE Commitment (Consultant Contracts) NOTE: PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS FORM AGENCY: City of Santa Ana LOCATION: 20 Civic Center Plaza, Santa Ana, CA 92701 PROJECT DESCRIPTION: Project Study Report Equivalent and Conceptual Engineering Plans for Santa Ana Blvd. Grade Separation Project TOTAL CONTRACT AMOUNT: $1.3 million PROPOSAL DATE: 4/6/2010 PROPOSER'S NAME: AECOM Technical Servuces WORK DESCRIPTION OR SERVICES TO BE BE Cert. No. AME OF UDBEs PERCENTAGE ITEM N0. SUBCONTRACTED ND EXPIRATION (Must be certified on the date the AMOUNT ATE roposals are opened -include OF EACH UDBE DBE address and phone number) Task IV.G Geotechnical Investlgatlon CP Firm No. 6956, Earth Mechanics, Inc. 4.0% exp. 12/19/2013 17660 Newhope St., Ste. E ountaln Valley, CA 92708 714.751.3826 For Local Agency to Complete: Total Claimed ~ tbd Local Agency Contract Number: Participation Federal Aid Project Number: 4.0% Federal Share: Proposal Award Date: Local Agency certifies that the UDBE certification(s) has been verified and all information is complete and accurate. Signature of Proposer Pat Somerville, PE Print Name Signature Date Local Agency Representative 4/6/2010 714.567.2755 Date (Area Code) Tel. No. (Area Code) Telephone Number: Pat Somerville, PE FOr C altrallS ReVIeW: Person to Contact (Please Type or Print) Print Name Signature Date Local Agency Bidder -UDBE Commitment (Rev 3/09) Caltrans District Local Assistance Engineer Distribution: (1) Copy - If this Proposer is successful fax or scan a copy to the Caltrans District Local Assistance Engineer (DLAE) within 15 days of award. Failure to send a copy to the DLAE within 15 days of award may result in de-obligation of funds for this project. (2) Original -Local agency files Local Assistance Procedures Manual EXHIBIT 10-P Nonlobbying Certification for Federal-aid Contracts Exhibit 10-P Nonlobbying Certification For Federal-Aid Contracts The prospective participant certifies by signing and submitting this proposal/bid to the best of his or her knowledge and belief that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. (2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his/her proposal/bid that he/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. Patrick Somerville, PE, Vice President Page 10-75 LPP 09-02 ~ July 31, 2009 Local Assistance Procedures Manual EXHBIT 10-R Disclosure of Lobbying Activities Exhibit 10-Q Disclosure of Lobbying Activities DISCLOSURE OF LOBBYING ACTIVITIES COMPLETE TKIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: ? a. contract ? a. bid/offer/a lication ? a. initial pp b. grant b. initial award b. material change c. cooperative agreement c. post-award d. loan For Material Change Only: e. loan guarantee year quarter f. loan insurance date of last report 4. Name and Address of Reporting Entity 5. If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime: Prime ?Subawardee Tier , if known Congressional District, if known Congressional District, if known 6. Federal Department/Agency: 7. Federal Program Name/Description: CFDA Number, if applicable 8. Federal Action Number, if known: 9. Award Amount, if known: 10. a. Name and Address of Lobby Entity b. Individuals Performing Services (including (If individual, last name, first name, MI) address if different from No. l0a) (last name, first name, MI) (attach Continuation Sheet(s) if necessary) 11. Amount of Payment (check all that apply) 13. Type of Payment (check all that apply) $ ? actual ? planned ? a. retainer b. one-time fee 12. Form of Payment (check all that apply): c. commission a. cash d. contingent fee b. in-bind; specify: nature e deferred Value f. other, specify 14. Brief Description of Services Performed or to be performed and Date(s) of Service, including officer(s), employee(s), or member(s) contacted, for Payment Indicated in Item 11: (attach Continuation Sheet(s) if necessary) 15. Continuation Sheet(s) attached: Yes ? No ? 16. Information requested through this form is authorized by Title 31 U.S.C. Section 1352. This disclosure of lobbying reliance Signature: was placed by the tier above when his transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. print Name: Pat Somerville, PE 1352. This information will be reported to Congress semiannually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject Title: Vice President to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Telephone No.: 714.567.2755 Date: 416/2010 Authorized for Local Reproduction Federal Use Only: Standard Form - LLL Standard Form LLL Rev. 04-28-06 Page 10-77 LPP 06-02 ~ May 1, 2006 Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment C (THE BIDDER'S EXECUTION ON THE SIGNATURE PORTION OF THIS PROPOSAL SHALL ALSO CONSTITUTE AN ENDORSEMENT AND EXECUTION OF THOSE CERTIFICATIONS WHICH ARE A PART OF THIS PROPOSAL) EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION The bidderAECOM Technical Services ,proposed subcontractor ,hereby certifies that he has xx has not , participated in a previous contract or subcontract subject to the equal opportunity clauses, as required by Executive Orders 10925, 11114, or 11246, and that, where required, he has filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance, a Federal Government contracting or administering agency, or the former President's Committee on Equal Employment Opportunity, all reports due under the applicable filling requirements. Note: The above certification is required by the Equal Employment Opportunity Regulations of the Secretary of Labor (41 CFR 60-1.7(b) (1)), and must be submitted by bidders and proposed subcontractors only in connection with contracts and subcontracts, which are subject to the equal opportunity clause. Contracts and subcontracts which are exempt from the equal opportunity clause are set forth in 41 CFR 60-1.5. (Generally only contracts or subcontracts of $10,000 or under are exempt.) Currently, Standard Form 100 (EEO-1) is the only report required by the Executive Orders or their implementing regulations. Proposed prime contractors and subcontractors who have participated in a previous contractor subcontract subject to the Executive Orders and have not filed the required reports should note that 41 CFR 60-1.7(b) (1) prevents the award of contracts and subcontracts unless such contractor submits a report covering the delinquent period or such other period specified by the Federal Highway Administration or by the Director, Office of Federal Contract Compliance, U.S. Department of Labor. Pat Somerville, PE, Vice President Page 12-79 LPP 01-04 ~ March 15, 2001 ~;r ~ ~~il a~ f~ "pit' ~.i~ ~.la~ r~~~~i~~ l ia~~~~~~:ti~ r~~ti. R.. 1 ~ - ~ ~oc~~ ~sis~~~~c~ t#a~c~urw~ [an«~~ .HBIT P '~~e~~~list ~ N~~f~°~wc~iots tt~tc~m~~~t LEA. ~cl~li° ELI ~ech~r~i~c~l ~ervic~s z~a~a~~ s~~~a~~t~°c~a• a~ ~ch~nics ,1~~°el~ ~e~°tfie ~l~ ~15 11~~ , ~l°~1C1~~~~ Ili ~"V1~~1 fll' ~1~~~1~1`~ ~p1~ lk~~ C1~~{~l"~U~~~~ ~:U~~ ~1 1"~~l~~l" l~ Ex~~~r~ 1~, ] 1 l ~4, I ~~d vl~e~° ~°c~~~~,1~~ ftld the ~~i~~t ~~~°~i~ a~~~~r~~ee, ~ ~~~tal° ~~th ~f~ ~'"er~~°al a~1t~° ~rn~~inc, ~ ~~~~1 c~v~°r~~~~~t ~~at~W~i~~ ~ani~litelyn, ai° ~'nz°~~~~° '~°r~t' ~r7~~~t~ a E~~l E~r~~l~~~en app©~~t~nity, ~~l r°~~~°ts ~u ~~~~~de~° ~p~licale llin rc~u~e~r~n~. ~1~~ a1~~v ~t°tif ~,t~r~ is ~°c~u~i~°d t~~e E1~1~1~~nt ~~a~°~~~~y eg~~~t~n +~f tl~ ~c~°~t~° ~bc~~.° 1 ~FT~. ~-~..7(~ ~ ~ ~ ~~1us~ ~ ~~~ie~ ~ id~r ~~°aa~~ ~~~~°ta~° ~~~y cc~nnect~an wig ~t~#ts n~ s~.~:C~~~~~°~ct, l~~l~ u~~ct tl~e ec~u~ ~~p~~tun~y ~a~~se. ~i~ti°t s~~acanti°~~~ ~v~~ih rat tl~~ ~~a~tl~it~' ~laue fc~~~~~ in 4l ~ C~~] .S° ~~~~~l~~ll~ a~~1~ ~c~~~t~°~~s a~~ ~~~~tr .c~ 1 ~n~~• a~°e e~np~t. ~~r~t~r~~~y, ~,n~r°d ~ ~ ~ ~ ~~~1 ~°~~~~t ~~c~~~~°~ Excut~v +~~%c~~° ~t° tla~~~° r~~l~l~~~~~in ~x~~latiai~. ~'~°~ae~ }~~°ii ~~~ta°~cta~° ~~c~r~t~°.t~~°s ~~.e ~a~°~icj~~~d i~~ ~ ~°~v~~us ~~n~°t ~~c~tlti°~ct ~~l~~ect to dl~s h.v t~~~ t1~e ~°~~uirNed ~°~oY°ts l~~uld nab ~~~~t ~ 1 FF~ ~ .7(4~~ ~ 1 ~ pi°~~~~t c~nt~°t ~ ~~al~~nt~°~.ct ~~h c~~ti°~~~w ~~~~~~u ~~~~~~°t cc~~~°i~~ tl~ dl~~~~~~~~~ ~°i~c~ ~r s~~~~ c~hl° ~~~i~ ~if~d ~y t1~ F~~°~~ Hil~v~a A.~tlnist~°at~c~n ~y ~17~ ~~~•ctc~r, ffe af~"~°~1 ~nt~t~~i~~~lian, ~ep~.~°~~ne~~~ ~~'L1~~a1~. Lind ears, E, __m P~i~, l ~,acal ~ssista~c~~ ~~~ce~ur~~ l~ianual ~~I~IT PE ~he~klist~ I~~str~ctior~s #tachrr~~nt. ~~f11IJ~1~C~f~.} l'~~1~4~ ~~~T~[[~!#Y ~ ~]~111~Y~I ~'IIL~'~ ~~1Ll~lJ~Y LJ~' ~~1'rJ" L~LT~~i~~~]~~ k.i~L~ i,~ ~.f C +J1. Y x! i ~~J'~ ~1 Y !~1 Y!J La~l.~111~! Y 1~ d,~i1~Y~ ~~ir ~1 411 Y 1 ! 1 L.IxJL' 4~~~ ~~I'~ l ill Y Yi` 1 I~ ~ ~~9 A~~~II T~~f~r~c~l ~~~vi~~~~~ The° hidd~x,...~~...... ~ proposed subcoritrae~or IMF ~~ne~ hereh ce~ifies~ th~t~he hay. has nod artici at~d in a revious contract or subcontract sul~'ect to the° e4 ual . , p p p ~ q opportunity clauses, required by Executive girders ~ ~9~~, 11 ~ 14;~ or 11 ~4~, and, that, where rc~uireda he has ~lcd with the° point Reporting; orr~rnittee, the Director of the office of Federal contract ~orr~pliance a Federal ~iovcrncr~t contracting or administering agenc}~;, or' the forrrrer~ President's ~~ornmitt~ee an Equah Emplornent ~'pportunity ~ alb rcpo~s due under tho appli~abl~ f lln requirements ~1ot~: Tl~e~ a~ov~~ eertif icatio~ is`~ te~u~red h~ the Equal Ei~pl`ornent ~pportunt}~ Regul~ti~~i~~ off' the ~eretary of Labor {41 FR~, ~~-1, 7~~} ~ 1)~, and must he suhrnitted by bidders and proposed subcontractors in conne~ctor~ witk~ contracts a~ady subcontracts, which are subject to the equal opporfunt' clause. contracts" and ~~ubcar~tract~s which a~'e exempt from fihe e'qu~l ~pp~rturti~ty clause are set forth ~ 41 FR ~~~~~1:~ M ~eneralty only contracts or subeontraets~ ofd l 0,000 or under are eempt. ~rr~rttl.. tardard Forrta~ l ~a~~- l 1s the onl re ort re aired b the Executive ~`rders or the Y ~ ) ~ Y nl~ ~ Y ~ irnplernenting regulations: Proposed prime contractors and subcontractors who have participated in a~ previous contract or subcontract subject to the l~ecutive girders and have~~ not filed. t~. he requirod reports should note that ~ ~ ~~-1.7~b~ ~l prevertsa the a~vaxd of corttxacts artd su~corttracts unless such contractor suhruits a- report covering the delinquent period or such other period specified by the 1~ederal I~igl~way drnnstration or b}~ the Director, off ce of Federal contract compliance, ~J.~ lr]epartrrier~t of~al~ar ,.r~ s, ~ .ti . f Darr ~ ; Fre 4~~ ~ .a~e~ 1 - L~P~' ~~-0~ arch , M t,~Wi~~r ~ra ~~i.~~ll y I ~ ~ I ~P I !i ~I ~ ~ P ~~I+~ i "YM•~ ' ~ 'I ~ a'~. rl p,.. 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' ~I I~R I I ~rMwl~• ~Yil~. 4 I r 1 ~I_•~"lux `III Y_~,~s°~, ;_6h~ ti~l h'.' l~ i+_ ~ ~I ~ IMP'-~~?~~Lh l : ~'`~~~'Il.~+~.~~ i .r"e.?i~`~"v ~'Il~~~°?` C~~ I~'I I~, I'1.~ '•~`~o°~? ~ I~`s.~ I ~ RL"i_~I_'.B',?'~ ~ ~ I .?Y" • T o ~ ; ~ 'N I ~~"~~Y..~II~.III -,hpn.+:lIY+, MI?~ I? ~~r. I~„~~1.~'~~~M"Y~h. ?'.?~~I'.:rr~Y ~6M ~ I+.~.Il~~~~'4~~"Ifihl>Io.~:Yw~ ~ I'"p[?i~~~~I1.~I{`~~, ;~tlti'~~+Y,~II~ ••.~JfJ,~.~~'~ •~Y".~~?IY ~ ~„I ,,r•~..~ + r~~ uY f N;' M :P.• I''r~Yr?~~,~' ~~~~~;r Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment D Noncollusion Af~davlt (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY I COUNTY 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 other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Noncollusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Noncollusion Affidavit. Bidders are cautioned that making a false certification may subject the certifier to criminal prosecution. r Pat Somerville, PE, Vice President Page 12-81 LPP 01-04 ~ March 15, 2001 Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment E DEBARMENT AND SUSPENSION CERTIFICATION TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 The bidder, under penalty of perjury, certifies that, except as noted below, he/she or any other person associated therewith in the capacity of owner, partner, director, officer, and manager: • Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; • Has not been suspended, debarred, voluntarily excluded or determined ineligible by any federal agency within the past 3 years; • Does not have a proposed debarment pending; and • Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past 3 years. If there are any exceptions to this certification, insert the exceptions in the following space. Exceptions will not necessarily result in denial of award, but will be considered in determining bidder responsibility. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action. Notes: Providing false information may result in criminal prosecution or administrative sanctions, The above certification is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Certification, Pat Somerville PE Vice President Page 12-83 LPP 01-04 ~ March 15, 2001 AECIM u 'I~ III I later within this Scope of Services. The development and construction of this project is IIIII~ ~I being undertaken by the City of Santa Ana (City), who ~ ~~~n~~l~'~ Inn will also be serving as the project's administrator for the The proposed project is to grade separate Santa Ana preliminary studies, environmental documentation, Boulevard at the Metrolink at-grade crossing. design, right-of-way engineering, right-of-way acquisition, and construction. The roadway width, and subsequent right of way width, The selection of the preferred alignment for the Santa will be determined based upon the City's General Plan Ana Boulevard Grade Separation will require the for Santa Ana Boulevard, as reinforced by the projected approval of the City and SCRRA/OCTA. The selection of traffic volumes generated by our traffic studies, as the locally preferred alternative, early in the project described later within this scope, and the number of development process, is critical in maintaining the lanes required for the year 2035 (or 2040) to provide a schedule for the project's completion. As stakeholders minimum Level of Service required by the City. in the project, local community and business owner The vertical alignment of the road will be designed to acceptance of the recommended alignment is a conform to sight distance and safety standards. prerequisite for City approval and a successful project. The proposed project will construct a Grade Separation at the crossing of Santa Ana Boulevard, with the The proposed Santa Ana Boulevard Grade Separation, SCRRA/OCTA Metrolink line (Metrolink). Phase 1 of the and the associated retaining walls, shall be studied to Project is Preliminary Engineering, requiring an determine the most cost effective and efficient investigation as to the most cost-effective alternative structural type, and this will include both pre-cast for separating the grades, beginning with a simplified concrete and steel through plate girder alternatives. The Project Study Report Equivalent (PSRE), and crossing will also be studied in terms of providing an culminating in a Project Report Equivalent (PRE), a aesthetic bridge structure consistent with the recommendation; and submitting a Notice of Exemption surrounding community. (Statutory Exemption) as a part of the California „ „ Environmental Quality Act CEQA .Phase 1 concludes I „ with the approval of the PA/ED. Phase 2 of the Project Thel PSRE shall be prepared similar to CALTRANS' development will require right-of-way acquisition, final regulations, policies, procedures, manuals and design: plans, specifications and cost estimates for the standards. The following items a. through d. are not all- construction ofproject; and relocation of utilities. We inclusive but are intended only to illustrate types of shall submit a CD to the City, which will include all sources. surveying, environmental reports, technical studies, the PSRE, the PRE, the design files, both plans and a. The PSRE will be prepared similarto Caltrans' specifications, and any supporting documents produced Project Development Procedures Manual during the course of the project development. This Appendix L -Preparation Guidelines for Project scope of services is written for Phase 1 only. Study Report. b. Roadway design shall be in general ~ conformance with the current CALTRANS Highway Design Manual, Standard Plans and AECOM shall provide professional and technical Specifications in English Units. engineering services necessary to investigate alignment c. Plans and estimates shall be prepared in alternatives, prepare a PSRE, documenting potential general conformance with the current editions solutions tothe project's purpose and need; a PRE, oftheCALTRANS Plans, Specifications and recommending an alternative; and providing the Estimates Guide, Standard Plans and Standard necessary documentation to obtain environmental Specification, and Basic Engineering clearance. Work will include, but not necessarily be Estimating System or as required by the City. limited to, preliminary engineering, field surveys, d. This PSRE shall be performed in accordance obtaining SCRRA/OCTA design requirements, traffic with CALTRANS and AASHTO standards and studies, geometric layouts, preliminary right-of-way practices. Any exceptions to applicable design layouts, and order of magnitude cost estimates. AECOM standards shall be approved by the City via the shall assist the City in any public meetings, City Council process outlined in CALTRANS' Highway Design presentations, and meetings with area business Manual and appropriate memorandums and owners. The work in Phase 1 is more fully described design bulletins published by CALTRANS. r~i f~, fr. ~~,.~~.o~, IE~:~ir~l~~s~l fir p~~:~~r~~e~t t~~~y Re~~~~r~~~: I~;q~uiiv~~e~~~~: ~ir~ ~ I::' ~'i p~~:~~l~in~ fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~t'i~n I~° r~"eat ~ ~ ' AECIIV The PRE shall be in accordance with CALTRANS' 2. Solicit input regarding the goals for the regulations, policies, procedures, manuals and project desired by each agency. standards. The following items a. through d. are not all- 3. Agree on the intended scope of the project. inclusive but are intended only to illustrate types of 4. Agree on the basic design standards to be sources. met. a. The PRE will be prepared in accordance with The first step in the project development process will be Caltrans' Project Development Procedures to develop the conceptual alternatives for the project. Manual Appendix K -Preparation Guidelines for Project Report. Those elements to be considered will include: • Environmentallssues; b. Roadway design shall be in conformance with Traffic Requirements (Existing and Future); the current CALTRANS Highway Design Manual, Utility Impacts; Standard Plans and Specifications in United ExistingTopography; States Customary Units. Horizontal and Vertical Geometric Requirements; c. Plans and estimates shall be prepared in Right-of-way Impacts; conformance with the current editions of the Crossing Type Selection; and CALTRANS Plans, Specifications and Estimates Project Costs. Guide, Standard Plans and Standard Specification, and Basic Engineering After completion of this initial step, the City will review Estimating System, or as required by the City. the conceptual alternatives, the impacts and costs of d. This PRE shall be performed in accordance with each alternative within the PSRE and make a decision of CALTRANS and AASHTO standards and which alternatives are feasible and should be carried to practices. Any exceptions to applicable design the next step in the project development process - standardsshall beapproved by the City and preparation of the PRE. The PRE is the engineering document that provides the Caltrans via the process outlined in the transition between the conceptual plans and the CALTRANS' Highway Design Manual and proposed project. At the pre-PSRE meeting, the appropriate memorandum and design bulletins engineering specifics of the design scope will be published by CALTRANS. discussed. These will include the major features of work associated with the project, such as alternatives that substantially lessen or avoid environmental . ' ~ ~ I . I . impacts, number of lanes (current and future), and most We will obtain Project Approval and Environmental efficient crossing type. Additional items that need to be Clearance for the Santa Ana Boulevard Grade considered are roadway drainage systems, impacts to Separation Project, and this shall be done by preparing both existing and future utilities, and cost. a PSRE, a PRE, a Statutory Exemption (SE), and Categorical Exclusion (CE). ~ ~ , We will prepare and obtain approval from the City the , SCRRA/OCTA, Caltrans, and the Federal Highway ~ I ~ ' " I Administration (FHWA). The PRE will examine roadway ' ~ ,..I,.. alternatives documented in the approved PSRE, based II ~ ~ If~~~~ ~ I ~ ~ f ~Il~i ~Il~i°~~I ~~~'ii ilk ~~~,~~t l upon forecast traffic volumes, and existing topography, as well as alternatives for the crossing type, and shall The AECOM will assist the City on this phase of the recommend a preferred alternative, as well as the project with responsibility for the work effort within its approval of the environmental document. team. This task includes project management and administration; meetings; quality control/quality We will establish relationships with all the stakeholders assurance; agency, subconsultant railroad and utility in the project to solicit input and develop consensus coordination; project permit coordination; scheduling; duringthe project development process. Input from all budgeting; progress reporting, and invoicing. Progress stakeholders will be solicited early in the process and meetings will be held at monthly intervals, or as needed will continue throughout project development to between the City, SCRRA/OCTA, other stakeholders, and facilitate timely review and approval of the project. the Project Team. The purpose of these meetings will be A meeting with the City, Caltrans, the SCRRA/OCTA, and to review project status to ensure the contract other stakeholders will beheld before any significant objectives and milestones are being achieved. To work is started on the project. The purpose of this supplement these meetings, the AECOM Team will meeting will be to: maintain on-going communications with the City, 1. Review the PSRE and PRE Document SCRRA/OCTA, and other agencies as necessary. It is development process. anticipated several meetings with these agencies will be required to gain project approval for the locally r~i f~, fr. ~~,.~~.o~, Ii:~ir~l~~s~l fir p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~t'i~n I~° r~"eat ~ ~ ' AECIIV preferred alternative. A schedule will be developed, maintained and updated for tracking the project. The aerial mapping will be prepared in conformance with Caltrans CAD mapping standards and Deliverables: photogrammetricspeclfications. Horizontal and • Required Copies ofMeetingMinutes vertical aerial control panels will be set to meet aerial • Updated Pro~ectSchedule triangulation requirements. The mapping will be • Public Meeting Exhibits prepared to 1" = 40' scale with 1-foot contours and will be delivered in a Microstation v8 format. Existing reports, studies, proposed and "as-built" plans, Survey crews will field verify the aerial mapping to mapping or other information will be obtained from the delineate planimetrics obstructed by tree coverage or City, utility companies and other agencies as applicable shadows and to verify the contours and spot elevations and reviewed by the design team. Data to be obtained generated from the aerial mapping. and reviewed includes: A color digital orthophoto with 3"pixel resolution will be • Mapping and design information from the City prepared from the 40-scale imagery. The digital for improvement projects; orthophoto will coverthe same mapping limits • Hazardous material/waste information; described above. • Preliminary materials (geotechnical) information; Deliverables: Traffic data (existing and forecasted traffic, ~ Aerial Mapping& Field Surveyin electronic and level of service, capacity adequacy, operational hard copy analysis, accidents, etc.); and DigitalOrtho Photo • Right-of-way and utility plans. We will prepare a traffic operations analysis for the Santa Ana Boulevard grade separation project. The Horizontal and vertical corridor control will be traffic operations analysis will examine existing and established along the corridor to support the aerial forecast future year conditions in the vicinity of the photogrammetry, land net surveys, engineering surveys OCTA/SCRRA at-grade crossing with Santa Ana and future design and construction activities along the Boulevard. The future year conditions examined will be corridor. The survey control will be set in accordance the project opening year and the project design year (20 with Caltrans survey standards and will be tied into the years after opening, assumed to be 2035). Conditions North American Datum of 1983 (NAD83 NSRS 2007) and examined will include the No Project Alternative and up the North American Vertical Datum of 1988 (NAVD88 to three build alternatives. Riverside County) or as specified by the client. The analysis will include examination of the following intersections: This task entails cadastral research within Caltrans District 12 and the County of Orange for existing ~ Santa Ana Bld./I-5 On and Off-ramp. centerline and right-of-way files and/or available Santa Ana Bld./Fuller St.. cadastral records in support of the centerline and right- Santa Ana Bld./Lincoln Ave. of-way of I-5, Santa Ana Boulevard, and Lincoln Street. Santa Ana Bld./Santiago Street. Field surveys will be performed to locate the centerline. We will coordinate with City staff and the PDTto develop In addition, key monuments will be located in order to an appropriate methodology for forecasting year 2035 calculate the centerline of the corridor and adjacent volumes at the study locations, relying on the SCAG RTP intersecting routes. The right-of-way will be based upon or OCTA OCTAM traffic model (or as the City requires) record calculations only and will not be surveyed. data to forecast year 2035 volumes. Aland net base map will be prepared at a scale Specific tasks to be performed for the traffic operations comparable to the aerial mapping and will include said analysis include the following: record centerlines and rights-of-way as well as underlying cadastral information, ownership 1. Peak period traffic counts will be collected at up to information as recorded with the Riverside County three study intersections, for two (a.m. and p.m.) assessor's office. All these data will be incorporated three-hour peak periods. The peak periods to be with the aerial mapping and delivered in a Microstation evaluated will be determined in conjunction with v8 format. the PDT. 2. Futureyeartrafficvolumesforthelocations identified for examination will be developed using r~i f~, fr. ~~,.~~.o~, Ii:~ir~l~~s~l fir p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i it p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~t'i~n I~° r~"eat ~ ~ ' AECIM growth rates calculated from the RTP model SED, reconstruction of atemporary at-grade crossing to as described above. facilitate construction ofthe grade separation. 3. Future year traffic volumes will be developed for the four build alternatives described above. Railroad Permitting 4. Opening year traffic volumes will be developed We will be responsible for assisting the SCRRA/OCTA in using growth rates calculated from the RTP model obtaining the Agreement with the SCRRA/OCTA. This will SED for an intermediate year, to be determined by be done by: the PDT. 5. The resulting intersection levels of service will be Coordinate with the SCRRA/OCTA duringthe calculated using Highway Capacity Manual (HCM) development of the preliminary plan for the 2000 analysis methodologies. grade separation and solicit their input and 6. Based on the future levels of service, intersection separation requirements. lane geometrics will be identified to maintain minimum level of service standards. Request the SCRRA/OCTA to prepare the 7. The results of the traffic operations analysis will be Construction and Maintenance Agreement. presented in a technical study. This study will document the level of service analysis Meet and confer with the SCRRA/OCTA methodologies employed, existingtraffic regardingtheterms and conditions ofthe conditions, forecast future (openingyear and Agreement. design year) traffic conditions for each alternative, and improvements needed to maintain satisfactory Furnish plans and cost estimates to the operations in each analysis year. SCRRA/OCTA for said agreement. Deliverables: Coordinate with the Project Surveyor for the • Traffic Analysis legal descriptions for the permanent bridge • Traffic Management Plan crossing of the SCRRA/OCTA right of way and the temporary construction easement. 1~ ~ I L II~"I d ~II1111II ~I W, ~ Iwo' ' ~ ~~~~~'w~ • Monitor and coordinate the development of the I ~ III' " I~~!' ~ W~ III III III '~~i~ ri~~~ I ~M m~~~m II~~~~N~ wu,~ III III II ~6wu~ III III MI~~ Agreement with the SCRRA/OCTA and the City. • Keep City updated with regards to the progress Preliminary engineering will focus on the physical of the Agreement development. characteristics ofthe project area and the engineering features and standards required to develop the project. Make recommendations tothe City regarding The alternatives we will develop will need to address the terms of project specific conditions cost effective ways to resolve access issues, for both addressed in the Agreement. vehicle traffic and rail traffic, to the local businesses. They will also address the potential expansion/changing With City concurrence, negotiate with the needs of the SCRRA/OCTA. SCRRA/OCTA the terms of project specific Deliverables: conditions. • Preliminary Roadway Plans, Profile and Typical Coordinate with and provide assistance to the Sections City staff and City attorney regarding the terms of the agreement. Track Design Coordinate the development and approval by Provide track design plans, draft shoofly layout plans, to the SCRRA/OCTA of shoofly plans. Shoofly include shoofly track geometry plans, mainline track plans prepared by AECOM. geometry plans, shoofly typical sections, mainline typical sections, track grading plans, and special Coordinate the development and approval by trackwork plans. the SCRRA/OCTA of temporary at grade Railroad Coordination crossing for the shoofly. We will coordinate with the SCRRA/OCTA regarding alternative grade separation study alternatives, Deliverables: including additional trackage, construction activity ~ City/Railroad Construction and Maintenance constraints due to train operations, both freight and Agreement passenger trains, clearances, modifications to and r~i f~, fr. ~~,.~~.o~, Ii:~ir~l~~s~l fir p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~l~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~~~'i~n I~° r~"e~~~ ~ ~ ' AECIIV . . ~~~~i~~.°~~w~~~~:~.L. ~ Structure can be used forthe structure type. Development of the PSRE and PRE will require the preparation of a bridge Advance Planning Study (APS) Precast units can expedite the construction schedule, for Santa Ana Boulevard Underpass. The purpose of the helping to reduce impacts to both the rail and the road APS is to evaluate feasible structure types, understand traffic. In addition, a precast, simply supported City requirements, identify constraints, and develop structure is the preferred railroad bridge type because associated cost estimate summary for the structure of its flexibility for repair and replacement in the future. work involved. The APS General Plan (GP) clearly Significant shoring would be required around the delineates all the structural elements identified in the construction area when constructing the bridge. PSRE and the PRE typically usingthe minimum detailing Retaining walls would be required for both the roadway necessary and basic dimensions, which will help depression and the raise of the rail profile. In order to develop a reasonable cost estimate. As a minimum, the facilitate the traffic staging/handling during the APS GP will show Plan, Elevation, and Typical Section construction, the walls constructed parallel to Santa views and will make note of all critical assumptions. Ana Boulevard could be constructed using "top-down" Additional APS's will be prepared as appropriate to construction; that is to build the wall first, and then consider alternative structure types. The APS General excavate the roadway in front of the wall to final grade. Plan and APS Report will be prepared on the most We will perform Value Analysis to determine the most current Caltrans APS formatted plan sheet, and cost effective retaining wall type, top down approach vs. templates respectively. conventional cantilever retainingwall usingtemporary shoring. Structure Preliminary Geotechnical Reports (SPGR) are required as part of APS to identify basic site A Single Span Structure Alternative can also be parameters, which may have a significant impact on the considered. The span length required to span the Santa structure scope and cost. In addition, a comprehensive Ana Boulevard roadbed is approximately 134'. The design memo must be prepared to summarize and typical span range for this type of construction extends document the following key items: to about 150-ft under Cooper E-80 loading. Therefore, even though the required span is nearingthe upper limit • Important or unusual design assumptions or of the typical structure span length, this structure type structure features. is suitable for construction of new underpass. The total • Discussions with City/OCTA/SCRRA personnel structure depth for the replacement of the double track concerning any key assumptions. would be approximately 13'-6". Provisions can be made • Modifications from Structure Maintenance in the bridge design so that is capable of supporting a Records recommendations. future third track, should this become a requirement of • Seismic retrofit modifications. OCTA/SCRRA. To support a possible third track, the • City requirements such as aesthetics, through girder, on the either left or right side of the improvements in vicinity of the structure, underpass, will be required to have a structure depth airspace usage, or other obstructions. approaching 15' in order to support the full weight of a • Special foundation requirements, special Cooper E-80 live load. excavations such asTypeA, Type D, and/or hazardous or contaminated material. During the APS development, through a careful and Special construction requirements, including deliberate process, we will study a number of different limited site accessibility. structure alternatives and configurations against Stage Construction. various interchange alternatives, and develop associated costs. The information identified in the APS, as listed above, and preliminary structure costs are used as a part of the Deliverables: evaluation to select the best project alternative. Draft and Final Structure Type Selection Report I i i ~~d If~ ~ ~ ~ l .R iii llii i It is proposed to construct a railroad bridge by lowering the Santa Ana Boulevard. III ~~lo ~ilil~~t~~~~~ We will identity and coordinate with the various utility A 2-Span Structure Alternative would work very well at companies for the location and descriptions of their this location. This proposed double track railroad facilities, including any potential for future utility bridge structure is approximately 126.7 feet long and improvements. 40.3 feet wide, with no skew to Santa Ana Boulevard. A Pier Bent is needed in the median of Santa Ana Utility Meetings and Utility Coordination Boulevard, which will result in the maximum span Coordinate and schedule meetings with Utility Owners length of 63.3 feet, and therefore a SCRRA Standard and project stake holders as may be required. Precast/Prestressed (PC/PS) Double Cell Box Girder r~i f~, fr. ~~,.y~on. Ii:~ir~l~~s~l fir p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~t'i~n I~° r~"eat ~ ~ ' AECII Existing Utility Research mapped for use in the right of way acquisition phase of We will provide utility research services to include: the project. • Notify Underground Service Alert and request a Deliverables: listing of member utility companies within the Rightof VUayRequirements Maps project area. i Make a field reconnaissance of the utilities "i' i"~' "i ~ ~ within the project area. AECOM will prepare a hydrology study for the project • Send a written notice to the identified utility area in order to recommend drainage systems adequate companies in the proposed project area for the project improvements. These recommendations notifying them of the proposed project, and will be in the form of drainage plans, and associated request copies of their existing utility maps and cost estimates for these facilities, for inclusion into the information regarding their plans for future PRE, and will ultimately form the basis of the Hydrology improvements. and Hydraulics Report prepared duringthe PS&E phase of the project. In addition, a preliminary WQMP will be • Prepare a preliminary Utility Conflict Maps prepared to identify any permanent BMP requirements from record information and field observations forthe project. showingthose utilities to be protected in place and those to be relocated to clear construction. Deliverables: • Hydrology Study • Overhead lines will be located and vertical PreliminaryVUQMP clearance will be determined over the proposed o ~owi ~ ~ ~~iwi~~ I ~ ui~ wdw %i;;il~ wow o I o i ooa ~o~~ %i;;in improvements to assure that minimum vertical clearance is maintained. AECOM will calculate the preliminary level quantities, produce a preliminary level cost estimate, and produce • Determination of prior rights as they relate to a preliminary project schedule for inclusion into the responsibility for the cost of relocations. PRE. ,,,,i,,,, ~~~i °'i °'i If~~~~o~~~° i; I,,,,,,II~~~~ „ ~I ~,~I,,,,,., ~ I~~~~~~1) Deliverables: i • Preliminary Utility Conflict Maps AECOM will produce a Project Report, perthe • Utility Data Summary requirements previously mentioned in this document. • Matrix of Utility Owners • Description of Utility Conflicts Deliverables: • Project Report Equivalent (Draft and Final • Responsibility for the cost ~ ~~~i 'i i~ i I I iii ~ iii,,,. ii__.~~ I ii~ ~ ,,,,m I~~ ~,,m, " ilm~ ~ ~ ~ I ~ ~ ~ ~ (~'N ~ ~ ~ ~ As with all projects the environmental phase of the Existing right-of-way information, including parcel boundaries will be shown on the alternative layout plans project controls the schedule. In order for us to have a and used to determine the preliminary right-of-way firmer grasp on this critical part of the schedule, AECOM requirements, which maybe required for each will provide a task manager who was previously alternative alignment. The cost of potential right-of- employed by Caltrans environmental. Every Technical way acquisitions, if any, will be included in the cost Report written by our environmental subconsultant will estimate for each alternative. Legal descriptions will be be reviewed prior to submission to the District, and to prepared, and it is assumed up to 50 (this is excessive, perform this review with an eye towards commenting on but conservative) shall be required, and this shall be what the Caltrans reviewer would comment on for the determined during the design. initial submittal of these reports. This process should ensure the team only receives a limited set of comments As the proposed alternative layout sheets are refined to once the reports are submitted to Caltrans, that can be include the information required for the PRE, the easily addressed, and therefore the approval of the impacts to right-of-way will also be more thoroughly report should be expected by the CITY upon the second defined. This updated information will be shown on the submission. right-of-way layout sheets and used to determine the . preliminary right-of-way requirements for each The environmental subconsultant, ICF Jones & Stokes, alternative alignment. The cost of potential right-of- will perform the following specific scope of work way acquisitions, including construction easements, required to complete the environmental documentation will be included in the cost estimate for the PRE. A for the proposed project. Additional tasks or effort not Right-Of-Way Data Sheet will be prepared and included specifically identified in this scope of work is not in the PRE. During the design, right of way needs will be assumed or implied. r~i f~, fr. ~~,.~~.o~, ~ Ii:~ir~l~~s~l fir p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~l~: ire ~ I::' i p:~l~ins fair w ir~~ Il~~l~v~ir~ r~~ e~~~~r~ti~n I r~~e~t AECIM using primarily project layouts/graphics Tasks associated with completion of the proposed work provided byAECOM, sign in sheet, and effort are as follows: comment cards) • Attendance at informational meetingby the Environmental TaskManagerand one After receiving a notice to proceed and preliminary additional ICFJones & Stokes staffinember, if layout from AECOM for the build alternative, a Caltrans needed Preliminary Environmental Study (PES) form will be Direct mailing to propertyownersand residents prepared for submittal to City and Caltrans for review. located within 500 feetof the proposed project The purpose of the PES is to identify and receive (assumed thatAECOM'sright-of way concurrence from Caltrans regarding the technical consultantorthe City will provide the listof studies that will need to be prepared for the proposed owners and addresses) project and to receive concurrence regardingthe Preparation and publication ofineetingnotice environmental document to be prepared. The PES will once foreach meetingin one English and one be prepared using existing, available information and no Spanish language newspaper(assumed that new analyses or detailed evaluations are assumed or City will pay the newspaperdirectlyforthe included. As directed in the PES, cultural information publication) will be provided entirely by Caltrans. The PES will be revised twice following Caltrans review. Figures will include a vicinity map, a location map, and the layout All technical studies will be consistent with meeting the provided by AECOM. No additional figures or graphics requirements of CEQA and NEPA, as well as those of are assumed to be necessary. related environmental statutes and regulations. The technical studies will be prepared to cover both related Deliverables: statutory documentation requirements and to support • Draft, revised Draft, and Final PES, preparation of a joint NEPA/CEQA document required for project approval. Although not legally required for the level of Preparation of all technical analyses and reports will environmental document that is proposed, it is assumed follow local, state, and federal environmental that two public information meetings will be conducted guidelines, primarily consisting of the Caltrans for the proposed project. One at the outset of the Standard Environmental Reference (SER) website, project after the build alternative has been developed, Caltrans Project Development Procedures Manual, local and one during the PA/ED process at times to be and state CEQA Guidelines, and FHWA Technical determined by the City and Caltrans. The meetings will Advisory 6640.81 Guidance on Preparing and Processing utilize boards that present the project alternative. ICF Environmental and Section 4(f) Documents. The Jones & Stokes will assist the City and Caltrans in formats to be used for the technical studies will follow organizing and holding the informational meetings. It is the guidance available on the Caltrans SER website as assumed that the City will secure the location for the of the date that those studies are initiated. public meeting. For each meeting a notice will be prepared by ICF Jones & Stokes for publication in a Please see scope of work for each technical study for newspaper of local circulation (Orange County Register, details regarding studies to be prepared. etc.). This notice will be submitted to the City and Caltrans for review and approval. It is assumed that ICF Unless otherwise noted, the deliverables for the Jones & Stokes will coordinate publication of the notice following technical studies will be a separate bound in the newspaper and that the City will be responsible report including a standardized project description, a for paying the newspaper directly for the publication methodology relevant to each topic area, description of cost. It is assumed that the notice will be published in the affected environment, impact assessment, and one English and one Spanish language newspaper. ICF mitigation measures. The screencheck technical study Jones & Stokes will prepare asign-in sheet, comment will be submitted to the City (two copies) and to cards, and up to three display boards using project Caltrans (four copies) for concurrent review. Following layouts/graphics provided by AECOM. In addition, direct City and Caltrans review a Draft of each technical study mailings to property owners and residents living within will be submitted to the City (two copies) and to 500 feet of the proposed project will be distributed Caltrans (four copies) for concurrent review. Following using a mailing list generated and provided by AECOM's Caltrans and City second review it is assumed that a right-of-way consultant or the City. No other direct revisions workshop will be held to address any mailings are assumed. It is assumed that ICF Jones & outstanding comments, if any comments remain. Stokes Project Manager along with one additional Following the revisions workshop a final version of each individual, if needed, will attend the meetings. report will be prepared. The final technical studies (two copies to the City and four copies to Caltrans) will be Deliverables: submitted following the workshop for final concurrence • Meeting Materials (up to three 3Ox4Oboards r~i f~, fr. ~~,.y~on, Ii:~ir~l~~s~l ~~r p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~~~'i~n I~° r~"e~~~ ~ ~ ' AECII (no additional comments are assumed to be received and no-build) and horizon year (build and no- associatedwith the final concurrence review). build) broken down into five mph speed bins. For this scope of work, the technical studies for which a This data is needed in order to evaluate GHG specific scope of work has been included have been emissions consistent with the latest guidance assumed based on a review of existing project from Caltrans Headquarters. This stems from information. If additional studies are identified during the fact that GHG emission factors vary the environmental phase of the project a scope of work depending on travel speed. and cost will be submitted for approval prior to their NEPA/404 integration process will not be initiation. required. • It is assumed that all rights of entry and access Deliverables (6Copies ofEachJ: for field work and surveys, if required, shall be • Screencheck technical studies obtai ned and provided by the City or AECOM. • Draft technical studies Public meetings and/or hearings are not • Final technical studies for concurrence assumed or included. • Final approved technical studies Section 4(f) Evaluation will not be required. • A Community Impact Assessment will not be The following assumptions have been made with regard required to the technical studies that are to be prepared: Relocations would not occur and a relocation document will not be required. • Engineering plans, including limits of construction, staging areas, and borrow/disposal sites, if needed, will be The proposed project improvements will be subject to provided by the engineering team at a level of compliance with Section 106 of the National Historic detail sufficient for preparing the technical Preservation Act. This requires consideration of studies (roadway lanes, topographic potential project effects to historic properties including information [including changes in topography archaeological and historical resources listed in or resulting from the proposed project], state eligible for listing in the National Register of Historic plane tick marks, station numbers, and existing Places according to criteria listed in 36 CFR800. structures within 500 feet of the proposed Caltrans administers Section 106 compliance on behalf project). of FHWA and requires that documentation conform to • Mapping showing existing conditions (roadway specifications contained in Caltrans Standard lanes, topographic information, state plane tick Environmental Reference. As of January 1, 2004, marks, station numbers, and existing cultural resource studies must be prepared and structures within 500 feet of the proposed processed in accordance with the Programmatic project) will be provided by the engineering Agreement among the Federal Highway Administration, team. the Advisory Council on Historic Preservation, the • Cross sections along the alignment showing California State Historic Preservation Officer, and the existing and proposed conditions at an interval California Department of Transportation Regarding sufficient for preparing the noise analyses will Compliance with Section 106 of the National Historic be provided by the engineering team. Preservation Act, as it Pertains to the Administration of • Focused protocol surveys for any species are the Federal-Aid Highway Program In California. not included in this scope and cost, other those specified under the Natural Environment Study ICF Jones & Stokes shall conduct a records search at scope. If additional focused surveys are the Information Center of the California Historical identified during the biological field Resources Information System and through the Sacred reconnaissance then this will be communicated Lands File at the Native American Heritage Commission. to AECOM and the City and a scope and cost for This records search will consult California's database of this work will be provided. previous studies and previously recorded sites within • Traffic information shall contain 24-hour and the proposed project area and within a 0.5-mile radius, hourly traffic counts separated by direction and per Caltrans guidelines. Historic maps and photographs vehicle classification (autos, medium trucks, shall also be reviewed, if available. ICF Jones & Stokes heavy trucks) over at least three weekdays, shall establish an Area of Potential Effect (APE) map in along with peak hour and average daily traffic consultation with the City and Caltrans for obtaining (ADT) forecast traffic volumes for existing Caltrans approval. The map shall provide the survey conditions, opening year, and design year with boundaries for cultural resources to be evaluated during and without the project for roads in the project project studies. The APE map shall be based on the area, and posted speeds. In addition, total anticipated disturbance footprint associated with subregional/regional traffic information will be project activities (e.g., road widening/interchange provided that includes vehicle miles travelled construction, staging areas, detours, drainage facilities, (VMT) data for existing year, openingyear (build and parcels containing impacted structures, if any). ICF r~i f~, fr. ~~,.~~.o~, Ii:~ir~l~~s~l fir p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~t'i~n I~° r~"eat ~ ~ ' AECIIV Jones & Stokes will also contact the Native American however, no resources or sites were identified during Heritage Commission and consult with Native American the field work that was performed for the Centerline groups and other interested parties to request project alongthe portion of Santiago Street where it information regarding the types of potential cultural intersects Santa Ana Boulevard. resources in the study area. Consultation will be conducted in accordance with appropriate and current Following completion and approval of the APE and state and federal regulations. detailed reports discussed above, a summary document (the HPSR) shall be generated in accordance with Following completion of the record search/review, ICF Caltrans/FHWA standards for Section 106 compliance Jones & Stokes shall conduct a field survey of the APE with the NHPA. It is anticipated that the proposed for archaeological resources. It is assumed thatthe City project shall result in an HPSR with a findingthat only or AECOM will be responsible for obtaining access for properties previously determined not eligible for conducting the surveys. This scope of work assumes inclusion in the NRHP or that are determined to be not that no archaeological sites will be identified in the APE eligible for inclusion in the NRHP are present within the and that no testing and/or evaluation will be required. It Project APE. No further cultural work, including Phase II is anticipated that an Archaeological Survey Report analyses/investigations and/or a Finding of Effect, are (Finding of No Archaeological Resources Present) will be assumed or included in this scope of work. prepared. for guidelines, the visual analysis will be prepared under the direction of a licensed Landscape Architect and Following completion of the record search/review, an based on FHWA's Visual Impact Assessment for ICF Jones & Stokes qualified architectural historian will Highway Projects. The existing visual environment and conduct a field survey of the proposed project area to viewshed will be analyzed using available mapping, record buildings, structures, and historic features aerial photos, GIS, and site reconnaissance. Project through photography and written descriptions. If plans and profiles will be analyzed to identify proposed buildings are substantially altered or are less than 50 physical changes to the study area and to aid in the years old, a qualified architectural historian can exempt identification of key observer viewpoints. them from further evaluation in accordance with the Section 106 PA. It is anticipated that up to four (4) Key viewpoints (visual quality "sensitive receptors")will buildings and structures will not be exempt under the be identified for the proposed project. Visual quality of PA and will require evaluation on California historic proposed conditions will be evaluated OF and FROM the resource inventory forms (series DPR 523). Any key viewpoints. That is, visual quality will be evaluated buildings beyond this number would be considered out "OF"the proposed improvements and "FROM" the of scope. ICF Jones & Stokes will send out letters improved facility toward the viewpoint. It is assumed requesting information on historic properties to local that up to three key viewpoints will be identified and governments, historical societies, and historic assessed. These viewpoints will be submitted to preservation organizations. The evaluation of Caltrans for approval prior to starting the analysis. properties within the APE will be reported in the FHWA methodology, includingthe evaluation of unity, Historical Resource Evaluation Report (HRER), which intactness, and vividness, will be applied. Mitigation will include a historic context statement. In addition, measures, such as finish treatment of structures and ICF Jones & Stokes will review the Caltrans historic sound barriers and plantings, will be recommended, if bridge inventory, and identify previously evaluated state necessary. Noise mitigation, including walls and/or and local bridges within the APE. berms will be included in the analysis if identified in the noise report. As part of the project an evaluation of several portions It is assumed that up to two visual simulations will be of what is anticipated would comprise the APE were included. evaluated. The depot that is located at the east end of the project alignment was constructed in 1986 and would not require evaluation (the original depot was ICF Jones & Stokes will prepare a noise study report demolished when the new depot was constructed). The evaluating the noise impacts and potential noise Juvenile Detention Home (located at 1207 Fruit Street) abatement/mitigation measures, if any, associated with was also evaluated as part of the Centerline project and the proposed project. Because federal and Caltrans it was concluded that the property does not appear to oversight is involved, the report will be prepared in meet the criteria for listing on the National Register of accordance with procedures specified by FHWA in Title Historic Places (NRHP) or the California Register of 23, Section 772 of the Code of Federal Regulations (CFR) Historical Resources (CRHR), and has not been (23 CFR 772) and the Caltrans Traffic Noise Analysis designated as historic by the City of Santa Ana. No Protocol (Protocol). other resources were identified that required evaluation within what would be the anticipated APE for the ICF Jones & Stokes will conduct a site visit to identify proposed project. It was noted that the area along noise sensitive land uses and other features of the Santiago Street to the south of Santa Ana Boulevard has project area relevant to the noise study. Noise sensitive a high potential for buried archaeological resources, receptors have been identified, including those homes r~i f~, fr. ~~,.~~.o~, IE~:~ir~l~~s~l ~~~r p~~:~~r~~e~t t~~~y Re~~~~r~~~: ~;q~uiiv~~e~~~~: ~ir~ ~ ~ I::' ~'i p~~:~~l~in~ fair ~ . w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~t'i~n I~° r~"eat ~ ~ ' AECIM located to the east ofthe rail line alongthe north side of Environmental Study Minimal Impacts (NES/MI) report Santa Ana Boulevard. ICF Jones & Stokes will consult analyzing potential impacts to biological resources. An with the Caltrans District 12 noise specialist assigned to NES/MI has been identified due to the limited amount of this project to ensure that all requirements are habitat located within the identified project area. The addressed. report will be prepared in accordance with Caltrans SER guidance and will conform to the Caltrans NES/MI Afield noise study will be performed to quantify and annotated outline that is available at the time that the assess existing noise conditions at the potential noise- NES/MI is initiated. The following tasks will be sensitive areas. It is estimated that short-term (10 to 15 performed during the preparation of the reports: minutes duration) sound-level data will be collected at up to four (4) representative noise-sensitive locations Review of Project Information and Applicable throughout the area. In addition continuous 24-hour Literature noise monitoring will be conducted at up to one location A literature review will be conducted to identify special- if asecure measurement location can be identified. status species known or reported from the project area. The literature review will include: ICF Jones & Stokes will conduct traffic noise modeling Special status species lists from the California related to the proposed project using the FHWA Traffic Department of Fish and Game (CDFG) and U.S. Noise Model (TNM) Version 2.5 and traffic data to be Fish and Wildlife Service (USFWS); provided by the project traffic engineer. TNM will be Database searches of current versions of the used to model worst-noise-hour noise conditions at California Natural Diversity Database (CNDDB) representative modeled receiver locations under and the Online Inventory of the California existing conditions and design-year conditions with and Native Plant Society (GNPs); without the proposed project. The most recent applicable Federal Register Traffic noise impacts ofthe proposed project under listing package and critical habitat 23CFR772 will be assessed by determining if determination for each federally listed implementation ofthe project is projected to result in Endangered orThreatened species potentially traffic noise levels under design-year conditions that occurring within the project site; approach or exceed the FHWA noise abatement criteria The most recent CDFG Annual Report on the or if implementation of the project is predicted to result status of California's listed Threatened and in a substantial increase innoise atnoise-sensitive Endangered plants and animals; and uses. If traffic noise impacts are projected to occur, Other available biological studies conducted in information on the preliminary feasibility and the vicinity of the project site. reasonableness of noise abatement as defined in the Protocol will be evaluated and presented for use by Field Evaluation for Biological Resource Constraints decision makers in considering noise abatement. ICF After reviewing relevant information, the project area Jones & Stokes will also evaluate potential construction will be evaluated, with a thorough walkover covering all noise impacts using methods recommended by the U.S. portions relevant to potential biological resource Department of Transportation. constraints. Detailed field notes will be compiled including conditions, visible disturbance factors, ICF Jones & Stokes will prepare a noise study report species, habitats, and more general biological resource addressing the requirements of 23CFR772 in issues observed or detected. The site will be evaluated accordance with guidance in the Protocol and following regardingthe presence, absence, or likelihood of the noise analysis report format outlined in the Caltrans occurrence for all special status species, habitats, or Technical Noise Supplement (TeNS). If warranted the more general biological resource issues potentially noise study report will include a preliminary noise posing a constraint to the project through applicable abatement design to schematically identify the location, laws and regulations. Adjacent areas will also be briefly height, and extent of noise walls needed to abate noise examined to provide context. It is assumed that access impacts. It is assumed that any noise abatement design shall be provided by the City or AECOM for the field and or Noise Abatement Data Report (NADR) would be surveys. If focused habitat evaluations for any species prepared and provided by AECOM. In accordance with other than those included in this scope of work or Protocol guidance, the description of noise walls will be focused surveys are required for any species then this sufficient for environmental review of the proposed will be communicated to the City and AECOM project, but not for final design of the walls. Abatement immediately and a separate scope and cost for this allowances will be provided for each wall evaluated. It work will be provided. The study area is assumed to be is assumed that any final noise wall designs would be the proposed project footprint plus 100 feet (where prepared by AECOM due to the detailed engineering that access is permissible). is required for the design of any such noise walls. This task includes evaluations/determinations for the following potential resource issues: • Habitat Evaluation for Burrowing Owl-A ICF Jones & Stokes will conduct a literature search, qualified biologist will perform an evaluation of perform field surveys, and prepare a Natural r~i f~, fr. ~~,.~~.o~, Ii:~ir~l~~s~l ~~r p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~~~'i~n I~° r~"e~~~ ~ ~ ' AECIIV the potential for Burrowing Owl (Athene betaken. As noted, it is assumed that no cunicularia) to occur. All areas to be evaluated jurisdictional waters or wetlands will be will be examined carefully for habitat identified and no Jurisdictional Delineation characteristics and disturbance factors. The Report will be required. study area for this work is assumed to be the proposed project footprint and a 100-foot Technical Report Preparation buffer, as accessible to ICF Jones & Stokes. An A draft NES/MI will be developed based on results of the additional 400-foot buffer beyond the 100-foot biological surveys and analysis and will conform to the buffer will be visually assessed only. This current Caltrans NES/MI annotated outline, as scope and cost assume that the City or AECOM previously described. The report will describe: will be responsible for providing access. The study methods used in identifying and Potentially suitable habitat will be mapped. No assessing the biological resources at the permits are required to perform a habitat project site, the personnel who conducted the evaluation, but the biologist must be studies, contacts made with agencies, and any experienced with the species' biology, limitations associated with the study; identification of direct and indirect sign, and The environmental setting including both the physical characteristics ofpotentially suitable biological and physical setting at the project habitat. Habitat evaluations for this species site; can be performed any time of year. The results (The results, including special-status species will be directly incorporated into the NES/MI. present on the site, if any, and a discussion of This scope of work assumes that a focused impacts and mitigation, as necessary; and survey for burrowing owl will not be required. The appropriate regulatory requirements and necessary permits, if any. • Jurisdictional Waters Delineation -A qualified biologist will examine all relevant portions of At this time it is assumed that jurisdictional waters will the site and perform aroutine-level delineation not be impacted and permitting (i.e., Section 401 Water of the extent of potentially jurisdictional waters Quality Certification, Section 404 permit, or Section under both state and federal regulations. The 1602 Streambed Alteration Agreement) would not be following field evaluations will be performed, required. Therefore, the processing of permits are not however, it is assumed that no jurisdictional included in this scope of work. If based on the field resources will be identified. Evaluation for work performed it is determined that these permits federal wetlands will follow the applicable would be required then a scope and cost for the methods in the 1987 manual from the Corps of preparation and processing of these permits can be Engineers, the 2006 Arid West supplement from provided by ICF Jones & Stokes if desired by the City the Corps of Engineers, and the Rapanos and AECOM. Guidance (2007), along with subsequent supporting materials and applicable regulations, policy, and case law. The study ICF Jones & Stokes will prepare a Community Impact area for this work will include the proposed Assessment. ICF Jones & Stokes will identify the project footprint along with a 50-foot buffer. community impacts on neighborhoods, businesses, and This scope and cost assume that the City or minority and low-income populations, as well as the AECOM will be responsible for providing project's consistency/compatibility with the existing access. The work will be at a routine (rather and future land uses and plans in the area. The than comprehensive) level of detail, that is, community impact analysis will be prepared in point sampling and standard criteria accordance with Caltrans Environmental Handbook (hydrology, soils, and vegetation) will be used Volume 4: Community Impact Assessment. Topics to be to identify, map and calculate total area for addressed in the community impact analysis will federal and state jurisdiction, but no laboratory include social impacts, economic impacts (change in testing of soils or water, no hydrological or employment and tax base changes), land use/growth hydrogeomorphicanalysis ormodeling, no (consistency with local plans, development formal statistical analysis, and no extensive opportunities), farmland, and public services impacts records searching, will be provided. Evaluation (accessibility and parking, utilities). of existing functions and values for jurisdictional areas will be addressed at a The community impact assessment considers how the qualitative level. Mapping will be performed at proposed project activity would affect the people, a scale of 1 inch equals 200 feet (1:2400) or institutions, neighborhoods, communities, better, with a minimum mapping unit of no organizations, and larger social and economic systems. more than 0.05 acres, and will reflect the The community impact analysis will provide a clear delineated boundaries of any jurisdictional description of the existing conditions, the potential waters and wetlands present. Photographs impacts of the project on the community and how the representative of relevant site conditions will r~i f~, fr. ~~,.~~.o~, IE~:~ir~l~~s~l ~~~r p~~:~~r~~e~~~ t~~~y Re~~~~r~~~: I~;q~uiiv~~e~~~~: ~ir~ ~ I::' ~'i p~~:~~l~in~ fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~~~'i~n I~° r~"e~~~ ~ ~ ' AECII project relates to other development (existing and the number of employees, building size, parking areas, proposed) in the area. The significance of the identified and owner/tenant mix. In addition, ICF Jones & Stokes impacts, and mitigation measures to best avoid the will identify and evaluate potential relocation resource adverse impacts resulting from the project will be areas and any difficulties that may arise, relocation- identifiedand discussed, as appropriate. related business issues, and the project's effects on the local tax base. Potential impacts to minority and low-income populations, if any, will be addressed in compliance Following public availability of the environmental with Executive Order 12898: Federal Actions to Address document, a Final Relocation Impact Report (FRIR) will Environmental Justice in Minority and Low-Income be prepared that identifies relocation resources, timing Populations. Data from the 2000 U.S. Census will be of acquisition, and more detailed displacee data. This used to identify characteristics of populations within scope of work does not include interviewing the census block groups traversed by or adjacent to the affected owners and tenants of the displaced proposed project. Community profiles will also be properties, if required. collected for the local project area, City, County, and the State of California to help identify regional and local trends in regards to demographics, local industry, occupations, and tax base. Potential impacts during the It is assumed that a combined Paleontological construction phase due to access limits will be analyzed Information Report/PaleontologicalEvahiation Report and measures to address these impacts proposed, if (PIR/PER) will be prepared that will identify and required. document the viability of paleontological resources existing with the project's study limits. The following Existing planning documents will be reviewed and identifies the tasks to be performed. potential beneficial and adverse land use impacts of the proposed project and mitigation measures, if required, Literature Search and Field Review will be identified. Applicable Laws -ICF Jones & Stokes shall review relevant State and federal statutes, regulations, and guidelines to determine the requirements for It is anticipated that relocations and property protection of paleontological resources specific to acquisition would be required as part ofthe project, this project. particularly to the west of the rail line. ICF Jones & Coordination with Agencies and Schools -ICF Jones Stokes will analyze the primary and secondary effects & Stokes shall coordinate with appropriate of potential acquisitions and displacements that would agencies and educational facilities to collect data be caused by the proposed project. The relocation regarding paleontological sensitivity. impact document is anticipated to be a Relocation Library Search -ICF Jones & Stokes shall search Impact Report (Draft and Final) based on past relevant published information, including technical experience within the District. A Draft Relocation geologic and paleontological articles, discussions Impact Report (DRIR) will be prepared pursuant to of fossil localities and their geologic context, FHWA guidelines/policies to comply with the Uniform geologic maps, and descriptions of sedimentary Relocation and Assistance and Real Property geologic units in the project area. Acquisition Policies Act of 1970, as amended, the Museum Record Search -ICF Jones & Stokes shall California Relocation Act, and as described in Chapter examine unpublished specimen records in 10 ofthe Caltrans Right-of-Way Manual. The DRIR will museums to obtain information relatingto resource provide the City, Caltrans, and the public with distribution in the project area. information on the impact this project will have on Field Review -ICF Jones & Stokes shall visit the residential and non-residential occupants. It is proposed project site to observe stratigraphic assumed that adequate relocation resources would be features, bedding geometry and other relevant available for displacees. geologic features. Using aerial photography, 2000 U.S. Census data Data Compilation & Sensitivity Assessment (supplemented with additional State, County, and City Data accumulated from the above sources will be data, as available), windshield surveys, and interviews integrated and summarized to provide a description of with local real estate agents, if needed, ICF Jones & the known aspects of the resource, if relevant. These Stokes will identify characteristics of potential aspects include the probability that the affected relocations, includingthenumber/type of residences, geological units include paleontological resources, the businesses, farms, and/ornon-profit organizations. ICF probable/possible significance of any likely fossils, and Jones & Stokes will identify the characteristics ofthe the effects of any historic surface modifications. residential displacements including lot size, The goal of the PER portion of the report is to identify improvements on parcel, age of structures, general the potential for impacts to significant paleontological condition, and the number ofbedrooms/bathrooms. For resources within the project's limits. The report businesses characteristics to be documented include r~i f~, fr. ~~,.~~.o~, Ii:~ir~l~~s~l ~~r p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~~~'i~n I~° r~"e~~~ ~ ~ ' AECII prepared will identify and document anticipated impact The air quality technical report will provide the following to paleontological resources existing with the project's discussions and analyses: limits of disturbance (both vertical and horizontal), if potential impacts exist. RegulatorySettingand Existing Conditions. Summarize the existing federal, state, and local air ICF Jones & Stokes shall prepare aPIR/PER that quality regulatory environment as it affects the includes the following: proposed project, and describe the location of sensitive • Summary of the proposed project receptors in the project vicinity. Using data provided by • Delineation of the project limits the California Air Resources Board (GARB) and the • Delineation of the project excavation locations and SCAQMD, characterize existing air quality conditions in depths the project area and explain how those conditions are • Document efforts to avoid or minimize effects on affected by local climate and topography. paleontological resources • Identify significance and/or sensitivity of Evaluation of Construction Emissions. Based on paleontological resources and/or rock units current District 12 procedure, provide a qualitative following the guidance provided at: discussion related to construction emissions. http://www.dot.ca.gov/ser/volt /sec3/physical/Ch0 8Paleo/chap08paleo.htm#pir Evaluation ofOperations-Period Mass Emissions. • Identification of sources consulted and results of Evaluate whether the project meets transportation that consultation conformity requirements by determining whether it is Identification of any consultation related included, as currently defined, in the most recent constraints Regional Transportation Plan (RTP) and Regional Identification of a course of action, including Transportation Improvement Program (RTIP) prepared identification of specific geologic formations and by the Southern California Association of Governments paleontological resources (SCAG). It is assumed that the projects will be included in the RTIP and that a regional analysis will not be • Identification ofthe persons preparingthe PIR/PER and their qualifications required. • Identify whether a Paleontological Mitigation Plan Localized Carbon Monoxide HotSpotAnalysis. (PMP) is recommended Analyze the degree to which project-related traffic volumes have a potential to effect local carbon It is assumed that a PMP will not be recommended or monoxide (CO) concentrations usingthe California required for the proposed project and one is not Department of Transportation CO Hotspot Protocol. It is included in this scope and cost. It is further assumed anticipated that the CO screening procedure will be that the findings of the PIR/PER will be negative and no appropriate. However, it is assumed, based on additional paleontological tasks or effort will be experience within the District that CALINE-4 dispersion required. modeling will also be performed. It is assumed that up to two intersections will be modeled. Based upon the last three road/rail grade separation Localized PM2.5/PM~OHotSpotAnalysis. Analyze projects that ICF Jones & Stokes has performed in the degree to which project-related traffic volumes have southern California an air quality report may not be a potential to affect local PM2.5 and PM10 required forthe project. It has been determined on concentrations, based on the United States these other three projects that as long as the project Environmental Protection Agency (EPA) guidance does not add additional capacity or include the document entitled Transportation Conformity Guidance installation of new stop signs or traffic signals that an for Qualitative Hot-spot Analyses in PM2.5 and PM10 Air Quality Report is not required. However, an Air Nonattainment and Maintenance Areas. This scope and Quality Report has been included in this scope and cost cost assumes that a screening level analysis is in case it is ultimately determined to be required by the appropriate, and that no modeling will be required by District. This will be discussed early in the process with Caltrans or FHWAto address PM2.5 and PM10. Caltrans and further document in the PES that is prepared. Mobile Source Air Toxics. Evaluate proposed project- related mobile source airtoxics (MSATs) emissions in ICF Jones & Stokes will prepare an air quality technical accordance with FHWA interim guidance on how MSATs report that analyzes air pollutant emissions associated should be addressed in NEPA documents. It is not with changes in vehicle speed and traffic distribution assumed that extensive qualitative analyses would be patterns resulting from the proposed project. All impact required to address MSATs. If an extensive quantitative analyses will be performed consistent with the analysis is required for the project, then a scope and technical requirements and methodologies outlined in cost estimate would be provided for this additional the Caltrans' Standard Environmental Reference (air effort, however, such an analysis is not anticipated. quality chapter). r~i f~, fr. ~~,.~~.o~, Ii:~ir~l~~s~l fir p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i it p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~~~'i~n I~° r~"e~~~ ~ ~ ' AECIIV Climate Change/Greenhouse Gas Emissions. A project. If components are added to the project that are quantification ofoperational-period greenhouse gas not related to the grade separation then the statutory (GHG) emissions associated with implementation of the exemption may not apply and additional work not proposed project will be conducted. Consistent with covered in this scope and cost, including a CEQA current Caltrans policy, construction-period GHG document, may be required. emissions will not be quantified. Operations-period GHG emissions will be quantified using regional daily peak-period and non-peak-period vehicle miles traveled (VMT) apportioned into 5 mph speed bins for speeds A Notice of Exemption (NOE) will be prepared and between 5 mph and 75 mph; and the CT-EMFAC provided to the City for approval and submittal to the emissions model. ICF Jones & Stokes will present a State Clearinghouse. This notice starts the statue of comparison of GHG emissions associated with the Build limitations under CEQA so it is recommended that the Alternative(s) to the No-build Alternative to characterize City file this notice. No additional CEQA documentation effects of the proposed project on GHG emissions. The beyond the completion of the NOE form is assumed as analysis of climate change also will also incorporate the part of this scope and cost. most recent guidance found on the Caltrans Standard Based on the environmental technical studies Environmental Reference and Caltrans annotated previously discussed a Categorical Exclusion (CE) will be outline. prepared pursuant to NEPA. ICF Jones & Stokes will prepare the CE in compliance with the latest format Air Quality ConformityAnalysis Reportand Checklist. identified on Caltrans Standard Environmental Under NEPA delegation, the federal air quality Reference website. In addition, the Categorical conformity determination has not been delegated to Exclusion Checklist will be prepared. Caltrans and must be made by FHWA. We will prepare a As part of the CE a detailed project description will be separate Air Quality Conformity Analysis using the included. The CE will also include a very brief (two to annotated outline for this report on the SER at the time three sentence) summary of the findings of each of the that the report is initiated and will also prepare the technical studies. No separate environmental Conformity Checklist based on the checklist that is document is assumed to be prepared to support the CE available on the SER at the time that the Air Quality and none is included in this scope and cost. Conformity Analysis Report is prepared. It is assumed that ICF Jones & Stokes will revise the CE twice based on commentsfromtheCityand Caltrans (to SCAG Transportation Conformity WorkingGroup. The be reviewed concurrently). required TCWG form will be completed and submitted for forwarding to SCAG for inclusion on the agenda for Environmental Commitments Record determining if the project is a project of air quality For the project an environmental commitments record concern (POAQC). It is assumed the project will be (ECR) will be prepared in a matrix table format. The ECR found to not be a POAQC and that no specific analysis will be submitted to the City and Caltrans in hard copy will be required related to the TCWG determination and electronic form. The matrix table will include a other than what is already included in this scope of description of each mitigation measure organized by work. topic numbered to correspond with the impacts. For each mitigation measure, the Reporting Process, Timing Mitigation Measures. ICF Jones & Stokes will develop of Measure, Responsible Party, and Verification of mitigation measures, where applicable, to address Compliance will be identified through coordination with significant air quality impacts, if present. resource agencies and experience on other similar projects. The ECR will be included with the CE and it is assumed that this document will be reviewed as part of For the proposed project it is assn med that the N EPA the City and Caltrans review of the CE. document to be prepared will be a Categorical Exclusion with technical studies. Railroad grade separations are Deliverables (S Copies Each).• identified as NEPA Categorical Exclusions under 23 CFR Notice ofExemption 771.117(4). Railroad grade separations are statutorily Draftand Final Categorical Exclusion and exempt from CEQA, as identified in Section 21080.13 of MMRP the Public Resources Code and in Section 15282(8) of the CEQA Guidelines. Statutorily exempt projects are excused entirely from the environmental review process and the requirements of CEQA. In addition, all activities performed to support these projects are also included in If for some reason a NEPA CE were found to be not the exemption. It is assumed that all project appropriate for the proposed project then an components are associated with the railroad grade Environmental Assessment/Finding of No Significant separation and would be covered under the exemption. Impact (EA/FONSI) would be prepared. Under this Therefore, it is assumed that no CEQA document or scenario the previously identified Section 4.0 documentation will be required forthe proposed (Environmental Document) scope would be replaced r~i f~, fr. ~~,.~~.o~, Ii:~ir~l~~s~l fir p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~~~'i~n I~° r~"e~~~ ~ ~ ' AECII with this Section 4.0 scope of work. In addition, the Revised Draft EA following modifications would be made to the meeting Second Revised Draft EA and project management tasks for the project. Final Draft EA forapproval/concurrence • Final Draft EA 30 hard copies and one electronic (pdfJ Draft EA for a vailability (including the 75 copies for submittal to the Draft Environmental Assessment State Clearinghouse) (Volume 7J; ~SCDs with It is assumed that if a NEPA CE is not agreed upon by technical studies; ~OOCDs with Final Draft ED Caltrans then the appropriate document for the Itis assumed that up to 700 notices will be proposed project will be an Environmental Assessment distributed. (EA) followed by a Finding of No Significant Impact (FONSI). If a higher-level document is required then a separate scope and fee will be provided for preparing the increased level of documentation. While the final Draft EA is being reviewed by the City and Caltrans a Notice of EA Availability and Notice of Utilizing the information contained in the technical Opportunity for Public Hearing announcing the reports, along with additional information and analyses publication of the EA will be prepared for publication. that are performed, as necessary, a Screencheck Draft The notice will also identify the date, time, and location EA will be prepared based on the current version of the for the public information meeting that is to beheld. NEPA-only document annotated outline that is available This notice will be submitted to the City and Caltrans for at the time that the document is initiated. The review and comment. A public hearing would beheld for Screencheck Draft EA will be submitted to the City and the project if a request for a public hearing were Caltrans for review. Along with the Screencheck Draft received in response to the Notice of Opportunity. It is EA, the external QA/QC form and environmental not anticipated that a public hearing will be requested document checklist will be prepared and submitted. or required. ICF Jones & Stokes will coordinate the The QA/QC form and checklist are assumed to be publication of the Notice in an English and Spanish included with each submittal. language newspaper; however, it is assumed that the City will be responsible for paying the publications Following the incorporation of comments from the City directly for the publications. The cost of and Caltrans the Draft EA will be prepared and advertisements is not included in this scope and cost. submitted for City and Caltrans review. Followingthis review the revised Draft EA will be prepared and Deliverables: submitted for City and Caltrans review. Following this Draftand Final NDA/NOPH (assumed to be review any comments will be addressed and a revision transmitted electronically with no hard copies) workshop will be conducted, if needed. Followingthe workshop the second revised Draft EA will be submitted Response to Comments to the City and Caltrans for concurrence and for the At the close of the public availability period for the Draft Caltrans NEPA QC review. Followingthe incorporation EA, ICF Jones & Stokes will review and respond to all of comments from the Caltrans NEPA QC review the comments received. In addition, ICF Jones & Stokes will final Draft EA will be submitted for Caltrans review and attend a meeting with City and Caltrans staff to review approval/concurrence. It is assumed that the project any written comments on the Draft EA that were will qualify as a regular and not a complex EA. It is received and to discuss potential responses to these assumed that 30 hard copies and one original of the comments, if the comments received warrant such a Final Draft EA will be printed for circulation, including meeting. The responses to comments will be forwarded the 15 copies to be submitted to the State to the City and Caltrans for review and approval priorto Clearinghouse. It is assumed that technical studies will making any changes to the EA, if the comments received be provided on CD only for inclusion with the documents are substantial enough to warrant this process. It is that are made available at the City, Caltrans, and the assumed that no comments requiring new analyses or local library. ICF Jones & Stokes will utilize a substantial revisions to existing analyses, or from distribution list developed with the City and Caltrans for lawyers, will be received. distribution. It is assumed that distribution to agencies will consist of a CD and not hard copies of the Deliverables (SCopiesJ: document. All other recipients would receive the Notice Responses to comments to the Cityand of Availability (NOA) only. The NOA will be mailed to Caltrans forreviewand concurrence property owners and residents living within 500 feet of the proposed project using a mailing list generated and provided by AECOM's right-of-way consultant or the City. U on a royal of the res onnes to comments b the Cit p pp p y Y and Caltrans, if warranted, ICF Jones & Stokes will Deliverables(two copies City; eight copies Caltrans): revise the EA to respond to the comments, to document • Screencheck EA Draft EA r~i f~, fr. ~~,.y~on, Ii:~ir~l~~s~l ~~r p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w,~~~ ir~~ Il~~l~v~ir~ r~~ e ~~~r~~~'i~n I~° r~"e~~~ ~ ~ ' AECIIV the circulation period and coordination, and if any Environmental Commitments Record changes to the project have occurred. Also, included For the project an environmental commitments record will be a Draft Finding of No Significant Impact (EONS/). (ECR) will be prepared in a matrix table format and ICF Jones & Stokes will submit the Draft Final EA/EONS/ included as an appendix in the EA/EONS/. It is assumed to the City and Caltrans for review. Along with the Draft that the ECR will be reviewed as part of the EA/EONS/. Final EA/EONS/, the external QA/QC form and The matrix table will include a description of each environmental document checklist will be prepared and mitigation measure organized by topic numbered to submitted. The QA/QC form and checklist are assumed correspond with the impacts. For each mitigation to be included with each submittal. Followingthe measure, the Reporting Process, Timing of Measure, incorporation of one set of comments from the City and Responsible Party, and Verification of Compliance will Caltrans a revised Draft Final MND/EONS/ will then be be identified through coordination with resource prepared and submitted to Caltrans along with a agencies and experience on other similar projects. response to comments document for concurrence and for conducting the NEPA QC review. Following the Deliverables: Caltrans NEPA QC review the Final EA/EONS/ will be Included in Final EA/EONS/ prepared and submitted to the City and Caltrans for review. It is assumed that no additional comments will be received. ICF Jones & Stokes will prepare a notice for publication in the Federal Register by FHWA to start the NEPA Deliverables (two copies City; eightcopies Caltrans): statute of limitations. This notice will be prepared in • Draft Final EA/EONS/ compliance with the SER and it is assumed that a Draft • Revised Draft Final EA/EONS/ and Final version of the notice will be prepared and that • Final Draft Final EA/EONS/for coordination and publication of the notice will be the approval/concurrence responsibility of Caltrans and FHWA. • Final EA/EONS/ (70 hard copies and 70 CDs with pdf version) Deliverables: • Draft and Final Federal Register Notice (all transmittals assumed to be done electronically) r~~ f~ fr. ~~,.~~.o~, ~ Ii:~ir~l~~s~l ~~r p:~r~Ue~~ t~~y Re~~~r~: ~;q~uiiv~~e~~: ire ~ I::' i p:~l~ins fair w ir~~ Il~~l~v~ir~ r~~ e~~~~r~ti~n I r~~e~t M N M '_U M O ~i -ry N N n N (D N ~n._ V N N N N O W n co 0 ~ ~ 111 M S ~ ~ ~a~~s N ~ r c~Na Q ~ L ~ Q ~ W N~Qa _ 0 I J 0 ~ ~ ~ . 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P ,r7~ ~ 6 .~fi'IYIIYYY!'~i ~r~Q , .v ~ ;,..i,... ,.~a d~ , , a~w~ i~~ ~ ~ , II°,~ ii~..~ .~~r ~ ~ it i~ ~ i~~°~ ii°~, , i I,,. i ii ~ ~ r~~~ ii a r II 111 I ~ 'I II`~ J ~ II`~ w~ ~a u u ii ii it ~ '~w~;~ ~~Wr ~ ~~~W~ I~ II I~ I 'i iii ~ ~u~ ins I~~ ~ i i .'I , ins II°~ i~~°l I'~,~ ~~'il N i ~'il l a~w~ i~ ~i i~~° i~ ii° a~w~ i~~~ II,,,,, ~ , i m,~ , III u~ a u,~w. , ~,.M iii, . ~ i~~°~~~ I ~ I ~ i ~ II 111 Q ~ I ~ ~ ~ II 25G-150 EXHIBIT A-2 REVISED SCOPE OF WORK 8z FEE SCHEDULE December 20, 2010 14 25G-151 Exhibit A-2 Santa Ana Boulevard Grade Separation Project Scope of Services for Completion of the Project Approval/Environmental Document Phase Description of Project The development and construction of this project is being undertaken by the City of Santa Ana (City), who will also be serving as the project's administrator for the preliminary studies, environmental documentation, design, right-of-way engineering, right-of-way acquisition, and construction. The selection of the preferred alignment for the Santa Ana Boulevard Grade Separation will require the approval of the City and SCRRA/OCTA. The selection of the locally preferred alternative, early in the project development process, is critical in maintaining the schedule for the project's completion. As stakeholders in the project, local community and business owner acceptance of the recommended alignment is a prerequisite for City approval and a successful project. The proposed project will construct a Grade Separation at the crossing of Santa Ana Boulevard, with the SCRRA/OCTA Metrolink line (Metrolink). Phase 1 of the Project is Preliminary Engineering, requiring an investigation as to the most cost-effective alternative for separating the grades, beginning with a simplified Project Study Report Equivalent (PSRE), and culminating in a Project Report Equivalent (PRE), a recommendation; and submitting a Notice of Exemption (Statutory Exemption) as a part of the California Environmental Quality Act (CEQA). Phase 1 concludes with the acquisition of right of way. Phase 2 of the Project development will require final design: plans, specifications and cost estimates for the construction of project; and relocation of utilities. We shall submit a CD to the City, which will include all surveying, environmental reports, technical studies, the PSRE, the PRE, the design files, both plans and specifications, and any supporting documents produced during the course of the project development. This scope of services is written for Phase 1 only. Description of Work General Description of Required Services Phase 1 - Preliminary Engineering, PSRE, and PRE AECOM shall provide professional and technical engineering services necessary to investigate alignment alternatives, prepare a PSRE, documenting potential solutions to the project's purpose and need; a PRE, recommending an alternative; and providing the necessary documentation to obtain environmental clearance. Work will include, but not necessarily be limited to, preliminary engineering, field surveys, obtaining SCRRA/OCTA design requirements, traffic studies, geometric layouts, preliminary right-of-way layouts, and order of magnitude cost estimates. AECOM shall assist the City in any public meetings, City Council presentations, and meetings with area business owners. The work in Phase 1 is more fully described later within this Scope of Services. Proposed Project The proposed project is to grade separate Santa Ana Boulevard at the Metrolink at-grade crossing. Highway Alignments The roadway width, and subsequent right of way width, will be determined based upon the City's General Plan for Santa Ana Boulevard, as reinforced by the projected traffic volumes generated by our traffic studies, as described later within this scope, and the number of lanes required for the year 2035 to provide a minimum Level of Service required by the City. The vertical alignment of the road will be designed to conform to sight distance and safety standards. Citv of Santa Ana 25G-152 Structural Improvements The proposed Santa Ana Boulevard Grade Separation, and the associated retaining walls shall be studied to determine the most cost effective and efficient structural type, and this will include both pre-cast concrete and steel through plate girder alternatives. The crossing will also be studied in terms of providing an aesthetic bridge structure. Applicable Standards The PSRE shall be prepared similar to CALTRANS' regulations, policies, procedures, manuals and standards- The following items a. through d. are not all-inclusive but are intended only to illustrate types of sources. a. The PSRE will be prepared similar to Caltrans' Project Development Procedures Manual Appendix L - Preparation Guidelines for Project Study Report. b. Roadway design shall be in general conformance with the current CALTRANS Highway Design Manual, Standard Plans and Specifications in English Units. C. Plans and estimates shall be prepared in general conformance with the current editions of the CALTRANS Plans, Specifications and Estimates Guide, Standard Plans and Standard Specification, and Basic Engineering Estimating System or as required by the City. d. This PSRE shall be performed in accordance with CALTRANS and AASHTO standards and practices. Any exceptions to applicable design standards shall be approved by the City via the process outlined in CALTRANS' Highway Design Manual and appropriate memorandums and design bulletins published by CALTRANS. The PRE shall be in accordance with CALTRANS' regulations, policies, procedures, manuals and standards. The following items a. through d. are not all-inclusive but are intended only to illustrate types of sources. a. The PRE will be prepared in accordance with Caltrans' Project Development Procedures Manual Appendix K - Preparation Guidelines for Project Report. b. Roadway design shall be in conformance with the current CALTRANS Highway Design Manual, Standard Plans and Specifications in United States Customary Units. C. Plans and estimates shall be prepared in conformance with the current editions of the CALTRANS Plans Specifications and Estimates Guide, Standard Plans and Standard Specification, and Basic Engineering Estimating System, or as required by the City. d. This PRE shall be performed in accordance with CALTRANS and AASHTO standards and practices. Any exceptions to applicable design standards shall be approved by the City and Caltrans via the process outlined in the CALTRANS' Highway Design Manual and appropriate memorandum and design bulletins published by CAI-TRANS. Project Understanding We will obtain Project Approval and Environmental Clearance for the Santa Ana Boulevard Grade Separation Project, and this shall be done by preparing a PSRE, a PRE, a Statutory Exemption (SE), and Categorical Exclusion (CE). We will prepare and obtain approval from the City, the SCRRA/OCTA, Caltrans, and the Federal Highway Administration (FHWA). The PRE will examine roadway alternatives documented in the approved PSRE, based upon forecast traffic volumes, and existing topography, as well as alternatives for the crossing type, and shall recommend a preferred alternative, as well as the approval of the environmental document. We will establish relationships with all the stakeholders in the project to solicit input and develop consensus during the project development process. Input from all stakeholders will be solicited early in the process and will continue throughout project development to facilitate timely review and approval of the project- City of'San/a Ana 25G-153 A meeting with the City, Caltrans, the SCRRA/OCTA, and other stakeholders will be held before any significant work is started on the project. The purpose of this meeting will be to: 1 . Review the PSRE and PRE Document development process. 2. Solicit input regarding the goals for the project desired by each agency. 3. Agree on the intended scope of the project. 4. Agree on the basic design standards to be met. The first step in the project development process will be to develop the conceptual alternatives for the project. Those elements to be considered will include: • Environmental Issues; • Traffic Requirements (Existing and Future); - Utility Impacts; • Existing Topography; • Horizontal and Vertical Geometric Requirements; • Crossing Type Selection; and - Project Costs. After completion of this initial step, the City will review the conceptual alternatives, the impacts and costs of each alternative within the PSRE and make a decision of which alternatives are feasible and should be carried to the next step in the project development process - preparation of the PRE. The PRE is the engineering document that provides the transition between the conceptual plans and the proposed project. At the pre-PSRE meeting, the engineering specifics of the design scope will be discussed. These will include the major features of work associated with the project, such as alternatives that substantially lessen or avoid environmental impacts, number of lanes (current and future), and most efficient crossing type. Additional items that need to be considered are roadway drainage systems, impacts to both existing and future utilities, and cost. Phase 1-Preliminary Engineering, PSRE, and PRE Task 1.1 Project Coordination/Management/Public Outreach The AECOM will assist the City on this phase of the project with responsibility for the work effort within its team. This task includes project management and administration; meetings; quality control/quality assurance; agency, subconsultant railroad and utility coordination; project permit coordination; scheduling; budgeting; progress reporting, and invoicing. Progress meetings will be held at monthly intervals, or as needed between the City, SCRRA/OCTA, other stakeholders, and the Project Team. The purpose of these meetings will be to review project status to ensure the contract objectives and milestones are being achieved. It is also anticipated AECOM will lead one (more if needed) public meeting, and will be chairing two coordination meetings with the consultants working on other, adjacent projects. To supplement these meetings, the AECOM Team will maintain on-going communications with the City, SCRRA/OCTA, and other agencies as necessary. It is anticipated several meetings with these agencies will be required to gain project approval for the locally preferred alternative. A schedule will be developed, maintained and updated for tracking the project. Deliverables: Required Copies of Meeting Minutes Updated Project Schedule Public Meeting Exhibits Task 1.2 Research and Data Collection Existing reports, studies, proposed and "as-built" plans, mapping or other information will be obtained from the City, utility companies and other agencies as applicable and reviewed by the design team. Data to be obtained and reviewed includes: Clly of S-1, A- 25G-154 • Mapping and design information from the City for improvement projects; • Hazardous material/waste information; - Preliminary materials (geotechnical) information; • Traffic data (existing and forecasted traffic, level of service, capacity adequacy, operational analysis, accidents, etc.); and • Right-of-way and utility plans. Task 1.3 Topo/Base/Field Work/Design Surveys Control Surveys Horizontal and vertical corridor control will be established along the corridor to support the aerial photogrammetry, land net surveys, engineering surveys and future design and construction activities along the corridor. The survey control will be set in accordance with Caltrans survey standards and will be tied into the North American Datum of 1983 (NAD83 NSRS 2007) and the North American Vertical Datum of 1988 (NAVD88 Riverside County) or as specified by the client. Land Net Surveys and Mapping This task entails cadastral research within Caltrans District 12 and the County of Orange for existing centerline and right-of-way files and/or available cadastral records in support of the centerline and right-of-way of 1-5, Santa Ana Boulevard, and Lincoln Street. Field surveys will be performed to locate the centerline. In addition, key monuments will be located in order to calculate the centerline of the corridor and adjacent intersecting routes. The right-of-way will be based upon record calculations only and will not be surveyed. A land net base map will be prepared at a scale comparable to the aerial mapping and will include said record centerlines and rights-of-way as well as underlying cadastral information, ownership information as recorded with the Riverside County assessor's office. All these data will be incorporated with the aerial mapping and delivered in a Microstation v8 format. Photogrammetric Mapping The aerial mapping will be prepared in conformance with Caltrans CAD mapping standards and photogrammetric specifications. Horizontal and vertical aerial control panels will be set to meet aerial triangulation requirements. The mapping will be prepared to 1" = 50' scale with 1-foot contours and will be delivered in a Microstation v8 format. Survey crews will field verify the aerial mapping to delineate planimetrics obstructed by tree coverage or shadows and to verify the contours and spot elevations generated from the aerial mapping. A color digital orthophoto with 3" pixel resolution will be prepared from the 50-scale imagery. The digital orthophoto will cover the same mapping limits described above. Task 1.4 Traffic Operations Analysis We will prepare a traffic operations analysis for the Santa Ana Boulevard grade separation project. The traffic operations analysis will examine existing and forecast future year conditions in the vicinity of the OCTA/SCRRA at- grade crossing with Santa Ana Boulevard. The future year conditions examined will be the project opening year and the project design year (20 years after opening, assumed to be 2035). Conditions examined will include the No Project Alternative and up to three build alternatives. City of Son/P A- 25G-155 The analysis will include examination of the following intersections: • Santa Ana Bld./1-5 On and Off-ramp. • Santa Ana Bld./Fuller St.. • Santa Ana Bld_/Lincoln Ave. • Santa Ana Bld./Santiago Street. We will coordinate with City staff and the PDT to develop an appropriate methodology for forecasting year 2035 volumes at the study locations, relying on the SCAG RTP (regional) traffic model (or as the City requires) data to forecast year 2035 volumes. Specific tasks to be performed for the traffic operations analysis include the following: 1. Peak period traffic counts will be collected at up to three study intersections, for two (a.m. and p.m.) three-hour peak periods. The peak periods to be evaluated will be determined in conjunction with the PDT. 2. Future year traffic volumes for the locations identified for examination will be developed using growth rates calculated from the RTP model SED, as described above. 3. Future year traffic volumes will be developed for the four build alternatives described above. 4. Opening year traffic volumes will be developed using growth rates calculated from the RTP model SED for an intermediate year, to be determined by the PDT. 5. The resulting intersection levels of service will be calculated using Highway Capacity Manual (HCM) 2000 analysis methodologies. 6. Based on the future levels of service, intersection lane geometries will be identified to maintain minimum level of service standards. 7. Weaving operations will be analyzed for traffic movements on the westbound segment of Avenue P between the Avenue P Westbound Connector Road and Third Street for Alternatives 1 and 2 using Highway Capacity Manual (HCM) 2000 analysis methodologies 8. The results of the traffic operations analysis will be presented in a technical study. This study will document the level of service analysis methodologies employed, existing traffic conditions, forecast future (opening year and design year) traffic conditions for each alternative, and improvements needed to maintain satisfactory operations in each analysis year. 9. Our traffic subconsultant will attend up to eight meetings related to the proposed project. Engineering Studies of Various Feasible Plan Alternatives Roadway Task 1.5 Prepare Alternatives Concepts/Geometric Preferred Alternative Development Preliminary engineering will focus on the physical characteristics of the project area and the engineering features and standards required to develop the project. The alternatives we will develop will need to address cost effective ways to resolve access issues, for both vehicle traffic and rail traffic, to the local businesses. They will also address the potential expansion/changing needs of the SCRRA/OCTA. Deliverables: Preliminary Roadway Plans, Profile (1"=20' Scale), and Typical Sections City Sank, Ana 25G-156 Railroad Track Design Provide track design plans, draft shoofly layout plans, to include shoofly track geometry plans, mainline track geometry plans, shoofly typical sections, mainline typical sections, track grading plans, and special trackwork plans. Railroad Coordination We will coordinate with the SCRRA/OCTA regarding alternative grade separation study alternatives, including additional trackage, construction activity constraints due to train operations, both freight and passenger trains, clearances, modifications to and reconstruction of a temporary at-grade crossing to facilitate construction of the grade separation. Railroad Permitting We will be responsible for assisting the SCRRA/OCTA in obtaining the Agreement with the SCRRA/OCTA. This will be done by: • Coordinate with the SCRRA/OCTA during the development of the preliminary plan for the grade separation and solicit their input and separation requirements. • Request the SCRRA/OCTA to prepare the Construction and Maintenance Agreement. • Meet and confer with the SCRRA/OCTA regarding the terms and conditions of the Agreement. • Furnish plans and cost estimates to the SCRRA/OCTA for said agreement. • Coordinate with the Project Surveyor for the legal descriptions for the permanent bridge crossing of the SCRRA/OCTA right of way and the temporary construction easement. • Monitor and coordinate the development of the Agreement with the SCRRA/OCTA and the City. • Keep City updated with regards to the progress of the Agreement development. • Make recommendations to the City regarding the terms of project specific conditions addressed in the Agreement. • With City concurrence, negotiate with the SCRRA/OCTA the terms of project specific conditions. • Coordinate with and provide assistance to the City staff and City attorney regarding the terms of the agreement. • Coordinate the development and approval by the SCRRA/OCTA of shoofly plans. Shoofly plans prepared by AECOM. • Coordinate the development and approval by the SCRRA/OCTA of temporary at grade crossing for the shoofly. Deliverables: City/Railroad Construction and Maintenance Agreement City of Sonta Ana 25G-157 Public Utilities Commission Commission's Order Authorizing Construction of the Grade Separation This work is not part of the Phase 1 Scope of Services, rather it shall be done during Phase 2. Commission's Order Authorizing Alteration of the Existing At-grade Crossing This work is not part of the Phase I Scope of Services, rather it shall be done during Phase 2. Task 1.6 Structural Analyses/APS Structures Development of the PSRE and PSR will require the preparation of a bridge Advance Planning Study (APS) for Santa Ana Boulevard Underpass. The purpose of the APS is to evaluate feasible structure types, understand City requirements, identify constraints, and develop associated cost estimate summary for the structure work involved. The APS General Plan (GP) clearly delineates all the structural elements identified in the PSRE and the PRE typically using the minimum detailing necessary and basic dimensions, which will help develop a reasonable cost estimate. As a minimum, the APS GP will show Plan, Elevation, and Typical Section views and will make note of all critical assumptions. Additional APS's will be prepared as appropriate to consider alternative structure types. The APS General Plan and APS Report will be prepared on the most current Caltrans APS formatted plan sheet, and templates respectively. Structure Preliminary Geotechnical Reports (SPGR) are required as part of APS to identify basic site parameters, which may have a significant impact on the structure scope and cost. In addition, a comprehensive design memo must be prepared to summarize and document the following key items: # important or unusual design assumptions or structure features. .6 Discussions with City/OCTA/SCRRA personnel concerning any key assumptions. .l. Modifications from Structure Maintenance Records recommendations. .L1 Seismic retrofit modifications. 6 City requirements such as aesthetics, improvements in vicinity of the structure, airspace usage, or other obstructions. .4 Special foundation requirements, special excavations such as Type A, Type D, and/or hazardous or contaminated material. .L Special construction requirements, including limited site accessibility. .L Stage Construction. The information identified in the APS, as listed above, and preliminary structure costs are used as a part of the evaluation to select the best project alternative. Santa Ana Boulevard Underpass It is proposed to construct a railroad bridge by lowering the Santa Ana Boulevard- A 2-Span Structure Alternative would work very well at this location. This proposed double track railroad bridge structure is approximately 126.7 feet long and 40.3 feet wide, with no skew to Santa Ana Boulevard. A Pier Bent is needed in the median of Santa Ana Boulevard, which will result in the maximum span length of 63.3 feet, and therefore a SCRRA Standard Precast/Prestressed (PC/PS) Double Cell Box Girder Structure can be used for the structure type. Precast units can expedite the construction schedule, helping to reduce impacts to both the rail and the road traffic. In addition, a precast, simply supported structure is the preferred railroad bridge type because of its flexibility for repair and replacement in the future. Significant shoring would be required around the construction area when constructing the bridge. Retaining walls would be required for both the roadway depression and the raise of the Crrv o/ Sawa A- 25G-158 rail profile. In order to facilitate the traffic staging/handling during the construction, the walls constructed parallel to Santa Ana Boulevard could be constructed using "top-down" construction; that is to build the wall first, and then excavate the roadway in front of the wall to final grade. We will perform Value Analysis to determine the most cost effective retaining wall type, top down approach vs. conventional cantilever retaining wall using temporary shoring. A Single Span Structure Alternative can also be considered. The span length required to span the Santa Ana Boulevard roadbed is approximately 134'. The typical span range for this type of construction extends to about 150-ft under Cooper E-80 loading. Therefore, even though the required span is nearing the upper limit of the typical structure span length, this structure type is suitable for construction of new underpass. The total structure depth for the replacement of the double track would be approximately 13'-6"_ Provisions can be made in the bridge design so that is capable of supporting a future third track, should this become a requirement of OCTA/SCRRA. To support a possible third track, the through girder, on the either left or right side of the underpass, will be required to have a structure depth approaching 15' in order to support the full weight of a Cooper E-80 live load. During the APS development, through a careful and deliberate process, we will study a number of different structure alternatives and configurations against various interchange alternatives, and develop associated costs. Deliverables: Draft and Final Structure Type Selection Report Task 1.7 Existing and Future Utilities Issues/Permitting Utility Impacts/Coordination We will identity and coordinate with the various utility companies for the location and descriptions of their facilities, including any potential for future utility improvements. Utility Meetings and Utility Coordination Coordinate and schedule meetings with Utility Owners and project stake holders as may be required. Existing Utility Research We will provide utility research services to include: • Notify Underground Service Alert and request a listing of member utility companies within the project area. - Make a field reconnaissance of the utilities within the project area. • Send a written notice to the identified utility companies in the proposed project area notifying them of the proposed project, and request copies of their existing utility maps and information regarding their plans for future improvements- • Prepare a preliminary Utility Conflict Maps from record information and field observations showing those utilities to be protected in place and those to be relocated to clear construction. • Overhead lines will be located and vertical clearance will be determined over the proposed improvements to assure that minimum vertical clearance is maintained. - Determination of prior rights as they relate to responsibility for the cost of relocations. Ci[y S-1-4- 25G-159 Deliverables: Preliminary Utility Conflict Maps Utility Data Summary; Including a matrix of: Utility Owners, Utility Representatives, Description of Utility Conflicts and Responsibility for the cost of relocation. Task 1.8 Right of Way Requirements ROW Identification/Impacts/Data Sheets Existing right-of-way information, including parcel boundaries will be shown on the alternative layout plans and used to determine the preliminary right-of-way requirements, which may be required for each alternative alignment. The cost of potential right-of-way acquisitions, if any, will be included in the cost estimate for each alternative. Legal descriptions will be prepared, and it is assumed up to 50 (this is excessive, but conservative) shall be required, and this shall be determined during the design. As the proposed alternative layout sheets are refined to include the information required for the PRE, the impacts to right-of-way will also be more thoroughly defined. This updated information will be shown on the right-of-way layout sheets and used to determine the preliminary right-of-way requirements for each alternative alignment. The cost of potential right-of-way acquisitions, including construction easements, will be included in the cost estimate for the PRE. A Right-Of-Way Data Sheet will be prepared and included in the PRE. During the design, right of way needs will be mapped for use in the right of way acquisition phase of the project. Deliverables: Right of Way Requirements Maps Task 1.9 Drainage Analyses/Report Hydrology Study/Report AECOM will prepare a hydrology study for the project area in order to recommend drainage systems adequate for the project improvements. These recommendations will be in the form of drainage plans, and associated cost estimates for these facilities, for inclusion into the PRE, and will ultimately form the basis of the Hydrology and Hydraulics Report prepared during the PS&E phase of the project- Deliverables: Storm Water Data Report Task 1.10 Quantities, Schedule and Estimate AECOM will calculate the preliminary level quantities, produce a preliminary level cost estimate, and produce a preliminary project schedule for inclusion into the PRE. Task 1.11 Project Report Equivalent (Draft and Final) AECOM will produce a Project Report, per the requirements previously mentioned in this document. Deliverables: Project Report Equivalent (Draft and Final) Task 1.12 Environmental Documentation As with all projects the environmental phase of the project controls the schedule. In order for us to have a firmer grasp on this critical part of the schedule, we have included on our team an Environmental Manager. Ms. Alicia Colburn will be serving in this capacity for the duration of the environmental clearance process. City of Santa A- 25G-160 It will be Ms. Colburn's responsibility to chair meetings, periodically (maybe even monthly beginning when the technical reports are close to submission to the District) with the District 8 Environmental Staff to address issues, comments, and to answer questions. Ms. Colburn will also be tasked to review each and every Technical Report written by our environmental subconsultant prior to submission to the District, and to perform this review with an eye towards commenting on what the Caltrans reviewer would comment on for the initial submittal of these reports- In this manner, Ms. Colburn will be able to perform a Caltrans-style review of the reports prior to submission to Ca/trans. This process should ensure the team only receives a limited set of comments once the reports are submitted to Caltrans, that can be easily addressed, and therefore the approval of the report should be expected by the CITY upon the second submission. Ms. Colburn is uniquely qualified for this role, having served in the District for a number of years providing these type of services while being employed by Caltrans. Our team, and this project, will greatly benefit from the experience Ms. Colburn will be able to apply towards a more efficient and streamlined environmental process. In this way, the CITY can benefit by expecting the environmental approval sooner, rather than later. The environmental subconsultant, ICF Jones &C Stokes, will perform the following specific scope of work required to complete the environmental documentation for the proposed project. Additional tasks or effort not specifically identified in this scope of work is not assumed or implied. Tasks associated with completion of the proposed work effort are as follows: Environmental Document Project Management/Coordination/Meetings ICF Jones &L Stokes scope of work for quality control, progress reporting, schedules, and coordination/ meetings is outlined below. • Quality Control: ICE Jones &L Stokes project manager will be responsible for directing and implementing the project's environmental quality control program. Senior technical reviewers in each discipline will review each work product, including field methods, data collection, analysis, report writing, and any subcontracted work studies. In addition, a technical editor will review all reports to ensure consistent use of terminology and style as well as general readability for the target readers. Finally, the project manager will review all documents before they are submitted to the City and Caltrans. • Environmental Schedule: ICF Jones &L Stokes will prepare a comprehensive environmental process schedule in consultation with City and Caltrans staff- As conditions change during the project, ICF Jones &L Stokes will update and fine-tune the schedule, with concurrence of AECOM and the City. It is assumed that the schedule will be refined up to four times. • Kick-off Meeting: ICE Jones &b Stokes Project Manger shall attend a kick-off meeting. Time reflected in the attached cost estimate includes meeting preparation time. It is assumed that AECOM will prepare the meeting minutes for this meeting. • Monthly PDT Meetings: ICE Jones &b Stokes Project Manager shall attend Project Development Team (PDT) meetings with the City, AECOM, and Caltrans staff (attendance at twenty-eight [28] PDT meetings by the ICF Jones &L Stokes Project Manager is assumed). • Meetings: ICF Jones &L Stokes Project Manger may be required to attend meetings in addition to the PDT meetings previously identified. It is assumed that the ICE Jones &L Stokes Project Manager will attend up to twelve (12) additional project meetings. • Project Management: This task includes the coordination and management efforts by the ICF Jones &b Stokes Project Manager. A duration of twenty-eight (28) months is assumed. Deliverables: Environmental schedule. Environmental PM Attendance at kick off meeting, twenty-eight (28) PDT meetings, and twelve (12) project related meetings. Project management. Cin, of S-t, A- 25G-161 Preliminary Environmental Study After receiving a notice to proceed and preliminary layout from AECOM for the build alternative, a Caltrans Preliminary Environmental Study (PES) form (November 20, 2007) will be prepared. for submittal to City and Caltrans for review. The purpose of the PES is to identify and receive concurrence from Caltrans regarding the technical studies that will need to be prepared for the proposed project and to receive concurrence regarding the environmental document to be prepared- The PES will be prepared using existing, available information and no new analyses or detailed evaluations are assumed or included. As directed in the PES, cultural information will be provided entirely by Caltrans. The PES will be revised twice following Caltrans review. Figures will include a vicinity map, a location map, and the layout provided by AECOM. No additional figures or graphics are assumed to be necessary. Deliverables: • Draft, revised Draft, and Final PES. Public Information Meetings Although not legally required for the level of environmental document that is proposed, it is assumed that two public information meetings will be conducted for the proposed project. One at the outset of the project after the build alternative has been developed, and one during the PA/ED process at times to be determined by the City and Caltrans. The meetings will utilize boards that present the project alternative. ICE Jones & Stokes will assist the City and Caltrans in organizing and holding the informational meetings. It is assumed that the City will secure the location for the public meeting. For each meeting a notice will be prepared by ICF Jones & Stokes for publication in a newspaper of local circulation (Orange County Register, etc.). This notice will be submitted to the City and Caltrans for review and approval. It is assumed that ICF Jones & Stokes will coordinate publication of the notice in the newspaper and that the City will be responsible for paying the newspaper directly for the publication cost. It is assumed that the notice will be published in one English and one Spanish language newspaper. ICF Jones & Stokes will prepare a sign-in sheet, comment cards, and up to three display boards using project layouts/graphics provided by AECOM. In addition, direct mailings to property owners and residents living within 500 feet of the proposed project will be distributed using a mailing list generated and provided by AECOM's right-of-way consultant or the City. No other direct mailings are assumed. It is assumed that ICF Jones & Stokes Project Manager along with one additional individual, if needed, will attend the meetings. Deliverables: • Meeting Materials (up to three 30x40 boards using primarily project layouts/graphics provided by AECOM, sign in sheet, and comment cards) • Attendance at informational meeting by the Environmental Task Manager and one additional ICF Jones & Stokes staff member, if needed • Direct mailing to property owners and residents located within 500 feet of the proposed project (assumed that AECOM's right-of-way consultant or the City will provide the list of owners and addresses) . Preparation and publication of meeting notice once for each meeting in one English and one Spanish language newspaper (assumed that City will pay the newspaper directly for the publication) Technical Studies All technical studies will be consistent with meeting the requirements of CEQA and NEPA, as well as those of related environmental statutes and regulations. The technical studies will be prepared to cover both related statutory documentation requirements and to support preparation of a joint NEPA/CEQA document required for project approval. Preparation of all technical analyses and reports will follow local, state, and federal environmental guidelines, primarily consisting of the Caltrans Standard Environmental Reference (SER) website, Caltrans Project Development Procedures Manual, local and state CEQA Guidelines, and FHWA Technical Advisory 6640.81 Guidance on Preparing and Processing Environmental and Section 4(f) Documents. The formats to be used for the technical studies will follow the guidance available on the Caltrans SER website as of the date that those studies are initiated. Please see scope of work for each technical study for details regarding studies to be prepared. Cily q/ Santa A.m 25G-162 Unless otherwise noted, the deliverables for the following technical studies will be a separate bound report including a standardized project description, a methodology relevant to each topic area, description of the affected environment, impact assessment, and mitigation measures. The screencheck technical study will be submitted to the City (two copies) and to Caltrans (four copies) for concurrent review. Following City and Caltrans review a Draft of each technical study will be submitted to the City (two copies) and to Caltrans (four copies) for concurrent review. Following Caltrans and City second review it is assumed that a revisions workshop will be held to address any outstanding comments, if any comments remain- Following the revisions workshop a final version of each report will be prepared. The final technical studies (two copies to the City and four copies to Caltrans) will be submitted following the workshop for final concurrence (no additional comments are assumed to be received associated with the final concurrence review). For this scope of work, the technical studies for which a specific scope of work has been included have been assumed based on a review of existing project information. If additional studies are identified during the environmental phase of the project a scope of work and cost will be submitted for approval prior to their initiation. Deliverables: Screencheck technical studies (6 copies each) Draft technical studies (6 copies each) Final technical studies for concurrence (6 copies each) Final approved technical studies (6 copies each) The following assumptions have been made with regard to the technical studies that are to be prepared: • Engineering plans, including limits of construction, staging areas, and borrow/disposal sites, if needed, will be provided by the engineering team at a level of detail sufficient for preparing the technical studies (roadway lanes, topographic information [including changes in topography resulting from the proposed project], state plane tick marks, station numbers, and existing structures within 500 feet of the proposed project). • Mapping showing existing conditions (roadway lanes, topographic information, state plane tick marks, station numbers, and existing structures within 500 feet of the proposed project) will be provided by the engineering team. • Cross sections along the alignment showing existing and proposed conditions at an interval sufficient for preparing the noise analyses will be provided by the engineering team. • Aerial photograph at a scale suitable for preparation of project mapping, figures, and analyses will be provided by the engineering team (1 inch=200 feet scale minimum, with a minimum of 500 feet to the east and west of Pine Avenue shown and any other areas of improvement). Pixel size shall be no more than 2.5 square feet and image shall be orthorectified. • Focused protocol surveys for any species are not included in this scope and cost, other those specified under the Natural Environment Study scope. If additional focused surveys are identified during the biological field reconnaissance then this will be communicated to AECOM and the City and a scope and cost for this work will be provided. • Geotechnical, traffic assessments, Storm Water Data Report (SWDR) and/or Water Quality Report, and any floodplain analyses/technical reports (Location Hydraulic Study and Summary Floodplain Encroachment Report or Floodplain Evaluation Report), if required, will be provided by AECOM and these analyses will be provided to ICE Jones & Stokes for incorporation into the environmental document and for use in the technical analyses. • Traffic information shall contain 24-hour and hourly traffic counts separated by direction and vehicle classification (autos, medium trucks, heavy trucks) over at least three weekdays, along with peak hour and average daily traffic (ADT) forecast traffic volumes for existing conditions, opening year, and design year with and without the project for roads in the project area, and posted speeds. In addition, subregional/regional traffic information will be provided that includes vehicle miles travelled (VMT) data for existing year, opening year (build and no-build) and horizon year (build and no-build) broken down into five mph speed bins. This data is needed in order to evaluate Cirt, o/ Sanra An, 25G-163 GHG emissions consistent with the latest guidance from Caltrans Headquarters. This stems from the fact that GHG emission factors vary depending on travel speed. • NEPA/404 integration process will not be required. • It is assumed that all rights of entry and access for field work and surveys, if required, shall be obtained and provided by the City or AECOM. • Public meetings and/or hearings are not assumed or included. • Section 4(f) Evaluation will not be required. • A Community Impact Assessment will not be required • Relocations would not occur and a relocation document will not be required. • Cadd files shall be provided in a known coordinate system or projection and attributes shall be provided on discrete layers so that this information can be utilized in GIS. Historic Property Survey Report The proposed project improvements will be subject to compliance with Section 106 of the National Historic Preservation Act. This requires consideration of potential project effects to historic properties including archaeological and historical resources listed in or eligible for listing in the National Register of Historic Places according to criteria listed in 36 CFR800. Caltrans administers Section 106 compliance on behalf of FHWA and requires that documentation conform to specifications contained in Caltrans Standard Environmental Reference. As of January 1, 2004, cultural resource studies must be prepared and processed in accordance with the Programmatic Agreement among the Federal Highway Administration, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer, and the California Department of Transportation Regarding Compliance with Section 106 of the National Historic Preservation Act, as it Pertains to the Administration of the Federal-Aid Highway Program In California. ICF Jones & Stokes shall conduct a records search at the Information Center of the California Historical Resources Information System and through the Sacred Lands File at the Native American Heritage Commission. This records search will consult California's database of previous studies and previously recorded sites within the proposed project area and within a 0.5-mile radius, per Caltrans guidelines. Historic maps and photographs shall also be reviewed, if available- ICF Jones & Stokes shall establish an Area of Potential Effect (APE) map in consultation with the City and Caltrans for obtaining Caltrans approval. The map shall provide the survey boundaries for cultural resources to be evaluated during project studies. The APE map shall be based on the total anticipated disturbance footprint associated with project activities (e.g., road widening/interchange construction, staging areas, detours, drainage facilities, and parcels containing impacted structures, if any). ICF Jones &4 Stokes will also contact the Native American Heritage Commission and consult with Native American groups and other interested parties to request information regarding the types of potential cultural resources in the study area. Consultation will be conducted in accordance with appropriate and current state and federal regulations. Following completion of the record search/review, ICF Jones cob Stokes shall conduct a field survey of the APE for archaeological resources. It is assumed that the City or AECOM will be responsible for obtaining access for conducting the surveys. This scope of work assumes that no archaeological sites will be identified in the APE and that no testing and/or evaluation will be required. It is anticipated that an Archaeological Survey Report (Finding of No Archaeological Resources Present) will be prepared. Following completion of the record search/review, an ICF Jones & Stokes qualified architectural historian will conduct a field survey of the proposed project area to record buildings, structures, and historic features through photography and written descriptions. If buildings are substantially altered or are less than 50 years old, a qualified architectural historian can exempt them from further evaluation in accordance with the Section 106 PA. It is anticipated that up to four (4) buildings and structures will not be exempt under the PA and will require evaluation on California historic resource inventory forms (series DPR 523). Any buildings beyond this number would be considered out of scope. ICF Ci/V of S-lu A- 25G-164 Jones & Stokes will send out letters requesting information on historic properties to local governments, historical societies, and historic preservation organizations. The evaluation of properties within the APE will be reported in the Historical Resource Evaluation Report (HRER), which will include a historic context statement. In addition, ICF Jones & Stokes will review the Caltrans historic bridge inventory, and identify previously evaluated state and local bridges within the APE. As part of the Centerline project an evaluation of several portions of what is anticipated would comprise the APE were evaluated- The depot that is located at the east end of the project alignment was constructed in 1986 and would not require evaluation (the original depot was demolished wheq the new depot was constructed). The Juvenile Detention Home (located at 1207 Fruit Street) was also evaluated as part of the Centerline project and it was concluded that the property does not appear to meet the criteria for listing on the National Register of Historic Places (NRHP) or the California Register of Historical Resources (CRHR), and has not been designated as historic by the City of Santa Ana. No other resources were identified that required evaluation within what would be the anticipated APE for the proposed project. It was noted that the area along Santiago Street to the south of Santa Ana Boulevard has a high potential for buried archaeological resources, however, no resources or sites were identified during the field work that was performed for the Centerline project along the portion of Santiago Street where it intersects Santa Ana Boulevard. Following completion and approval of the APE and detailed reports discussed above, a summary document (the HPSR) shall be generated in accordance with Caltrans/FHWA standards for Section 106 compliance with the NHPA. It is anticipated that the proposed project shall result in an HPSR with a finding that only properties previously determined not eligible for inclusion in the NRHP or that are determined to be not eligible for inclusion in the NRHP are present within the Project APE. No further cultural work, including Phase II analyses/investigations and/or a Finding of Effect, are assumed or included in this scope of work. Visual Impact Assessment In accordance with FHWA and the U.S. Department of the Interior guidelines, the visual analysis will be prepared under the direction of a licensed Landscape Architect and based on FHWA's Visual Impact Assessment for Highway Projects. The existing visual environment and viewshed will be analyzed using available mapping, aerial photos, GIS, and site reconnaissance. Project plans and profiles will be analyzed to identify proposed physical changes to the study area and to aid in the identification of key observer viewpoints. Key viewpoints (visual quality "sensitive receptors") will be identified for the proposed project. Visual quality of proposed conditions will be evaluated OF and FROM the key viewpoints. That is, visual quality will be evaluated "OF" the proposed improvements and "FROM" the improved facility toward the viewpoint. It is assumed that up to three key viewpoints will be identified and assessed. These viewpoints will be submitted to Caltrans for approval prior to starting the analysis. FHWA methodology, including the evaluation of unity, intactness, and vividness, will be applied. Mitigation measures, such as finish treatment of structures and sound barriers and plantings, will be recommended, if necessary. Noise mitigation, including walls and/or berms will be included in the analysis if identified in the noise report. It is assumed that up to two visual simulations will be included. Noise Study Report ICF Jones & Stokes will prepare a noise study report evaluating the noise impacts and potential noise abatement/mitigation measures, if any, associated with the proposed project. Because federal and Caltrans oversight is involved, the report will be prepared in accordance with procedures specified by FHWA in Title 23, Section 772 of the Code of Federal Regulations (CFR) (23 CFR 772) and the Caltrans Traffic Noise Analysis Protocol (Protocol). ICF Jones & Stokes will conduct a site visit to identify noise sensitive land uses and other features of the project area relevant to the noise study. Noise sensitive receptors have been identified, including those homes located to the east of the rail line along the north side of Santa Ana Boulevard. ICF Jones & Stokes will consult with the Caltrans District 12 noise specialist assigned to this project to ensure that all requirements are addressed. A field noise study will be performed to quantify and assess existing noise conditions at the potential noise-sensitive areas. It is estimated that short-term ( 10 to 15 minutes duration) sound-level data will be collected at up to four (4) representative noise-sensitive locations throughout the area. In addition continuous 24-hour noise monitoring will Cif, q/ Santa Ana 25G-165 be conducted at up to one location if a secure measurement location can be identified. ICF Jones & Stokes will conduct traffic noise modeling related to the proposed project using the FHWA Traffic Noise Model (TNM) Version 2.5 and traffic data to be provided by the project traffic engineer. TNM will be used to model worst-noise-hour noise conditions at representative modeled receiver locations under existing conditions and design- year conditions with and without the proposed project. Traffic noise impacts of the proposed project under 23CFR772 will be assessed by determining if implementation of the project is projected to result in traffic noise levels under design-year conditions that approach or exceed the FHWA noise abatement criteria or if implementation of the project is predicted to result in a substantial increase in noise at noise-sensitive uses. If traffic noise impacts are projected to occur, information on the preliminary feasibility and reasonableness of noise abatement as defined in the Protocol will be evaluated and presented for use by decision makers in considering noise abatement. ICF Jones & Stokes will also evaluate potential construction noise impacts using methods recommended by the U_S. Department of Transportation. ICF Jones 8c Stokes will prepare a noise study report addressing the requirements of 23CFR772 in accordance with guidance in the Protocol and following the noise analysis report format outlined in the Caltrans Technical Noise Supplement (TeNS). If warranted the noise study report will include a preliminary noise abatement design to schematically identify the location, height, and extent of noise walls needed to abate noise impacts. It is assumed that any noise abatement design and or Noise Abatement Data Report (NADR) would be prepared and provided by AECOM. In accordance with Protocol guidance, the description of noise walls will be sufficient for environmental review of the proposed project, but not for final design of the walls- Abatement allowances will be provided for each wall evaluated. It is assumed that any final noise wall designs would be prepared by AECOM due to the detailed engineering that is required for the design of any such noise walls. Natural Environment Study (Minimal Impacts) ICF Jones 8c Stokes will conduct a literature search, perform field surveys, and prepare a Natural Environmental Study Minimal Impacts (NES/MI) report analyzing potential impacts to biological resources. An NES/MI has been identified due to the limited amount of habitat located within the identified project area. The report will be prepared in accordance with Caltrans SER guidance and will conform to the Caltrans NES/MI annotated outline that is available at the time that the NES/MI is initiated. The following tasks will be performed during the preparation of the reports: Review of Project Information and Applicable Literature A literature review will be conducted to identify special-status species known or reported from the project area. The literature review will include: • Special status species lists from the California Department of Fish and Game (CDFG) and U.S_ Fish and Wildlife Service (USFWS); - Database searches of current versions of the California Natural Diversity Database (CNDDB) and the Online Inventory of the California Native Plant Society (CLAPS); • The most recent applicable Federal Register listing package and critical habitat determination for each federally listed Endangered or Threatened species potentially occurring within the project site; • The most recent CDFG Annual Report on the status of California's listed Threatened and Endangered plants and animals; and - Other available biological studies conducted in the vicinity of the project site. Field Evaluation for Biological Resource Constraints After reviewing relevant information, the project area will be evaluated, with a thorough walkover covering all portions relevant to potential biological resource constraints. Detailed field notes will be compiled including conditions, visible disturbance factors, species, habitats, and more general biological resource issues observed or detected. The site will be evaluated regarding the presence, absence, or likelihood of occurrence for all special status species, habitats, or more general biological resource issues potentially posing a constraint to the project through applicable laws and regulations. Adjacent areas will also be briefly examined to provide context. It is assurned that access shall be provided by the City City of S-1, Ana 25G-166 or AECOM for the field surveys. If focused habitat evaluations for any species other than those included in this scope of work or focused surveys are required for any species then this will be communicated to the City and AECOM immediately and a separate scope and cost for this work will be provided. The study area is assumed to be the proposed project footprint plus 100 feet (where access is permissible). This task includes evaluations/determinations for the following potential resource issues: • Habitat Evaluation for Burrowing Owl - A qualified biologist will perform an evaluation of the potential for Burrowing Owl (Athene cunicularia) to occur. All areas to be evaluated will be examined carefully for habitat characteristics and disturbance factors. The study area for this work is assumed to be the proposed project footprint and a 100-foot buffer, as accessible to ICF Jones & Stokes. An additional 400-foot buffer beyond the 100-foot buffer will be visually assessed only. This scope and cost assume that the City or AECOM will be responsible for providing access. Potentially suitable habitat will be mapped. No permits are required to perform a habitat evaluation, but the biologist must be experienced with the species' biology, identification of direct and indirect sign, and physical characteristics of potentially suitable habitat. Habitat evaluations for this species can be performed any time of year. The results will be directly incorporated into the NES/MI. This scope of work assumes that a focused survey for burrowing owl will not be required. - Jurisdictional Waters Delineation - A qualified biologist will examine all relevant portions of the site and perform a routine-level delineation of the extent of potentially jurisdictional waters under both state and federal regulations. The following field evaluations will be performed, however, it is assumed that no jurisdictional resources will be identified. Evaluation for federal wetlands will follow the applicable methods in the 1987 manual from the Corps of Engineers, the 2006 Arid West supplement from the Corps of Engineers, and the Rapanos Guidance (2007), along with subsequent supporting materials and applicable regulations, policy, and case law. The study area for this work will include the proposed project footprint along with a 50-foot buffer. This scope and cost assume that the City or AECOM will be responsible for providing access. The work will be at a routine (rather than comprehensive) level of detail, that is, point sampling and standard criteria (hydrology, soils, and vegetation) will be used to identify, map and calculate total area for federal and state jurisdiction, but no laboratory testing of soils or water, no hydrological or hydrogeomorphic analysis or modeling, no formal statistical analysis, and no extensive records searching, will be provided. Evaluation of existing functions and values for jurisdictional areas will be addressed at a qualitative level. Mapping will be performed at a scale of 1 inch equals 200 feet (1:2400) or better, with a minimum mapping unit of no more than 0.05 acres, and will reflect the delineated boundaries of any jurisdictional waters and wetlands present. Photographs representative of relevant site conditions will be taken. As noted, it is assumed that no jurisdictional waters or wetlands will be identified and no Jurisdictional Delineation Report will be required. Technical Report Preparation A draft NES/MI will be developed based on results of the biological surveys and analysis and will conform to the current Caltrans NES/MI annotated outline, as previously described. The report will describe: • The study methods used in identifying and assessing the biological resources at the project site, the personnel who conducted the studies, contacts made with agencies, and any limitations associated with the study; • The environmental setting including both the biological and physical setting at the project site; • (The results, including special-status species present on the site, if any, and a discussion of impacts and mitigation, as necessary; and • The appropriate regulatory requirements and necessary permits, if any. At this time it is assumed that jurisdictional waters will not be impacted and permitting (i.e_, Section 401 Water Quality Certification, Section 404 permit, or Section 1602 Streambed Alteration Agreement) would not be required. Therefore, the processing of permits are not included in this scope of work. If based on the field work performed it is determined that these permits would be required then a scope and cost for the preparation and processing of these permits can be provided by ICF Jones & Stokes if desired by the City and AECOM. City o/ Snnla Ana 25G-167 Community Impact Assessment ICF Jones & Stokes will prepare a Community Impact Assessment. ICE Jones & Stokes will identify the community impacts on neighborhoods, businesses, and minority and low-income populations, as well as the project's consistency/compatibility with the existing and future land uses and plans in the area. The community impact analysis will be prepared in accordance with Caltrans Environmental Handbook Volume 4: Community Impact Assessment. Topics to be addressed in the community impact analysis will include social impacts, economic impacts (change in employment and tax base changes), land use/growth (consistency with local plans, development opportunities), farmland, and public services impacts (accessibility and parking, utilities). The community impact assessment considers how the proposed project activity would affect the people, institutions, neighborhoods, communities, organizations, and larger social and economic systems. The community impact analysis will provide a clear description of the existing conditions, the potential impacts of the project on the community and how the project relates to other development (existing and proposed) in the area. The significance of the identified impacts, and mitigation measures to best avoid the adverse impacts resulting from the project will be identified and discussed, as appropriate. Potential impacts to minority and low-income populations, if any, will be addressed in compliance with Executive Order 12898: Federal Actions to Address Environmental Justice in Minority and Low-Income Populations. Data from the 2000 U.S. Census will be used to identify characteristics of populations within census block groups traversed by or adjacent to the proposed project. Community profiles will also be collected for the local project area, City, County, and the State of California to help identify regional and local trends in regards to demographics, local industry, occupations, and tax base. Potential impacts during the construction phase due to access limits will be analyzed and measures to address these impacts proposed, if required. Existing planning documents will be reviewed and potential beneficial and adverse land use impacts of the proposed project and mitigation measures, if required, will be identified. Relocation Impact Report It is anticipated that relocations and property acquisition would be required as part of the project, particularly to the west of the rail line. ICE Jones & Stokes will analyze the primary and secondary effects of potential acquisitions and displacements that would be caused by the proposed project. The relocation impact document is anticipated to be a Relocation Impact Report (Draft and Final) based on past experience within the District. A Draft Relocation Impact Report (DRIR) will be prepared pursuant to FHWA guidelines/policies to comply with the Uniform Relocation and Assistance and Real Property Acquisition Policies Act of 1970, as amended, the California Relocation Act, and as described in Chapter 10 of the Caltrans Right-of-Way Manual. The DRIR will provide the City, Caltrans, and the public with information on the impact this project will have on residential and non-residential occupants. It is assumed that adequate relocation resources would be available for displacees. Using aerial photography, 2000 U.S. Census data (supplemented with additional State, County, and City data, as available), windshield surveys, and interviews with local real estate agents, if needed, ICF Jones & Stokes will identify characteristics of potential relocations, including the number/type of residences, businesses, farms, and/or non-profit organizations. ICF Jones & Stokes will identify the characteristics of the residential displacements including lot size, improvements on parcel, age of structures, general condition, and the number of bedrooms/ bathrooms. For businesses characteristics to be documented include the number of employees, building size, parking areas, and owner/tenant mix. In addition, ICF Jones & Stokes will identify and evaluate potential relocation resource areas and any difficulties that may arise, relocation-related business issues, and the project's effects on the local tax base. Following public availability of the environmental document, a Final Relocation Impact Report (FRIR) will be prepared that identifies relocation resources, timing of acquisition, and more detailed displacee data. This scope of work does not include interviewing the affected owners and tenants of the displaced properties, if required. Paleontological Information Report/Paleontological Evaluation Report It is assumed that a combined Paleontological Information Report/Paleontological Evaluation Report (PUUPER) will be prepared that will identify and document the viability of paleontological resources existing with the project's study limits. The following identifies the tasks to be performed. City of SanMn i(nu 25G-168 Literature Search and Field Review • Applicable Laws - ICF Jones &C Stokes shall review relevant State and federal statutes, regulations, and guidelines to determine the requirements for protection of paleontological resources specific to this project. - Coordination with Agencies and Schools - ICF Jones &L Stokes shall coordinate with appropriate agencies and educational facilities to collect data regarding paleontological sensitivity. • Library Search - ICE Jones &L Stokes shall search relevant published information, including technical geologic and paleontological articles, discussions of fossil localities and their geologic context, geologic maps, and descriptions of sedimentary geologic units in the project area. • Museum Record Search - ICE Jones &6 Stokes shall examine unpublished specimen records in museums to obtain information relating to resource distribution in the project area- Field Review - ICF Jones &c Stokes shall visit the proposed project site to observe stratigraphic features, bedding geometry and other relevant geologic features. Data Compilation &L Sensitivity Assessment Data accumulated from the above sources will be integrated and summarized to provide a description of the known aspects of the resource, if relevant. These aspects include the probability that the affected geological units include paleontological resources, the probable/possible significance of any likely fossils, and the effects of any historic surface modifications. The goal of the PER portion of the report is to identify the potential for impacts to significant paleontological resources within the project's limits. The report prepared will identify and document anticipated impact to paleontological resources existing with the project's limits of disturbance (both vertical and horizontal), if potential impacts exist- ICF Jones &L Stokes shall prepare a PIR/PER that includes the following: • Summary of the proposed project • Delineation of the project limits - Delineation of the project excavation locations and depths • Document efforts to avoid or minimize effects on paleontological resources • Identify significance and/or sensitivity of paleontological resources and/or rock units following the guidance provided at: http://www_dot.ca.gov/ser/volI/see3/physical/Ch 08 Paleo/chapO8paleo.htm#pir - Identification of sources consulted and results of that consultation • Identification of any consultation related constraints • Identification of a course of action, including identification of specific geologic formations and paleontological resources • Identification of the persons preparing the PIR/PER and their qualifications • Identify whether a Paleontological Mitigation Plan (PMP) is recommended It is assumed that a PMP will not be recommended or required for the proposed project and one is not included in this scope and cost. It is further assumed that the findings of the PIR/PER will be negative and no additional paleontological tasks or effort will be required. Air Quality Report Based upon the last three road/rail grade separation projects that ICF Jones &G Stokes has performed in southern California an air quality report may not be required for the project. It has been determined on these other three projects that as long as the project does not add additional capacity or include the installation of new stop signs or traffic signals that an Air Quality Report is not required- However, an Air Quality Report has been included in this scope and cost in case it is ultimately determined to be required by the District. This will be discussed early in the process with Caltrans and further document in the PES that is prepared. ICF Jones &L Stokes will prepare an air quality technical report that analyzes air pollutant emissions associated with changes in vehicle speed and traffic distribution patterns resulting from the proposed project. All impact analyses will be performed consistent with the technical requirements and methodologies outlined in the Caltrans' Standard Environmental Reference (air quality chapter). Ci/v of Santa Ana 25G-169 The air quality technical report will provide the following discussions and analyses: Regulatory Setting and Existing Conditions. Summarize the existing federal, state, and local air quality regulatory environment as it affects the proposed project, and describe the location of sensitive receptors in the project vicinity. Using data provided by the California Air Resources Board (CARS) and the SCAQMD, characterize existing air quality conditions in the project area and explain how those conditions are affected by local climate and topography. Evaluation of Construction Emissions. Based on current District 12 procedure, provide a qualitative discussion related to construction emissions. Evaluation of Operations-Period Mass Emissions. Evaluate whether the project meets transportation conformity requirements by determining whether it is included, as currently defined, in the most recent Regional Transportation Plan (RTP) and Regional Transportation Improvement Program (RTIP) prepared by the Southern California Association of Governments (SCAG). It is assumed that the projects will be included in the RTIP and that a regional analysis will not be required. Localized Carbon Monoxide Hot Spot Analysis. Analyze the degree to which project-related traffic volumes have a potential to effect local carbon monoxide (CO) concentrations using the California Department of Transportation CO Hotspot Protocol. It is anticipated that the CO screening procedure will be appropriate. However, it is assumed, based on experience within the District that CALINE-4 dispersion modeling will also be performed. It is assumed that up to two intersections will be modeled. Localized PM2.51,PMI0 Hot Spot Analysis. Analyze the degree to which project-related traffic volumes have a potential to affect local PM2.5 and PM 10 concentrations, based on the United States Environmental Protection Agency (EPA) guidance document entitled Transportation Conformity Guidance for Qualitative Hot-spot Analyses in PM2.5 and PM 10 Nonattainment and Maintenance Areas. This scope and cost assumes that a screening level analysis is appropriate, and that no modeling will be required by Caltrans or FHWA to address PM2.5 and PM 10. Mobile Source Air Taxies. Evaluate proposed project-related mobile source air toxics (MSATs) emissions in accordance with FHWA interim guidance on how MSATs should be addressed in NEPA documents. It is not assumed that extensive qualitative analyses would be required to address MSATs. If an extensive quantitative analysis is required for the project, then a scope and cost estimate would be provided for this additional effort, however, such an analysis is not anticipated. Climate Change1Greenhouse Gas Emissions. A quantification of operational-period greenhouse gas (GHG) emissions associated with implementation of the proposed project will be conducted- Consistent with current Caltrans policy, construction-period GHG emissions will not be quantified. Operations-period GHG emissions will be quantified using regional daily peak-period and non-peak-period vehicle miles traveled (VMT) apportioned into 5 mph speed bins for speeds between 5 mph and 75 mph; and the CT-EMFAC emissions model. ICF Jones & Stokes will present a comparison of GHG emissions associated with the Build Alternative(s) to the No-build Alternative to characterize effects of the proposed project on OHO emissions. The analysis of climate change also will also incorporate the most recent guidance found on the Caltrans Standard Environmental Reference and Caltrans annotated outline. Air Quality Conformity Analysis Report and Checklist Under NEPA delegation, the federal air quality conformity determination has not been delegated to Caltrans and must be made by FHWA. We will prepare a separate Air Quality Conformity Analysis using the annotated outline for this report on the SER at the time that the report is initiated and will also prepare the Conformity Checklist based on the checklist that is available on the SER at the time that the Air Quality Conformity Analysis Report is prepared. SCAG Transportation Conformity Working Group. The required TCWG form will be completed and submitted for forwarding to SCAG for inclusion on the agenda for determining if the project is a project of air quality concern (POAQC). It is assumed the project will be found to not be a POAQC and that no specific analysis will be required related to the TCWG determination other than what is already included in this scope of work. Mitigation Measures. ICF Jones & Stokes will develop mitigation measures, where applicable, to address significant air quality impacts, if present. City of Santa A- 25G-170 Prepare Hazardous Materials Technical /Waste ISA ICF-Jones and Stokes will prepare the Hazards and Hazardous Materials Report. The investigation will evaluate evidence of potential site contamination, either from historical or current land usage. The study will address the Thresholds of Significance in Appendix G of the CEQA Guidelines and will include elements of ASTM E1527, Standard Practice for Environmental Project Site Assessments: Phase I Environmental Property Assessment Process. We will conduct a review of available existing local, State, and Federal-maintained databases of hazardous materials sites and underground storage tank records. Readily available historical aerial photographs will be reviewed to help identify prior land uses and field reconnaissance will be performed to help assess current conditions. The deliverable will be the Hazards and Hazardous Materials Report. In addition, this work will include visits to properties to assess if a Phase 2 investigation of the site will be necessary, to be included in the recommendations section of the report, and to be conducted during the design phase of the project. Actual Phase 2 investigative work and subsequent report is not included in this scope of services; however, testing and reporting on Aerially Deposited Lead (ADL) is included in this scope. We will sample, test, and report on the existence of any ADL within the limits of project footprint. Environmental Document For the proposed project it is assumed that the NEPA document to be prepared will be a Categorical Exclusion with technical studies. Railroad grade separations are identified as NEPA Categorical Exclusions under 23 CFR 771.117(d). Railroad grade separations are statutorily exempt from CEQA, as identified in Section 21080.13 of the Public Resources Code and in Section 15282(g) of the CEQA Guidelines. Statutorily exempt projects are excused entirely from the environmental review process and the requirements of CEQA_ In addition, all activities performed to support these projects are also included in the exemption. It is assumed that all project components are associated with the railroad grade separation and would be covered under the exemption. Therefore, it is assumed that no CEQA document or documentation will be required for the proposed project. If components are added to the project that are not related to the grade separation then the statutory exemption may not apply and additional work not covered in this scope and cost, including a CEQA document, may be required. Statutory Exemption (CEQA)/Categorical Exclusion (NEPA) A Notice of Exemption (NOE) will be prepared and provided to the City for approval and submittal to the State Clearinghouse. This notice starts the statue of limitations under CEQA so it is recommended that the City file this notice. No additional CEQA documentation beyond the completion of the NOE form is assumed as part of this scope and cost- Based on the environmental technical studies previously discussed a Categorical Exclusion (CE) will be prepared pursuant to NEPA. ICF Jones Stokes will prepare the CE in compliance with the latest format identified on Caltrans Standard Environmental Reference website. In addition, the Categorical Exclusion Checklist will be prepared. As part of the CE a detailed project description will be included. The CE will also include a very brief (two to three sentence) summary of the findings of each of the technical studies. No separate environmental document is assumed to be prepared to support the CE and none is included in this scope and cost. It is assumed that LCF Jones cob Stokes will revise the CE twice based on comments from the City and Caltrans (to be reviewed concurrently). Environmental Commitments Record For the project an environmental commitments record (ECR) will be prepared in a matrix table format. The ECR will be submitted to the City and Caltrans in hard copy and electronic form. The matrix table will include a description of each mitigation measure organized by topic numbered to correspond with the impacts. For each mitigation measure, the Reporting Process, Timing of Measure, Responsible Party, and Verification of Compliance will be identified Cav of Snnta A- 25G-171 through coordination with resource agencies and experience on other similar projects. The ECR will be included with the CE and it is assumed that this document will be reviewed as part of the City and Caltrans review of the CE. Deliverables: Notice of Exemption Five (5) copies each of Draft and Final Categorical Exclusion and MMRP Optional Scope for Environmental Assessment/Finding of No Significant Impact, if required If for some reason a NEPA CE were found to be not appropriate for the proposed project then an Environmental Assessment/Finding of No Significant Impact (EA/FONSI) would be prepared. Under this scenario the previously identified Section 4.0 (Environmental Document) scope would be replaced with this Section 4.0 scope of work. In addition, the following modifications would be made to the meeting and project management tasks for the project. Environmental Assessment/Finding of No Significant Impact Draft Environmental Assessment It is assumed that if a NEPA CE is not agreed upon by Caltrans then the appropriate document for the proposed project will be an Environmental Assessment (EA) followed by a Finding of No Significant Impact (FONSI). If a higher-level document is required then a separate scope and fee will be provided for preparing the increased level of documentation. Utilizing the information contained in the technical reports, along with additional information and analyses that are performed, as necessary, a Screencheck Draft EA will be prepared based on the current version of the NEPA-only document annotated outline that is available at the time that the document is initiated- The Screencheck Draft EA will be submitted to the City and Caltrans for review- Along with the Screencheck Draft EA, the external QA/QC form and environmental document checklist will be prepared and submitted- The QA/QC form and checklist are assumed to be included with each submittal. Following the incorporation of comments from the City and Caltrans the Draft EA will be prepared and submitted for City and Caltrans review. Following this review the revised Draft EA will be prepared and submitted for City and Caltrans review. Following this review any comments will be addressed and a revision workshop will be conducted, if needed. Following the workshop the second revised Draft EA will be submitted to the City and Caltrans for concurrence and for the Caltrans NEPA QC review. Following the incorporation of comments from the Caltrans NEPA QC review the final Draft EA will be submitted for Caltrans review and approval/concurrence. It is assumed that the project will qualify as a regular and not a complex EA. It is assumed that 30 hard copies and one original of the Final Draft EA will be printed for circulation, including the 15 copies to be submitted to the State Clearinghouse. It is assumed that technical studies will be provided on CD only for inclusion with the documents that are made available at the City, Caltrans, and the local library. ICE Jones Stokes will utilize a distribution list developed with the City and Caltrans for distribution. It is assumed that distribution to agencies will consist of a CD and not hard copies of the document. All other recipients would receive the Notice of Availability (NOA) only. The NOA will be mailed to property owners and residents living within 500 feet of the proposed project using a mailing list generated and provided by AECOM's right-of-way consultant or the City. Deliverables: Screencheck EA (two copies City; eight copies Caltrans). Draft EA (two copies City; eight copies Caltrans). Revised Draft EA (two copies City; eight copies Caltrans). Second Revised Draft EA (two copies City; eight copies Caltrans). Final Draft EA for approval/concurrence (two copies City; eight copies Caltrans). Final Draft EA 30 hard copies and one electronic (pdf) Draft EA for availability (including the 15 copies for submittal to the State Clearinghouse) (Volume 1); 15 CDs with technical studies; 100 CDs with Final Draft ED It is assumed that up to 100 notices will be distributed. Notice of Availability/Notice of Opportunity for Public Hearing While the final Draft EA is being reviewed by the City and Caltrans a Notice of EA Availability and Notice of Opportunity for Public Hearing announcing the publication of the EA will be prepared for publication. The notice will C'itV of Suntu Ann 25G-172 also identify the date, time, and location for the public information meeting that is to be held. This notice will be submitted to the City and Caltrans for review and comment. A public hearing would be held for the project if a request for a public hearing were received in response to the Notice of Opportunity. It is not anticipated that a public hearing will be requested or required. ICF Jones & Stokes will coordinate the publication of the Notice in an English and Spanish language newspaper; however, it is assumed that the City will be responsible for paying the publications directly for the publications- The cost of advertisements is not included in this scope and cost. Deliverables: Draft and Final NOA/NOPH (assumed to be transmitted electronically with no hard copies) Response to Comments At the close of the public availability period for the Draft EA, ICE Jones & Stokes will review and respond to all comments received. In addition, ICF Jones & Stokes will attend a meeting with City and Caltrans staff to review any written comments on the Draft EA that were received and to discuss potential responses to these comments, if the comments received warrant such a meeting. The responses to comments will be forwarded to the City and Caltrans for review and approval prior to making any changes to the EA, if the comments received are substantial enough to warrant this process. It is assumed that no comments requiring new analyses or substantial revisions to existing analyses, or from lawyers, will be received. Deliverables: 5 copies of responses to comments to the City and Caltrans for review and concurrence Final Environmental Assessment/Finding of No Significant Impact Upon approval of the responses to comments by the City and Caltrans, if warranted, ICF Jones & Stokes will revise the EA to respond to the comments, to document the circulation period and coordination, and if any changes to the project have occurred. Also, included will be a Draft Finding of No Significant Impact (FONSI). ICF Jones & Stokes will submit the Draft Final EA/FONSI to the City and Caltrans for review. Along with the Draft Final EA/FONSI, the external QA/QC form and environmental document checklist will be prepared and submitted. The QA/QC form and checklist are assumed to be included with each submittal. Following the incorporation of one set of comments from the City and Caltrans a revised Draft Final MND/FONSI will then be prepared and submitted to Caltrans along with a response to comments document for concurrence and for conducting the NEPA QC review. Following the Caltrans NEPA QC review the Final EA/FONSI will be prepared and submitted to the City and Caltrans for review. It is assumed that no additional comments will be received. Deliverables: Draft Final EA/FONSI (two copies City; eight copies Caltrans). Revised Draft Final EA/FONSI (two copies City; eight copies Caltrans). Final Draft Final EA/FONSI for approval/concurrence (two copies City; eight copies Caltrans). Final EA/FONSI (10 hard copies and 10 CDs with pdf version) Environmental Commitments Record For the project an environmental commitments record (ECR) will be prepared in a matrix table format and included as an appendix in the EA/FONSI. It is assumed that the ECR will be reviewed as part of the EA/FONSI. The matrix table will include a description of each mitigation measure organized by topic numbered to correspond with the impacts. For each mitigation measure, the Reporting Process, Timing of Measure, Responsible Party, and Verification of Compliance will be identified through coordination with resource agencies and experience on other similar projects. Deliverables: Included in Final EA/FONSI City q/ Sonta Ana 25G-173 Federal Register Notice ICF Jones & Stokes will prepare a notice for publication in the Federal Register by FHWA to start the NEPA statute of limitations. This notice will be prepared in compliance with the SER and it is assumed that a Draft and Final version of the notice will be prepared and that coordination and publication of the notice will be the responsibility of Caltrans and FHWA. Deliverables: Draft and Final Federal Register Notice (all transmittals assumed to be done electronically) Cilv gfS-la Ana 25G-174 H V m O ° H V M N w m U m ° rrm U m N O g a w ~ ~ ~ u4i ~ w o O w m O elm U V I I r rv- N - _ w w w w w w w w w w N w N w w__ - dw a ' r o n m N a N ~ N o ¢ y U L$ 3- v o o. P - m o c~ a ILI ~ J E a ag d8~ s8 Y °°o m m_ ~ Q Cq c ~ d LL ~ _ O ~ o y V 8 Q 8 ~ LL 8 Z O N F CO U O m y d w N Q- O V/ LL 8 N ° o o v z o_ Q m NN n m _ 3 gg F d~ v N8¢~, c n l ae ~ ~ d O W y to o - a N J n Co _ C9 o t CO)l Q U o v o N Q ~ N m 6 N O 6 » O~ da m _ ¢ ¢ ¢ ¢ W v 0 c~ o ~ V oo- IS v v c. v w w N V + m N H V L d O ua O~ C'i ~ o ~ - O s Z Oe ~ u 2 i,~ _ F Iz E ~ _ d 2 `J~',° `9c m N E E g-w ¢ E~ o d' a w ~ a~ N a ~r - ;ti L O a Y n a m ° 25 H 6 ~ 6 ~ . f f f H H~ F H a F 25G-175 25G-176 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED PURCHASE AND SETTLEMENT ? As Recommended AGREEMENTS FOR BRISTOL STREET El Amended ? Or dinance on 1ST Reading CORRIDOR (PROJECT NO. 081700) ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute the attached agreements, subject to nonsubstantive changes approved by the City Manager and City Attorney: • Jonathan & Delia Silva, for the purchase of the property located at 918 North Bristol Street in the amount of $792,000. • Oro Corporation dba Silva & Silva Enterprises for acquisition settlement for the business at 918 North Bristol in the amount of $228,000. • NCADD-OC (National Council on Alcoholism & Drug Dependence, Inc.) for acquisition settlement for the business located at 1631 North Bristol Street in the amount of $26,040. DISCUSSION On March 6, 2006, the City Council approved the cooperative agreement between the City and the Orange County Transportation Authority to fund Bristol Street improvements from Warner Avenue to Seventeenth Street. The first phase of the project, between Pine Street and McFadden Avenue, is under construction and is expected to be completed by January 2011. Public Works is acquiring property for the second phase of the project, between Third Street and Civic Center Drive, as well as the intersection of Bristol and Seventeenth Streets. To accommodate the widening for the second phase, acquisition of the entire property located at 918 North Bristol is required (Exhibit 1). In addition, settlement agreements have been reached with Silva Enterprises for the acquisition of the business at 918 North Bristol and with the tenant at 1631 North Bristol for relocation benefits. The compensation amounts are the appraised values prepared by an appraiser licensed by the State of California. 25H-1 Purchase and Settlement Agreements For Bristol Street Corridor January 4, 2011 Page 2 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project has been determined to be adequately evaluated in the previously prepared Environmental Impact Report/Environmental Impact Assessment No. 89-01 approved by City Council in 1990. FISCAL IMPACT Funds are appropriated in the Select Street Construction Fund (accounting unit 05917661-66100). APPROVED AS TO FUNDS AND ACCOUNTS: r ~2aul odinez II Francisco Gutierrez r~ Execu 've Director Executive Director / Public Works Agency Finance & Management Services Agency RG/SA Exhibit 1: Location map Exhibit 2: Agreements 25H-2 LEGEND SUBJECT PROPERTIES ACOUIRED PROPERTIES MATCHLINE SEE BOTTOM RIGHT CIVIC CENTER DR - I WASHINGTON ST 11 r /to ~T- LFL F r- 7TH ST 12TH ST I KTS I r r T -I - I I I I j I I I I I I I I I 6TH ST 11TH ST - L.JL-TL_ L Cn I ~ I I I I I I ~ m m 5TH ST - 10TH ST 1 F T- --F-F 9TH ST - - - L-j SANTA ANA BLVD i i { ! j L-1 - 3RD ST CIVIC CENTER DR MATCHLINE SEE TOP LEFT EXHIBIT 1 s~ SANTA ANA CITY COUNCIL TITLE: ACQUISITION SETTLEMENT I AGENDA DATE AGREEMENT FOR BRISTOL Y 3, 2011 STREET CORRIDOR j JANUAR ~=-----""""WaRKS AEY (PROJECT 08-1700-C) 25H-4 ALL INCLUSIVE SETTLEMENT AGREEMENT This Agreement ("Agreement") is made by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City") and Oro Corporation dba Silva and Silva Enterprises ("Tenant"). The City and Tenant are hereinafter sometimes referred collectively as the "Parties." RECITALS A. Tenant operates a business, commonly known as Silva & Silva Enterprises, located at 918 N. Bristol Street, Santa Ana, CA (the "Property"). B. The City has made an offer to purchase the Property for the Bristol Street Widening Project. The property owners, Jonathan and Delia Silva and City have negotiated a Purchase and Sale Agreement ("PSA") for the Property ("Property"), which will result in the termination of Owner's and Tenant's rights, title and/or interests in the Acquired Property. C. The Parties desire to resolve all issues relating to the City's acquisition of the Property in accordance with the terms and conditions set forth below. D. The Parties acknowledge that the payment as set forth in paragraph 1(a) and other consideration given in connection with this Agreement are the result of a compromise and settlement of disputed claims, and shall never, at any time or for any purpose, be considered an admission of liability or responsibility on the part of any of the parties herein released. NOW, THEREFORE, in consideration of the foregoing and of the mutual promises and covenants hereinafter set forth, it is hereby agreed by and among the Parties that: 1. Consideration (a) The City shall pay to Tenant the sum of $228,000.00 (Two Hundred Twenty Eight Thousand Dollars) (Tenant Settlement Payment) as total compensation for relocation assistance and any and all related expenses and claims as more fully described in paragraph 1(b) below. Upon full execution of this Agreement, the City will begin processing an initial payment, payable to Silva & Silva Enterprises, in the amount of $128,000.00. The City will make the final payment to Tenant in the amount of $100,000.00 after Tenant vacates the Property, signs a Certificate of Abandonment, provides all keys to the Property to the City or to the City's relocation consultant, and provides written verification that all hazardous materials have been legally and properly moved. (b) Tenant agrees, that the consideration received pursuant to paragraph 1(a) above constitutes full satisfaction of any and all obligations of the City to Tenant, including, without limitation, any obligations for relocation assistance, relocation benefits, moving expenses, interest of any kind in the real estate and leasehold, loss of business goodwill, compensation for personal property (loss of inventory), furniture, fixtures and equipment, interest, attorney's fees, appraisal fees, or damages of any nature. 1 of 7 25H-5 (c) Tenant agrees to vacate the Property on or before May 31, 2011 or sixty days after close of escrow for the Property, whichever occurs later ("Vacate Date"). (d) Tenant hereby agrees that City may remove and dispose of any personal property or trash that has not been moved upon the Vacate Date, as it elects and desires, without any notice to Tenant. (e) Payment will be made for Relocation Expenses in the amount of $70,000. (f) Payment will be made for Loss of Business Goodwill in the amount of $158,000. (g) Tenant agrees to pay monthly rent to City in the amount of $1,000 after close of escrow for the Property. 2. Release (a) Nothing contained herein shall constitute a release or discharge by either party for any of the undertakings of the other party to this Settlement Agreement. This Agreement shall serve as a full release and discharge by the Parties, on behalf of themselves, their agents, representatives, assigns, trustees, administrators, attorneys, heirs, relatives, spouses, ex-spouses, beneficiaries, and successors in interest, in consideration of the mutual covenants and promises contained herein, of the Tenant, the City of Santa Ana, the City of Santa Ana Public Works Agency, and those parties' accountants, other professionals, agents, representatives, assigns, employees, administrators, trustees, insurers, attorneys, heirs, beneficiaries, and successors in interest (collectively the "Released Parties"), from all rights, claims or cross-claims, demands, actions, or causes of action, including those for damages, compensation, relocation assistance, relocation benefits, loss of goodwill, property interest, compensation for personal property (loss of inventory), furniture, fixtures and equipment, punitive damages, interest, costs, attorney's and appraisal fees, injunctive or declaratory relief, or for relief by way of writ of mandate, or for demands, damages, refunds, debts, liabilities, reckonings, accounts, obligations, costs, expenses, liens, actions, causes, and causes of action of whatever kind, at law or in equity, that the Parties have now or may have against any of the Released Parties arising from the facts and circumstances described in this Agreement including but not limited to (1) the acquisition of the Property by the City, (2) Tenant's leasehold interest, if any, in the Property (or any portion thereof) or (3) any other right or interest Tenant may have, assert, or claim by reason of City's actions or failure to act, including, but not limited to, any claim to relocation assistance, relocation benefits or compensation for property or loss of goodwill from the City. (b) In making this release, the Parties intend to and do release, acquit and discharge the Released Parties, and each of them, from any liability of any nature whatsoever for any claim, injury, damages, or equitable or declaratory relief of any kind, whether the claim, or any facts on which such claim might be based, is known or unknown to the party possessing the claim. Each party expressly acknowledges and waives any and all rights under Section 1542 of the California Civil Code, which the Parties understand provides as follows: 2of7 25H-6 A general release does not extend to claims which the creditor does not know or suspect to exist in his/her favor at the time of executing the release, which if known by him/her must have materially affected his/her settlement with the debtor. Each party acknowledges the foregoing waiver of the provisions of California Civil Code Section 1542 was separately bargained for and expressly consents that this Agreement shall be given full force and effect in accordance with each and all of its express terms and provisions, including those terms and provisions relating to unknown or unsuspected claims, demands and causes of action, if any, to the same effect as those terms and provisions relating to any other claims, demands and causes of action herein above specified. (c) Each party acknowledges that it may hereafter discover facts or law different from or in addition to those which it now believes to be true with respect to the release of claims. Each party agrees that the foregoing release shall be and remain effective in all respects notwithstanding such different or additional facts or law or any party's discovery thereof. The Parties shall not be entitled to any relief in connection therewith, including, but not limited to, any damages or any right or claim to set aside or rescind this Agreement. (d) None of the Parties or their respective agents nor any related entities have made any statement or presentation to the other regarding any fact relied upon in entering into this Agreement and the Parties, and each of them, expressly do not rely upon any statement, representation or promise of any other party or nay party's agent or related entities in executing this Agreement, except as is expressly set forth herein. Each of the Parties has made such investigation of the facts and law pertaining to the subject matter of this Agreement as it deems necessary, and has consulted with legal counsel of its own choosing concerning these matters. (e) Tenant hereby represents and warrants as of the Effective Date of this Agreement that (1) to its actual knowledge, no other entity or person has any right, title, or interest whatsoever in the released claims, and (2) that there has been no assignment, transfer, conveyance or other disposition by Tenant of any of the released claims, and that Tenant will not make any such assignment, transfer, conveyance or other disposition subsequent to the Effective Date of this Agreement. Tenant acknowledges that the Authority has relied and is relying upon such representations and warranties in entering into this Agreement. (f) Tenant will Hold Harmless and defend City, its employees, agents, contractors or representatives from any claims that may arise from Tenant's nondisclosure of any other interests in the Property or personal property referenced by this agreement. (g) This Agreement represents a settlement of doubtful and disputed claims between the Parties and does not constitute any admission of liability by either party to the other party to this Agreement. City has delivered to Owner an offer to purchase the Property under threat of eminent domain pursuant to Government Code Section 7267.2. Tenant and City now wish to enter into this Agreement in lieu of eminent domain proceedings. 3of7 25H-7 3. Third Party Beneficiaries Except as explicitly set forth herein, nothing in this Agreement is intended to create any third party beneficiaries under this Agreement, and no person or entity other than Authority and Tenant shall be authorized to enforce the provisions of this Agreement. 4. Attorney's Fees In the event of litigation relating to or arising out of this Agreement, the prevailing party shall be entitled to be reimbursed by the non-prevailing party for all reasonable costs and expenses incurred thereby, including, but not limited to reasonable attorney's fees and costs for services rendered to such prevailing party. 5. Indemnity Each party shall indemnify, defend and hold the other party and the Released Parties harmless from and against any claims, damages, demands, liabilities, losses, judgments, expenses and attorney's fees and/or costs resulting from the breach by such indemnifying party of any provision of this Agreement, the falsity of any representation or warranty made by the indemnifying party contained in this Agreement. 6. Entire Agreement This Agreement together contains the entire Agreement of the Parties, and supersedes any prior written or oral agreements between them, concerning the subject matter of this Agreement. 7. Partial Invaliclitv In the event that any term, covenant, condition or provision of this Agreement shall be determined by a court of competent jurisdiction to be invalid or against public policy, the remaining provisions shall continue in full force and effect. 8. Waiver and/or Modification The provisions of this Agreement may not be waived, altered, amended or repealed, in whole or in part, except upon a written agreement signed by each of the Parties. The waiver by one party of the performance of any provisions of this Agreement shall not invalidate this Agreement, nor shall it be deemed a waiver of any other provision hereof. 8. Headings The headings, subheadings and numbering of the different paragraphs of this Agreement are inserted for convenience and for reference only and shall not be considered for any purpose in construing this Agreement. 4of7 25H-8 9. Governing Law The rights and obligations of the Parties under this Agreement shall be construed and enforced in accordance with, and governed by, the laws of the State of California. 10. Successors In Interest Subject to any restrictions against assignment contained herein, this Agreement shall inure to the benefit of, and shall be binding upon, the assigns, successors in interest, personal representatives, executors, estates, heirs, legatees, agents and related entities of each of the Parties. 11. Necessary Acts Each of the Parties agrees to perform such further acts, and execute and deliver such further documents, as may be reasonably necessary to carry out the provisions of this Agreement. 12. Advise of Counsel The Parties, and each of the, acknowledge that in connection with the negotiations and execution of this Agreement, they have each been represented by independent counsel of their own choosing and the Parties executed the Agreement after review by such independent counsel; or, if they were not so represented, said non-representation is and was the voluntary, intelligent and informed decision and election of the party not so represented; and, prior to executing the Agreement, each party has had an adequate opportunity to conduct an independent investigation of all the facts and circumstances with respect to the matters which are the subject of this Agreement including but not limited to the advisability of entering into this Agreement and the meaning of California Civil Code Section 1542. 13. Authority to Execute This Agreement Each person executing this Agreement on behalf of an entity represents that he or she is authorized to execute this Agreement on behalf of that entity and to bind that entity to the terms of this Agreement. 14. Construction Each party has cooperated in the drafting and preparation of this Agreement. In any construction to be made of this Agreement, or of any of its terms and provisions, the same shall not be construed against any party. 15. Counterparts This Agreement may be executed in counterparts, each of which shall be deemed an original and, when taken together with other signed counterparts, shall constitute one Agreement, which shall be binding upon and effective as to all Parties. 5of7 25H-9 16. Voluntary Agreement The Parties, and each of them, further represent and declare that they have carefully read this Agreement and know the contents thereof, and that they sign the same freely and voluntarily. 17. Notices All notices, requests, demands and other communications required or permitted to be given under this Agreement shall be in writing and shall either be delivered personally or be sent by telegram or by regular or certified first class mail, postage prepaid, deposited in the United States mail, and properly addressed to the party at its address set forth below, or at any other address that such party may designate by written notice to the other party: To City: Souri Amirani Deputy City Engineer City of Santa Ana Public Works Agency 20 Civic Center Plaza, M-36 Santa Ana, California 92701 To Tenant: Jonathan and Delia Silva Oro Corporation dba Silva & Silva Enterprises 918 N. Bristol Street Santa Ana, CA 92703 18. Jurisdiction and Venue Any action or proceeding concerning this Agreement shall be filed and prosecuted in the appropriate California court in the County of Orange, California. Each party hereto irrevocably consents to the personal jurisdiction of the court. The Parties each hereby expressly waive the benefit of any provision of law providing for a change of venue to any other court, including, without limitation, federal court, due to any diversity of citizenship between the Parties or due to the fact that either the Authority is a party to such action or proceeding. Without limiting the generality of the foregoing, the Parties specifically waive any rights provided to it pursuant to California Code of Civil Procedure Section 394 or other state or federal statutes or judicial decisions of similar effect. 6of7 25H-10 IN WITNESS WHEREOF, the parties to this Agreement have executed this Agreement as of the date first written above. TENANT: BY: Dated Jonathan Silva BY: Dated Delia Silva CITY OF SANTA ANA BY: Dated David N. Ream City Manager ATTEST: Dated Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Joseph W. Fletcher City Attorney BY: Dated Jose Sandoval Managing Senior Assistant City Attorney I I 7 of 7 25H-11 25H-12 ALL INCLUSIVE SETTLEMENT AGREEMENT This Agreement ("Agreement") is made by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City") and National Council on Alcoholism & Drug Dependence, Inc. - Orange County, also referred to as NCADD-OC ("Tenant"). The City and Tenant are hereinafter sometimes referred collectively as the "Parties." The Effective Date of this Agreement shall be 2010, the date on which the Agreement has been fully executed by the City and Tenant. RECITALS A. Tenant operates a business, commonly known as National Council on Alcoholism & Drug Dependence, Inc. - Orange County, located at 1631 N. Bristol Street, Suite 300, Santa Ana, CA 92706 (the "Property"). B. The City has made an offer and intends to purchase the Property for the Bristol Street Widening Project. As a result of the City's pending acquisition, the Tenant will be displaced from the Property. C. The Parties desire to resolve all issues relating to the City's acquisition of the Property in accordance with the terms and conditions set forth below. D. The Parties acknowledge that the payment as set forth in paragraph 1(a) and other consideration given in connection with this Agreement are the result of a compromise and settlement of disputed claims, and shall never, at any time or for any purpose, be considered an admission of liability or responsibility on the part of any of the parties herein released. NOW, THEREFORE, in consideration of the foregoing and of the mutual promises and covenants hereinafter set forth, it is hereby agreed by and among the Parties that: 1. Consideration (a) The City shall pay to Tenant the sum of $26,040.00 (Twenty-Six Thousand Forty Dollars) (Tenant Settlement Payment) as total compensation for relocation assistance and any and all related expenses and claims as more fully described in paragraph 1(b) below. Upon full execution of this Agreement, the City will begin processing an initial payment, payable to Tenant, in the amount of $20,000.00. The City will make the final payment to Tenant in the amount of $6,040.00 after Tenant vacates the Property, signs a Certificate of Abandonment, provides all keys to the Property to the City or to the City's relocation consultant, and provides written verification that all hazardous materials have been legally and properly moved. (b) Tenant agrees, that the consideration received pursuant to paragraph 1(a) above constitutes full satisfaction of any and all obligations of the City to Tenant, including, without limitation, any obligations for relocation assistance, relocation benefits, moving expenses, interest of any kind in the real estate and leasehold, loss of business goodwill, compensation for personal property (loss of inventory), furniture, fixtures and equipment, interest, attorney's fees, appraisal fees, or damages of any nature. 1 of 7 25H-13 (c) Tenant agrees to vacate the Property on or before March 31, 2011 ("Vacate Date"). (d) Tenant hereby agrees that City may remove and dispose of any personal property or trash that has not been moved upon the Vacate Date, as it elects and desires, without any notice to Tenant. (e) Payment will be made for Relocation Expenses in the amount of $20,000. (f) Payment will be made for leasehold, loss of business goodwill and immovable furniture, fixtures and equipment in the amount of $6,040. 2. Release (a) Nothing contained herein shall constitute a release or discharge by either party for any of the undertakings of the other party to this Settlement Agreement. This Agreement shall serve as a full release and discharge by the Parties, on behalf of themselves, their agents, representatives, assigns, trustees, administrators, attorneys, heirs, relatives, spouses, ex-spouses, beneficiaries, and successors in interest, in consideration of the mutual covenants and promises contained herein, of the Tenant, the City of Santa Ana, the City of Santa Ana Public Works Agency, and those parties' accountants, other professionals, agents, representatives, assigns, employees, administrators, trustees, insurers, attorneys, heirs, beneficiaries, and successors in interest (collectively the "Released Parties"), from all rights, claims or cross-claims, demands, actions, or causes of action, including those for damages, compensation, relocation assistance, relocation benefits, loss of goodwill, property interest, compensation for personal property (loss of inventory), furniture, fixtures and equipment, punitive damages, interest, costs, attorney's and appraisal fees, injunctive or declaratory relief, or for relief by way of writ of mandate, or for demands, damages, refunds, debts, liabilities, reckonings, accounts, obligations, costs, expenses, liens, actions, causes, and causes of action of whatever kind, at law or in equity, that the Parties have now or may have against any of the Released Parties arising from the facts and circumstances described in this Agreement including but not limited to (1) the acquisition of the Property by the City, (2) Tenant's leasehold interest, if any, in the Property (or any portion thereof) or (3) any other right or interest Tenant may have, assert, or claim by reason of City's actions or failure to act, including, but not limited to, any claim to relocation assistance, relocation benefits or compensation for property or loss of goodwill from the City. (b) In making this release, the Parties intend to and do release, acquit and discharge the Released Parties, and each of them, from any liability of any nature whatsoever for any claim, injury, damages, or equitable or declaratory relief of any kind, whether the claim, or any facts on which such claim might be based, is known or unknown to the party possessing the claim. Each party expressly acknowledges and waives any and all rights under Section 1542 of the California Civil Code, which the Parties understand provides as follows: A general release does not extend to claims which the creditor does not know or suspect to exist in his/her favor at the time of executing the release, which if 2of7 25H-14 known by him/her must have materially affected his/her settlement with the debtor. Each party acknowledges the foregoing waiver of the provisions of California Civil Code Section 1542 was separately bargained for and expressly consents that this Agreement shall be given full force and effect in accordance with each and all of its express terms and provisions, including those terms and provisions relating to unknown or unsuspected claims, demands and causes of action, if any, to the same effect as those terms and provisions relating to any other claims, demands and causes of action herein above specified. (c) Each party acknowledges that it may hereafter discover facts or law different from or in addition to those which it now believes to be true with respect to the release of claims. Each parry agrees that the foregoing release shall be and remain effective in all respects notwithstanding such different or additional facts or law or any party's discovery thereof. The Parties shall not be entitled to any relief in connection therewith, including, but not limited to, any damages or any right or claim to set aside or rescind this Agreement. (d) None of the Parties or their respective agents nor any related entities have made any statement or presentation to the other regarding any fact relied upon in entering into this Agreement and the Parties, and each of them, expressly do not rely upon any statement, representation or promise of any other party or any party's agent or related entities in executing this Agreement, except as is expressly set forth herein. Each of the Parties has made such investigation of the facts and law pertaining to the subject matter of this Agreement as it deems necessary, and has consulted with legal counsel of its own choosing concerning these matters. (e) Tenant hereby represents and warrants as of the Effective Date of this Agreement that (1) to its actual knowledge, no other entity or person has any right, title, or interest whatsoever in the released claims, and (2) that there has been no assignment, transfer, conveyance or other disposition by Tenant of any of the released claims, and that Tenant will not make any such assignment, transfer, conveyance or other disposition subsequent to the Effective Date of this Agreement. Tenant acknowledges that the Authority has relied and is relying upon such representations and warranties in entering into this Agreement. (f) Tenant will Hold Harmless and defend City, its employees, agents, contractors or representatives from any claims that may arise from Tenant's nondisclosure of any other interests in the Property or personal property referenced by this agreement. (g) This Agreement represents a settlement of doubtful and disputed claims between the Parties and does not constitute any admission of liability by either party to the other party to this Agreement. City has delivered to Owner an offer to purchase the Property under threat of eminent domain pursuant to Government Code Section 7267.2. Tenant and City now wish to enter into this Agreement in lieu of eminent domain proceedings. 3of7 25H-15 3. Third Party Beneficiaries Except as explicitly set forth herein, nothing in this Agreement is intended to create any third party beneficiaries under this Agreement, and no person or entity other than Authority and Tenant shall be authorized to enforce the provisions of this Agreement. 4. Attorney's Fees In the event of litigation relating to or arising out of this Agreement, the prevailing party shall be entitled to be reimbursed by the non-prevailing party for all reasonable costs and expenses incurred thereby, including, but not limited to reasonable attorney's fees and costs for services rendered to such prevailing party. 5. Indemnity Each party shall indemnify, defend and hold the other party and the Released Parties harmless from and against any claims, damages, demands, liabilities, losses, judgments, expenses and attorney's fees and/or costs resulting from the breach by such indemnifying party of any provision of this Agreement, the falsity of any representation or warranty made by the indemnifying party contained in this Agreement. 6. Entire A reement q This Agreement together contains the entire Agreement of the Parties, and supersedes any prior written or oral agreements between them, concerning the subject matter of this Agreement. 7. Partial Invaliditv In the event that any term, covenant, condition or provision of this Agreement shall be determined by a court of competent jurisdiction to be invalid or against public policy, the remaining provisions shall continue in full force and effect. 8. Waiver and/or Modification The provisions of this Agreement may not be waived, altered, amended or repealed, in whole or in part, except upon a written agreement signed by each of the Parties. The waiver by one party of the performance of any provisions of this Agreement shall not invalidate this Agreement, nor shall it be deemed a waiver of any other provision hereof. 8. Headings The headings, subheadings and numbering of the different paragraphs of this Agreement are inserted for convenience and for reference only and shall not be considered for any purpose in construing this Agreement. 4 of 7 25H-16 9. Governing Law The rights and obligations of the Parties under this Agreement shall be construed and enforced in accordance with, and governed by, the laws of the State of California. 10. Successors In Interest Subject to any restrictions against assignment contained herein, this Agreement shall inure to the benefit of, and shall be binding upon, the assigns, successors in interest, personal representatives, executors, estates, heirs, legatees, agents and related entities of each of the Parties. 11. Necessary Acts Each of the Parties agrees to perform such further acts, and execute and deliver such further documents, as may be reasonably necessary to carry out the provisions of this Agreement. 12. Advise of Counsel The Parties, and each of the, acknowledge that in connection with the negotiations and execution of this Agreement, they have each been represented by independent counsel of their own choosing and the Parties executed the Agreement after review by such independent counsel; or, if they were not so represented, said non-representation is and was the voluntary, intelligent and informed decision and election of the party not so represented; and, prior to executing the Agreement, each party has had an adequate opportunity to conduct an independent investigation of all the facts and circumstances with respect to the matters which are the subject of this Agreement including but not limited to the advisability of entering into this Agreement and the meaning of California Civil Code Section 1542. 13. Authority to Execute This Agreement Each person executing this Agreement on behalf of an entity represents that he or she is authorized to execute this Agreement on behalf of that entity and to bind that entity to the terms of this Agreement. 14. Construction Each party has cooperated in the drafting and preparation of this Agreement. In any construction to be made of this Agreement, or of any of its terms and provisions, the same shall not be construed against any party. 15. Counterparts This Agreement may be executed in counterparts, each of which shall be deemed an original and, when taken together with other signed counterparts, shall constitute one Agreement, which shall be binding upon and effective as to all Parties. 5of7 25H-17 16. Voluntary Agreement The Parties, and each of them, further represent and declare that they have carefully read this Agreement and know the contents thereof, and that they sign the same freely and voluntarily. 17. Notices All notices, requests, demands and other communications required or permitted to be given under this Agreement shall be in writing and shall either be delivered personally or be sent by telegram or by regular or certified first class mail, postage prepaid, deposited in the United States mail, and properly addressed to the party at its address set forth below, or at any other address that such party may designate by written notice to the other party: To City: Souri Amirani Deputy City Engineer City of Santa Ana Public Works Agency 20 Civic Center Plaza, M-36 Santa Ana, California 92701 To Tenant: NCADD-OC Attn: Mr. Phillip Falcetti 5 Mason #150 Irvine, CA 92618 18. Jurisdiction and Venue Any action or proceeding concerning this Agreement shall be filed and prosecuted in the appropriate California court in the County of Orange, California. Each party hereto irrevocably consents to the personal jurisdiction of the court. The Parties each hereby expressly waive the benefit of any provision of law providing for a change of venue to any other court, including, without limitation, federal court, due to any diversity of citizenship between the Parties or due to the fact that either the Authority is a party to such action or proceeding. Without limiting the generality of the foregoing, the Parties specifically waive any rights provided to it pursuant to California Code of Civil Procedure Section 394 or other state or federal statutes or judicial decisions of similar effect. 6 of 7 25H-18 IN WITNESS WHEREOF, the parties to this Agreement have executed this Agreement as of the date first written above. TENANT: BY: Dated BY: Dated CITY OF SANTA ANA BY: Dated David N. Ream City Manager ATTEST: Dated Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Joseph W. Fletcher City Attorney BY: Dated _ / / $lU Jo-~(f~ndovffl Ma ing Senior Assistant City Attorney 7of7 25H-19 25H-20 PURCHASE AND SALE AGREEMENT FOR ACQUISITIONOF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS (Commercial) THIS AGREEMENT, entered into this _ day of , 2010, by and between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter referred to as the "City" or "Buyer"), and Jonathan and Delia Silva (hereinafter called "Seller"), regardless of number or gender; WITNESSETH For and in consideration of their promises, covenants and agreements hereinafter set forth, and subject to the terms, conditions and provisions hereinafter set forth, Seller agrees to sell to City, and City agrees to purchase from Seller, all that certain real property (hereinafter referred to as "said real property") described as follows: All that certain real property located in the State of California, County of Orange, City of Santa Ana, described as follows: SEE EXHIBIT "A" ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 918 N. Bristol Street, Santa Ana, CA) APN: 004-122-38 Said purchase and sale of said real property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within thirty (30) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. (a) Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all voluntary encumbrances (whether monetary or non-monetary, general or specific, including any and all leasehold interests), and except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any voluntary encumbrance (whether monetary or non-monetary, general or specific, and including any and all leasehold interests), shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller, at City's expense, agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of SEVEN HUNDRED NINETY TWO THOUSAND AND NO/100 Dollars ($792,000.00) insuring the title of the City to said real property is free and clear of any and all encumbrances (whether monetary or non-monetary, general or specific, and including any and all leasehold interests), liens, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance shall constitute a waiver by City of its right to such insurance as is herein required of Seller. 1 25H-21 4. Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within 45 days of the City's execution of this Agreement. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, reconveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 11 and Exhibit "B" of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible if unpaid by reason of Section 4986 of the Revenue and Taxation Code of the State of California. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property, fixtures & equipment (improvements pertaining to the realty), and severance damages, the total sum of SEVEN HUNDRED NINETY TWO THOUSAND AND NO/100 Dollars ($792,000.00). City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 2 25H-22 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property subject to the rights of the existing tenants. 8. Intentionally Left Out. 9. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10. Heirs, Assigns, Successors in Interest. This Agreement, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective parties hereto. 11. Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 12. Permission to Enter on Premises. Seller hereby grants City, and its authorized agents, permission to enter upon said real property at all reasonable times prior to close of escrow for the purpose of making necessary inspections. 13. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property and includes payment for fixtures & equipment (improvements pertaining to the realty), and severance damages. City had delivered to Seller an offer to purchase said real property under threat of eminent domain pursuant to Government Code § 7267.2. Seller now wishes to avoid eminent domain proceedings and sell said real property to the City, and City wishes to buy said real property from Seller, pursuant to the terms and conditions of this Agreement in lieu of, and under threat of, condemnation. 14. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, Attn: Kent Jorgensen M-36, P.O. Box 1988, in the City of Santa Ana 92702, County of Orange, State of California. The mailing address of the Seller is: Jonathan and Delia Silva 918 N Bristol Street Santa Ana, CA 92703 15. Exceptions. None. 16. Entire Agreement. It is mutually agreed that the parties hereto have herein set forth the whole of their Agreement. Performance of this Agreement by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of said real property by City. 3 25H-23 17. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (1) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter-Presley-Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. S6901 et sec. (42 U.S.C. S6903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. S9601 et seg. (42 U.S.C. S9601). 18. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 19. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitutes said acceptance and approval. 20. Modification and Amendment. This Agreement may not be modified or amended except in writing signed by the Seller and City. 21. Partial Invalidity. Any provision of this Agreement that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this Agreement shall have no effect, but all the remaining provisions of this Agreement shall remain in full force. 22. Captions. Captions and headings in this Agreement, including the title of this Agreement, are for convenience only and are not to be considered in construing this Agreement. 4 25H-24 23. Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the State of California. 24. No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the divisibility of executing this Agreement and the meaning of the provisions hereof. The provisions of this Agreement shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. 25. No Third Party Beneficiary. This Agreement is intended to benefit only the parties hereto and no other person or entity has or shall acquire any rights hereunder. 26. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this Agreement, without cost. 27. Applicability of Agreement To Assignees. This Agreement shall be binding upon and shall inure to the benefit of the successors and assigns of the parties to this Agreement. 28. Authority to Execute Agreement. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this 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. 29. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 5 25H-25 The parties have executed this Agreement as of the date written below. SELLER: Jonathan and Delia Silva Jonathan Silva Dated Delia Silva Dated CITY/BUYER: CITY OF SANTA ANA BY: David N. Ream City Manager ATTEST: BY: Dated Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Joseph W. Fletcher City Attorney BY: Jose Sandoval Managing Senior Assistant City Attorney 6 25H-26 EXHIBIT "A" LEGAL DESCRIPTION Real property in the City of Santa Ana, County of Orange, State of California, described as follows: LOT 26 OF TRACT NO. 1262, AS SHOWN ON A MAP RECORDED IN BOOK 39 PAGE 6 OF MISCELLANEOUS MAPS, RECORDS OF ORANGE COUNTY, CALIFORNIA. APN: 004-122-38 7 25H-27 EXHIBIT "B" GENERAL ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business in the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30-day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no prorations of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 8 25H-28 REQUEST FOR a COUNCIL ACTION,. CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended AGREEMENT WITH ABLE BUILDING F-1 Amended ? Or dinance on 15t Reading MAINTENANCE COMPANY FOR ? Ordinance on 2nd Reading JANITORIAL MAINTENANCE ? Implementing Resolution ? Set Public Hearing For SERVICES CONTINUED TO FILE NUMBER CIT ANAGE RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute the attached amendment to the agreement with Able Building Maintenance Company for police and jail facility janitorial services in an annual not to exceed $356,237 subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION On January 7, 2008, Council approved the three-year agreement, with two additional one-year renewal options with Able Building Maintenance Company to provide police and jail facility janitorial services. The Santa Ana Police Department wishes to amend said Agreement to provide for an additional year of facility services. The recommended action will allow for continuous service to the Santa Ana Police Department. FISCAL IMPACT Funds are available in the Police Department's Building & Facilities Division fund (account no. 01114403-62300). APPROVED AS TO FUNDS AND ACCOUNTS: Paul M. Walters Francisco Gutierrez Chief of Police Executive Director Police Department Finance & Mgmt. Services Agency 251-1 SECOND AMENDMENT TO CUSTODIAL SERVICES AGREEMENT THIS SECOND AMENDMENT TO AGREEMENT is entered into this day of , by and between Able Building Maintenance Company, a California corporation ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS: A. The parties entered into Agreement A-2008-006 dated January 7, 2008, (hereinafter "said Agreement") by which Contractor has provided janitorial services for the Santa Ana Police Department and Detention Facilities. B. In accordance with the intent of the parties and the terms and conditions of said Agreement, the parties wish to extend the term for an additional one-year period and to increase compensation to pay for services. NOW, THEREFORE, in consideration of the mutual and respective promises, and subject to all the terms and conditions of said Agreement, except as herein modified, the parties agree as follows: 1. Section 2a, COMPENSATION, shall be amended to read: "a. City agrees to pay and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed an annual amount of $356,236.84 during the extended term of December 1, 2010 through December 1, 2011. Invoices shall be submitted by Contractor for payment on a monthly basis." 2. Section 3, TERM, shall be extended for an additional one-year period to December 1, 2011. Services provided by Contractor since December 1, 2010, shall be included within the Scope of Services of this Agreement. 3. Except as hereinabove modified, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement the day and year first above written. 251-2 CITY OF SANTA ANA ATTEST: MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: JOSEPH W. FLETCHER City Attorney By: Melissa M. Crosthwaite Deputy City Attorney ABLE BUILDING MAINTENANCE CO. (Name) (Title) 251-3 i ~I 251-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended AGREEMENT AWARD FOR GRAFFITI ? As Amended REMOVAL SERVICES ? Ordinance on 1" Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CIT MANAGER RECOMMENDED ACTION Authorize the City Manager and the Clerk of the Council to execute the agreement with Graffiti Protective Coatings, Inc., to provide graffiti removal services, for an amount not to exceed $600,000 with an option to extend the agreement for four additional one-year renewals, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency's Maintenance Division is responsible for citywide graffiti abatement. Graffiti abatement is performed 365 days a year. Graffiti is typically removed within 24 hours based on requests received from City staff and from residents through the City's graffiti hot-line telephone number. Contracting graffiti services have been pursued to provide enhanced service levels to the community. The contractor will be required to provide citywide color matching as part of the contract. Currently, staff does not provide color matching due to the cost to purchase specialized equipment for each employee. Color matching eliminates the patchwork of dissimilar colors at a specific location, which then removes the "graffiti scar" that often provokes additional graffiti to occur. Also, the contractor will be required to provide upper-level graffiti removal daily. By the contractor exclusively handling this service, the City's liability for potential damage to structures and employee injuries is eliminated. The contractor will be required to offer this service daily. Further, the City hires a second contractor at $120,000 a year to provide the Police Department with graffiti crime analyses. Graffiti Protective Coatings Inc. will include this service in the proposed contract at no additional charge. i 25J-1 Agreement Award for Graffiti Removal Services January 4, 2011 Page 2 A Request for Proposals was advertised on August 12 and 14, 2009, and proposals were solicited. A summary of the proposals requested and received is as follows: 11 Request for Proposals mailed 0 Request for Proposals mailed to Santa Ana vendors 2 Proposals received 0 Proposals received from Santa Ana vendors On August 26, 2009, two proposals were received and were evaluated by a City team comprised of representatives from the Public Works Agency, Police Department, and Community Development Agency using the following criteria: organizational credentials, experience, work plan, and pricing. The maximum obtainable score is 750. The ratings for the two respondents are as follows: FIRM LOCATION PRICE PER MONTH RATING Graffiti Protective Coatings, Inc. Los Angeles, CA $50,000 709 Urban Graffiti Enterprises Inc. Azusa, CA $37,500 507 Staff performed reference checks on both proposers and was informed by several cities that Urban Graffiti Enterprises Inc. did not perform and therefore their contract was not renewed. The proposal from Graffiti Protective Coatings, Inc., (GPC) received the highest overall rating, is responsive to the specifications, and meets the City's requirements. The GPC proposal included an extensive work plan and demonstrated the organizational credentials and staff experience necessary for removing graffiti. They have consistently demonstrated the ability to provide a high standard of service. Additionally, GPC provided staff with a written statement indicating the rate of pay for their employees exceeds the living wage standards for the Santa Ana and Orange County area. Thus staff recommends an agreement with GPC for an annual amount of $600,000 with no cost increases over the five-year term per Exhibit 1. There will be no layoffs of City employees as a result of this contract. City staff assigned to the graffiti removal program will be reassigned to the right-of-way maintenance program in the sanitation fund with no changes to their current salary rate. Current estimates are that up to 80 percent of the staff in the Maintenance Services Division is eligible to retire within the next five years. With a conservative assumption of one employee retiring per year, the Sanitation Fund will then realize a gradual cost savings. This reduction in personnel costs is an important long-term strategy to balance the sanitation fund given that any increase in this fund is subject to voter approval per Proposition 218. 25J-2 Agreement Award for Graffiti Removal Services January 4, 2011 Page 3 FISCAL IMPACT Funds are available in the Environmental Sanitation Fund (accounting unit 06817642-62300). APPROVED AS TO FUNDS AND ACCOUNTS: Raul Godi z II Francisco Gutierrez F3 Executive rector Executive Director Public Wor Agency Finance & Management Services Agency RG:DM Exhibit: 1. Letter from GPC 25J-3 December 6, 2010 Ms. Oanell Mercado City of Santa Ana 220 S. N4 Ave. Santa Ana, CA 92702 Ms. Mercado. In an effort to promote stability, guarantee residentsand businesses with quality graffiti removal and customer service, GPC is committing to no increases in its unit cost for the next five, years of contract service. By blitzing the City with an aggressive and thorough proactive "zero tolerance" effort, and including color matching and daily upper level graffiti removal city-wide to the contract, GPC is confident that within one year the amount of graffiti reoccurrences will decrease. As a result, GPC in coordination with City staff will re-evaluate required manpower after one year, and will remove one vehicle from service which would reduce our contractual obligation by $120,000. 1 would also like to inform you of GPC's effoots working directly with the community. GPC offers hands on workshops and sponsored clean-up events with neighborhood leaders and volunteers to educate them on graft removal along with leaving them training and supplies to continue helping in their community. Sincere)y, Carta LerNitiff, President Exhibit 1 25J-4 25J-5 GRAFFITI REMOVAL SERVICE AGREEMENT THIS AGREEMENT, made and entered into this 4`h day of January, 2011 by and between Graffiti Protective Coatings, Inc., a California corporation (hereinafter "Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City desires to retain a Contractor having special skill and knowledge in the field of graffiti removal. B. Contractor represents that Contractor is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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 Contractor shall provide graffiti removal services, with a staff of five (5) Graffiti Removal Persons, under the direction of City staff, as set forth in Exhibit A, attached hereto and incorporated to this Agreement by reference. Graffiti removal shall be performed every day of the week. It shall be Contractor's responsibility to schedule personnel to ensure graffiti removal is accomplished in a timely manner each day. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, $50,000 per month, as set forth in Exhibit B, attached hereto and incorporated by reference. The total sum to be expended under this Agreement shall not exceed $600,000, annually, during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on January 1, 2011 and terminate on December 31, 2011, unless terminated earlier in accordance with Section 12, below. The contract may be extended on the written agreement of the parties, for up to four (4) additional one-year terms. Any such extension shall be subject to the same terms and conditions contained in this Agreement. Increases may be negotiated and adjusted prior to the commencement of any extended term, to be effective during such extended term. In the event sufficient budgeted funds are not available for a new fiscal period, the City shall notify Contractor 1 25J-6 of such occurrence and contract shall terminate on the last day of the current fiscal period without penalty or expense to the City. 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles, c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 2 25J-7 e. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Contractor agrees to 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 health, and claims for property damage, which may arise from the direct or indirect operations of the Contractor or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 7. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 8. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 telefacsimile (714) 647-6956 With courtesy copies to: Public Works Agency - Maintenance Services City of Santa Ana 220 S. Daisy Avenue 3 25J-8 Santa Ana, California 92703 telefacsimile (714) 647-3345 Attn: Will Hayes and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647-6515 To Contractor: Graffiti Protective Coatings, Inc. Carla Lenhoff 419 N. Larchmont Blvd., #264 Los Angeles, California 90004 telefacsimile (323) 464-4472 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 9. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 10. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject of this Agreement performed by City personnel or by other Contractors retained by City. 11. TERMINATION This Agreement may be terminated by the City upon sixty (60) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all 4 25J-9 services performed by Contractor through the termination date, however, payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. Contractor shall have no other claim against City by reason of such termination. 12. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. 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. 14. COMPLIANCE WITH GOVERNMENTAL REQUIREMENTS Consultant shall carry out all services pursuant to this Agreement in substantial conformity with all applicable laws, ordinances, statutes, codes, rules, regulations, orders, and decrees of the United States, the State of California, the County of Orange, the City, and of any other political subdivision, agency, or instrumentality exercising jurisdiction over the City, including all applicable federal, state, and local occupation, safety and health laws, rules, regulations and standards, applicable state and labor standards, prevailing wage requirements, the City zoning and development standards, City permits and approvals, building, plumbing, mechanical and electrical codes, as they may apply, and all other provisions of the City and its Municipal Code (as they may apply), and all applicable disabled and handicapped access requirements, including, without the limitation, the Americans With Disability Act, 42 U.S.C. § 12101 et seq., Government Code § 4450 et seq., and the Unruh Civil Rights Act, Civil Code § 51 et seq. 15. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 5 25J-10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: CONTRACTOR RAUL GODINEZ II (NAME) Executive Director - (Title) Public Works Agency Tax ID# 6 25J-11 EXHIBIT A SCOPE OF SERVICES 1. CONTRACTOR'S RESPONSIBILITIES - A. Work Assignments 1. Contractor will provide graffiti removal services for all streets, sidewalks, private and public property, parks, bike trials, flood channels, civic center and right-of-ways, located within city limits. 2. The Contractor shall contact the Project Manager and/or his/her designee each weekday, at a mutually agreed upon time, to discuss the Contractor's schedule for the day, pending work orders, areas to be maintained and areas to be inspected for approval. Weekend work orders will be assigned on Friday. 3. The Contractor shall receive work orders from the Project Manager and/or his/her designee via electronic mail, facsimile, or written, as agreed upon by the Project Manager and/or his/her designee and the Contractor. 4. Upon receipt of a work order, the Contractor shall inspect the location and determine the method of removal according to the PWA Graffiti Removal Standards, attached hereto as Attachment 1, which will maintain the integrity of the surface. 5. The Contractor shall provide services within twenty-four (24) hours of receiving work orders. In the event that a site cannot be abated within twenty-four (24) hours due to inclement weather, size of the site or any other reason, the Contractor shall notify the Project Manager and/or his/her designee with the status of the site prior to the end of the twenty-four (24) hour timeline. 6. Work may be assigned as a targeted graffiti route with graffiti removal. As directed by the Project Manager and/or his/her designee, the Contractor shall be assigned to schedule visits to specified sites, neighborhoods or corridors. The Contractor may be required to work with a site, neighborhood or corridor liaison in addition to the Project Manager and/or his/her designee. 7. The Contractor shall meet with the Project Manager and/or his/her designee one time per week at a mutually agreed upon time to discuss program status and issues. 8. The Project Manager and/or his/her designee or the Police Department may designate sites as needing an emergency response. An emergency work order will be issued immediately. Emergency response sites will have first priority and may require abatement on the same day. 9. The Contractor shall deliver completed work orders to the Project Manager and/or his/her designee via electronic mail, facsimile, mail or in person on, or prior to, the first working day of the week following assignment of the work order. Accommodations for special projects may be made. 10. Work on private property shall not be performed without the Contractor a Consent form signed by the owner or authorized by the Project Manager and/or his/ her designee. The Contractor shall obtain the signature of the property owner on the consent form prior to beginning work. Original consent forms shall be returned to the Project Manager and/or his/her designee on a weekly basis and are property of the City. The City will maintain a database of Consent Forms. B. Description of Work 1. The method of removal shall not leave shadows or ghosts and shall not follow the pattern of the graffiti such that letters or shapes remain apparent on the surface after markings have been removed. 2. Unless otherwise approved by the Project Manager and/or his/her designee, graffiti shall be removed so that virtually no trace of the pre-existing graffiti remains. 3. The Contractor shall protect the surfaces adjacent to the area to be abated. 7 25J-12 4. The Contractor shall abate the entire surface in the event that the graffiti covers a significant area of the surface. The Project Manager and/or his/her designee shall determine whether or not an entire surface will be abated on a case by case basis. 5. In the event that the Contractor arrives on site to find the graffiti has been abated, the Contractor shall notify the Project Manager and/or his/her designee and submit photos of the location within 24 hours. 6. The Contractor shall ensure protection of the work area at all times including, but not limited to: a. Barricading the area of work at distances so as not to allow persons who are not involved with the abatement into the area. b. Barricading area work performed within the public right-of-way. c. Using warning signs and sidewalk and street cones to inform the public of work being conducted as stipulated in watch handbook. d. Immediately correcting damage to the work site. e. Leaving work in undamaged condition. f. Providing signs to protect the finishes and the public. 7. The Contractor shall remove all equipment and materials from each site and leave the site broom clean at the completion of each removal location. 8. The Contractor shall dispose of all materials containers and excess materials in accordance with all applicable laws, regulations, ordinances, codes and any other legislative or statuary requirements. Material rinse residue shall be collected and disposed of appropriately. C. Photographic Documentation of Work 1. Photographs shall document the size, type of surface, hotline or no hotline, private or public property, paint or water blast of the area of graffiti to be abated. Photographs shall also document the address of the location of the graffiti. Equipment to take photographs will be provided by the City. D. Personnel 1. Contractor shall designate one specific individual to oversee and inspect work performed by Contractor's personnel assigned to this contract. The representative shall be immediately available during work activities to receive communications from the Project Manager and/or his/her designee. Such representative shall have a cell phone to in order to be contacted by the Project Manager and/or his/her designated staff. 2. Contractor shall make the designated representative available to accompany the City representative to inspect sites and/or work upon twenty-four (24) hours notice. 3. The Contractor shall utilize only trained, competent employees in the performance of this contract. At the request of the City, the Contractor shall remove from assignment to this contract any incompetent, abusive or disorderly employee, whether supervisory or non-supervisory. 4. Contractor shall ensure that all employees have immediate access to the Material Safety Data Sheet's (MSDS) for each product used in the performance of this contract. 5. Any person assigned to this contract found to be in possession of and/ or under the influence of intoxicants or narcotics shall be removed from assignment to this contract. This person may be subject to arrest and criminal prosecution. 6. Personnel employed by the Contractor shall be screened and are not to perform services under the contract without prior approval from the Contract Representative. All employees performing services must undergo a criminal background investigation prior to service under this contract. 8 25J-13 E. Equipment 1. The Contractor's vehicles and equipment shall be neat in appearance and easily identified. Identification on the Contractor's vehicles shall consist of, at a minimum, company name, local telephone number and contract services provided by City of Santa Ana in print no less than eight (8) inches tall. 2. The Contractor shall maintain its vehicles and equipment in safe and mechanically sound condition. 3. The Contractor shall provide all personnel, vehicles, supplies and equipment necessary to perform services. F. Compliance with Applicable Laws and Regulations 1. Contractor shall perform all requirements under and in strict observance of and compliance with all applicable laws, regulations, ordinances, codes and any other legislative or statutory requirements. 2. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of this contract. G. Use of Products 1. The Contractor shall be in possession of a copy of the MSDS for each product used in the performance of work at all times. 2. Contractor shall ensure that all employees have immediate access to the Material Safety Data Sheet's (MSDS) for each product used in the performance of this contract. 3. All products used by the Contractor shall be manufactured products specifically intended for purpose for which they are being used. Contractor shall not devise any products of his/ her own making for use under this contract. The use of all products shall be in strict conformance with the manufacturer's specifications. 4. Contractor shall be in compliance with all provisions of the Federal Hazard Communication Act. H. Protection of the Public and Damages to existing Structures 1. The Contractor shall exercise caution at all times for the protection of persons and property. All fines, penalties and/ or repair changes resulting from the Contractor's actions and responsibility of the Contractor. 2. The Contractor shall not permit placing or use of equipment in such a manner as to block vehicle traffic lanes or create safety hazards. The Contractor shall be responsible for the use of all appropriate warning devices according to the watch handbook. 3. The Contractor shall avoid damage to existing structures. In the event that structure is damaged in the course of the work, the Contractor shall be solely responsible for its repair or replacement. 1. Invoices 1. All invoices for work performed under this contract shall be submitted electronically in an Excel 2003 format approved by the Project Manager and/or his/her designee. 2. The Invoice shall include the following: a. Contract number b. Contractor's invoice number c. Abatement site address d. Work order number e. Beginning and ending dates for services 9 25J-14 f. Square footage removed for each method of removal g. Total square footage removed h. Unit cost, subtotals and total for invoice II. SPECIFICATIONS- Painting 1. The Contractor shall professionally match existing paint using an approved paint palette. 2. The Contractor shall not paint previously unpainted surfaces and finishes such as slump stone, split face masonry, stone, brick or concrete block unless painting is specifically requested by the property owner or Project Manager and/or his/her designee. These specific requests shall be noted on the work order for the site. III. SPECIFICATIONS- Media Blasting and Chemical Removal 1. All chemical graffiti removal products shall be biodegradable and environmentally safe. 2. The Contractor shall perform all abrasive removal techniques so that the abatement area is blended into the adjacent surface. 3. Should one location require more than one removal technique and the total square footage of the abatement does not exceed one hundred fifty (150) feet, the City shall not be charged the minimum charge for both techniques. The Contractor may charge the average of the minimum charges for the techniques used. IV. WORKING HOURS Working hours shall be no earlier than 6:00 a.m. to no later than 5:00 p.m. weekdays. On Saturdays, Sundays and holidays, the Contractor shall respond to all graffiti telephone hotline requests received by 12 noon. Contractor shall respond to graffiti removal request received between 12 noon on Saturday and 12 noon on Sundays by 5:00 p.m. that same Sunday. If the Contractor cannot respond to a request made after 12 noon on a Sunday or holiday, Contractor will inform City on the following workday and abatement responsibility will be assigned by City. V. Work by the City Staff Because of Nonconformance to Contract Should the Contractor fail to correct deficiencies or public nuisances that have been created because of Contractor's operation, the City will proceed to take corrective measures and this project will be considered as an emergency. Such work will be done on a staff account basis with an additional callout charge of $75 for each callout. It should be noted that there is a minimum of a two-hour charge for labor on any callout. Contractor shall provide experienced and knowledgeable professional staff. Contractor's Project Manager and staff shall be responsive and maintain excellent working relationships with city residents, property owners, government officials and City staff. The Contractor shall be committed to provide adequate staffing levels at all times in order to adhere to established schedules. The Contractor will be required to carry a State of California Painting Contractor's License and a City of Santa Ana Business License and shall be knowledgeable and very familiar with federal, state and local regulations. Contractor services will include but not limited to attendance at City Commission, City Council and neighborhood meetings as determined by staff. Subcontractors shall be the responsibility of the prime Contractor and the City shall assume no liability of such subcontractor. The City reserves the right to reject, replace and approve any and all subcontractors. 10 25J-15 EXHIBIT B FEESCHEDULE Contractor will provide five (5) graffiti removal personnel - Paint and water blast combo, each working 40 hours per week. Contractor shall schedule personnel such that graffiti removal occurs seven (7) days per week, including weekends and holidays. Contractor employees working pursuant to this Agreement will perform approximately 2,500 to 3,000 removals per month and remove 50,000 to 60,000 sq. ft. of graffiti per month. City shall pay $10,000 per Contractor employee assigned to City graffiti abatement (40 hours per week) for a total not to exceed amount of $50,000 per month. City may increase the number of graffiti removal personnel at no additional increase in the unit bid price. Said fee shall include all Contractor costs including direct and indirect labor costs, overhead, materials, printing, travel and mileage. 11 25J-16 25J-17 25J-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended CONDITIONAL USE PERMIT NO. 2010-23 TO ? As Amended ALLOW A 60-FOOT HIGH WIRELESS El Ordinance on 151 Reading ? Ordinance on 2nd Reading FACILITY AT 620 WEST WARNER AVENUE - ? Implementing Resolution TRILLIUM CONSULTING, INC., APPLICANT ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file the staff report approving Conditional Use Permit No. 2010-23 as conditioned. PLANNING COMMISSION ACTION On December 13, 2010, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2010-23 as conditioned by a vote of 6:0 (Turner absent) to allow the construction of a 60-foot high wireless facility stealthed as a monopine located at 620 West Warner Avenue in the Light Industrial (M1) zoning district. The Planning Commission modified Condition No. 4 to require the installation of vines, with irrigation, on the wall and/or fence located along the west property line if feasible (Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. JaOAI Trevino Executive Director Planning & Building Agency VF:jm vf\reports\cup10-23 Wobile.cc Exhibit: A. Planning Commission Staff Report I 31A-1 REQUEST FOR Planning Commission Action ~a ~r ~j PLANNING COMMISSION MEETING DATE: PLANNING COMMISSION SECRETARY DECEMBER 13, 2010 APPROVED TITLE: ? As Recommended PUBLIC HEARING - FILED BY TRILLIUM ? As Amended CONSULTING, INC. FOR CONDITIONAL USE ? Set Public Hearing For PERMIT NO. 2010-23 TO ALLOW A 60-FOOT DENIED HIGH WIRELESS FACILITY AT 620 WEST ? Applicant's Request WARNER AVENUE ? Staff Recommendation CONTINUED TO Prepared by Vince Fregoso (N~ - L(/Vl.-~ A Executive Director Planning Manager RECOMMENDED ACTION Adopt a resolution approving Conditional Use Permit No. 2010-23 as conditioned. DISCUSSION Request of Applicant Trillium Consulting, Inc., representing T-Mobile, is requesting approval of a conditional use permit to allow the construction of a 60-foot high wireless facility stealthed as a monopine at 620 West Warner Avenue. Property Description The subject property is approximately 1.5 acres in size, square shaped and improved with a 33,200 square foot industrial building. The property is located on the southeast corner of Warner Avenue and Flower Street. The property is located within the Light Industrial (M-1) zoning district and has a General Plan land use designation of Industrial (IND). Surrounding land uses include a vacant lot, single-family residential and an elementary school to the north, industrial to the south and east, and single-family residential to the west (Exhibits 1 and 2). Project Description T-Mobile is proposing to construct a 60-foot high wireless facility stealthed as a monopine. This facility is intended to provide increased cellular coverage and call capacity in this area of the City. To give the monopine the appearance of a natural tree, the facility has been designed to have branches extend above the 53-foot height of the antennas for a maximum height of 60 feet. Equipment for the wireless facility will be installed within an existing side yard at the west of the existing building (Exhibits 3, 4 and 5). 2 31A-2 CUP No. 2010-23 December 13, 2010 Page 2 The proposed wireless facility will contain three arrays with four panel antennas on each side, for a total of 12 panel antennas. A GPS and parabolic antenna will also be located on the monopine, which will be camouflaged as a Canary Island Pine Tree. Additionally, a wrought iron fence with vines will be installed around the wireless facility and support equipment. Analysis of the Issues In July 1998, the City Council adopted an ordinance that regulates wireless communication facilities throughout the City. Major wireless facilities, which are ground mounted facilities such as the one proposed, or roof mounted and higher than 10 feet above the roof of a building, are required to have a stealth design and be located in an area that provides the greatest amount of visual screening. Further, these major facilities require the approval of a conditional use permit. Also, Section 41- 198.4 of the Santa Ana Municipal Code identifies several site improvements that may be required at sites with major wireless facilities. These improvements include: 1. Landscaping around the base of the facility, including vines, groundcover and a 24 inch box tree; 2. Decorative fencing (wrought iron or block) around the facility; 3. A six-foot high solid wall between the facility and property zoned or used for residential; 4. One parking space, if on-site parking is not available; 5. Repairing, repaving and restriping of a parking lot which is in poor condition; 6. The repainting of buildings on a site; and, 7. The construction of a new trash enclosure. Several improvements are proposed for the site that will bring the site into compliance with the wireless communications facility ordinance. First, decorative wrought iron fencing will be used to secure the wireless equipment. Second, vines will be planted adjacent to the wrought iron fencing to deter graffiti. Third, the north elevation will be painted due to graffiti to have a consistent appearance. Finally, the parking lot will be repaired, reslurried and restriped to current City standards. The remaining items were found to be in compliance with the requirements of the wireless facilities ordinance. A monopine will provide the best stealth design for this facility. The facility is located along a residential/industrial and will be installed on the west side of the building, adjacent to a County Flood Control Channel. Within the corridor, there is a mixture of pine, palm and broad leaf trees. The pine tree design will easily blend into the area and will be designed to allow for future co-location by another provider. Finally, all associated wiring and conduit for the facility will be underground or hidden within the interior of the monopine. 31A-3 CUP No. 2010-23 December 13, 2010 Page 3 The applicant has explored alternatives to this monopine, including providing a roof mounted facility on an existing building in the area, co-locating on another facility, or locating at a different site. The heights of the buildings (predominantly one story) in the immediate area do not provide the necessary height to provide adequate service. Further, the closest wireless facility in the area was too far from T-Mobile's coverage area and would require the approval of an additional facility to meet their service needs. Finally, other properties in the area were reviewed for this facility. However, these properties were either nonconforming related to parking, had size constraints and could not accommodate a wireless facility, or were not interested in the proposed facility. The proposed monopine will be located on the west side of the existing building, will be 170 feet from the closest single-family residential uses, and will be separated from the residential by the flood control channel and Flower Street. A facility designed as a monopine would provide the best stealth possible for this location. This location is also optimum to provide the coverage necessary for existing and expanding service. "fhe proposed cellular antennas will provide a benefit to Santa Ana residents, businesses and motorists who subscribe to T-Mobile by closing service gaps in the area. Equipment for the facility will be located in a new enclosure at the side of the building and will be screened by wrought iron and vines. The proposed wireless facility complies with the City's Wireless Communications Facility Ordinance and will provide needed service to this area of the City. The project is consistent with the goals and objectives of the General Plan. Based upon the above analysis and findings, staff recommends that the Planning Commission approve Conditional Use Permit No. 2010-23 as conditioned. CEQA Compliance This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in-fill developments for the construction and location of limited numbers of new, small facilities or structures. Categorical Exemption Environmental Review No. 2009-191 will be filed for this project. Vince Frego , AI Principal PlaN1W VF:jm vflreportMcupl0-23 TMobile.pc 31A-4 d--~.,,~..~ RI - I r RI R1 O RI R1 R1 R1 R1 R1 Rt R1 R2SM so sc RI ; R1 Ri ` RI R1 y ' w SN _ Rt R1 RI a R1 R1 R1 5 1 ~ R1 R1 - O C5 a C2 + _ - a> ss-,o - - - + Cl Cl p ~ I Q JE S Mt M1 C2 P I C RI R1 R1 Rl R1 et - Ml s Ml C R2-PRD Ml M1 _ I Rl C2 Mt M1 M1 C2 RaR, R, R R RI R1 RI RI RIR, JL 3 - j MH..wO.W. - - M1 C2 R, ' I lao ....M1 o s. 125- T lJ I I t - = -i ' C5 - 11 u i Rt s--- ~i CR s RI Rl ti 4 G==ii a i' r Rt R1 - n is n i~ i------ C1 I^~ li Al GENEFOLAGIi UMPALI Ct (XWMBUALFE9De4nAL RI 9NGEFAMILYFESCENTIAL -B AARCNG MMFIM1ON Gc GOMINMENTOBQTER R2 TNOFAMILYFESDENCE Gad OOMMSUALSOUTli MAIN M1 L1GiTINDUSTRAL M MULTIPLE DBJ3TYMUMPLE CI OOMMUNRTYCCMM8;M M2 k6 vylt DUSIRAI FAMILYFMDBNCE C1-MD COMM. COMMBTIAUMLaan DISpOT MO MIUTAR2/OF$bAT10NS Rs S-MF$ANAAARTMBJRS C2 GBNSIALCOMMElUAL O OPEN SME FE FESIODMALES7ATE M CENIFAL BU9NMS P PROF690NAL 97 SEOFICDBALOPMENT O3-A C7 MAL BWNES-~ARTWMLI.AGE PCD FTANNEDCOMMLIMTYMaOP EN`T 91 SECIMPlAN G4 PLANNED 9ICMNGBJTER PRO PLANNED FESD94TIALDRaOR RENT CS ARrERALOCMMB37AL CUP No. 2010-23 I T-MOBILE WIRELESS FACILITY sA 620 WEST WARNER AVENUE - - =500F$T . = 1000 FEEr P L A N N I N G A N D B U 1 L D I N G A G E N C Y MIST 1 31A-5 N w w W W H O1 2 K d F- G/ H W N N W _ ~ N ~ u Q T C F °1 c SCHOOL ~ w - W Site, cu N o Vacant ul F u' H!- WARNER AVENUE Project Light Industrial w V w w w ¢ v~ - C O ~ ¢ < OJ w Z Vl 0 LL INDUSTRIAL z INDUSTRIAL J Q c J Q J w ~ O 3 0 J CUP No. 2010-23 :D T-MOBILE WIRELESS FACILITY 620 WEST WARNER AVENUE` P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31A-6 Na T i •d~ r ~C ~ 1! ~ ~ i i ~ ~ O i~ H 19 1 I dCJ W - acvr W 3 1 ~ S .001S •.r Q 1~{>7C~ r rYib~ tl I E - ' 77 w pig if 1 a I )k c l L ( o I 1 L I III Ll-~ L.- I .7.'/ ~ V 215 Jl r!' i I ~ 1 I W ~ I ~ ~a~ ~S qg 4 r I 1 b g d d! ssl I i ,4j ~d! r - , r I Es t" .oa ~ i 1 1 TWW~1 fd I I -t--- 1 S , .o-.yc I ^L I ~ ~ I ,00'Ya .'n 1 LIY I i ll-,~ ,iZIF yyWy .Z-,fIIi Aly ('(r'J•d.xo),Lxv S70 ?OUlANOj Q0074,1.1NQ03 ffoAWO I r--------- , I Z i N EXHIBIT 3 31A-7 c~nD 3 .p-,ss gg N I I$ I ~ r r .o-.n F A .51 W ' I J I 4 ~ 2 .0-,09 N co 4 aa ~~7a4s4yy LLLIII 1y I~ v ~ ESC F ILI it s I Ail W W ~y J FW W N W .o--.oxs r 3 .9-n z EXHIBIT 4 31A-8 ¦ ~ } 3 h P H m a n.- 7 N i ~ Q M 1i K ro~ `Q m t t w ~E Q cw 0 f rW U c CL a 3 Sf i' / IL IL £ ~I C ! y fff ~ ~ .c j! N C n ~,w,rfj f N Z JQ N~ O ~ V 3 ft-* a N C b u y W AS t..7~_._ W g~ P~7a 8f .,,a i r ,v m 'a a. 01 `r ~ V G fn - W$ 2 5 S Q r ~r + m W s N i I a ~t_ r e a d L Q ~ . ui e. L s Cc Cl. a a~~ r ~T N i O W I `ter f 12 J 31A-10 ROH - 12/13/10 RESOLUTION NO. 2010-19 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2010-23 TO ALLOW A 60-FOOT HIGH WIRELESS FACILITY ON THE PROPERTY LOCATED AT 620 WEST WARNER AVENUE BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Conditional Use Permit No. 2010-23 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on December 13, 2010. B. Conditional Use Permit No. 2010-23 has been filed with the City of Santa Ana seeking to allow a 60-foot high wireless facility stealthed as a monopine on the property located at 620 West Warner Avenue. C. Pursuant to Santa Ana Municipal Code Section 41-198.10, a Conditional Use Permit is required for major wireless communication facilities established in the City of Santa Ana. D. Santa Ana Municipal Code Section 41-638 authorizes the Planning Commission to grant a conditional use permit upon making certain findings. 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed 60-foot tall cellular monopine will provide a service to Santa Ana residents, businesses and motorists who subscribe to T-Mobile services by reducing the gaps in digital cellular service and providing additional calling capacity for its users, especially for those users traveling within the southern and central sectors of Santa Ana. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? Resolution No. 2010-19 Page 1 of 7 31 A-11 Federal law exempts local jurisdictions from regulating health related issues as these issues are covered under Federal laws. However, the proposed facility will be in compliance with both the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA) safety regulations. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed monopine, in conjunction with the required site improvements, will be compatible with the surrounding area and will not adversely affect the economic viability in the area. The stealth appearance and site upgrades will be the major solution to maintaining and increasing the economic stability for this corridor. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The cellular facility has been designed to comply with the regulations and conditions identified in Chapter 41 of the Santa Ana Municipal Code for a major wireless facility. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed monopine facility will not adversely affect the General Plan as cellular facilities that are designed to be compatible with the surrounding environment are consistent with the goals and objectives of the Industrial (IND) General Plan designation. E. This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in-fill developments for the construction and location of limited numbers of new, small facilities or structures. Categorical Exemption Environmental Review No. 2009-191 will be filed for this project. Section 2. The Planning Commission after conducting the public hearing hereby approves Conditional Use Permit No. 2010-23 as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the evidence submitted at the above said hearing, which includes but is not limited to: the Request for Planning Commission Action dated December 13, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 13th day of December, 2010 by the following vote: Resolution No. 2010-19 Page 2 of 7 31 A-12 AYES: Commissioners: Acosta, Alderete, Betancourt, Gartner, Walters, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Turner (1) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Martha Ramirez, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2010-19 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on December 13. 2010. Date: Planning Commission Secretary City of Santa Ana Resolution No. 2010-19 Page 3of7 31 A-13 Conditions for Approval for Conditional Use Permit No. 2010-23 Conditional Use Permit No. 2010-23 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division 1. The applicant must comply with all conditions and requirements of the Development Review Committee for the development project (DP 2009-69). 2. Any amendment to this conditional use permit must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The proposed monopine shall be constructed as per approved plans and any existing landscaping shall be protected in place during the construction period for the 60-foot monopine facility. 4. Install vines, with irrigation, on the exterior wall and/or fence of the of the west property line, if feasible. (Amended by Planning Commission, December 13, 2010) 5. Repaint the north elevation of the building to be consistent with the paint scheme of the other building elevations in order to remove the graffiti from the building. 6. The parking lot shall be repaired, reslurried and restriped to comply with current City standards. 7. The proposed monopine shall be constructed per the following specifications: a. The monopine should have 3.1 branches per foot for full density coverage with limited spacing between the branches; 70 percent of the branches should be eight feet or longer. b. Branch disbursement should be random so that longer branches and shorter branches are intermingled to give a natural appearance. Resolution No. 2010-19 Page 4of7 31A-14 CUP NO. 2010-23 DECEMBER 13, 2010 PAGE 2OF4 c. Branches should exceed all antennas by a minimum of 12 inches. d. Branches should start at 15 feet above the ground. e. There should be a minimum space of seven feet between the top of the antenna and the top of the branches. f. Branches should have an upward sweep similar to that of actual Canary Island Pines. g. Branch foliage color should be an olive green with some brown "needles" to match an actual Canary Island Pine. A sample should be submitted for approval prior to fabrication. h. Full bark cladding with a custom color should be submitted for approval prior to fabrication. i. All antennas shall be covered with "pine antenna socks" that match the approved foliage color. j. All "stand-off mounts" and support pipe mounts shall be concealed behind antennas and painted a darker shade or green (or black) with a "flat" paint finish to reduce reflection and visibility of the mounting. k. Include the tree specifications (selected manufacturers and models) with photo simulations (also a site plan review requirement). 1. Show the location of the GPS antenna on all elevations. m. Provide a "unistrut" detail for the utility cabinet; an "H-frame" is not acceptable. n. Provide a note on the plans stating "install underground utilities sleeving for two carriers during construction of the structure". Shrouds on the outside of the pole are not acceptable. o. All exterior conduit and electrical meters shall be installed and screened in one metal enclosure painted to match the structure. Resolution No. 2010-19 Page 5of7 31 A-15 CUP NO. 2010-23 DECEMBER 13, 2010 PAGE 3 OF 4 8. The permit applicant recognizes that the frequencies used by the cellular facility located at 620 West Warner Avenue are extremely close to the frequencies used by the City of Santa Ana for Public Safety. This proximity will require extraordinary "comprehensive advanced planning and frequency coordination" engineering measures to prevent interference, especially in the choice of frequencies and radio ancillary hardware. This is encouraged in the "Best Practices Guide" published by the Association of Public-Safety Communications Officials-International, Incorporated (APCO), and as endorsed by the Federal Communications Commission (FCC). Prior to the issuance of any permits to install the facility, (permit applicant) shall meet in good faith to coordinate the use of frequencies and equipment with the Communications Division of the Orange County Sheriff-Coroner Department to minimize, to the greatest extent possible, any interference with the Public Safety 800 MHz Countywide Coordinated Communications System (CCCS). Similar consideration shall be given to any other existing or proposed wireless communications facility that may be located on the subject property. 9. At all times, the permit applicant shall not prevent the City of Santa Ana from having adequate spectrum capacity on the City's 800 MHz radio frequency. 10. Before activating its facility, the permit applicant will submit to a post- installation test to confirm that "advanced planning and frequency coordination" of the facility was successful in not interfering with the City of Santa Ana Public Safety radio equipment. This test will be conducted by the Communications Division of the Orange County Sheriff-Coroner Department or a Division-approved contractor at the expense of the applicant. This post-installation testing process shall be repeated for every proposed frequency addition and/or change to confirm the intent of the "frequency planning" process has been met. 11. The permit applicant shall provide a 24-hour phone number to which interference problems may be reported. This condition will also apply to all existing facilities in the City of Santa Ana. 12. The permit applicant will provide a "single point of contact" in its Engineering and Maintenance Departments to insure continuity on all interference issues. The name, telephone number, fax number and e-mail address of that person shall be provided to the City's designated representative upon activation of the facility. Resolution No. 2010-19 Page 6 of 7 31 A-16 CUP NO. 2010-23 DECEMBER 13, 2010 PAGE 4OF4 13. The permit applicant shall insure that lessee or other user(s) shall comply with the terms and conditions of this permit, and shall be responsible for the failure of any lessee or other users under the control of permit applicant to comply. 14. The permit applicant shall provide a coverage and cell site location map for each existing and proposed facility in Santa Ana. 15. Locate all equipment and related appurtenances (Appleton plug and electric meter) on the inside of the existing equipment enclosure or inside the building and underground all electrical power from the utility source shown on the approved site plan. 16. Conditional Use Permit No. 2010-23 expires 10 years from the date of City Council approval. Resolution No. 2010-19 Page 7of7 31 A-17 31 A-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended DENSITY BONUS APPLICATION NO. 2010-02 ? As Amended TO ALLOW A FIVE-UNIT RESIDENTIAL El Ordinance on 151 Reading ? Ordinance on 2"d Reading DEVELOPMENT AT 2034 AND 2038 NORTH ? Implementing Resolution BUSH STREET - ORANGE HOUSING ? Set Public Hearing For DEVELOPMENT CORPORATION AND C & C DEVELOPMENT, APPLICANT CONTINUED TO FILE NUMBER C TY MANAGER RECOMMENDED ACTION 1. Receive and file the staff report approving Density Bonus Application No. 2010-02. 2. Authorize the City Manager and Clerk of the Council to execute the attached Density Bonus agreement with Santa Ana WBBB, L.P., subject to nonsubstantive changes approved by the City Manager and City Attorney for the development of five affordable rental units. PLANNING COMMISSION ACTION On December 13, 2010, the Planning Commission adopted a resolution approving deviations from the Two-Family Residence (R2) development standards contained in Section 41-246 et seq. of the Santa Ana Municipal Code (SAMC) as allowed by SAMC Section 41-1606 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production by a vote of 4:2 (Acosta, Walters opposed; Turner absent) to allow a five-unit residential development at 2034 and 2038 North Bush located in the Two Family Residential (R2) zoning district. The Planning Commission made no changes to the recommended action outlined in the attached staff report (Exhibit A). DISCUSSION Density Bonus Agreement The State density bonus law was created to encourage the production of quality affordable housing by allowing cities to approve qualified projects that would have units, or densities, in excess of cities' statutory density caps established under General Plans and zoning. Under this article, developers wishing to construct projects that meet the requirement for a specified percentage of affordable housing units may request to enter into a Density Bonus Agreement with I 39A-1 DBA No. 2010-02 January 4, 2011 Page 2 the City. Under the proposed density bonus agreement, its approval will produce five units that will be rented to very low income households (50 percent of Area Median Income). The rent will not exceed 30 percent of 50 percent of the area median income, as adjusted for household size. The term of the affordability is 55 years. The provisions of the agreement shall constitute covenants, conditions, and restrictions which shall run with the land, and shall inure to the benefit of and be binding upon the Developer, its successors and assigns in interests as successive owners of the project. Construction of these units will assist the Agency in meeting their replacement and inclusionary housing obligations and will assist the City in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element, Consolidated Plan and Implementation Plan (Exhibit 8 of Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. 4WU-tive Trevino Director Planning & Building Agency LL:rb LL\reports\pc&za\dba10-02 bush st.cc Exhibit: A. Planning Commission Staff Report 39A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: PLANNING COMMISSION SECRETARY DECEMBER 13, 2010 APPROVED TITLE: ? As Recommended PUBLIC HEARING - FILED BY ORANGE HOUSING ? As Amended DEVELOPMENT CORPORATION AND C & C ? Set Public Hearing For DEVELOPMENT FOR DENSITY BONUS APPLICATION DENIED NO. 2010-02 TO ALLOW A FIVE-UNIT RESIDENTIAL ? Applicant's Request DEVELOPMENT AT 2034 AND 2038 NORTH BUSH ? Staff Recommendation STREET CONTINUED TO Prepared by Lucy Linnaus 04-1 Executive Director Planning Mana r RECOMMENDED ACTION Adopt a resolution approving deviations from the Two-Family Residence (R2) development standards contained in Section 41-246 et seq. of the Santa Ana Municipal Code (SAMC) as allowed by SAMC Section 41-1606 and the State of California Government Code Section 65915- 65918 as an incentive to affordable housing production. DISCUSSION Request of the Applicant Todd Cottle with Orange Housing Development Corporation and C & C Development, DBA Santa Ana WBBB, L.P. (Developer) is requesting approval of a five-unit residential project located at 2034 and 2038 North Bush Street. In order to allow this project, the applicant is requesting deviations from the Two-Family Residence (R2) development standards contained in Section 41-246 et seq. of the Santa Ana Municipal Code (SAMC) as allowed by SAMC Section 41-1606 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production. Property Description The project site is located mid-block on a cul-de sac street immediately east of the museum district. The site is composed of two flat, rectangular shaped and paved parcels that total 14,000 square feet in size. The two parcels will be consolidated via a voluntary lot merger. The zoning designation for the parcels is Two-Family Residence (R2), with a General Plan land use designation of District Center (DC). Surrounding land uses include multi-family dwellings to the north, a mix of single and multi- family dwellings across the street to the east, single-family dwellings to the south and commercial uses facing Main Street to the west (Exhibits 1 and 2). 4 39A-3 DBA 2010-02 December 13, 2010 Page 2 Project History In 1998 the City's Redevelopment Agency purchased the properties on Bush Street in furtherance of the Agency's requirement to provide new sources of affordable housing. Over the ensuing years the Agency issued a number of Requests for Proposals to develop the properties with single family dwellings, but due to various cycles in the residential development market, no project ever came to fruition. Late in 2009 the Agency issued a new Request for Proposals that encompassed three Agency-owned properties including the subject property, as well as property located at 217 and 219 South Birch Street and 435 and 437 South Birch Street. Projects also are proposed for these properties and they will be addressed in separate staff reports. The RFP resulted in the selection of the Developer for the construction of an affordable, multi-family housing project. On September 7, 2010 the Agency approved the Disposition and Development Agreement (DDA) with the Developer. The DDA requires that the 100% of the units be affordable to very low-income households (50% AMI). The beginning rents will be $989 per month for a two-bedroom unit and $1,125 for a three bedroom unit. These income and affordability requirements will be secured through a covenant that must remain in place for at least 55 years. In order to fund the construction, the Developer will apply for tax exempt bonds and tax credits. The DDA also specifies that, at this site, the Developer construct two 2-bedroom units and three 3-bedroom units for a total of five units. Given that the units will be restricted to very-low income families, the construction of these units will assist the City and Agency in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element, Consolidated Plan and the Implementation Plan. Project Description Santa Ana WBBB, L.P., is proposing to construct two 2-story buildings to create five apartments. The proposed project is in compliance with the number of units allowed by the general plan land use designation, but exceeds the maximum number of units allowed under the Two-Family Residence (R2) zoning. The buildings will be arranged around a central courtyard, which will provide the common open space for the project. The primary access to the two street level units will be directly from the street, while access to the three units located on the second level will be from the courtyard. The garages and guest parking will be accessed from an alley at the rear of the property. A direct pedestrian connection from the courtyard to the alley will be provided for the convenience of the tenants and guests. The two street level units will be 1,614 square feet in size each and will have three bedrooms, two full bathrooms and a two-car garage with two additional tandem parking spaces on the driveway. Two units will be located above these units. Unit 3 will be 1,684 square feet in size and also have three bedrooms and two full bathrooms. This unit will have access to a two-car garage and two 39A-4 DBA 2010-02 December 13, 2010 Page 3 tandem parking spaces on the driveway to serve as additional parking for that unit. Unit 4 will be 1,480 square feet in size and will have two bedrooms and two bathrooms. This unit will have direct access to a two-car tandem garage and one additional tandem parking space on the driveway. Unit 5 will be located above the garages and is located at the rear of the courtyard. It will be 1,108 square feet in size and have two bedrooms and two bathrooms. This unit will have access to a two-car tandem garage and one additional parking space on the driveway. Each unit will have private open space, which will exceed the minimum requirement, and private laundry facilities. Perimeter block walls are proposed for privacy (Exhibits 3, 4 and 5). The project has been designed in the Spanish Colonial Revival architectural style. In order to reduce the massing and to create architectural variety, each building will have slightly different detailing. The walls will be painted in an off-white tone and accented by cornices in contrasting color and decorative vents. The windows will be recessed, multi-pane with decorative cast concrete sills and wrought iron railing on the balconies. The primary entrance to four of the five units will be through covered porches, while the entrance to the carriage unit located above the garage will be via an open stair with wide sweeping curbed guardrails. The roof will be tile in a terra cotta color. To maintain architectural consistency, the residences will incorporate enhanced architectural elements, including complete architectural treatments on all sides of each building (Exhibits 6 and 7). Density Bonus Law Background The State density bonus law was created to encourage the production of quality affordable housing by allowing cities to approve qualified projects that would have units, or densities, in excess of cities' statutory density caps established under General Plans and zoning. The rationale here being that baseline density, in part, establishes a property's market value. By allowing more units to be constructed on the property than would otherwise be allowed under the existing zoning, it creates an economic advantage to the developer, which could then be used to subsidize any gap between market rents or sales prices and the price at which the unit would be affordable to those making less than the area median income. Under this law, California cities, including charter cities, were required to adopt implementing legislation, which Santa Ana did in 2001 with the adoption of SAMC Article XVI.I - Density Bonus for Affordable Housing. Under this article, developers wishing to construct projects that meet the requirement for a specified percentage of affordable housing units may request to enter into a Density Bonus Agreement with the City and, pending approval of such an agreement, may also request deviations from the City's existing density caps and development standards that would be necessary to facilitate the development of the project. Under the State Density Bonus Law cities must grant the request of the applicant, unless it adopts written findings, based upon substantial evidence, that the request is not necessary in order to provide affordable housing, or that there would be a specific adverse impact upon public health 39A-5 DBA 2010-02 December 13, 2010 Page 4 and safety, or the physical environment, or on specified historic properties, and for which there is no feasible way of mitigating or avoiding the impact without rendering the project unaffordable to low and moderate income households. The City further supported the provisions of the State Density Bonus Law through the adoption of policies contained within the 2006-2014 Housing Element. In particular, Housing Program No. 25 of the Housing Implementation Summary states that the City will implement the density bonus ordinance to assist in the development of extremely low, very low, and low income rental units, and moderate income condos, and senior housing. Density Bonus Implementation of the Proposed Proiect Pursuant to SAMC 14-1600 et seq., developers wishing to pursue deviations from the City's established densities and development standards must enter into a Density Bonus Agreement with the City. The code also states that, if the proposed Density Bonus Agreement includes requests for deviations from zoning and development standards, that those deviations must first be approved by the Planning Commission prior to consideration of the Agreement by the City Council. The project applicant is requesting deviations from the City's zoning and development standards, as further detailed in this staff report. The Density Bonus Agreement (Exhibit 8) details the requested deviations. This Agreement, along with the Planning Commission's recommendation regarding the requested deviations, will be considered by the City Council. The Developer is seeking a density bonus from the maximum density permitted by the R2 zone and deviations from the minimum lot size and the front yard setback. Density Bonus From Maximum Density Both the State Density Bonus Law and the SAMC state that the law only applies to projects of five or more units. The proposed project meets this standard. There is a difference between the State law and the SAMC regarding the total number of units which may be constructed in excess of adopted densities. In the case of the SAMC, the development shall be permitted a density bonus of the amount of units requested by the applicant, up to a total project dwelling unit count of 125 percent. Under State law, the minimum bonus for projects providing 20 percent of the units to lower income households is 35 percent. Because the City's existing Density Bonus Law has not been amended to comply with the most current State Density Bonus Law and because the SAMC states that it shall be in compliance with the State law "as it may be amended from time to time," the provisions of the State law will take precedence in this case. The State law and the SAMC state that "density bonus" means a density increase over the otherwise maximum allowable residential density under the applicable zoning ordinance and land use element of the general plan. The maximum density allowed by the City's zoning and General Plan land use designations for this property is inconsistent. The following table details number of dwellings allowed and the percentage increases as they pertain to this project. 39A-6 DBA 2010-02 December 13, 2010 Page 5 Comparison of Maximum Allowable Units General Plan* = ,DC R2 Zonin District Pro osed Pro'ect 28.9 units 3.67 units 5 units 'The subject property has a General Plan land use designation of District Center that allows a density up to 90 dwelling units per acre. The applicant proposes to develop a project at a density of 15.5 DU, which is below the maximum allowed by the General Plan. This constitutes a 36% increase in the number of units permitted by the R2 zoning and a 0% increase in units permitted by the General Plan land use designation. These increases are consistent with the density bonus law. The project is located in a block developed with a variety of densities. The property immediately adjacent to the north is developed at a density of 99 DU per acre, while the development to the south is at 7 DU per acre. Across Bush Street, the densities are also varied, from 7 to 77 DU per acre. The applicant is requesting an increase from 11.43 DU per acre to 15.43 DU per acre. As such, staff finds that the proposed density increase from the provision of the zoning will not cause an adverse impact to the neighborhood. Under State Law, in order to be eligible for this density increase, the applicant must provide a minimum of 10 percent of the units to lower income households. In this case, the applicant will be providing all units or 100 percent of the proposed development to very low income households, which is in excess of the minimum requirement. Deviation From Minimum Lot Size The applicant is also requesting two deviations from the development standards to facilitate the construction of the affordable units. The first deviation pertains to the minimum lot size. The R2 zoning district establishes a minimum lot area for lots containing two or more dwellings. It requires 6,000 square feet for the first unit, and 3,000 square feet for each additional unit. Since the lot is 14,000 square feet, a total of 3.67 units are allowed. A lot size of 18,000 square feet would be required to construct five units. The applicant is requesting a deviation from the minimum lot size of 18,000 square feet for five units, to 14,000 square feet - a reduction of 4,000 square feet. Deviation From Front Yard Setback The second deviation is to reduce the front yard setback. The R2 zone requires a front yard setback of 20 feet. The applicant is requesting a deviation from the minimum front yard of 20 feet to 17.5 feet. The applicant could develop this project with the required setback, but instead is proposing eight additional parking stalls off the alley. The front yard setback for the adjacent property to the north is 15 feet, while that to the south is approximately 24 feet. 39A-7 DBA 2010-02 December 13, 2010 Page 6 With the approval of the two deviations requested by the applicant, the project will comply with all applicable development standards established in the R2 zoning district and the Citywide Design Guidelines. Additionally the project will be consistent with the purpose of the General Plan Land Use and the Housing Element, as it will further the goals and policies of the plan and not obstruct their attainment. Specifically, it would further the following General Plan goals and policies: Land Use Goal3 Preserve and improve the character and integrity of Element existing neighborhoods. Policy 3.1 Support development which provides a positive contribution to neighborhood character and identity. Policy 3.5 Encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood. Policy 5.5 Encourage development which is compatible with, and supportive of surrounding land uses. Housing Goal 2 Provide a diversity of quality housing, affordability levels, Element and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels, and age groups to foster an inclusive community. Policy Rental Housing. Encourage the construction of rental HE-2.3 housing for Santa Ana's residents and workforce, including a commitment to very low, low, and moderate income residents and moderate income Santa Ana workers. Policy Agency-Owned Sites. Maximize affordable housing on HE-2.8 Agency-owned properties that is of high quality, sustainable, and available to various income levels. In summary, the density bonus deviations requested will allow for the construction of two additional affordable units than would have otherwise been allowed, increasing the total supply of affordable rental units available in the community. Staff recommends that the Planning Commission adopt a resolution approving the requested deviations from Chapter 41 of the Santa Ana Municipal Code, to allow Density Bonus Application No. 2010-02. 39A-8 DBA 2010-02 December 13, 2010 Page 7 CEQA Compliance In accordance with the California Environmental Quality Act, the proposed project is categorically exempt from CEQA review per Section 15303, Class 3 and Section 15332, Class 32. The Class 3 exemption allows new construction multi-family residential structures in urbanized areas designed for not more than six dwelling units. The Class 32 exemption allows for construction of in-fill development projects of less than five acres in urbanized areas. 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BUSH STREET SANTA ANA, CALIFORNIA yYrw r.uy..rr. r ~sse ~ 36A-16 . 12-2-10 RECORDING REQUESTED BY: CITY OF SANTA ANA AND WHEN RECORDED MAIL TO: City of Santa Ana - Housing Division 20 Civic Center Plaza, M-37 Santa Ana, CA 92702 DENSITY BONUS AGREEMENT WITH AFFORDABLE HOUSING REQUIREMENT (2034-2038 N. Bush Street, Santa Ana, CA) THIS DENSITY BONUS AGREEMENT WITH AFFORDABLE HOUSING REQUIREMENT, is made and entered into this day of , 2010, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California ("City"), and Santa Ana WBBB, L.P. ("Developer"). Recitals: 1. Section 41-1600 et seq. of the Santa Ana Municipal Code and section 65915 et seq. of the California Government Code set forth the process to provide increased residential densities to property owners who guarantee that a portion of their residential development will be available to low income, very low-income, or senior (also known as "qualified") households. These regulations are intended to materially assist the housing industry in providing adequate and affordable shelter for all economic segments of the community and to provide a balance of housing opportunities for very low income, low income, and senior households throughout the city. 2. Developer is proposing to the City to develop five (5) residential rental units (the Project) on the Property located at 2034-2038 N. Bush Street in the City of Santa Ana (the "Property") legally described as set forth in Exhibit A, attached hereto and incorporated herein. The Project is more particularly set forth in Density Bonus Application No. 2010-02, Environmental Review No. 2010-101, and Development Plan Review No. 2010-27. 3. The Project is currently being negotiated through a Disposition and Development Agreement with the Community Redevelopment Agency of the City of Santa Ana ("Agency") and close of escrow shall occur when the Developer obtains the entitlement, private activity bond financing, tax credits and a residual receipts loan from the City and the Agency necessary to develop five (5) multi-family rental units on the Property (the "Close of Escrow"). 4. The maximum number of dwelling units which may be developed on the Property under applicable provisions of the City's general plan is 28, and 3 under the provision of the zoning ordinance, without a density bonus. 1 EXHIBIT 8 39A-17 5. City desires to increase the number of affordable rental units and the degree to which they are affordable in the City of Santa Ana. 6. In order to promote this goal, and the express provisions of Sections 65915 - 65918 of the Government Code of the State of California ("Density Bonus Law"), the City has determined to grant Developer's application for a density bonus and related concessions and waivers to Developer. 7. As a condition of approval of the Project with the density bonus by City, Developer will provide and maintain a portion of the dwelling units in said Project offering Affordable Rents (as defined in Paragraph I of this Agreement) (the "Affordable Rental Unit(s)") for the Tenant Rental Period. 8. In addition to the density bonus granted to Developer, the Project has been granted concessions or deviations from City development standards including: (i) reduction of minimum lot size for five (5) units from 18,000 square feet to 14,000 square feet, and (ii) reduction of front yard setback from 20 feet to 17.5 feet. WHEREFORE, for and in consideration of the mutual promises, covenants and conditions and conditions herein contained, the parties hereto do hereby agree as follows: 1. DEFINITIONS The following words and phrases shall mean and be defined and used for the purposes of this Agreement as follows: A. "Affordable Rent" means the monthly rents which do not exceed the maximum amount applicable to Very Low Income households, as promulgated by the U.S. Department of Housing and Urban Development (HUD). B. "Affordable Rental Unit" means the units that will be rented at affordable rent to very low income qualified households. C. "Affordable Rent Schedule" means a rent schedule established as of the date of issuance of an occupancy permit (exclusive of tenant utility payments or security deposits) for the required number/percentage of the total number of units in the Project which are to be rented or available for rent to very low income tenants. Said Affordable Rent Schedule shall be established at the time of the issuance of the occupancy permit ("Initial Rent Schedule") and shall be created in accordance with the terms and conditions of the Disposition and Development Agreement entered into by and between the Developer and the Community Redevelopment Agency for the City of Santa Ana and the recorded Affordability Restrictions on Transfer of Property. 2 39A-18 D. "Agency" means the Community Redevelopment Agency of the City of Santa Ana, a public body, corporate and politic, exercising governmental functions and powers and organized and existing under Chapter 2 of the Community Redevelopment Law of the State of California, and any assignee of or successor to its rights, powers and responsibilities. E. "Agreement" means this Density Housing Bonus Agreement with Affordable Housing Restriction, entered into by and between the City and the Developer. F. "Area Median Income" means the median income figures for Orange County adopted by the State of California pursuant to Health and Safety Code section 50093, as amended from time to time. G. "City" means the City of Santa Ana, a charter city and municipal corporation. H. "Completion of the Project" shall mean the date on which the certificate of occupancy is issued by City for occupancy in the Project. 1. "Density bonus" means the number of dwelling units approved by City for development on the Property which exceeds the number specified in Recital 2 of this Agreement. J. "Developer" means Santa Ana WBBB, LP, a limited partnership consisting of Orange Housing Development Corporation (OHDC) and C & C Development. K. "Development" means construction or rehabilitation or a combination thereof. L. "Household Size Appropriate for Unit" for the purpose of determining Affordable Housing Cost only, means three persons for a two bedroom Affordable Unit and four persons for a three bedroom Affordable Unit. Household Size Appropriate for nit is not intended to constitute a limitation on the number of persons who may live in the Unit. M. "Income Certification" means an income certification for very low income tenants in a form set forth in "Exhibit B," attached hereto and incorporated herein by this reference as if set forth in full. N. "Project" means the construction of five (5) rental units, of which, all five will be Affordable Units. 0. "Tenant Rental Period" means with respect to the Project, the period commencing on the date of issuance of the occupancy permit and ending at the expiration of thirty (30) years thereafter, pursuant to Density Bonus Law. P. "Very Low Income Household/Tenants" means persons and families whose income does not exceed fifty (50%) of the median income for the area, as computed by the 3 39A-19 method described in the income certificate and for whom an income certification has been obtained or prepared in accordance with the provisions of this Agreement, as adjusted by HUD from time to time. II. CONDITIONS TO AGREEMENT A. This Agreement is conditional upon City approval of development plans for the Project which provide for not less than five (5) total dwelling units in the Project consisting of two 2-bedroom and three 3-bedroom units, and upon completion of the Project in accordance with such approved plans by Developer. Nothing in this Agreement obligates City to grant such approval or Developer to develop the Project. B. The density bonus provided by this Agreement is conditional upon Developer and any successor-in-interest of Developer in the Property being subject to the covenants set forth in this Agreement as running with the Property. If Developer conveys the Property prior to recordation of this Agreement in the official Records of Orange County, no building permit or certificate of occupancy for the Project which would allow for development or occupancy of more dwelling units than specified in Recital No. 2 of the Agreement shall be issued, unless the successor-in-interest of Developer of the Property executes a document suitable for recordation in the Official Records of Orange County binding such successor-in-interest to the terms and conditions of this Agreement. C. Except as set forth expressly herein, Developer shall carry out the design and construction of the Project in conformity with all applicable laws, including all applicable state labor standards, the City zoning and development standards, building, plumbing, mechanical and electrical codes, and all other provisions of the City of Santa Ana Municipal Code, all applicable disabled and handicapped access requirements, including the Americans With Disabilities Act (42 U.S.C. Section 12101, et seq.) and Government Code Section 4450, et seq. III. AFFORDABLE RENTAL UNIT COVENANT A. Developer covenants that no less than five (5) dwelling unit(s) in the Project, or at least 100% of the units in the Project shall at all times during the Tenant Rental Period be rented to, or held vacant and available for immediate occupancy by very low income households, as defined in California Health & Safety Code section 50105, at a rent that does not exceed 30 percent of 50 percent of the area median income, as adjusted for household size. B. Developer agrees to make a good faith effort to verify that the income and asset statement provided by an applicant in an income certification is accurate by taking at least one of the following steps as a part of the verification process: (1) obtain a pay stub for the most recent pay period, (2) obtain an income tax return for the most recent tax year, (3) conduct a TRW or similar credit check, (4) obtain an income verification form from the applicant's current employer, (5) obtain an income verification form from the Social Security Administration and/or 4 39A-20 the California Department of Social Services if the applicant receives assistance from either of such agencies, or (6) if the applicant is unemployed and has no such tax return, obtain another form of independent verification. C. Upon written request by Developer, City agrees to determine promptly the Initial Rental Schedule based upon the terms of this Agreement and advise Developer of the Initial Rental Schedule within five (5) days of the issuance of the occupancy permit. D. Developer agrees to accept as tenants on the same basis as all other prospective tenants, very low income tenants who are recipients of federal certificates for rent subsidies pursuant to the existing program under Section 8 of the United States Housing Act of 1937 or its successor, and shall not apply selective criteria to Section 8 certificate holders that are more burdensome than the criteria applied to all other prospective tenants. IV. MISCELLANEOUS A. Covenants Run with the Land. The provisions of this Agreement shall constitute covenants, conditions, and restrictions which shall run with the land, and shall inure to the benefit of and be binding upon the Developer, its successors and assigns in interest as successive owners of the Project, as provided herein. Any sale, transfer, or lease of the Project shall be deemed to be made and accepted upon and subject to the covenants, conditions and restrictions and provisions hereof whether or not referred to in the instrument of sale, transfer or lease. B. Independent Contractor. Developer is, and shall be deemed to be, an independent contractor and not an employee of City and shall not become an agent of City. The City is not a partner, joint venturer, alter-ego, manager, or business associate in this Project. The City is not deemed responsible or liable for any acts, omissions or decisions of Developer, nor is City responsible for any loss or injury of any kind to any person or property arising from any construction or development of the Project. C. Non-Discrimination. 1. Leasing. Developer hereby covenants by and for itself, its successors and assigns, that there shall be no discrimination against or segregation of, any person or group of persons on account of any basis listed in subdivision (a) or (d) of Section 12955 of the Government Code, as those bases are defined in Sections 12926, 12926. 1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code, in the sale, lease, sublease, transfer, use, occupancy, tenure, or enjoyment of the premises herein conveyed, nor shall the grantee or any person claiming under or through him or her, establish or permit any practice or practices of discrimination or segregation with reference to the selection, location, number, use or occupancy of tenants, lessees, subtenants, sublessees, or vendees in the premises herein conveyed. The foregoing covenants shall run with the land. 5 39A-21 2. Employment. In performing its obligations under this Agreement, Developer shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other related activities. Developer affirms that it is an equal opportunity employer and shall comply with all applicable state and local laws and regulations. D. Notice. Any notices, requests or approvals given under this Agreement from one party to another may be personally delivered or deposited with the United States Postal Service for mailing, postage prepaid, registered or certified mail, return receipt requested, to the address of the other party as stated in this paragraph, and shall be deemed given at the time of personal delivery or at the time of deposit for mailing. Either party may change its address for notice by giving written notice thereof to the other party. CITY: City of Santa Ana Community Development Agency 20 Civic Center Plaza - M-37 Santa Ana, CA 92702 DEVELOPER: Santa Ana WBBB L .P. c/o Orange Housing Development Corporation 414 E. Chapman Avenue Orange, CA 92866 Attention: Chief Executive Officer COPY TO: C&C Development 14211 Yorba Street, Ste. 200 Tustin, CA 92781 E. Attorney Fees. In the event legal action is brought to enforce any provisions hereof, the prevailing party shall be entitled to reasonable attorney's fees, together with other legally allowed costs. F. Recordation of Agreement. Upon issuance of building permits for the Project, this Agreement shall be recorded in the official records of Orange County, California. City and Developer agree to execute and deliver for recordation such additional documents or instruments as the other may reasonably request to further confirm or acknowledge the provisions hereof, including the expiration of very low income tenant rental period. G. Amendments. This Agreement may be amended, modified, or changed by the parties hereto, City and Developer, provided that said amendment, modification, or change is in writing and approved by both parties. H. Default. Developer shall be in default hereunder if it shall fail to observe or perform any covenants, conditions, restriction, or provision contained herein on its part to be 6 39A-22 observed or performed which continues after notice to Developer and failure to cure as provided herein. If any such default shall have occurred, then and in such event, City shall be entitled in addition to all other remedies provided by law or in equity: 1. To compel specific performance by Developer of its obligations under this Agreement, it being recognized that the beneficiaries of Developer's obligations hereunder cannot be adequately compensated for by monetary damages in the event of Developer's default. 2. In the event the actual rent collected by Developer for any unit required under this Agreement to be rented to lower income households and very low income tenants is in excess of the maximum affordable rent allowed for such unit in violation of the requirements of Paragraph III of this Agreement, the amount by which any actual rent collected for such unit exceeds the maximum affordable rent for such unit shall be deemed damages payable to City by Developer. Such damages shall be in addition to any other remedy at law or in equity to City. 1. Legal Advice. Each party represents and warrants to the other the following: they have carefully read this Agreement, and in signing this Agreement, they do so with full knowledge of any right which they may have; they have received independent legal advice from their respective legal counsel as to the matters set forth in this Agreement, or have knowingly chosen not to consult legal counsel as to the matters set forth in this Agreement; reement• and they have freely signed this Agreement without any reliance upon any agreement, promise, statement or representation by or on behalf of the other party, or their respective agents, employees, or attorneys, except as specifically set forth in this Agreement, and without duress or coercion, whether economic or otherwise. J. No Conflict of Interest. No member, official or employee of the City shall have any personal interest, direct or indirect, in this Agreement, nor shall any such member, official or employee participate in any decision relating to the Agreement which affects his or her personal interests or the interests of any corporation, partnership or association in which he or she is, directly or indirectly, interested. K. Nonliability of City Officials and Employees. No member, official or employee of the City of Santa Ana shall be personally liable to the Developer, or any successor-in-interest, in the event of any default or breach by the City on any obligation under the terms of this Agreement. L. Effective Date of Agreement. This Agreement shall be dated and effective as of the date of the action by the City on which it approves this Agreement. M. Entirety of Agreement. This Agreement integrates all of the terms and conditions mentioned herein or incidental hereto, and supersedes all negotiations or previous agreements between the parties with respect to the matters contained herein. 7 39A-23 N. Successors and Assigns. This Agreement shall be binding upon and shall inure to the benefit of Developer and Santa Ana and their respective successors and assigns. 0. Governing Law. This Agreement has been entered into, is to be performed entirely within, and shall be governed by and construed in accordance with the laws of the State of California, with venue in Orange County. 8 39A-24 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA: MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: DEVELOPER: JOSEPH W. FLETCHER SANTA ANA WBBB LP, a California Limited City Attorney Partnership By: ORANGE HOUSING DEVELOPMENT CORPORATION a California nonprofit corporation, its managing general partner By: Lisa E. Storck Assistant City Attorney By: Eunice Bobert Chief Executive Officer By: C&C Development, LLC, a California limited liability company, its developer general partner By: Todd R. Cottle, its member By: The Cottle Family Trust Dated 3/8/1987, its member By: Barry A. Cottle, Trustee 9 39A-25 EXHIBIT A LEGAL DESCRIPTION 39A-26 ROH - 12/13/10 RESOLUTION NO. 2010-21 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING DENSITY BONUS APPLICATION NO. 2010-02 TO ALLOW A FIVE-UNIT RESIDENTIAL DEVELOPMENT AT 2034 AND 2038 NORTH BUSH STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Density Bonus Application 2010-02 approving deviations from the Two-Family Residence (R2) development standards pursuant to Government Code Sections 65915, et seq. B. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on December 13, 2010. Section 2. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as to Density Bonus Application 2010-02 as follows: A. The proposed development will materially assist in accomplishing the goal of providing affordable housing opportunities in economically balanced communities throughout the city. The proposed five-unit residential development will materially assist in accomplishing the goal of providing affordable housing opportunities in an economically balanced community. The applicant will construct, rent and maintain five units, representing 100 percent of the proposed development, to Very Low Income Households, thus increasing the total supply of affordable units available for that level of affordability. B. The development will not be inconsistent with the purpose of the underlying zone or applicable designation in the general plan land use element. As proposed, the project will be consistent with the purpose of the R2 zoning district. With the approval of the two deviations requested by the applicant, the project will comply with all applicable development standards established in the R2 zoning district and the guidelines within Citywide design standards. Additionally, the project will be consistent with purpose of the Resolution No. 2010-21 Page 1 of 3 39A-27 General Plan Land Use Element and Housing Element, as it will further the goals and policies of the plan and not obstruct their attainment. Specifically, it will further the Land Use Element Goal 3, preserve and improve the character and integrity of existing neighborhood; Policy 3.1, support development which provides a positive contribution to neighborhood character and identity; Policy 3.5, encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood and Policy 5.5, encourage development which is compatible with, and supportive of surrounding land uses. Additionally, it will further the Housing Element, Goal 2, provide a diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels, and age groups to foster an inclusive community; Policy HE- 2.3, Rental Housing. Encourage the construction of rental housing for Santa Ana's residents and workforce, including a commitment to very low, low, and moderate income residents and moderate income Santa Ana workers; and Policy HE-2.8, Agency-Owned Sites. Maximize affordable housing on Agency-owned properties that is of high quality, sustainable, and available to various income levels. C. The deviation is necessary to make it economically feasible for the applicant to utilize a density bonus authorized for the development pursuant to section 41-1604 The deviations of the development standards requested, reduction of minimum lot size for five (5) units from 18,000 square feet to 14,000 square feet and reduction of front yard setback from 20 feet to 17.5 feet, are necessary to make the project economically feasible. Section 3. In accordance with the California Environmental Quality Act, the proposed project is categorically exempt from CEQA review per Section 15303, class 3 and Section 15332, Class 32. The Class 3 exemption allows new construction multi-family residential structures in urbanized areas designed for not more than six dwelling units. The Class 32 exemption allows for construction of in-fill development projects of less than five acres in urbanized areas. A Notice of Exemption for Environmental Review No. 2010- 101 will be filed for this project. Section 4. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Density Bonus Application No. 2010-02. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated December 13, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2010-21 Page 2 of 3 39A-28 ADOPTED this 13th day of December, 2010 by the following vote: AYES: Commissioners: Alderete, Betancourt, Gartner, Yrarrazaval (4) NOES: Commissioners: Acosta, Walters (2) ABSENT: Commissioners: Turner (1) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2010-21 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on December 13, 2010. Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2010-21 Page 3 of 3 39A-29 i 39A-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended DENSITY BONUS APPLICATION NO. 2010-03 ? As Amended AND SITE PLAN REVIEW NO. 2010-02 TO E] Ordinance on 151 Reading ALLOW A FIVE-UNIT RESIDENTIAL ? Ordinance on 2nd Reading ? Implementing Resolution DEVELOPMENT AT 217 AND 219 SOUTH ? Set Public Hearing For BIRCH STREET - ORANGE HOUSING DEVELOPMENT CORPORATION AND C & C DEVELOPMENT, APPLICANT CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Receive and file the staff report approving Density Bonus Application No. 2010-03 and Site Plan Review No. 2010-02 as conditioned. 2. Authorize the City Manager and Clerk of the Council to execute the attached Density Bonus agreement with Santa Ana WBBB, L.P., subject to nonsubstantive changes approved by the City Manager and City Attorney for the development of an affordable for sale unit. PLANNING COMMISSION ACTION On December 13, 2010, the Planning Commission adopted a resolution approving deviations from the Specific Development No. 40 (SD-40) zoning district, as allowed by Santa Ana Municipal Code Section 41-1606 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production; and adopted a resolution approving Site Plan Review No. 2010-02 as conditioned by a vote of 4:2 (Acosta, Walters opposed; Turner absent) to allow a five-unit residential development at 217 and 219 South Birch Street located in the Specific Development No. 40 (SD-40) zoning district. The Planning Commission made no changes to the recommended actions outlined in the attached staff report (Exhibit A). DISCUSSION Density Bonus Agreement The State density bonus law was created to encourage the production of quality affordable housing by allowing cities to approve qualified projects that would have units, or densities, in excess of cities' statutory density caps established under General Plans and zoning. Under this article, developers wishing to construct projects that meet the requirement for a specified 39B-1 DBA No. 2010-03 SPR 2010-02 January 4, 2011 Page 2 percentage of affordable housing units may request to enter into a Density Bonus Agreement with the City. Under the proposed density bonus agreement, its approval will produce five units that will be rented to very low income households (50 percent of Area Median Income). The rent will not exceed 30 percent of 50 percent of the area median income, as adjusted for household size. The term of the affordability is 55 years. The provisions of the agreement shall constitute covenants, conditions, and restrictions which shall run with the land, and shall inure to the benefit of and be binding upon the Developer, its successors and assigns in interests as successive owners of the project. Construction of these units will assist the Agency in meeting their replacement and inclusionary housing obligations and will assist the City in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element, Consolidated Plan and Implementation Plan (Exhibit 8 of Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. 1 Ja'. Trevino Executive Director Planning & Building Agency LL:rb LL\reports\pc&za\dba10-03spr10-02 217birch st.cc Exhibit: A. Planning Commission Staff Report 39B-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: PLANNING COMMISSION SECRETARY DECEMBER 13, 2010 APPROVED TITLE: ? As Recommended PUBLIC HEARING - FILED BY ORANGE HOUSING 0 As Amended DEVELOPMENT CORPORATION AND C & C 0 Set Public Hearing For DEVELOPMENT FOR DENSITY BONUS APPLICATION DENIED NO. 2010-03 AND SITE PLAN REVIEW NO. 2010-02 TO 0 Applicant's Request ALLOW A FIVE-UNIT RESIDENTIAL DEVELOPMENT AT 0 Staff Recommendation 217 AND 219 SOUTH BIRCH STREET CONTINUED TO Prepared by Lucy Linnaus Executive Director Planning Manager RECOMMENDED ACTION 1. Adopt a resolution approving deviations from the Specific Development No. 40 (SD-40) zoning district, as allowed by Santa Ana Municipal Code Section 41-1606 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production. 2. Adopt a resolution approving Site Plan Review No. 2010-02 as conditioned. DISCUSSION Request of the Applicant Todd Cottle with Orange Housing Development Corporation and C & C Development, DBA Santa Ana WBBB, L.P. (Developer) is requesting approval of deviations from the development standards contained within the Specific Development No. 40 (SD-40) zone as allowed by SAMC Section 41- 1606 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production. In order to allow this project, the applicant is also requesting site plan approval to allow a five-unit residential project located at 217 and 219 South Birch Street. Property Description The project site is located at the northeast corner of Birch and Pine Streets. The site is composed of two, flat, rectangular, vacant parcels that total 13,922 square feet in size. The two parcels will be consolidated via a voluntary lot merger. The zoning designation for the parcels is Project Area 1 of Specific Development No. 40 for Heninger Park (SD-40), with a General Plan land use designation of Low Density Residential (LR) which allows a maximum density of seven dwelling units per acre. Surrounding land uses include multi-family dwellings to the north, a mix of single-family dwellings and commercial uses to the east, multi-family dwellings to the south and single-family and multi-family residential uses to the west (Exhibits 1 and 2). 5 39B-3 DBA 2010-03 and SPR 2010-02 December 13, 2010 Page 2 Project History In 1997 the City's Redevelopment Agency purchased the properties on the northeast corner of Birch and Pine Streets in furtherance of the Agency's requirement to provide new sources of affordable housing. Over the ensuing years the Agency issued a number of Requests for Proposals to develop the properties with single family dwellings, but due to various cycles in the residential development market, no project ever came to fruition. Late in 2009 the Agency issued a new Request for Proposals that encompassed three Agency-owned properties including the subject property, as well as property located at 435 and 437 South Birch Street and 2034 and 2038 North Bush Street. Projects also are proposed for these properties and they will be addressed in separate staff reports. The RFP resulted in the selection of the Developer for the construction of an affordable, multi-family housing project. On September 7, 2010 the Agency approved the Disposition and Development Agreement (DDA) with the Developer. The DDA requires that the 100% of the units be affordable to very low-income households (50% AMI). The beginning rents will be $989 per month for a two-bedroom unit and $1,125 for a three bedroom unit. These income and affordability requirements will be secured through a covenant that must remain in place for at least 55 years. In order to fund the construction, the Developer will apply for tax exempt bonds and tax credits. The DDA also specifies that, at this site, the Developer construct two 2-bedroom units and three 3-bedroom units for a total of five units. During the years following the acquisition, staff, at the Redevelopment Agency's direction, sought to secure an appropriate development project for the site, studying mostly single family products. After considerable time and resources were expended in the pursuit of single family developments, it was determined that the development costs made the project financially infeasible. Staff was then directed to pursue the development of a multi-family project of a scale and design that would be consistent with the neighborhood's character and that would comply with the Heninger Park Specific Development standards. The project proposed by the Developer responds to this direction. A major factor in determining the project's design was the input of Heninger Park neighborhood representatives. The Developer and staff have met with members of the neighborhood's architectural review committee several times over the course of the last year, and have presented the project to the Neighborhood Association. While some members of the neighborhood still expressed a desire to see the site developed with a single-family, rather than a multi-family product, the comments they provided in regards to the design of the multi-family project were incorporated into the final design. Given that the units will be restricted to very-low income families, the construction of these units will assist the City and Agency in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element, Consolidated Plan and the Implementation Plan. 39B-4 DBA 2010-03 and SPR 2010-02 December 13, 2010 Page 3 Proiect Description Santa Ana WBBB, L.P. is proposing to construct two 2-story buildings to create five apartments. The buildings will be arranged around a central courtyard, which will provide the common open space for the project. The primary access to the two street level units will be directly from the street, while access to the three units located on the second level will be from the courtyard. The garages and guest parking will be accessed from an alley at the rear of the property. A direct pedestrian connection from the courtyard to the alley will be provided for the convenience of the tenants and guests. The two street level units will be 1,614 square feet in size each and will have three bedrooms, two full bathrooms and a two-car garage with two additional tandem parking spaces on the driveway. Two units will be located above these units. Unit 3 will be 1,684 square feet in size and also have three bedrooms and two full bathrooms. This unit will have access to a two-car garage and two tandem parking spaces on the driveway to serve as additional parking for that unit. Unit 4 will be 1,480 square feet in size and will have two bedrooms and two bathrooms. This unit will have direct access to a two-car tandem garage and one additional tandem parking space on the driveway. Unit 5 will be located above the garages and is located at the rear of the courtyard. It will be 1,108 square feet in size and have two bedrooms and two bathrooms. This unit will have access to a two-car tandem garage and one additional parking space on the driveway. Each unit will have private open space, which will exceed the minimum requirement, and private laundry facilities. Perimeter block walls are proposed for privacy (Exhibits 3, 4 and 5). The project has been designed in the Spanish Colonial Revival architectural style, which is a style that, although not predominant in the Heninger Park neighborhood, does have precedent, particularly in multi-family projects. In order to reduce the massing and to create architectural variety, each building will have slightly different detailing. The walls will be painted in an off-white tone and accented by cornices in contrasting color, and decorative vents. The windows will be recessed, multi-pane with decorative cast concrete sills and wrought iron railing on the balconies. The primary entrance to four of the five units will be through covered porches, while the entrance to the carriage unit located above the garage will be via an open stair with wide sweeping curbed guardrails. The roof will be tile in a terra cotta color. To maintain architectural consistency, the residences will incorporate enhanced architectural elements, including complete architectural treatments on all sides of each building (Exhibits 6 and 7). Density Bonus Law Background The State density bonus law was created to encourage the production of quality affordable housing by allowing cities to approve qualified projects that would have units, or densities, in excess of cities' statutory density caps established under General Plans and zoning. The rationale here being that baseline density, in part, establishes a property's market value. By allowing more units to be constructed on the property than would otherwise be allowed under the existing zoning, it 39B-5 DBA 2010-03 and SPR 2010-02 December 13, 2010 Page 4 creates an economic advantage to the developer, which could then be used to subsidize any gap between market rents or sales prices and the price at which the unit would be affordable to those making less than the area median income. Under this law, California cities, including charter cities, were required to adopt implementing legislation, which Santa Ana did in 2001 with the adoption of SAMC Article XVI.I - Density Bonus for Affordable Housing. Under this article, developers wishing to construct projects that meet the requirement for a specified percentage of affordable housing units may request to enter into a Density Bonus Agreement with the City and, pending approval of such an agreement, may also request deviations from the City's existing density caps and development standards that would be necessary to facilitate the development of the project. Under the State Density Bonus Law cities must grant the request of the applicant, unless it adopts written findings, based upon substantial evidence, that the request is not necessary in order to provide affordable housing, or that there would be a specific adverse impact upon public health and safety, or the physical environment, or on specified historic properties, and for which there is no feasible way of mitigating or avoiding the impact without rendering the project unaffordable to low and moderate income households. The City further supported the provisions of the State Density Bonus Law through the adoption of policies contained within the 2006-2014 Housing Element. In particular, Housing Program No. 25 of the Housing Implementation Summary states that the City will implement the density bonus ordinance to assist in the development of extremely low, very low, and low income rental units, and moderate income condos, and senior housing. Density Bonus Implementation of the Proposed Project Pursuant to SAMC 14-1600 et seq., developers wishing to pursue deviations from the City's established densities and development standards must enter into a Density Bonus Agreement with the City. The code also states that, if the proposed Density Bonus Agreement includes requests for deviations from zoning and development standards, that those deviations must first be approved by the Planning Commission prior to consideration of the Agreement by the City Council. The project applicant is requesting deviations from the City's zoning and development standards, as further detailed in this staff report. The Density Bonus Agreement (Exhibit 8) details the requested deviations. This Agreement, along with the Planning Commission's recommendation regarding the requested deviations, will be considered by the City Council. The Developer is seeking a density bonus from the maximum density permitted, and deviations from the minimum lot size, the minimum average front yard setback, and the average side yard setback. 39B-6 DBA 2010-03 and SPR 2010-02 December 13, 2010 Page 5 Density Bonus From Maximum Density Both the State Density Bonus Law and the SAMC state that the law only applies to projects of five or more units. The proposed project meets this standard. There is a difference between the State law and the SAMC regarding the total number of units which may be constructed in excess of adopted densities. In the case of the SAMC, the development shall be permitted a density bonus of the amount of units requested by the applicant, up to a total project dwelling unit count of 125 percent. Under State law, the minimum bonus for projects providing 20 percent of the units to lower income households is 35 percent. Because the City's existing Density Bonus Law has not been amended to comply with the most current State Density Bonus Law and because the SAMC states that it shall be in compliance with the State law "as it may be amended from time to time," the provisions of the State law will take precedence in this case. The State law and the SAMC state that "density bonus" means a density increase over the otherwise maximum allowable residential density under the applicable zoning ordinance and land use element of the general plan. The maximum density allowed by the City's zoning and General Plan land use designations for this property is inconsistent. The following table details the number of dwellings allowed and the percentage increases as they pertain to this project. Comparison of Maximum Allowable Units General Plan - LR-7 Heninger. Park (SD 40)* Proposed Project 2.23 units 3.6 units 5 units * The uses permitted in the SD-40 are: 1. Multiple Family Dwellings (project to be developed at the general plan density) and 2. Any use permitted in the R2 zone, pursuant to section 41-247 (project to be developed at the densities established in the R2 zone based on the lot size). This constitutes a 37% increase in the number of units permitted by the SD 40 zoning and a 125% increase in units permitted by the General Plan land use designation. These increases are consistent with the density bonus law. One of the primary concerns expressed by neighborhood representatives was the compatibility of a new multi-family project with the existing single family homes. Prior to the adoption of SD 40 multi-family projects were constructed that were not compatible in scale, massing or design with the neighborhood. One of the chief design concerns was ensuring that the project not further such design incompatibilities. The following paragraph details the existing context of the project site. The project is located in a block developed with a combination of single family homes and multi- family apartments in a range of densities. 39B-7 DBA 2010-03 and SPR 2010-02 December 13, 2010 Page 6 ¦ East side of Birch looking south from Pine West side of Birch looking south from Pine The property immediately adjacent to the north is developed at a density of 36.7 DU per acre, followed by developments at 15.3 DU/ac and 10.2 DU lac. The development to the south is at 37.2 DU per acre. Across Birch Street, the densities vary from 7 to 13 DU per acre. Ilil Existing apartment to north - 36.7 DU per acre Existing apartment to south - 37.2 DU per acre The applicant is requesting an increase from 11.3 DU per acre, which is allowed under the current zoning, to 15.5 DU per acre. This density represents a mid-range density that is consistent with, and in many cases much less intense, than the existing densities. More importantly, the scale and massing of the project will be consistent with the early 1800's building forms currently found on the block and throughout the neighborhood. As such, staff finds that the proposed density increase from the provision of the zoning will not cause an adverse impact to the neighborhood. Under State Law, in order to be eligible for this density increase, the applicant must provide a minimum of 10 percent of the units to lower income households. In this case, the applicant will be providing all units, or 100 percent of the proposed development, to a low income household, which is in excess of the minimum requirement. 39B-8 DBA 2010-03 and SPR 2010-02 December 13, 2010 Page 7 Deviation From Minimum Lot Size The applicant is also requesting three deviations from the development standards to facilitate the construction of the affordable units. The first deviation pertains to the minimum lot size. The R2 zoning district, under which the uses permitted in the SD-40, project area 1 are developed, establishes a minimum lot area for lots containing two or more dwellings. It requires 6,000 square feet for the first unit, and 3,000 square feet for each additional unit. Since the lot is 13,922 square feet, a total of 3.6 units are allowed. A lot size of 18,000 square feet would be required to construct five units. Thus, the applicant is requesting a deviation from the minimum lot size of 18,000 square feet for five units, to 13,922 square feet - a reduction of 4,078 square feet. Deviation From Average Front Yard Setback The second deviation pertains to the front yard setback. The SD-40 standards require a minimum front yard of 20 feet, with an average setback requirement based on the height of the building. The proposed building will be 25.5 feet tall, resulting in a required average setback of 27 feet. The applicant will meet the minimum front yard setback requirement of 20 feet, but is requesting a reduction of the average setback requirement from 27 feet to 21 feet. The applicant could develop this project with the required average setback, but instead he is proposing eight additional parking stalls off the alley to address an issue raised by the neighborhood. Deviation From Average Side Yard Setback The third deviation pertains to the side yard. The SD-40 standards require a minimum side yard requirement of six feet and an average setback requirement based on the height of the building. The building height results in a required average setback of 10 feet. The applicant is requesting a reduction of the side yard requirements to five feet, two inches and a reduction of the average setback on the street side to 7 feet, 11 inches. The applicant exceeds the average setback requirement on the interior side yard setback and could meet the average side yard requirement on the street side, but instead, he is proposing a six-foot fence to enclose the private open space for the lower unit of building 2. Site Plan Review of the Proposed Project After analyzing the project, staff has found that, with the approval of the deviations requested by the applicant, the project will comply with all applicable development standards established in the SD-40 zoning district and the Citywide Design Guidelines. The project exceeds the minimum street frontage of 90 feet. The proposed project is well below the maximum building height of 45 feet and each unit exceeds the minimum gross floor area for two and three bedroom units as all units are over 750 square feet. The proposed project also exceeds the required parking, which is 2 parking spaces per unit. Staff has also analyzed the project for compatibility in size, height, context, including open space, and landscape, and design and materials with the surrounding 39B-9 DBA 2010-03 and SPR 2010-02 December 13, 2010 Page 8 structures. The proposed architectural style, Spanish Colonial Revival, is present in the neighborhood and is one of suggested styles found the Architectural Design guidelines for the neighborhood. Prior to the development of the project, the applicant met with the Board of Directors of the Heninger Park Neighborhood Association and presented the project to the association at large at their August 25, 2010 regularly scheduled meeting. The neighborhood was satisfied with the architecture and choice of material and finishes for the project, the additional parking provided, the quality of life features, such as individual laundry facilities, the number of bathrooms per unit, the location of the entrance to each unit, and the relationship of the buildings to the street. Finally, the project will be consistent with the purpose of the General Plan Land Use and Housing Element, as it will further the goals and policies of the plans and not obstruct their attainment. Specifically, it would further the following General Plan goals and policies: Land Use Goal 3 Preserve and improve the character and integrity of existing Element neighborhoods. Policy 3.1 Support development which provides a positive contribution to neighborhood character and identity. Policy 3.5 Encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood. Policy 5.5 Encourage development which is compatible with, and supportive of surrounding land uses. Housing Goal 2 Provide a diversity of quality housing, affordability levels, and Element living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels, and age groups to foster an inclusive community. Policy Rental Housing. Encourage the construction of rental HE-2.3 housing for Santa Ana's residents and workforce, including a commitment to very low, low, and moderate income residents and moderate income Santa Ana workers. Policy Agency-Owned Sites. Maximize affordable housing on HE-2.8 Agency-owned properties that is of high quality, sustainable, and available to various income levels. In summary, the density bonus deviations requested will allow for the construction of two additional affordable units than would have otherwise been allowed, for a total of five new affordable housing units, thus increasing the total supply of affordable rental units available in the community. Staff recommends that the Planning Commission adopt a resolution approving the requested deviations from Chapter 41 of the Santa Ana Municipal Code and approve Density Bonus Application No. 2010-03 and Site Plan Review No. 2010-2 as conditioned. 39B-10 DBA 2010-03 and SPR 2010-02 December 13, 2010 Page 9 CEQA Compliance In accordance with the California Environmental Quality Act, the proposed project is categorically exempt from CEQA review per Section 15303, Class 3 and Section 15332, Class 32. The Class 3 exemption allows new construction multi-family residential structures in urbanized areas designed for not more than six dwelling units. The Class 32 exemption allows for construction of in-fill development projects of less than five acres in urbanized areas. A Notice of Exemption for Environmental Review No. 2010-102 will be filed for this project. ~i Luc Lin us, AIA Vince Frego o CP Senior anner Principal Planner LL:jm LL\reporls\pc&za\dba10-03spr10-02 217birch st.pc 39B-11 E~' il R7 Rt R1 R7 xl pe I I LJLJSP-3 s~ P P P SP-3 SP-3 SP-3 sns 337 y i SD-20"c P„ su.zo SD-20 O SP-3 c SP a - - - - avlc DR n ~ G 77 GC GC PAP - - -1 R7o o~ ayao~oo~ee GC 0 I~~~~yy~ J IJ" 1 s4 P7 El / a El 1 1 p so ss 0 r OO so 7r 1 P 'Eli O D P - P p - 0 i9- ? - C FS D-13 SD -2 1 Y I P sale SD-1 s I I JL~~.~I Ia. aaaaaa7 _ Cl Cl C2 G 1 t C2aoP Ciwu~ C2-nm II( RZ Ol R2 R2 R2 0 IUIJ i CZ you ~w- w7~~ H~ r 2 U R2 R2 FR~ 1 1 w. ; cz R7 G1 1 C. 1 C2 C2 R3 71 R1 R1 R2 le R2 ; 1 0 ;0 O 1 SM S a I-R3 R3 R3 RS R3 R7 R3 I R7 R2 R3 PROJECT Sn II ~D M f SM pB R1 R7 R3 R3 R3 R3 R3 1 PR1. 1 ~O u~uw R1 R2 R3 1 R7 R] R3 o kO3 p3 FE 1 C- - ; C SM s R2 R1! R1 R1 R1 RI R2 R3 M c. 1 1 SM RB R2 R2 :nMi.es - - 1 1 i is. 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O OPEN 3T4CE TE FESIDIENTALESIATE C3 CENTPALBUSPBS P TONAL SD SPMFIC DEVELOPMENT C3-A OWML WSNBSARIISF VILLAGE POD FLANEDOOMIALWYDRE-OFME T 9' !EPEXICRAN C4 RANNE) 9iOPPIIG CEli132 Fla R.A14NM RMDENT1 DEVI3OFMENT C5 ARR3iALCOMIVIGUAL DBA No. 2010-3 AND SPR No. 2010-2 ' 217/219 BIRCH STREET COURTYARDS 217 AND 219 SOUTH BIRCH STREET - - -SOOFEU _ ,000 FAT P L A N -NI N G A N D B U I L D I N G A G E N C Y EMIST 1 39B-12 MULTI SCHOOL FAMILY _J I RESIDENTIAL WALNUT STREET 1' J ~F Q w> J SINGLE u¢. Z Z JJ ^ w w FAMILY RESIDENTIAL i; SINGLE FAMILY a M F R J J RESIDENTIAL ¢ v w SFR F 2 w y J ¢ 2 2 f p F p J 2FAM. az ~w V g RES. F PROJECT LL g cr SINGLE SITE SINGLE SFR FAMILY FAMILY RESIDENTIAL RESIDENTIAL PINE STREET 2 FAMILY SFR SFR RESIDENTIAL J J ¢ a F F w Y ~ SINGLE Z Z } t7-w FAMILY RESIDENTIAL tA Q MULTI FAMILY J J 0 SFR1 RESIDENTIAL 2 m V < LL SINGLE FAMILY in RESIDENTIAL DBA No. 2010-3 AND SPR No. 2010-2 A 217/219 BIRCH STREET COURTYARDS 217 AND 219 SOUTH BIRCH STREET P L A N N i N G A N D B U I L D I N G A G E N C Y EXHIBIT 2 39B-13 ALLEY Y4 lIr t+9AO' 1419' a I , ( r ! r T 7--+ j t I --j!t'Ar- Iwo 'Ki fir, W UJ ,1 s tta mr 33.4 wr V4 Vr NVA Vr P•3' k SU t 1 _ Cry - LTA ~ L' t ~ WMF MFq .5, f. Ml0 yy~ lar ] r... II a IM * Zrr s IY~ 1!Y weF } laa• (-._i 44 _ 1 ~ xx... A 0 0 f sa.. • ~ as ' eSr ^1 k eo,c - a II. _13 ' RI•r IfdP I NOft A33 RAN M1O4CAW)&W N 3 MN) COMKYwITIMFC91R7M+N. § BUILDING 1 BUILDING 2 s Iletxat,TRyq BI RCH STREET $UL`P-X%`Q - , o . , e• auwlw~ I CONCWr*NfA; 1,614 IF. VOCK!? AOL 316 &F. GARAGE; 7,•279 IF COVOW WALK 279 S.F. TOTAL 4•SISS.F, BUR DSf4~0Q2~N~y tL7r11'?N;W, F.6N SF. UNC 17~fPK1N 346S5. TOTAL 1,960 IF, TOTAL COVERAGE 6.4n IF. Z 1 7/21 9 S. BIRCH STREET TOTAL SITE AREA: 17.922 S.F. SANTA ANA, CALIFORNIA 1178 SFF;.46S COVERAGE AREA c" sddupoe wwusq. rw NFFF4<1PtwFF w...w,aw. ..?..:.....r. ~Devefopment 4F~F.rl+w. $1ni3y ~wu`uwr IV~SfIF2JAN 695-10040 39BA 4 ALLEY _ r W W I ! 1 r N W Z wYr ~ ~ Yr. ~ Val I M , - RANT /W/ N BUILDING I KM.DM 2 III RCH STREET 21 7/219 S. BIRCH STREET BANTA ANA. CALIFORNIA srie. r.wr. M.. mW6 17M10D40 39'x'-15 rn~,f.ro.,~ - wAr OII+fW Ir'blu' tMilr ocrtronn }KL ~xyu. ea,e yj cxwea vel, a crwa*,. MvNw,_ Y, i \ - i \ i Zu ~ a a5 n ~ U) i _*71 fir- ~r:^ •YMx+•RI ~ i- BIRCH STREET .c r n SRAPHIC SCALE r.Nr ~QHIV.W MC3 "+ws ysr• 1 w u.. + . + s•fv wry .w~cwo+y wwwx+ i•.o+xen 4o}s~Y ~ ..e:..ter... •wl'J lttt`~ IYa'Xw 'far.,.+aw:n•.1-v ly Cwt v lun vw g•+~MS.•=~.~+~:, .'j'.a<'J`w Ir,~... r..s•. •,r,~. m+~e'+.. <w•+r; ,co...r w+.x.•. w.,e~+'r~: .P<, e.u:.. ra+..n•,. _(qi![~, Syr. M x,.,V... Vnrw+ro fw M.v,+• Ge~YCnMn }e+,.~r [o-m+.z onw.n aiVnw ~~,+eas~u}ea !L .~re~a L~P.w Ynt k"°-~rM[.y..^.' nbx MiManarMa 41.4n'C+vlr M~"~+a'G. kc.... AIM ruaapn..u}.+'Yr [yna 'Vv+ayeeVW 6s~r ' r~.xrn•n.+Vgewu Cia+, 1•,r4W:lf 9uV.y MS Nwr•o•e1Vw, frM'M'h+: a'+pir.i rdrvh.s•Ma.•,a,. v~• hG4 ® rY..n~a.v-a syr...v }tA•ANN CO'?}'44N g.y 'R...xwnnoa lLw w.yn9. Vnrc..•sa .jid ss . 4+ r Gx+ p:+, r,~+w -+c 1 axdy "r.1e: y. WV Ir.+; r.VDG ,lift L 4me+~ ~+n M~1.•n rl' y.sw +g+r . , ++r 1,+r..~Vyaw+ W ~.rM. 1u 4w ~ E.wc 21 7/21 9 BOOTH BIRCH STREET BANTA ANA, CALIFORNIA saex fir- • xrw xw rr~raix+w NOT MANTwG 11[W'MMU t}AV[ UYC[Or!k7Rt01 ONpC MUUCM AOO~p AITtR ryINTiNG - . • • DRAINAGE 9tWl N07 !IOW AM" ftppTMAM WkAftvS 695-10040 • MWAT10NSVSTWSMALL k?OWwATMUS[AVD l Ave R "AS[ Comm mwm 3981 016 MH1T tiNTAND L TO ATM P r NT MO NA antcTra AND wcAreo IN w MeoreR SOLAR eN'ndiR AND PLANTING H?DROZO ES R..o r.r - er RIGHT ELEVATION S REAR ELEVATION +r'- w' LEFT Ck.EVATION x ~w f. WE Q _ .owe Ir• .•r FRONT ELEVATION 21 7/21 9 S. E31RCH STREET SANTA ANA, CALIFORNIA 1if4YK. a`wtw wr. u.~~ EALXJN egslonoa I a•ae-+ o 39B-17 ZFE +.~~>•IH C4URTTARO [4CVArsam L F7 t all, rl~la•Irv COURTYARD CLWVATMIH MUKT r » t . •.'Ti"''P I .e.W r`e'^ COURTYARD 94LVATION FRONT F i AIL 7 DOURTYARD CLVVATIDN R6AR 2 7 7/2 1 9 S. BIRCH STREET SANTA ANA, CALIFORNIA 5"b.- mom d0yRRMI 695-10040 39~18 12-6-10 RECORDING REQUESTED BY: CITY OF SANTA ANA AND WHEN RECORDED MAIL TO: City of Santa Ana - Housing Division 20 Civic Center Plaza, M-37 Santa Ana, CA 92702 DENSITY BONUS AGREEMENT WITH AFFORDABLE HOUSING REQUIREMENT (217-219 S. Birch Street, Santa Ana, CA) THIS DENSITY BONUS AGREEMENT WITH AFFORDABLE HOUSING REQUIREMENT, is made and entered into this day of , 2010, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California ("City"), and Santa Ana WBBB, L.P. ("Developer"). Recitals: 1. Section 41-1600 et seq. of the Santa Ana Municipal Code and section 65915 et seq. of the California Government Code set forth the process to provide increased residential densities to property owners who guarantee that a portion of their residential development will be available to low income, very low-income, or senior (also known as "qualified") households. These regulations are intended to materially assist the housing industry in providing adequate and affordable shelter for all economic segments of the community and to provide a balance of housing opportunities for very low income, low income, and senior households throughout the city. 2. Developer is proposing to the City to develop five (5) residential rental units (the "Project") on the Property located at 217 and 219 S. Birch Street in the City of Santa Ana (the "Property") legally described as set forth in Exhibit A, attached hereto and incorporated herein. The Project is more particularly set forth in Density Bonus Application No. 2010-03, Environmental Review No. 2010-102, and Development Plan Review No. 2010-28. 3. The Project is currently being negotiated through a Disposition and Development Agreement with the Community Redevelopment Agency of the City of Santa Ana ("Agency") and close of escrow shall occur when the Developer obtains the entitlement, private activity bond financing, tax credits and a residual receipts loan from the City and the Agency necessary to develop five (5) multi-family rental units on the Property (the "Close of Escrow"). 4. The maximum number of dwelling units which may be developed on the Property under applicable provisions of the City's general plan is 2.23, and 3.6 under the provision of the zoning ordinance, without a density bonus. 1 EXHIBIT 8 39B-19 5. City desires to increase the number of affordable rental units and the degree to which they are affordable in the City of Santa Ana. 6. In order to promote this goal, and the express provisions of Sections 65915 - 65918 of the Government Code of the State of California ("Density Bonus Law"), the City has determined to grant Developer's application for a density bonus and related concessions and waivers to Developer. 7. As a condition of approval of the Project with the density bonus by City, Developer will provide and maintain a portion of the dwelling units in said Project offering Affordable Rents (as defined in Paragraph I of this Agreement) (the "Affordable Rental Unit(s)") for the Tenant Rental Period. 8. In addition to the density bonus granted to Developer, the Project has been granted concessions or deviations from City development standards including: (i) reduction of minimum lot size for five (5) units from 18,000 square feet to 13,922 square feet, (ii) reduction of the average setback requirement from 27 feet to 21 feet, and (iii) a reduction of the side yard requirements to 5 feet 2 inches and a reduction of the average setback on the street side to 7 feet 11 inches. WHEREFORE, for and in consideration of the mutual promises, covenants and conditions and conditions herein contained, the parties hereto do hereby agree as follows: 1. DEFINITIONS The following words and phrases shall mean and be defined and used for the purposes of this Agreement as follows: A. "Affordable Rent" means the monthly rents which do not exceed the maximum amount applicable to Very Low Income households, as promulgated by the U.S. Department of Housing and Urban Development (HUD). B. "Affordable Rental Unit" means the units that will be rented at affordable rent to very low income qualified households. C. "Affordable Rent Schedule" means a rent schedule established as of the date of issuance of an occupancy permit (exclusive of tenant utility payments or security deposits) for the required number/percentage of the total number of units in the Project which are to be rented or available for rent to very low income tenants. Said Affordable Rent Schedule shall be established at the time of the issuance of the occupancy permit ("Initial Rent Schedule") and shall be created in accordance with the terms and conditions of the Disposition and Development Agreement entered into by and between the Developer and the Community Redevelopment Agency for the City of Santa Ana and the recorded Affordability Restrictions on Transfer of Property. 2 39B-20 D. "Agency" means the Community Redevelopment Agency of the City of Santa Ana, a public body, corporate and politic, exercising governmental functions and powers and organized and existing under Chapter 2 of the Community Redevelopment Law of the State of California, and any assignee of or successor to its rights, powers and responsibilities. E. "Agreement" means this Density Housing Bonus Agreement with Affordable Housing Restriction, entered into by and between the City and the Developer. F. "Area Median Income" means the median income figures for Orange County adopted by the State of California pursuant to Health and Safety Code section 50093, as amended from time to time. G. "City" means the City of Santa Ana, a charter city and municipal corporation. H. "Completion of the Project" shall mean the date on which the certificate of occupancy is issued by City for occupancy in the Project. 1. "Density bonus" means the number of dwelling units approved by City for development on the Property which exceeds the number specified in Recital 2 of this Agreement. J. "Developer" means Santa Ana WBBB, LP, a limited partnership consisting of Orange Housing Development Corporation (OHDC) and C & C Development. K. "Development" means construction or rehabilitation or a combination thereof. L. "Household Size Appropriate for Unit" for the purpose of determining Affordable Housing Cost only, means three persons for a two bedroom Affordable Unit and four persons for a three bedroom Affordable Unit. Household Size Appropriate for Unit is not intended to constitute a limitation on the number of persons who may live in the Unit. M. "Income Certification" means an income certification for very low income tenants in a form set forth in "Exhibit B," attached hereto and incorporated herein by this reference as if set forth in full. N. "Project" means the construction of five (5) rental units, of which, all five will be Affordable Units. 0. "Tenant Rental Period" means with respect to the Project, the period commencing on the date of issuance of the occupancy permit and ending at the expiration of thirty (30) years thereafter, pursuant to Density Bonus Law. P. "Very Low Income Household/Tenants" means persons and families whose income does not exceed fifty (50%) of the median income for the area, as computed by the method described in the income certificate and for whom an income certification has been obtained or prepared in accordance with the provisions of this Agreement, as adjusted by HUD from time to time. 3 39B-21 II. CONDITIONS TO AGREEMENT A. This Agreement is conditional upon City approval of development plans for the Project which provide for not less than five (5) total dwelling units in the Project consisting of two 2-bedroom and three 3-bedroom units, and upon completion of the Project in accordance with such approved plans by Developer. Nothing in this Agreement obligates City to grant such approval or Developer to develop the Project. B. The density bonus provided by this Agreement is conditional upon Developer and any successor-in-interest of Developer in the Property being subject to the covenants set forth in this Agreement as running with the Property. If Developer conveys the Property prior to recordation of this Agreement in the official Records of Orange County, no building permit or certificate of occupancy for the Project which would allow for development or occupancy of more dwelling units than specified in Recital No. 2 of the Agreement shall be issued, unless the successor-in-interest of Developer of the Property executes a document suitable for recordation in the Official Records of Orange County binding such successor-in-interest to the terms and conditions of this Agreement. C. Except as set forth expressly herein, Developer shall carry out the design and construction of the Project in conformity with all applicable laws, including all applicable state labor standards, the City zoning and development standards, building, plumbing, mechanical and electrical codes, and all other provisions of the City of Santa Ana Municipal Code, all applicable disabled and handicapped access requirements, including the Americans With Disabilities Act (42 U.S.C. Section 12101, et seq.) and Government Code Section 4450, et seq. III. AFFORDABLE RENTAL UNIT COVENANT A. Developer covenants that no less than five (5) dwelling unit(s) in the Project, or at least 100% of the units in the Project shall at all times during the Tenant Rental Period be rented to, or held vacant and available for immediate occupancy by very low income households, as defined in California Health & Safety Code section 50105, at a rent that does not exceed 30 percent of 50 percent of the area median income, as adjusted for household size. B. Developer agrees to make a good faith effort to verify that the income and asset statement provided by an applicant in an income certification is accurate by taking at least one of the following steps as a part of the verification process: (1) obtain a pay stub for the most recent pay period, (2) obtain an income tax return for the most recent tax year, (3) conduct a TRW or similar credit check, (4) obtain an income verification form from the applicant's current employer, (5) obtain an income verification form from the Social Security Administration and/or the California Department of Social Services if the applicant receives assistance from either of such agencies, or (6) if the applicant is unemployed and has no such tax return, obtain another 4 39B-22 form of independent verification. C. Upon written request by Developer, City agrees to determine promptly the Initial Rental Schedule based upon the terms of this Agreement and advise Developer of the Initial Rental Schedule within five (5) days of the issuance of the occupancy permit. D. Developer agrees to accept as tenants on the same basis as all other prospective tenants, very low income tenants who are recipients of federal certificates for rent subsidies pursuant to the existing program under Section 8 of the United States Housing Act of 1937 or its successor, and shall not apply selective criteria to Section 8 certificate holders that are more burdensome than the criteria applied to all other prospective tenants. IV. MISCELLANEOUS A. Covenants Run with the Land. The provisions of this Agreement shall constitute covenants, conditions, and restrictions which shall run with the land, and shall inure to the benefit of and be binding upon the Developer, its successors and assigns in interest as successive owners of the Project, as provided herein. Any sale, transfer, or lease of the Project shall be deemed to be made and accepted upon and subject to the covenants, conditions and restrictions and provisions hereof whether or not referred to in the instrument of sale, transfer or lease. B. Independent Contractor. Developer is, and shall be deemed to be, an independent contractor and not an employee of City and shall not become an agent of City. The City is not a partner, joint venturer, alter-ego, manager, or business associate in this Project. The City is not deemed responsible or liable for any acts, omissions or decisions of Developer, nor is City responsible for any loss or injury of any kind to any person or property arising from any construction or development of the Project. C. Non-Discrimination. 1. Leasing. Developer hereby covenants by and for itself, its successors and assigns, that there shall be no discrimination against or segregation of, any person or group of persons on account of any basis listed in subdivision (a) or (d) of Section 12955 of the Government Code, as those bases are defined in Sections 12926, 12926. 1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code, in the sale, lease, sublease, transfer, use, occupancy, tenure, or enjoyment of the premises herein conveyed, nor shall the grantee or any person claiming under or through him or her, establish or permit any practice or practices of discrimination or segregation with reference to the selection, location, number, use or occupancy of tenants, lessees, subtenants, sublessees, or vendees in the premises herein conveyed. The foregoing covenants shall run with the land. 2. Employment. In performing its obligations under this Agreement, Developer shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and 5 39B-23 prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other related activities. Developer affirms that it is an equal opportunity employer and shall comply with all applicable state and local laws and regulations. D. Notice. Any notices, requests or approvals given under this Agreement from one party to another may be personally delivered or deposited with the United States Postal Service for mailing, postage prepaid, registered or certified mail, return receipt requested, to the address of the other party as stated in this paragraph, and shall be deemed given at the time of personal delivery or at the time of deposit for mailing. Either party may change its address for notice by giving written notice thereof to the other party. CITY: City of Santa Ana Community Development Agency 20 Civic Center Plaza - M-37 Santa Ana, CA 92702 DEVELOPER: Santa Ana WBBB, L.P. c/o Orange Housing Development Corporation 414 E. Chapman Avenue Orange, CA 92866 Attention: Chief Executive Officer COPY TO: C&C Development 14211 Yorba Street, Ste. 200 Tustin, CA 92781 E. Attorney Fees. In the event legal action is brought to enforce any provisions hereof, the prevailing party shall be entitled to reasonable attorney's fees, together with other legally allowed costs. F. Recordation of Agreement. Upon issuance of building permits for the Project, this Agreement shall be recorded in the official records of Orange County, California. City and Developer agree to execute and deliver for recordation such additional documents or instruments as the other may reasonably request to further confirm or acknowledge the provisions hereof, including the expiration of very low income tenant rental period. G. Amendments. This Agreement may be amended, modified, or changed by the parties hereto, City and Developer, provided that said amendment, modification, or change is in writing and approved by both parties. H. Default. Developer shall be in default hereunder if it shall fail to observe or perform any covenants, conditions, restriction, or provision contained herein on its part to be observed or performed which continues after notice to Developer and failure to cure as provided herein. 6 39B-24 If any such default shall have occurred, then and in such event, City shall be entitled in addition to all other remedies provided by law or in equity: 1. To compel specific performance by Developer of its obligations under this Agreement, it being recognized that the beneficiaries of Developer's obligations hereunder cannot be adequately compensated for by monetary damages in the event of Developer's default. 2. In the event the actual rent collected by Developer for any unit required under this Agreement to be rented to lower income households and very low income tenants is in excess of the maximum affordable rent allowed for such unit in violation of the requirements of Paragraph III of this Agreement, the amount by which any actual rent collected for such unit exceeds the maximum affordable rent for such unit shall be deemed damages payable to City by Developer. Such damages shall be in addition to any other remedy at law or in equity to City. 1. Legal Advice. Each party represents and warrants to the other the following: they have carefully read this Agreement, and in signing this Agreement, they do so with full knowledge of any right which they may have; they have received independent legal advice from their respective legal counsel as to the matters set forth in this Agreement, or have knowingly chosen not to consult legal counsel as to the matters set forth in this Agreement; and, they have freely signed this Agreement without any reliance upon any agreement, promise, statement or representation by or on behalf of the other party, or their respective agents, employees, or attorneys, except as specifically set forth in this Agreement, and without duress or coercion, whether economic or otherwise. J. No Conflict of Interest. No member, official or employee of the City shall have any personal interest, direct or indirect, in this Agreement, nor shall any such member, official or employee participate in any decision relating to the Agreement which affects his or her personal interests or the interests of any corporation, partnership or association in which he or she is, directly or indirectly, interested. K. Nonliabili of City Officials and Employees. No member, official or employee of the City of Santa Ana shall be personally liable to the Developer, or any successor-in-interest, in the event of any default or breach by the City on any obligation under the terms of this Agreement. L. Effective Date of Agreement. This Agreement shall be dated and effective as of the date of the action by the City on which it approves this Agreement. M. Entirety of Agreement. This Agreement integrates all of the terms and conditions mentioned herein or incidental hereto, and supersedes all negotiations or previous agreements between the parties with respect to the matters contained herein. N. Successors and Assigns. This Agreement shall be binding upon and shall inure to the benefit of Developer and Santa Ana and their respective successors and assigns. 7 39B-25 O. Governing Law. This Agreement has been entered into, is to be performed entirely within, and shall be governed by and construed in accordance with the laws of the State of California, with venue in Orange County. 8 39B-26 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA: MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: DEVELOPER: JOSEPH W. FLETCHER SANTA ANA WBBB LP, a California Limited City Attorney Partnership By: ORANGE HOUSING DEVELOPMENT CORPORATION a California nonprofit corporation, its managing general partner By: Lisa E. Storck Assistant City Attorney By: Eunice Bobert Chief Executive Officer By: C&C Development, LLC, a California limited liability company, its developer general partner By: Todd R. Cottle, its member By: The Cottle Family Trust Dated 3/8/1987, its member By: Barry A. Cottle, Trustee 9 39B-27 EXHIBIT A LEGAL DESCRIPTION 39B-28 ROH - 12/13/10 RESOLUTION NO. 2010-22 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING DENSITY BONUS APPLICATION NO. 2010-03 TO ALLOW A FIVE-UNIT RESIDENTIAL DEVELOPMENT AND APPROVING SITE PLAN REVIEW NO. 2010-02 AT 217 AND 219 SOUTH BIRCH STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Density Bonus Application 2010-03 approving three (3) deviations from the Specific Development No. 40 (SD- 40) zoning district development standards pursuant to Government Code Sections 65915, et seq. B. Applicant also is requesting approval of Site Plan Review No. 2010-02 for the construction of two two-story buildings to create five apartments. C. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on December 13, 2010. Section 2. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as to Density Bonus Application 2010-03 as follows: A. The proposed development will materially assist in accomplishing the goal of providing affordable housing opportunities in economically balanced communities throughout the city. The proposed five-unit residential development will materially assist in accomplishing the goal of providing affordable housing opportunities in an economically balanced community. The applicant will construct, rent and maintain five units, representing 100 percent of the proposed development, to Very Low Income Households, thus increasing the total supply of affordable units available for that level of affordability. B. The development will not be inconsistent with the purpose of the underlying zone or applicable designation in the general plan land use element. Resolution No. 2010-22 Page 1 of 5 39B-29 As proposed, the project will be consistent with the purpose of the SD-40 zoning district. With the approval of the three deviations requested by the applicant, the project will comply with all applicable development standards established in the SD-40 zoning district and the guidelines within Citywide design standards. Additionally, the project will be consistent with purpose of the General Plan Land Use Element and Housing Element, as it will further the goals and policies of the plan and not obstruct their attainment. Specifically, it will further the Land Use Element Goal 3, preserve and improve the character and integrity of existing neighborhood; Policy 3.1, support development which provides a positive contribution to neighborhood character and identity; Policy 3.5, encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood and Policy 5.5, encourage development which is compatible with, and supportive of surrounding land uses. Additionally, it will further the Housing Element, Goal 2, provide a diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels, and age groups to foster an inclusive community; Policy HE- 2.3, Rental Housing. Encourage the construction of rental housing for Santa Ana's residents and workforce, including a commitment to very low, low, and moderate income residents and moderate income Santa Ana workers; and Policy HE-2.8, Agency-Owned Sites. Maximize affordable housing on Agency-owned properties that is of high quality, sustainable, and available to various income levels. C. The deviation is necessary to make it economically feasible for the applicant to utilize a density bonus authorized for the development pursuant to section 41-1604 The deviations of the development standards requested are necessary to make the project economically feasible. The requested deviations are: (i) reduction of minimum lot size for five (5) units from 18,000 square feet to 13,922 square feet, (ii) reduction of the average setback requirement from 27 feet to 21 feet, and (iii) a reduction of the side yard requirements to 5 feet 2 inches and a reduction of the average setback on the street side to 7 feet 11 inches. Section 3. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as to Site Plan Review No. 2010-02 as follows: Resolution No. 2010-22 Page 2 of 5 39B-30 A. Section 41-593.5(c) of the Santa Ana Municipal Code requires a review by the Planning Commission of all plans within a specific development plan area to ensure the project is in conformity with the Specific Plan. B. With the approval of the three deviations requested by the applicant, the project is in compliance with all applicable development standards outlined within the Heninger Park Specific Development No. 40 (SD-40). Section 4. In accordance with the California Environmental Quality Act, the proposed project is categorically exempt from CEQA review per Section 15303, class 3 and Section 15332, Class 32. The Class 3 exemption allows new construction multi-family residential structures in urbanized areas designed for not more than six dwelling units. The Class 32 exemption allows for construction of in-fill development projects of less than five acres in urbanized areas. A Notice of Exemption for Environmental Review No. 2010- 102 will be filed for this project. Section 5. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Density Bonus Application No. 2010-03 and approves Site Plan Review No. 2010-02 as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated December 13, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 13th day of December, 2010 by the following vote: AYES: Commissioners: Alderete, Betancourt, Gartner, Yrarrazaval (4) NOES: Commissioners: Acosta, Walters (2) ABSENT: Commissioners: Turner (1) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman Resolution No. 2010-22 Page 3 of 5 39B-31 APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2010-22 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on December 13, 2010. Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2010-22 Page 4 of 5 39B-32 Conditions of Approval for Site Plan Review No. 2010-02 Site Plan Review No. 2010-02 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply with each and every condition listed below prior to exercising the rights conferred by the Site Plan Review. The applicant must remain in compliance with all conditions listed below throughout the life of the Site Plan Review. Failure to comply with each and every condition may result in the revocation of the Site Plan Review. A. Planning Division 1. All proposed site improvements must conform to the Site Plan Review approval of DP No. 2010-28 and the attached exhibits. 2. Any amendment to this Site Plan Review must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the Site Plan Review must be amended. 3. A Voluntary Lot Merger application shall be approved and recorded prior to issuance of the building permits. Resolution No. 2010-22 Page 5 of 5 39B-33 39B-34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED ? As Recommended DENSITY BONUS APPLICATION NO. 2010-04 ? As Amended AND SITE PLAN REVIEW NO. 2010-03 TO El Ordinance on 151 Reading ALLOW A FIVE-UNIT RESIDENTIAL ? Ordinance on 2nd Reading ? Implementing Resolution DEVELOPMENT AT 435 AND 437 SOUTH ? Set Public Hearing For BIRCH STREET - ORANGE HOUSING DEVELOPMENT CORPORATION AND C & C DEVELOPMENT, APPLICANT CONTINUED TO " FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Receive and file the staff report approving Density Bonus Application No. 2010-04 and Site Plan Review No. 2010-03 as conditioned. 2. Authorize the City Manager and Clerk of the Council to execute the attached Density Bonus agreement with Santa Ana WBBB, L.P., subject to nonsubstantive changes approved by the City Manager and City Attorney for the development of an affordable for sale unit. PLANNING COMMISSION ACTION On December 13, 2010, the Planning Commission adopted a resolution approving deviations from the Specific Development No. 40 (SD-40) zoning district as allowed by Santa Ana Municipal Code Section 41-1606 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production; and adopted a resolution approving Site Plan Review No. 2010-03 as conditioned by a vote of 4:2 (Acosta, Walters opposed; Turner absent) to allow a five-unit residential development at 435 and 437 South Birch Street located in the Specific Development No. 40 (SD-40) zoning district. The Planning Commission made no changes to the recommended action outlined in the attached staff report (Exhibit A). DISCUSSION Density Bonus Agreement The State density bonus law was created to encourage the production of quality affordable housing by allowing cities to approve qualified projects that would have units, or densities, in excess of cities' statutory density caps established under General Plans and zoning. Under this article, developers wishing to construct projects that meet the requirement for a specified 39C-1 DBA No. 2010-04 SPR 2010-03 January 4, 2011 Page 2 percentage of affordable housing units may request to enter into a Density Bonus Agreement with the City. Under the proposed density bonus agreement, its approval will produce five units that will be rented to very low income households (50 percent of Area Median Income). The rent will not exceed 30 percent of 50 percent of the area median income, as adjusted for household size. The term of the affordability is 55 years. The provisions of the agreement shall constitute covenants, conditions, and restrictions which shall run with the land, and shall inure to the benefit of and be binding upon the Developer, its successors and assigns in interests as successive owners of the project. Construction of these units will assist the Agency in meeting their replacement and inclusionary housing obligations and will assist the City in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element, Consolidated Plan and Implementation Plan (Exhibit 8 of Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. Jay)M. Trevino Executive Director Planning & Building Agency LL:rb LL\reports\pc&za\dba10-04spr10-03 435 birch st.cc Exhibit: A. Planning Commission Staff Report 39C-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: PLANNING COMMISSION SECRETARY DECEMBER 13, 2010 APPROVED TITLE: ? As Recommended PUBLIC HEARING - FILED BY ORANGE HOUSING ? As Amended DEVELOPMENT CORPORATION AND C 8, C ? Set Public Hearing For DEVELOPMENT FOR DENSITY BONUS APPLICATION DENIED NO. 2010-04 AND SITE PLAN REVIEW NO. 2010-03 TO ? Applicant's Request ALLOW A FIVE-UNIT RESIDENTIAL DEVELOPMENT AT ? Staff Recommendation 435 AND 437 SOUTH BIRCH STREET CONTINUED TO Prepared by Lucy Linnaus Executive Director Planning Man er RECOMMENDED ACTION 1. Adopt a resolution approving deviations from the Specific Development No. 40 (SD-40) zoning district as allowed by Santa Ana Municipal Code Section 41-1606 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production. 2. Adopt a resolution approving Site Plan Review No. 2010-03 as conditioned. DISCUSSION Request of the Applicant Todd Cottle with Orange Housing Development Corporation and C & C Development, DBA Santa Ana WBBB, L.P. (Developer) is requesting approval of deviations from the development standards contained within the Specific Development No. 40 (SD40) zone as allowed by SAMC Section 41-1606 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production. In order to allow this project, the applicant is also requesting site plan approval to allow a five-unit residential project located at 435 and 437 South Birch Street. Property Description The project site is located midblock on Birch Street, between Chestnut Avenue and Camille Street. The site is composed of two, flat, rectangular, vacant parcels that total 14,000 square feet in size and will be consolidated via a voluntary lot merger. The zoning designation for the parcels is Project Area 2 of Specific Development No. 40, Heninger Park (SD-40), with a General Plan land use designation of Low Density Residential (LR) which allows a maximum density of seven dwelling units per acre. Surrounding land uses include multi-family dwellings to the north, west and south, and a mix of single- family and multi-family to the east (Exhibits 1 and 2). 6 39C-3 DBA 2010-04 and SPR 2010-03 December 13, 2010 Page 2 Proiect History In 1997 the City's Redevelopment Agency purchased the properties located midblock on Birch Street, between Chestnut Avenue and Camille Street in furtherance of the Agency's requirement to provide new sources of affordable housing. Over the ensuing years the Agency issued a number of Requests for Proposals to develop the properties with single family dwellings, but due to various cycles in the residential development market, no project ever came to fruition. Late in 2009 the Agency issued a new Request for Proposals that encompassed three Agency-owned properties including the subject property, as well as property located at 217 and 219 South Birch Street and 2034 and 2038 North Bush Street. Projects also are proposed for these properties and they will be addressed in separate staff reports. The RFP resulted in the selection of the Developer for the construction of an affordable, multi-family housing project. On September 7, 2010 the Agency approved the Disposition and Development Agreement (DDA) with the Developer. The DDA requires that the 100% of the units be affordable to very low-income households (50% AMI). The beginning rents will be $989 per month for a two-bedroom unit and $1,125 for a three bedroom unit. These income and affordability requirements will be secured through a covenant that must remain in place for at least 55 years. In order to fund the construction, the Developer will apply for tax exempt bonds and tax credits. The DDA also specifies that, at this site, the Developer construct two 2-bedroom units and three 3-bedroom units for a total of five units. During the years following the acquisition, staff, at the Redevelopment Agency's direction, sought to secure an appropriate development project for the site, studying mostly single family products. After considerable time and resources were expended in the pursuit of single family developments, it was determined that the development costs made the project financially infeasible. Staff was then directed to pursue the development of a multi-family project of a scale and design that would be consistent with the neighborhood's character and that would comply with the Heninger Park Specific Development standards. The project proposed by the Developer responds to this direction. A major factor in determining the project's design was the input of Heninger Park neighborhood representatives. The Developer and staff have met with members of the neighborhood's architectural review committee several times over the course of the last year, and have presented the project to the Neighborhood Association. While some members of the neighborhood still expressed a desire to see the site developed with a single-family, rather than a multi-family product, the comments they provided in regards to the design of the multi-family project were incorporated into the final design. Given that the units will be restricted to very-low income families, the construction of these units will assist the City and Agency in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element, Consolidated Plan and the Implementation Plan. 39C-4 DBA 2010-04 and SPR 2010-03 December 13, 2010 Page 3 Project Description Santa Ana WBBB, L.P. is proposing to construct two 2-story buildings to create five apartments. The proposed project is in compliance with the number of units allowed under the SD-40, project area 2 district, but exceeds the maximum number of units allowed under the General Plan Land Use designation of LR-7. The buildings will be arranged around a central courtyard, which will provide the common open space for the project. The primary access to the two street level units will be directly from the street, while access to the three units located on the second level will be from the courtyard. The garages and guest parking will be accessed from an alley at the rear of the property. A direct pedestrian connection from the courtyard to the alley will be provided for the convenience of the tenants and guests. The two street level units will be 1,614 square feet in size each and will have three bedrooms, two full bathrooms and a two-car garage with two additional tandem parking spaces on the driveway. Two units will be located above these units. Unit 3 will be 1,684 square feet in size and also have three bedrooms and two full bathrooms. This unit will have access to a two-car garage and two tandem parking spaces on the driveway to serve as additional parking for that unit. Unit 4 will be 1,480 square feet in size and will have two bedrooms and two bathrooms. This unit will have direct access to a two-car tandem garage and one additional tandem parking space on the driveway. Unit 5 will be located above the garages and is located at the rear of the courtyard. It will be 1,108 square feet in size and have two bedrooms and two bathrooms. This unit will have access to a two-car tandem garage and one additional parking space on the driveway. Each unit will have private open space, which will exceed the minimum requirement, and private laundry facilities. Perimeter block walls are proposed for privacy (Exhibits 3, 4 and 5). The project has been designed in the Spanish Colonial Revival architectural style. In order to reduce the massing and to create architectural variety, each building will have slightly different detailing. The walls will be painted in an off-white tone and accented by cornices in contrasting color, and decorative vents. The windows will be recessed, multi-pane with decorative cast concrete sills and wrought iron railing on the balconies. The primary entrance to four of the five units will be through covered porches, while the entrance to the carriage unit located above the garage will be via an open stair with wide sweeping curbed guardrails. The roof will be the in a terra cotta color. To maintain architectural consistency, the residences will incorporate enhanced architectural elements, including complete architectural treatments on all sides of each building (Exhibits 6 and 7). Density Bonus Law Background The State density bonus law was created to encourage the production of quality affordable housing by allowing cities to approve qualified projects that would have units, or densities, in excess of cities' statutory density caps established under General Plans and zoning. The rationale here being that baseline density, in part, establishes a property's market value. By allowing more units 39C-5 DBA 2010-04 and SPR 2010-03 December 13, 2010 Page 4 to be constructed on the property than would otherwise be allowed under the existing zoning, it creates an economic advantage to the developer, which could then be used to subsidize any gap between market rents or sales prices and the price at which the unit would be affordable to those making less than the area median income. Under this law, California cities, including charter cities, were required to adopt implementing legislation, which Santa Ana did in 2001 with the adoption of SAMC Article XVI.I - Density Bonus for Affordable Housing. Under this article, developers wishing to construct projects that meet the requirement for a specified percentage of affordable housing units may request to enter into a Density Bonus Agreement with the City and, pending approval of such an agreement, may also request deviations from the City's existing density caps and development standards that would be necessary to facilitate the development of the project. Under the State Density Bonus Law cities must grant the request of the applicant, unless it adopts written findings, based upon substantial evidence, that the request is not necessary in order to provide affordable housing, or that there would be a specific adverse impact upon public health and safety, or the physical environment, or on specified historic properties, and for which there is no feasible way of mitigating or avoiding the impact without rendering the project unaffordable to low and moderate income households. The City further supported the provisions of the State Density Bonus Law through the adoption of policies contained within the 2006-2014 Housing Element. In particular, Housing Program No. 25 of the Housing Implementation Summary states that the City will implement the density bonus ordinance to assist in the development of extremely low, very low, and low income rental units, and moderate income condos, and senior housing. Density Bonus Implementation of the Proposed Project Pursuant to SAMC 14-1600 et seq., developers wishing to pursue deviations from the City's established densities and development standards must enter into a Density Bonus Agreement with the City. The code also states that, if the proposed Density Bonus Agreement includes requests for deviations from zoning and development standards, that those deviations must first be approved by the Planning Commission prior to consideration of the Agreement by the City Council. The project applicant is requesting deviations from the City's zoning and development standards, as further detailed in this staff report. The Density Bonus Agreement (Exhibit 8) details the requested deviations. This Agreement, along with the Planning Commission's recommendation regarding the requested deviations, will be considered by the City Council. The Developer is seeking a density bonus from the maximum density permitted, and deviations from the minimum average front yard setback, and the minimum side yard setback. 39C-6 DBA 2010-04 and SPR 2010-03 December 13, 2010 Page 5 Density Bonus From Maximum Density Both the State Density Bonus Law and the SAMC state that the law only applies to projects of five or more units. The proposed project meets this standard. There is a difference between the State law and the SAMC regarding the total number of units which may be constructed in excess of adopted densities. In the case of the SAMC, the development shall be permitted a density bonus of the amount of units requested by the applicant, up to a total project dwelling unit count of 125 percent. Under State law, the minimum bonus for projects providing 20 percent of the units to lower income households is 35 percent. Because the City's existing Density Bonus Law has not been amended to comply with the most current State Density Bonus Law and because the SAMC states that it shall be in compliance with the State law "as it may be amended from time to time," the provisions of the State law will take precedence in this case. The State law and the SAMC state that "density bonus" means a density increase over the otherwise maximum allowable residential density under the applicable zoning ordinance and land use element of the general plan. The maximum density allowed by the City's zoning and General Plan land use designations for this property is inconsistent. The following table details the number of dwellings allowed and the percentage increases as they pertain to this project. Comparison of Maximum Allowable Units General Plan - LR-7 Henin er Park SD 40) osed Project 2.23 units 7 units 5 units * The uses permitted in the SD-40 Project Area 2 are: 1. Multiple Family Dwellings (project to be developed at the general plan density) and 2. Any use permitted in the R3 zone (project to be developed at the densities established in the R3 zone based on the lot size). This constitutes a 0% increase in the number of units permitted by the SD 40 zoning and a 125% increase in units permitted by the General Plan land use designation. These increases are consistent with the density bonus law. One of the primary concerns expressed by neighborhood representatives was the compatibility of a new multi-family project with the existing single family homes. Prior to the adoption of SD 40 multi-family projects were constructed that were not compatible in scale, massing or design with the neighborhood. One of the chief design concerns was ensuring that the project not further such design incompatibilities. The following paragraph details the existing context of the project site. The project is located in a block developed with a variety of densities. The property immediately adjacent to the north is developed at a density of 25 DU per acre, followed by a development at 43 DU per acre. The development to the south is at 66 DU per acre. Across Birch Street, the densities vary from 11 to 42 DU per acre. 39C-7 DBA 2010-04 and SPR 2010-03 December 13, 2010 Page 8 Existing Apart mts to the North-25 and 43 Macre Apartments W the South-W DUJacre Vliest side of Birch lookma south from slte West side of Birch looking north from sib The applicant is requesting an increase from seven DU per acre allowed under the current general plan land use designation to 15.5 DU per acre. For reference, a density of 21.78 DU per acre is allowed under the current zoning. A density of 15.5 DU per acre represents a mid-range density that is consistent with, and In many cases much less intense than the existing densities. As such, staff finds that the proposed density increase from the provision of the general plan win not cause an adverse impact to the neighborhood. More importantly, the scale and massing of the project will be consistent with the early 1900's building forms currently found on the block and throughout the neighborhood. As such, staff finds that the proposed density increase from the provision of the zoning will not cause an adverse impact to the neighborhood. Under State Law, in order to be eligible for this density increase, the applicant must provide a minimum of 10 percent of the units to low Income households. In this case, the applicant will be providing all units, or 100 percent of the proposed development to a low income household, which is in excess of the minimum requirement. Deviation From Average Front Yard Setback The applicant is also requesting two deviations from the development standards to facilitate the construction of the affordable units. The first deviation pertains to the front yard setback. The SD- 40 standards require a minimum front yard of 20 feet, with an average setback requirement based 39C-8 DBA 2010-04 and SPR 2010-03 December 13, 2010 Page 7 on the height of the building. The proposed building will be 25.5 feet tall, resulting in a required average setback of 27 feet. The applicant will meet the minimum front yard setback requirement of 20 feet, but is requesting a reduction of the average setback requirement from 27 feet to 21 feet. The applicant could develop this project with the required average setback, but instead is proposing eight additional parking stalls off the alley to address concerns raised by the neighborhood. Deviation From Minimum Side Yard Setback The second deviation pertains to the side yard. The SD-40 standards require a minimum side yard requirement of six feet, with an average setback requirement based on the height of the building. "rhe building height results in a required average setback of 10 feet. The applicant is requesting a reduction of the side yard requirements from six feet to five feet, two inches. The applicant exceeds the average setback requirement on the side yard setbacks. Site Plan Review of the Proposed Proiect After analyzing the project, staff has found that, with the approval of the deviations requested by the applicant, the project will comply with all applicable development standards established in the SD-40 zoning district and the Citywide Design Guidelines. The project exceeds the minimum street frontage of 90 feet. The proposed project is well below the maximum building height of 45 feet and each unit exceeds the minimum gross floor area for two and three bedroom units as all units are over 750 square feet. The proposed project also exceeds the required parking, which is two parking spaces per unit. Staff has also analyzed the project for compatibility in size, height, context, including open space and landscape, design and materials with the surrounding structures. The proposed architectural style, Spanish Colonial Revival, is present in the neighborhood and is found in the Architectural Design guidelines for the neighborhood. Prior to the development of the project, the applicant met with the Board of Directors of the Heninger Park Neighborhood Association and presented the project to the association at large at their August 25, 2010 regularly scheduled meeting. The neighborhood was satisfied with the architecture and choice of material and finishes for the project, the additional parking provided, the quality of life features, such as individual laundry facilities, the number of bathrooms per unit, the location of the entrance to each unit, and the relationship of the buildings to the street. Finally, the project will be consistent with the purpose of the General Plan Land Use and Housing Element, as it will further the goals and policies of the plans and not obstruct their attainment. Specifically, it would further the following General Plan goals and policies: 39C-9 DBA 2010-04 and SPR 2010-03 December 13, 2010 Page 8 Land Use Goal3 Preserve and improve the character and integrity of Element existing neighborhoods. Policy 3.1 Support development which provides a positive contribution to neighborhood character and identity. Policy 3.5 Encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood. Policy 5.5 Encourage development which is compatible with, and supportive of surrounding land uses. Housing Goal 2 Provide a diversity of quality housing, affordability levels, Element and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels, and age groups to foster an inclusive community. Policy Rental Housing. Encourage the construction of rental HE-2.3 housing for Santa Ana's residents and workforce, including a commitment to very low, low, and moderate income residents and moderate income Santa Ana workers. Policy Agency-Owned Sites. Maximize affordable housing on HE-2.8 Agency-owned properties that is of high quality, sustainable, and available to various income levels. In summary, the density bonus deviations requested will allow for the construction of three additional affordable units than would have otherwise been allowed, increasing the total supply of affordable rental units available in the community. Staff recommends that the Planning Commission adopt a resolution approving the requested deviations from Chapter 41 of the Santa Ana Municipal Code and allow Density Bonus Application No. 2010-04 and Site Plan Review No. 2010-03 as conditioned. CEQA Compliance In accordance with the California Environmental Quality Act, the proposed project is categorically exempt from CEQA review per Section 15303, Class 3 and Section 15332, Class 32. The Class 3 exemption allows new construction multi-family residential structures in urbanized areas designed for not more than six dwelling units. The Class 32 exemption allows for construction of in-fill development projects of less than five acres in urbanized areas. A Notice of Exemption for Environmental Review No. 2010-103 will be filed for this project. 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COMMERCIAL/MUSEUM DISTRICT MO MILITARY OPERATIONS R4 SLBURBAN APARTMENTS C2 GENERAL COMMERCIAL O OPEN SPACE RE RESIDENTIAL ESTATE C3 CENTRAL BUSINESS P PROFESSIONAL SO SPECIFIC DEVELOPMENT C3-A CENTRAL BUSINESS-ARTIST VILLAGE PCD PLANNED COMMUNITY DEVELOPMENT SP SPECIFIC PLAN C4 PLANNEDSHOPPING CENTER PRO PLANNED RESIDENTIAL DEVELOPMENT CS ARTERIAL COMMERCIAL DBA No. 2010-4 AND SPR No. 2010-3 435/437 BIRCH STREET COURTYARDS 435 AND 437 SOUTH BIRCH STREET - Y500FEET 1"= 1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 39C-11 MULTI FAMILY SINGLE RESIDENTIAL FAMILY w RESIDENTIAL Lu SINGLE FAMILY MULTI J N RESIDENTIAL FAMILY RESIDENTIAL w - J W W -f ~ `L J Z V1 J -J z Vl ti V1 W W W W Q Q 2 W J S W - ~ - V1 W Z ¢ MULTI ZQ¢ Y FAMILY ^ RESIDENTIAL Q O rz 2 FA M. ¢ PROJECT J m MFR RES. LL WJ~ 2 FAM SITE RES. Z¢p J J ~ W - MULTI SFR FAMILY RESIDENTIAL CAMILLE STREET MULTI 2 FAM. SFR FAMILY J RES. RESIDENTIAL a - J SINGLE y~ a FAMILY JJz ~Jz RESIDENTIAL ?Qo 2Qm NLLN MULTI S - - W FAMILY u RESIDENTIAL m MFR DBA No. 2010-4 AND SPR No. 2010-3 435/437 BRICH STREET COURTYARDS 435 AND 437 SOUTH BIRCH STREET' P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 2 39C-12 ALLEY r r , Mr V-r . NRM 1 ~ i, 11 1 t T C Y 1 yr l Y 1 i IPd ur "•w.r• .r~ww. h i! ~ i la i It . , . r• rr r.w r-1 -7 - .,wr I row. UIT qv4wr .r: is IYI ( awn Ierw .M j Y wr» - T" Boa. INF IY•w PAM comyowwwo piu"amme % BUILDING 1 RADING 2 69= nm NOM' _ 91 RCH STREET SAGE CONOMMM I,N4{i. D6CKMOM0* 74 IF. GARAGE 7.279 f.f. Coveto WALK: I" &P. TOTAL 431S U. WjLDW G2 UNCOOONo wE i~ : TOTAL 1.110 V. TOTAL COVERAGE 4.470 U. 4 3 5/ 4 3 7 S. BIRCH STREET TOTAL UR AREA:10 0 st. SANTA ANA, CALIFORNIA 14oee •.4"COVMV"ARM ckq SWtgw«= .....r ft. JV4 r,.,/. •r~ ~ f. Yw~wgtG Wl ws~ snM /1.....r...~1l.Jr. ~/,^T n~wwVmw~~. III111~~~.~1.Ar 6,S-10040 390°-13 ALLEY 1 1 1w,1 U 6- lap -r ~1.I1JI 1? P- M IA DL"NG I NAMING 2 81 RCH STREET 435/437 S. BIRCH STREET MANTA ANA. CALIFORNIA .Y WPM ~+~„~1T &95- 10040 11.01.10 39C-14 R:C4'1S _':i. iV s+. ~+07, [~CA+ Nn~U.1RCX w 3'.+Tw.:l N n d0.l1 W. I w~ctuRe asri v[i r•+,u.4 . -rte.. DIKCH 5TRM i p 6R f"G SGALE r.,o. io..Kpt•-v~vrATJ [RC ~AM11GN ® ~ .,.y~...~ taw o.e-.` w~1Co~s [m-TI T vn[.~,. /d.v..aXa ~ L~Tiw I •!Ixw.hq.n ~n•Y^v':<+. an OCp tar OaY'x~~ M.s ~.~ra ~.w. wryscv Ce°ury ~r~ fp~+{~~ qt.~y[, V.x Ape.: `M.x~. Ai+M iV r'!atn®. uaP+ •~"At•-4^ Co-W:x.IGr./w ryy.+.e ~paa.r•~.+w+, f...v+a I M1..n bw+am. a.rorn Ya-a DMeru b,n Pi:~ Oer.e a~ [ (~pt Sw+.r• •C p.~ . ~U.1>,~ vwlrr~ sAii cic+cyo rata R uu 4 Lrn Can+w-ayr .t.4Vmor• rvty4v C~Ia[ tt.~ ./~+M..S S[C01 ML .R '!6n In 4M•w ?x Oor /Ga.Cbr luro Y.r., ,~M.r Csrn •.~r.-e. a I~'~ avow.. o-~ [s b~u tu. 4:a n'd.[.l?. Ihw4 ;M1Va:Ma-.w:a[ iCAI Mpg ~.v.. NAC tlO Mw.W G Y•!fi(Fr re.~a r. i.n+ myvwon.y Ln•e'+n~a ...aw w Va 435/437 SOUTH BIRCH STREET BANTA ANA, CALIFORNIA cia vuHU ~~rr¦rr . IwAMt~ "I~^7 ~ ^ 1 Nr1.Yt! r1.~Yaaw II R~MIG OEDS Sf W.l rMV! IA1'[R Or 5t11lml OARR MU1G1 nDOCD AP19, rl**" G • DR1NN~6E 9MNL NO1 ROW ACImOEi f[OESTRNN WALOM05 695-10040 • MtIMYrAflE M "TW 5K4kU W LOW NMTM WG Mq mve rr &me a*rmx "Teal ~aecreD MID WWI* W !'ROrdt 901IR 00'OdUR 39 0 ' M=W*M TWLWW A I ra •y' • aV IMMR p,[VATMN } . CS^" r .~..IY IlfAll 9MVATNIN r N..y tXR CL VATIBN b s ~ w- w• ur srwff [6NATiON 435/437 S. BIRCH STREET SANTA ANA, CALIFORNIA •:r I rasa 39C-16 ,am s:s mr-- mas. WE 4 rr. rw• OCKMMAND [L[VAr1UN Le" ..smrs~ cs -rte hi, w.r .r. w RpIRTVAN [ldAT1a1 ANT BEE= t+~i.M l r r GOUWYMo [L[VArlok rwaNT s 4 ~ we rte' • rte' MURTVARO [LnATMN REAR 435/437 S. BIRCH STREET BANTA ANA. CALIFORNIA ra .r.o....... r t/ ~+r i aoso io-aaia 39C-17 12-6-10 RECORDING REQUESTED BY: CITY OF SANTA ANA AND WHEN RECORDED MAIL TO: City of Santa Ana - Housing Division 20 Civic Center Plaza, M-37 Santa Ana, CA 92702 DENSITY BONUS AGREEMENT WITH AFFORDABLE HOUSING REQUIREMENT (435-437 S. Birch Street, Santa Ana, CA) THIS DENSITY BONUS AGREEMENT WITH AFFORDABLE HOUSING REQUIREMENT, is made and entered into this day of , 2010, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California ("City"), and Santa Ana WBBB, L.P. ("Developer"). Recitals: 1. Section 41-1600 et seq. of the Santa Ana Municipal Code and section 65915 et seq. of the California Government Code set forth the process to provide increased residential densities to property owners who guarantee that a portion of their residential development will be available to low income, very low-income, or senior (also known as "qualified") households. These regulations are intended to materially assist the housing industry in providing adequate and affordable shelter for all economic segments of the community and to provide a balance of housing opportunities for very low income, low income, and senior households throughout the city. 2. Developer is proposing to the City to develop five (5) residential rental units (the "Project") on the Property located at 435and 437 S. Birch Street in the City of Santa Ana (the "Property") legally described as set forth in Exhibit A, attached hereto and incorporated herein. The Project is more particularly set forth in Density Bonus Application No. 2010-04, Environmental Review No. 2010-103, and Development Plan Review No. 2010-29. 3. The Project is currently being negotiated through a Disposition and Development Agreement with the Community Redevelopment Agency of the City of Santa Ana ("Agency") and close of escrow shall occur when the Developer obtains the entitlement, private activity bond financing, tax credits and a residual receipts loan from the City and the Agency necessary to develop five (5) multi-family rental units on the Property (the "Close of Escrow"). 4. The maximum number of dwelling units which may be developed on the Property under applicable provisions of the City's general plan is 2.23, and 7 under the provision of the zoning ordinance, without a density bonus. 1 EXHIBIT 8 39C-18 5. City desires to increase the number of affordable rental units and the degree to which they are affordable in the City of Santa Ana. 6. In order to promote this goal, and the express provisions of Sections 65915 - 65918 of the Government Code of the State of California ("Density Bonus Law"), the City has determined to grant Developer's application for a density bonus and related concessions and waivers to Developer. 7. As a condition of approval of the Project with the density bonus by City, Developer will provide and maintain a portion of the dwelling units in said Project offering Affordable Rents (as defined in Paragraph I of this Agreement) (the "Affordable Rental Unit(s)") for the Tenant Rental Period. 8. In addition to the density bonus granted to Developer, the Project has been granted concessions or deviations from City development standards including: (i) reduction of the average setback requirement from 27 feet to 21 feet, and (ii) a reduction of the side yard requirements from 6 feet to 5 feet, 2 inches. WHEREFORE, for and in consideration of the mutual promises, covenants and conditions and conditions herein contained, the parties hereto do hereby agree as follows: 1. DEFINITIONS The following words and phrases shall mean and be defined and used for the purposes of this Agreement as follows: A. "Affordable Rent" means the monthly rents which do not exceed the maximum amount applicable to Very Low Income households, as promulgated by the U.S. Department of Housing and Urban Development (HUD). B. "Affordable Rental Unit" means the units that will be rented at affordable rent to very low income qualified households. C. "Affordable Rent Schedule" means a rent schedule established as of the date of issuance of an occupancy permit (exclusive of tenant utility payments or security deposits) for the required number/percentage of the total number of units in the Project which are to be rented or available for rent to very low income tenants. Said Affordable Rent Schedule shall be established at the time of the issuance of the occupancy permit ("Initial Rent Schedule") and shall be created in accordance with the terms and conditions of the Disposition and Development Agreement entered into by and between the Developer and the Community Redevelopment Agency for the City of Santa Ana and the recorded Affordability Restrictions on Transfer of Property. 2 39C-19 D. "Agency" means the Community Redevelopment Agency of the City of Santa Ana, a public body, corporate and politic, exercising governmental functions and powers and organized and existing under Chapter 2 of the Community Redevelopment Law of the State of California, and any assignee of or successor to its rights, powers and responsibilities. E. "Agreement" means this Density Housing Bonus Agreement with Affordable Housing Restriction, entered into by and between the City and the Developer. F. "Area Median Income" means the median income figures for Orange County adopted by the State of California pursuant to Health and Safety Code section 50093, as amended from time to time. G. "City" means the City of Santa Ana, a charter city and municipal corporation. H. "Completion of the Project" shall mean the date on which the certificate of occupancy is issued by City for occupancy in the Project. 1. "Density bonus" means the number of dwelling units approved by City for development on the Property which exceeds the number specified in Recital 2 of this Agreement. J. "Developer" means Santa Ana WBBB, LP, a limited partnership consisting of Orange Housing Development Corporation (OHDC) and C & C Development. K. "Development" means construction or rehabilitation or a combination thereof. L. "Household Size Appropriate for Unit" for the purpose of determining Affordable Housing Cost only, means three persons for a two bedroom Affordable Unit and four persons for a three bedroom Affordable Unit. Household Size Appropriate for Unit is not intended to constitute a limitation on the number of persons who may live in the Unit. M. "Income Certification" means an income certification for very low income tenants in a form set forth in "Exhibit B," attached hereto and incorporated herein by this reference as if set forth in full. N. "Project" means the construction of five (5) rental units, of which, all five will be Affordable Units. 0. "Tenant Rental Period" means with respect to the Project, the period commencing on the date of issuance of the occupancy permit and ending at the expiration of thirty (30) years thereafter, pursuant to Density Bonus Law. P. "Very Low Income Household/Tenants" means persons and families whose income does not exceed fifty (50%) of the median income for the area, as computed by the method described in the income certificate and for whom an income certification has been obtained or prepared in accordance with the provisions of this Agreement, as adjusted by HUD from time to time. 3 39C-20 II. CONDITIONS TO AGREEMENT A. This Agreement is conditional upon City approval of development plans for the Project which provide for not less than five (5) total dwelling units in the Project consisting of two 2-bedroom and three 3-bedroom units, and upon completion of the Project in accordance with such approved plans by Developer. Nothing in this Agreement obligates City to grant such approval or Developer to develop the Project. B. The density bonus provided by this Agreement is conditional upon Developer and any successor-in-interest of Developer in the Property being subject to the covenants set forth in this Agreement as running with the Property. If Developer conveys the Property prior to recordation of this Agreement in the official Records of Orange County, no building permit or certificate of occupancy for the Project which would allow for development or occupancy of more dwelling units than specified in Recital No. 2 of the Agreement shall be issued, unless the successor-in-interest of Developer of the Property executes a document suitable for recordation in the Official Records of Orange County binding such successor-in-interest to the terms and conditions of this Agreement. C. Except as set forth expressly herein, Developer shall carry out the design and construction of the Project in conformity with all applicable laws, including all applicable state labor standards, the City zoning and development standards, building, plumbing, mechanical and electrical codes, and all other provisions of the City of Santa Ana Municipal Code, all applicable disabled and handicapped access requirements, including the Americans With Disabilities Act (42 U.S.C. Section 12101, et seq.) and Government Code Section 4450, et seq. III. AFFORDABLE RENTAL UNIT COVENANT A. Developer covenants that no less than five (5) dwelling unit(s) in the Project, or at least 100% of the units in the Project shall at all times during the Tenant Rental Period be rented to, or held vacant and available for immediate occupancy by very low income households, as defined in California Health & Safety Code section 50105, at a rent that does not exceed 30 percent of 50 percent of the area median income, as adjusted for household size. B. Developer agrees to make a good faith effort to verify that the income and asset statement provided by an applicant in an income certification is accurate by taking at least one of the following steps as a part of the verification process: (1) obtain a pay stub for the most recent pay period, (2) obtain an income tax return for the most recent tax year, (3) conduct a TRW or similar credit check, (4) obtain an income verification form from the applicant's current employer, (5) obtain an income verification form from the Social Security Administration and/or the California Department of Social Services if the applicant receives assistance from either of such agencies, or (6) if the applicant is unemployed and has no such tax return, obtain another 4 39C-21 form of independent verification. C. Upon written request by Developer, City agrees to determine promptly the Initial Rental Schedule based upon the terms of this Agreement and advise Developer of the Initial Rental Schedule within five (5) days of the issuance of the occupancy permit. D. Developer agrees to accept as tenants on the same basis as all other prospective tenants, very low income tenants who are recipients of federal certificates for rent subsidies pursuant to the existing program under Section 8 of the United States Housing Act of 1937 or its successor, and shall not apply selective criteria to Section 8 certificate holders that are more burdensome than the criteria applied to all other prospective tenants. IV. MISCELLANEOUS A. Covenants Run with the Land. The provisions of this Agreement shall constitute covenants, conditions, and restrictions which shall run with the land, and shall inure to the benefit of and be binding upon the Developer, its successors and assigns in interest as successive owners of the Project, as provided herein. Any sale, transfer, or lease of the Project shall be deemed to be made and accepted upon and subject to the covenants, conditions and restrictions and provisions hereof whether or not referred to in the instrument of sale, transfer or lease. B. Independent Contractor. Developer is, and shall be deemed to be, an independent contractor and not an employee of City and shall not become an agent of City. The City is not a partner, joint venturer, alter-ego, manager, or business associate in this Project. The City is not deemed responsible or liable for any acts, omissions or decisions of Developer, nor is City responsible for any loss or injury of any kind to any person or property arising from any construction or development of the Project. C. Non-Discrimination. 1. Leasin . Developer hereby covenants by and for itself, its successors and assigns, that there shall be no discrimination against or segregation of, any person or group of persons on account of any basis listed in subdivision (a) or (d) of Section 12955 of the Government Code, as those bases are defined in Sections 12926, 12926. 1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code, in the sale, lease, sublease, transfer, use, occupancy, tenure, or enjoyment of the premises herein conveyed, nor shall the grantee or any person claiming under or through him or her, establish or permit any practice or practices of discrimination or segregation with reference to the selection, location, number, use or occupancy of tenants, lessees, subtenants, sublessees, or vendees in the premises herein conveyed. The foregoing covenants shall run with the land. 2. Employment. In performing its obligations under this Agreement, Developer shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and 5 39C-22 prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other related activities. Developer affirms that it is an equal opportunity employer and shall comply with all applicable state and local laws and regulations. D. Notice. Any notices, requests or approvals given under this Agreement from one party to another may be personally delivered or deposited with the United States Postal Service for mailing, postage prepaid, registered or certified mail, return receipt requested, to the address of the other party as stated in this paragraph, and shall be deemed given at the time of personal delivery or at the time of deposit for mailing. Either party may change its address for notice by giving written notice thereof to the other party. CITY: City of Santa Ana Community Development Agency 20 Civic Center Plaza - M-37 Santa Ana, CA 92702 DEVELOPER: Santa Ana WBBB, L.P. c/o Orange Housing Development Corporation 4.14 E. Chapman Avenue Orange, CA 92866 Attention: Chief Executive Officer COPY TO: C&C Development 14211 Yorba Street, Ste. 200 Tustin, CA 92781 E. Attorney Fees. In the event legal action is brought to enforce any provisions hereof, the prevailing party shall be entitled to reasonable attorney's fees, together with other legally allowed costs. F. Recordation of Agreement. Upon issuance of building permits for the Project, this Agreement shall be recorded in the official records of Orange County, California. City and Developer agree to execute and deliver for recordation such additional documents or instruments as the other may reasonably request to further confirm or acknowledge the provisions hereof, including the expiration of very low income tenant rental period. G. Amendments. This Agreement may be amended, modified, or changed by the parties hereto, City and Developer, provided that said amendment, modification, or change is in writing and approved by both parties. H. Default. Developer shall be in default hereunder if it shall fail to observe or perform any covenants, conditions, restriction, or provision contained herein on its part to be observed or performed which continues after notice to Developer and failure to cure as provided herein. 6 39C-23 If any such default shall have occurred, then and in such event, City shall be entitled in addition to all other remedies provided by law or in equity: 1. To compel specific performance by Developer of its obligations under this Agreement, it being recognized that the beneficiaries of Developer's obligations hereunder cannot be adequately compensated for by monetary damages in the event of Developer's default. 2. In the event the actual rent collected by Developer for any unit required under this Agreement to be rented to lower income households and very low income tenants is in excess of the maximum affordable rent allowed for such unit in violation of the requirements of Paragraph III of this Agreement, the amount by which any actual rent collected for such unit exceeds the maximum affordable rent for such unit shall be deemed damages payable to City by Developer. Such damages shall be in addition to any other remedy at law or in equity to City. 1. Legal Advice. Each party represents and warrants to the other the following: they have carefully read this Agreement, and in signing this Agreement, they do so with full knowledge of any right which they may have; they have received independent legal advice from their respective legal counsel as to the matters set forth in this Agreement, or have knowingly chosen not to consult legal counsel as to the matters set forth in this Agreement; and, they have freely signed this Agreement without any reliance upon any agreement, promise, statement or representation by or on behalf of the other party, or their respective agents, employees, or attorneys, except as specifically set forth in this Agreement, and without duress or coercion, whether economic or otherwise. J. No Conflict of Interest. No member, official or employee of the City shall have any personal interest, direct or indirect, in this Agreement, nor shall any such member, official or employee participate in any decision relating to the Agreement which affects his or her personal interests or the interests of any corporation, partnership or association in which he or she is, directly or indirectly, interested. K. Nonliability of City Officials and Employees. No member, official or employee of the City of Santa Ana shall be personally liable to the Developer, or any successor-in-interest, in the event of any default or breach by the City on any obligation under the terms of this Agreement. L. Effective Date of Agreement. This Agreement shall be dated and effective as of the date of the action by the City on which it approves this Agreement. M. Entirety of Agreement. This Agreement integrates all of the terms and conditions mentioned herein or incidental hereto, and supersedes all negotiations or previous agreements between the parties with respect to the matters contained herein. N. Successors and Assigns. This Agreement shall be binding upon and shall inure to the benefit of Developer and Santa Ana and their respective successors and assigns. 7 39C-24 O. Governing Law. This Agreement has been entered into, is to be performed entirely within, and shall be governed by and construed in accordance with the laws of the State of California, with venue in Orange County. 8 39C-25 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA: MARIA D. HUIZAR DAVID N. REAM Clerk of the Council City Manager APPROVED AS TO FORM: DEVELOPER: JOSEPH W. FLETCHER SANTA ANA WBBB LP, a California Limited City Attorney Partnership By: ORANGE HOUSING DEVELOPMENT CORPORATION a California nonprofit corporation, its managing general partner By: Lisa E. Storck Assistant City Attorney By: Eunice Bobert Chief Executive Officer By: C&C Development, LLC, a California limited liability company, its developer general partner By: Todd R. Cottle, its member By: The Cottle Family Trust Dated 3/8/1987, its member By: Barry A. Cottle, Trustee 9 39C-26 EXHIBIT A LEGAL DESCRIPTION 39C-27 ROH - 12/13/10 RESOLUTION NO. 2010-23 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING DENSITY BONUS APPLICATION NO. 2010-04 TO ALLOW A FIVE-UNIT RESIDENTIAL DEVELOPMENT AND APPROVING SITE PLAN REVIEW NO. 2010-03 AT 435 AND 437 SOUTH BIRCH STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Density Bonus Application 2010-04 approving two (2) deviations from the Specific Development No. 40 (SD- 40) zoning district development standards pursuant to Government Code Sections 65915, et seq. B. Applicant also is requesting approval of Site Plan Review No. 2010-03 for the construction of two two-story buildings to create five apartments. C. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on December 13, 2010. Section 2. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as to Density Bonus Application 2010-03 as follows: A. The proposed development will materially assist in accomplishing the goal of providing affordable housing opportunities in economically balanced communities throughout the city. The proposed five-unit residential development will materially assist in accomplishing the goal of providing affordable housing opportunities in an economically balanced community. The applicant will construct, rent and maintain five units, representing 100 percent of the proposed development, to Very Low Income Households, thus increasing the total supply of affordable units available for that level of affordability. B. The development will not be inconsistent with the purpose of the underlying zone or applicable designation in the general plan land use element. Resolution No. 2010-23 Page 1 of 5 39C-28 As proposed, the project will be consistent with the purpose of the SD-40 zoning district. With the approval of the two deviations requested by the applicant, the project will comply with all applicable development standards established in the SD-40 zoning district and the guidelines within Citywide design standards. Additionally, the project will be consistent with purpose of the General Plan Land Use Element and Housing Element, as it will further the goals and policies of the plan and not obstruct their attainment. Specifically, it will further the Land Use Element Goal 3, preserve and improve the character and integrity of existing neighborhood; Policy 3.1, support development which provides a positive contribution to neighborhood character and identity; Policy 3.5, encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood and Policy 5.5, encourage development which is compatible with, and supportive of surrounding land uses. Additionally, it will further the Housing Element, Goal 2, provide a diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels, and age groups to foster an inclusive community; Policy HE- 2.3, Rental Housing. Encourage the construction of rental housing for Santa Ana's residents and workforce, including a commitment to very low, low, and moderate income residents and moderate income Santa Ana workers; and Policy HE-2.8, Agency-Owned Sites. Maximize affordable housing on Agency-owned properties that is of high quality, sustainable, and available to various income levels. C. The deviation is necessary to make it economically feasible for the applicant to utilize a density bonus authorized for the development pursuant to section 41-1604 The deviations of the development standards requested are necessary to make the project economically feasible. The deviations requested are: (i) reduction of the average setback requirement from 27 feet to 21 feet, and (ii) a reduction of the side yard requirements from 6 feet to 5 feet, 2 inches. Section 3. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as to Site Plan Review No. 2010-02 as follows: A. Section 41-593.5(c) of the Santa Ana Municipal Code requires a review by the Planning Commission of all plans within a specific development plan area to ensure the project is in conformity with the Specific Plan. Resolution No. 2010-23 Page 2 of 5 39C-29 B. With the approval of the two deviations requested by the applicant, the project is in compliance with all applicable development standards outlined within the Heninger Park Specific Development No. 40 (SD-40). Section 4. In accordance with the California Environmental Quality Act, the proposed project is categorically exempt from CEQA review per Section 15303, class 3 and Section 15332, Class 32. The Class 3 exemption allows new construction multi-family residential structures in urbanized areas designed for not more than six dwelling units. The Class 32 exemption allows for construction of in-fill development projects of less than five acres in urbanized areas. A Notice of Exemption for Environmental Review No. 2010- 103 will be filed for this project. Section 5. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Density Bonus Application No. 2010-04 and approves Site Plan Review No. 2010-03 as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated December 13, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 13th day of December, 2010 by the following vote: AYES: Commissioners: Alderete, Betancourt, Gartner, Yrarrazaval (4) NOES: Commissioners: Acosta, Walters (2) ABSENT: Commissioners: Turner (1) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney By: Ryan O. Hodge Assistant City Attorney Resolution No. 2010-23 Page 3 of 5 39C-30 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2010-23 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on December 13, 2010. Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2010-23 Page 4of5 39C-31 Conditions of Approval for Site Plan Review No. 2010-03 Site Plan Review No. 2010-03 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply with each and every condition listed below prior to exercising the rights conferred by the Site Plan Review. The applicant must remain in compliance with all conditions listed below throughout the life of the Site Plan Review. Failure to comply with each and every condition may result in the revocation of the Site Plan Review. A. Planninci Division 1. All proposed site improvements must conform to the Site Plan Review approval of DP No. 2010-29 and the attached exhibits. 2. Any amendment to this Site Plan Review must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the Site Plan Review must be amended. 3. A Voluntary Lot Merger application shall be approved and recorded prior to issuance of the building permits. Resolution No. 2010-23 Page 5 of 5 39C-32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JANUARY 4, 2011 TITLE: APPROVED E3 As Recommended AMENDMENT TO MANAGEMENT Cl As Amended E3 Ordinance on 1" Reading CLASSIFICATION AND COMPENSATION O Ordinance on 2nd Reading PLAN; AGREEMENT WITH SANTA ANA O Implementing Resolution MANAGEMENT ASSOCIATION O Set Public Hearing For CONTINUED TO FILE NUMBER CITY NAGER RECOMMENDED ACTION 1. Authorize the City Manager and Clerk of the Council to execute an agreement with the Santa Ana Management Association regarding wages and other terms and conditions of employment. 2_ Adopt a resolution amending the City's Basic Management Classification and Compensation Plan (No. 91-066) to provide salary and benefit adjustments to unrepresented Executive Management consistent with those approved for the Santa Ana Management Association. DISCUSSION The City and the Santa Ana Management Association (SAMA) recently completed contract negotiations resulting in a proposed four-year contract extension to the FY 2004-10 Memorandum of Understanding (Exhibit 1). The extension period covers July 1, 2010 through June 30, 2014. The City Manager is requesting that the provisions agreed to by SAMA be applied to unrepresented Executive Management in order to maintain appropriate salary differentials between job classifications and consistency in salary and benefit administration among management units. The primary provisions of the SAMA and Executive Management compensation proposals are as follows: 1) Salary: 07101/10 - 06/30/11 = O% 07101111 - 06/30/12 = 3.0% 07101112 - 06/30/13 = 3.5% 07/01/13 - 06/30/14 = O% 55A-1 Amendment to Management Classification and Compensation Plan; Agreement with Santa Ana Management Association January 4, 2011 Page 2 2) Vacation Cash Out: Employees shall defer longevity vacation and management vacation cash out for FY 2010-11. Allow carryover of 60 hours of longevity vacation and 40 hours of management vacation and a maximum cash out value of 100 hours and 67 hours, respectively, for FY 2011-12, 2012-13 and 2013-14. 3) Pay for Performance (PFP): Eliminate 7.5% (maximum) "Pay for Performance" for unrepresented Executive Management (EM) and Middle Management (MM) employees in FY 2010-11. In lieu of 7.5%, replace with 2.5% increase to the salary schedule for FY 2012- 13 and a 2.5% increase to the salary schedule for 2013-14. 4) Retiree Health Subsidy: Reduce FY 2010-11 deposit to the EM and MM fund from 1.75% to 1 % of base salary, including premiums. 5) The following amendments pertain only to SAMA: 1 . Grievance Process: In FY 2010-11, implement a grievance process for Civil Service employees and implement an alternative process for Civil Service exempt employees. 2. Administrative Management (AM) and Middle Management (MM) Merger Reopener: In FY 2010-11, form a Joint Labor Management Team to discuss merging categories of employment designated as AM and MM. FISCAL IMPACT With regard to the SAMA contract, the first-year savings to the City is $672,995 for deferral of salary increases and leave cash-outs, the elimination of Pay for Performance (PFP), and the temporary reduction of the Retiree Health Subsidy fund. There are additional ongoing savings of $65,105 per year for the elimination of Pay for Performance. The Executive Management proposal represents cumulative savings of $385,117 for voluntary deferral of salary increases and elimination of Pay for Performance (PFP) since January 2009_ The net savings from July 1, 2010 through June 2014 is $229,103, and $72,442 annually thereafter. APPROVED AS TO FUNDS AND ACCOUNTS: __f~L~1~/~•CS ~J N/ ~MJ~S ~J Kathie S. onzalez- Francisco Gutierrez Executive Director Executive Director Personnel Services Agency Finance & Management Services Agency /I o 55A-2 55A-3 Exhibit 1 ::r-%VQraU,?-YEAR CONTRACT EXTENSION TO THE MEMORANDUM OF UNDERSTANDING, AS AMENDED, BETWEEN THE CITY OF SANTA ANA AND SANTA ANA MANAGEMENT ASSOCIATION FOR FISCAL YEARS 2010-11 AND 2011 127-"PaU4914 2013-14 The City of Santa Ana (CITY) and the Santa Ana Management Association (SAMA) have met and agreed to amend *he pre%4eusly amended extend the 2004-10 Memorandum of Understanding (MOU) between the CITY and SAMA for emended M060 for a addi*ienal twe four (4) years. The eixis4imq initial MOU provisions, and the provisions outlined in the two-year contract extension for Fiscal Years 2010-11 and 2011-12 will remain unchanged unless addressed modified by this addendum. The new expiration date of the MOU wM shall be June 30,203:22014, and the MOU wW shall be amended as follows: AMENDED ARTICLE V (new language in bold italics, deleted provisions lined out) 5.2 Schedule of Salaries. A. Two separate schedules of salary rate ranges, one for classifications of employment designated as SAMA Middle Management (MM) assigned to 15 step 17-step monthly salary rate ranges, and one for classifications of employment designated as SAMA Administrative Management (AM) assigned to 5-step monthly salary rate ranges, are attached hereto in matrix format as though set forth herein. The schedules for SAMA Middle Management (MM) classifications and SAMA Administrative Management (AM) classifications and their effective dates are attached to this Agreement as Exhibit A and Exhibit B, respectively, and are listed as follows: Category of Employment Salary Gff"'er=*M rc Schedule No. ETC SAMA Middle Management (MM) M4A- 9159/06 Refer to Exhibit :7 i 4 (Classification assigned to 4-5-17 step 7 i 05 salary rate ranges) MM Q ~ 06 M-M4- 08~ 7 Q SAMA Administrative Management (AM) AM 05/06 Refer to Exhibit ;z 1 04 (Classification assigned to 5-step 7 salary rate ranges) ec _7i' SAMA Contract Extension: 2010-14 Page 1 55A-4 B. The basic salary schedule for SAMA Middle Management classifications contains numerous salary rate ranges, each range comprised of fifteen "15` seventeen 1,17) separate rates of pay shown in monthly amounts. The respective rate ranges are identified by a two-digit number preceded by the capital letters "MM." The separate rates of pay or steps within each salary rate range are identified by the numbers "1" through "17" inclusive, with Step "1" being the lowest or minimum rate of the range, Step 79" the middle or midpoint rate of the range, and Step"rg" "17" being the highest or maximum rate. The purpose of each step and criteria for advancement are set forth in Subsection 5.8(A) below. C. The basic salary schedule for SAMA Administrative Management contains numerous salary rate ranges, designated by the letter "AM" and a three-digit rate range number. These rate ranges are comprised of five (5) steps or rates of pay shown in monthly amounts, identified by the letters "A" through "E" inclusive, with Step "A" being the lowest step in the range. The purpose of each step and criteria for advancement to the next higher step within a particular salary rate range are set forth in Exhibit B and in Subsection 5.8 (B) below. b. The assignment of SAMA classifications to salary rate ranges is listed in Exhibit C, which is attached and made a part hereof as though set forth herein. 5.3 Salaries. E. Effective July 1, 2008, the base salaries of classifications covered by this Agreement shall be increased by approximately four percent (4%). F. Effective January 1, 2009, the base salaries of classifications covered by this Agreement shall be increased by approximately two and one-half percent (2.5%). 6. Effective duly 1, 2009, ~9Q be-Se ==lariir cif a less if ieatiens a_•_red by *his Agree en* she" be inereased by apprexima4:ely four pereeiq* (4%). 1 i- E#feE#*ye January 1, 2919, *19e -base saki-iesefe ssifTeetie;s c-eYered by 4h*5 0 6 _ Effectiye july-1, 2010, the base salaries -of elessi#ieeVens eevered by this Agreement- shell be ineressed by e*el y fe r -----'wt- (4%)- 49- Effective July 1, 2010, there shall be no salary increase for classifications covered by this Agreement. Effective danaary 1. 2011, *he base salaries of elessi#ieet-;ons eever•ed by this SAMA Contract Extension: 2010-14 Page 2 55A-5 H. Effective January 1, 2011, there shall be no salary increase for classifications covered by this Agreement. I. Effective July 1, 2011, the base salaries of classifications covered by this Agreement shall be increased by approximately 3%. J. Effective July 1, 2012, the base salaries of classifications covered by this Agreement shall be increased by approximately 3.5%. K. Effective July 1, 2007, Miscellaneous employees covered by this Agreement shall contribute 2% of their salary toward the employer cost of the 2.7% at 55 retirement benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, this 2% contribution shall be implemented through payroll deduction on a pre-tax basis. L. Effective July 1, 2008, Miscellaneous employees covered by this Agreement shall contribute an additional 2% of their salary (for a total of 4%) toward the employer cost of the 2.7% at 55 retirement benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, this additional 2% contribution shall be implemented through payroll deduction on a pre-tax basis. M. Effective July 1, 2009, Miscellaneous employees covered by this Agreement shall contribute an additional 2.3% of their salary (for a total of 6.3%) toward the employer cost of the 2.7% at 55 retirement benefit- To the extent permitted by CalPERS and Internal Revenue Service regulations, this additional 2.3% contribution shall be implemented through payroll deduction on a pre-tax basis. 6. Should any e*her-berg `'t eeeive a seler-y or bbenef*i„eresse, wiT .e e eeptien of 4% o and ~.WX. se:army--inereQses originsim Tseheduled f y 1, 2009and Tana y 1, 2010, respee*ively, during *he *erm of *1469 Agreement-, 5.4 Application of Basic Compensation Plan. The salary rate ranges contained in Subsection 5.2 and Exhibit C are monthly salary rate ranges. All employees working in classifications of employment covered by this Agreement shall be compensated at a monthly rate. 5.5 Probation. Except for employees in the Excepted Service and employees re-employed from re-employment eligible lists, the probationary period shall be one (1) year from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) or appointment from a promotional eligible list. 5.6 Beginning Rates. SAMA Contract Extension: 2010-14 Page 3 55A-6 A. SAMA Middle Management Classifications. An employee appointed to a Middle Management classification shall be compensated at any rate within the lower third of the X17--step salary rate range (Steps "1" through T 16') for their job classification as authorized by the Appointing Authority. When economic conditions, unusual employment conditions, or exceptional qualifications of a candidate for employment indicate a higher rate would be in the City's best interest, the City Manager may authorize hiring at a higher rate in the salary rate range but this higher rate generally shall not be above the midpoint. B. SAMA Administrative Management Classifications. An employee appointed to an Administrative Management classification may be placed by the Appointing Authority at any step within the applicable five (5) step salary rate range (Steps "A" through "E") in the schedule to which the classification has been assigned through adoption of this Agreement, provided that such employee shall be assigned such salary step upon the commencement of his or her service in said classification and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of this Article as set forth below. 5.7 Service. The word "service" as used in this Agreement shall be deemed to mean continuous, full-time service in the classification in which the employee is being considered for salary advancement, service in the higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Notwithstanding the above, employees in classifications designated as Administrative Management (AM) who are hired after the first (1'T) working day of the month shall not be credited with time in service for that month when determining the length of service for salary advancement. A lapse of service by an employee for a period of time longer than ten (10) calendar days, by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purpose of this Agreement, and any such employee reentering the service of the City shall be considered as a new employee, except that he or she may be reappointed as provided in Santa Ana Municipal Code (SAMC) Chapter 9-114 and may be placed in the same salary step in the appropriate salary rate range as he or she was at the time of termination of employment. 5.8 Advancement Within Ranges. 5# e1T}: ThE'.'PB--rs~rcreores*vcrroh2va vci-rvr-mcrrcc~cscv cv'axrvarrvY'1 SAMA Contract Extension: 2010-14 Page 4 55A-7 use. The- bes+c purpose of :~he perfom,anEeh-ased evalwa*iem and e~ Speeifoe ~m-rtprnsaz-r~vrrve.TCTiTrine44vrr. a. The Appeon44egg Autmiger4y is hereby su*19erimed *a make eppewiq*"len*s the individtieI Eempemrse -ien e; =Middle Managemep4: pei-semmel as guidelines to be tltilimed by =the Exeeutive ~i;=eE#ors in setz;rtg 6. Af*er *19e se $leyee-appewm*ed Middle a "gemen* selery adveneement thneugh the fierwa*nm - s*eps of *19e f+f*eenT3_` stmep selepy~Pete i-enge sigall-be besed e resti*s of an annual e: n e' Qbieet*ves. The -system she inel ide-e-rFs+ief eu*eerAe based bem*weem *19e Appemiq*mng Au*lqer43y, and ear=19 individual manager- subjeet 4:e b-..;anaaepiel Beheviers. in -•ddm*:_... w her _c_lq:e..:_q agreed upen ebjer=*m%,es, ear=19 Middle Managemen4: emple-yee sigall al-se be judgment, planning'-fer-gami7atmien, management eewk-el, e peat- i %41:y, imi4:ia4:i%,e, SAMA Contract Extension: 2010-14 Page S 55A-8 I ne Peese, if @R3~ ',-Will be. S?lie9 alqnUal 'P el-Hienee cVGlU8*-me J9 Sigel! Geevr empleymer}# Ase,nsary Bete -end eeyep *he *welve "2• r-_n+19 _ _:_a preceding that dr*eA-dd+*ienally-et least one infeemal mid yeai- pi-e9pess ..1""11 he held be-4...__n +1._ &-teeu*iye D:........+"" and eig e f b. Repfepmanee and--Rs rnas. Ceeia Middle Menegemen* empleyee's p......F_...me...ee 1 _ _1_ -by Gensistently mee*s- all ebfee#+%'esFa,,d-Peq+* rten4:s and e#eeeds seyercr Mee:~s Ex Meets objectives and requirements. 1 1...6___...+_b1_- b. RerferrAs,.ee-Based Adius#rnen# s. P-M*Iqpv. M" I. 0 7.5%) in tme*e. SAMA Contract Extension: 2010-14 Page 6 55A-9 of a step inereese and ene 4:mrAe --*ary . _ : free *we _ ed and 0 pereen#(2.5%)ef edrrent annual re*-fbase ^--1__.. _ ---1•._ _ __t- of 0 I-a*mnq and whe is being paid a4: a step higher *19an *19e minimum F-ate ef *19e salary rate F-enge, may be redursed by eige er mere !94:eps upen *h 64,y Manager. Verfermenee based inereese of 19i^ _t-: SAMA Contract Extension: 2010-14 Page 7 55A-10 management perfermenee-based eval••. err-sjaS*eM. Sueh ebfeetives, messui-es ai9d standawdsL-qpe -develeped; when al9d hewperfe~merree ne Tewsei-e -te be earl=:edeu*; Igew a 11 Fe be -J af-e A. SAMA Midd/e Manot7ement Classes: The following provisions shall govern salary advancement within rate ranges for employees employed in SAMA Middle Management classes: 1) For any employee in a _SAMA Middle Management classification covered by this Agreement who has been initially appointed to a step lower than Step "17', advancement to the next higher step in the SAMA Middle Management schedule of so/ary rate ranges may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. Such advancement shall be in two-step increments, each step being equivalent to approximately 2.5% for a total annual increase of approximately 5% per year. For example, an employee covered by this Agreement shall advance from Step 1 to Step 3, Step 3 to Step 5 Step 5 to Step 7 Step 7 to Step 9 Step 9 to Step 11, Step 11 to Step 13, Step 13 to Step 15 or Step 15 to Step 17 (the top step in the sa/ary rate range) respectively. This two-step advancement shall be granted for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position- The effective date of such merit step increase, if granted, shall be the first (15' day of the month following the completion of one (1) year of service at the step from which said employee is being advanced. 2) During the term of this Agreement a SAMA Midd/e Management employee who has not yet reached Step 15 of the SAMA Middle Management schedule of salary rate ranges shall continue to progress through the salary rate range at the rate of two (2) steps per year (approximately 5%) until Step 15 is achieved. 3) For the period of Fiscal Years 2010-11 and 2011-12 no SAMA Middle Management employee shall advance further than Step 15 of the salary rate range. SAMA Contract Extension: 2010-14 Page 8 55A-11 4) Effective July 1, 2012, each SAMA Middle Management employee who has already reached Step 15 Shall be a/igib/e to receive a one (1) step merit salary increase (approximately 2.5%) effective on his or her anniversary date in class. Said employee shall then be at Step 16 of his or her salary rate range. 5) Effective July 1, 2013, each SAMA Midd/e Management employee who has already reached Step 16 shall be eligible to receive a one (1) step merit salary increase (approximately 2.5%) effective on his or her anniversary date in c/ass. Said employee shall then be at Step 17 of his or her sa)ary rate range. Such merit advancement sha// require the fo/lowing: a) There shall be on fi/e in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal required to be mode on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. b) The Appointing Authority at /east twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall fi/e with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Appointing Authority as to such recommendations and sha// be informed of the reasons. c) No advancement in salary shall become effective until approved by the City Manager, except when placement on a salary step above Step "1 " results from promotion under the provisions of Section 5.9 (A) of this Agreement. d) Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step advance shall be SAMA Contract Extension: 2010-14 Page 9 55A-12 retroactive to the first C15r) day of the month following the completion of the required length of service. 6) When an employee in a SAMA Midd/e Management classification has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three C3) months of additional continued service in the classification and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six C6) months of additional continued service in the classification. 7) An employee in a SAMA Midd/e Management classification who is being paid at any salary step above Step "1" may be reduced to the next lower step in the appropriate salary rote range upon the recommendation of the Appointing Authority and the approval of the City Manager. Procedure for such reduction shall follow the same procedure for merit advancement in Subsection 5.8 Paragraph CA) C6) above, and such officer or employee may be considered for readvancement under the some provisions as contained in Subsection 5.8 Paragraph CA) C6) above. B. SAMA Administrative Management Classifications: The following conditions shall govern salary advancement within 5-step rate ranges for employees employed in SAMA Administrative Management classifications: 1. For any employee in an Administrative Management classification covered by this Agreement who has been initially appointed to a step lower than Step "E," advancement to the next higher step (Step "B" from Step "A" or Step "C" from Step "B," etc.) may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of such merit step increase, if granted, shall be the first day of the month following the completion of one year of service at the step from which said employee is being advanced. Such merit advancement shall require the following: a) There shall be on file in the Office of the Executive birector of Personnel Services a copy of each periodic eff+c-iency or performance repar# appraisal required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her lost salary advancement. b) The Appointing Authority at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall SAMA Contract Extension: 2010-14 Page 10 55A-13 file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Appointing Authority as to such recommendations and shall be informed of the reasons. c) No advancement in salary " shall become effective until approved by the City Manager, except when placement on a salary step above Step "A" results from promotion under the provisions of Section 5.9(B) of this Agreement. d) Notwithstanding the foregoing provisions of this subsection to the contrary a merit step increase slhall be automatically granted ninety (90) days after the due date if no performance appraisal is completed The effective date of such merit step increase shall be retroactive to the first CJ"') day of the month following the completion of the required length of service. 2. When any such employee in a classification designated as Administrative Management (AM) has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six (6) months of additional service. This reconsideration shall follow the same steps and shall be subject to the some actions as provided in Subsection 5.8(B)(1) above. 3. Any employee in an Administrative Management classification who is being paid at any salary step above "A" may be reduced to the next lower step in the appropriate salary rate range upon the recommendation of the Executive Director and the approval of the City Manager. Procedure for such reduction shall follow the some procedure for merit advancement provided in Subsection 5.8 (B) (1) above, and such employee may be considered for readvancement under the some provisions as contained in Subsection 5.8 (B) (2) above. 5.9 Promotional Salary Advancement. A. SAMA Middle Management Classifications: When an employee in a non-management classification of the City service is promoted to a SAMA Middle Management classification, they shall be placed at a salary rate in the appropriate salary rate range that will provide at least a five percent (5%) pay increase. B. SAMA Administrative Management Classifications: SAMA Contract Extension: 2010-14 Page 11 55A-14 1. Promotion from a Non-Management Classification. An employee who is promoted to a SAMA Administrative Management classification from a non-management classification of the City service shall be placed at a salary rate in the appropriate Administrative Management monthly salary rate range that provides a pay increase of at least one (1) step [approximately five percent (5%)]. 2. Promotional Salary Advancement. When an employee in a classification designated as Administrative Management (AM) is promoted to a higher classification from a position in a lower classification in the some occupational career ladder, he or she shall be reassigned to the beginning step in the appropriate monthly salary range for the higher classification; provided, however, that if the base salary currently being paid such employee is already equal to or higher than such beginning step, he or she shall be placed in the lowest step in the appropriate monthly salary rate range as will grant the employee a pay increase of at least (1) step [approximately five percent (5%)] over his or her current base salary step exclusive of pay premiums such as bilingual pay, special skills or the like. 5.10 Demotion. A. SAMA Middle Management Classifications: When an employee in a Middle Management classification is demoted to a position in a lower classification, he or she shall be placed at a rate in the lower salary rate range which provides at least a five percent (5%) reduction in pay. S. SAMA Administrative Management Classifications: When an employee in a SAMA Administrative Management Classification is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification accordance with the following provisions: 1. The salary rate shall be reduced by at least one (1) step [approximately five percent (5%)]. 2. The new salary rate must be within the appropriate salary rate range. 3. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. 5.11 Probationary Rejection. A promotional employee who is rejected during the probationary period from a SAMA classification shall be returned to the classification in which he or she holds regular status and at his or her former salary step, unless the reasons for failure to complete probation would also be cause for dismissal from City service. SAMA Contract Extension: 2010-14 Page 12 55A-15 5.12 Reallocation of Salary Rate Ranges. An employee who is employed in a classification covered by this Agreement which is reallocated to a different salary rate range from that previously assigned shall be retained in the some salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 5.13 Acting Pax. An employee in a classification covered by this Agreement may be appointed by an Executive Director to serve in an acting capacity during an unplanned absence from work of thirty (30) calendar days or more of another employee represented by SAMA. Represented SAMA employees who are granted "acting pay" shall receive a five percent (5%) increase or the minimum rate of the higher salary range while serving in an "acting" capacity. AMENDED ARTICLE IX (new language in bold italics: deleted provisions lined out) 9.3 Longevity Vacation D. Effective July 1, 2005, employees covered by this Agreement will be permitted to cash-out up to sixty (60) hours of their current year's allocation of longevity vacation accrual on a straight time basis. E. Effective July 1, 2009, all employees covered by this Agreement shall defer for the duration of Fiscal Years 2009-10 and 2010-11 an employee's ability to cash out longevity vacation time- The ability to cash out longevity vacation time shall be re-instated July 1, 201 Z0.11. Such deferral shall not affect an employee's ability to be compensated for all accumulated leave upon termination of employment with the City. F_ Effective July 1, 20:1 2011 through June 30, 20:122014, all employees covered by this Agreement will be permitted to cash-out a maximum of one hundred (100) hours of accrued longevity vacation per fiscal year- Effective July 1, 20122014, the maximum permitted yearly cash out of longevity vacation time shall revert back to sixty (60) hours per fiscal year- 9.4 Limitation on Vacation A_ With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take any vacation leave with pay in excess of fifty (50) working days (400 hours) in any one year by any combination of the vacations granted in these rules and regulations. Further, no employee may carry over from one (1) calendar year to the next more than the equivalent of one (1) longevity vacation period and the equivalent of one (1) regular vacation period from the previous two (2) years and vacation not taken SAMA Contract Extension: 2010-14 Page 13 55A-16 and regulations. Further, no employee may carry over from one (1) calendar year to the next more than the equivalent of one (1) longevity vacation period and the equivalent of one (1) regular vacation period from the previous two (2) years and vacation not taken beyond that amount is forfeited. Therefore, the maximum vacation that an employee with less than six (6) years service could accumulate is thirty (30) working days (240 hours) and only an employee with more than twenty (20) years service could carry over and take the authorized maximum of fifty (50) working days (400 hours) in any one year. B. Effective January 1, 2010, no employee may carry over from one (1) calendar year to the next more than the equivalent of *we (2) thrcc (3) longevity vacation periods and the equivalent of one (1) regular vacation period from the current year and the previous two (2) years; vacation not taken beyond that amount is forfeited. Therefore, the maximum vacation that an employee with less than six (6) years service could accumulate is thirty (30) working days (240 hours) and only an employee with more than twenty (20) years service could carry over and take the authorized maximum of seventy-five (75) working days (600 hours) in any one year. 9.6 Management Vacation Benefit. A. All full time SAMA employees covered by this Agreement will be granted an additional five (5) working days [five (5), eight (8)-hour days for forty (40) hour employees] per calendar year over the regular and longevity vacation schedules applicable to represented non-management employees of the City subject to a maximum accrual of twenty-five (25) days of such additional five (5) days per year. B. Effective January 1. 2010, the maximum accrual of management vacation benefit hours shall increase to thirty (30) days (240 hours). 9.7 Management Vacation Pay Option. A. Effected employees shall be given, once each calendar year, the option to receive cash compensation, computed on a straight-time basis, in lieu of up to five (5) 8-hour working days of earned unused management vacation benefits set forth in Section 9.6 above. B. Effective July 1, 2009, all employees covered by this Agreement shall defer for the duration of Fiscal Years 2009-10 and 2010-11 their ability to cash out management vacation benefits. The ability to cash out management vacation benefits shall be re-instated July 1, 210:102011. Such deferral shall not affect an employee's ability to be compensated for all accumulated leave upon termination of employment with the City. SAMA Contract Extension: 2010-14 Page 14 55A-17 AMENDED ARTICLE XI (new language in bold italics; deleted provisions lined out) 11.0 EMPLOYEE INSURANCE 11.7 Medical Retirement Subsidy Plan. A. Effective Fiscal Year 2004-05, the City's annual contribution to the Medical Retirement Subsidy Plan for full time SAMA employees shall be increased by an additional one-half percent (0.5%) of the bargaining unit's salary base, under the some Medical Retirement Subsidy Plan it maintains for Executive Officers and Management employees of the City. With this additional contribution amount, the City's contribution toward the Medical Retirement Subsidy Plan for SAMA employees shall equal one percent (1.0%) of the bargaining unit's salary base. B. Effective Fiscal Year 2008-09, the City's annual contribution to the Medical Retirement Subsidy Plan for full time SAMA employees shall be increased by an additional four tenths of one percent (0.40%) of the bargaining unit's salary base. With this additional amount, the City's contribution toward the Medical Retirement Subsidy Plan for SAMA employees shall equal one and four tenths' percent (1.40%) of the bargaining unit's salary base. C. Effective Fiscal Year 2009-10, the City's annual contribution to the Medical Retirement Subsidy Plan for full time SAMA employees shall be increased by an additional point three five tenths of one percent (0.35%) of the bargaining unit's salary base. With this additional amount, the City's contribution toward the Medical Retirement Subsidy Plan for SAMA employees shall equal one and three quarters' percent (1.75%) of the bargaining unit's salary base. The City makes its annual contribution to the Medical Retirement Subsidy plan for employees covered by this Agreement in October of each year. The parties to this Agreement hereby agree as follows: 1. The October 2009 payment of 1.75% of base salary to the Medical Retirement Subsidy plan covering the members of this bargaining unit will be suspended entirely; 2. The October 2010 payment of 1.75% of base salary to the Medical Retirement Subsidy plan covering the members of this bargaining unit will be reduced by 0.75%0_ Therefore, the October 2010 payment by the City to the Medical Retirement Subsidy plan covering the members of this bargaining unit shall be 1 _0% of the bargaining unit's salary base; SAMA Contract Extension: 2010-14 Page 15 55A-18 3. Effective Fiscal year 2011-12, the City's annual contribution to the Medical Retirement Subsidy Plan for full time SAMA employees shall revert back to one and three quarters' percent (1.7590) of the bargaining unit's salary base during the term of this Agreement. AMEND ARTICLE XVIII (new language in bold italics-renumber subsequent anticles in MOU) 18.0 GRIEVANCE REVIEW PROCEDURE 18.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or the Association concerning the interpretation or application of specific provisions of this Agreement, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure. Netwiths-tanding the previsions of See#ien~1Pr1, the Git-y agrees t-he* upon the wr,44en request- of &AMA ef*er January 1, 2010, the Git-y will eimEpedMously Mee* and eenfer- w0th &AMA for *he sole purpose of amending this M060 *a irnplernen* a grievenee preeedure fer-employees eevered by-*his -Agreemen* sim"arm 4:he grie epee preeedure eent-owned in the M06P*s of e*her employee bar-gaining unit-9, ineluding Management-, the-Gi#y- 18.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of ten (10) calendar days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. SAMA Contract Extension: 2010-14 Page 16 55A-19 8. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate /eve/ of supervision. C. Sn order that this informal procedure may be responsive, both parties involved shall expedite this process. If within five (5) working days, a mutually acceptable solution has not been reached at the informal /eve/ the employee shall then set forth the grievance in writing, indicate the nature of the action desired sign it, and submit /t in duplicate to his or her- immediate supervisor. At this point, the grievance review process becomes forma/_ Should the grievant fall to f//e a written grievance, and /n the manner spec/fled above, within ten (10) work/ng days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. 18.3 Forma/ Process. A. If a grievance is not resolved through the informs/ process, and o written grievance is f/led within the t/me limits set forth above, the grievant's immediate supervisor shall add his or her comments and any justification he or she considers proper sign it, and forward It to the Department Head without undue de/ay or in no case, more than ten (10) calendar days. 8. Sf the grievant files a written grievance with the Department Head in the manner and within the time limits specified then a conference shall be held at the request of the employee or the Department Head. C. The Deportment Head shall inform the employee of his or her action within ten (10) calendar days after receipt of the request of the settlement- The origin/ of the grievance form and the Department Head's decision shall be filed in the personnel records of the department. D_ If no satisfactory settlement has been reached at the departmental level, the employee may, within ten (10) calendar days after being informed by the Department Head of his or her decision on the matter and the reasons thereof, submit the grievance in writing to the City Manager, or his or he.- duly for determination. Fa//ure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settleaf on the basis of the Department Head's response. SAMA Contract Extension: 2010-14 Page 17 55A-20 E. The City Manager or his duly authorized representative, offer a careful review, shall render a final decision on the merits of the grievance, in writing and return it to the grievant within fifteen (15) calendar days offer receiving the grievance- A copy of the written grievance to the City Manager or his or her duly authorized representative, and of the City Manager's or his or her representative's written decision shall be filed in the personnel records of the department and the grievant's personnel jacket maintained in the Personnel Services Department_ F_ After the procedures set forth in this Article have been exhausted, the grievant the Association, and the City shall have all rights and remedies to pursue said grievance under the law_ ARTICLE ".Y XVXXr 154.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT i8A 19.1 During the term of this Agreement, the parties mutually agree that they will not seek to negotiate or bargain concerning wages, hours, or terms and conditions of employment, whether or not covered by the Agreement, or in the negotiations leading thereto, and whether or not such matters were discussed, or were even within the contemplation of the parties during the negotiations leading to this Agreement. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter not covered by this Agreement, or to carry out any provision of salary or benefit tied to another bargaining unit during the term of this Agreement. 19.2 RE-OPENER REGARDING THE POSSIBLE MERGER OF MIDDLE AND ADMSNISTRATIVE MANAGEMENT CATEGORIES OF EMPLOYMENT During FY 2010-11, the City and SAMA agree to re-open the MO[/ for the purpose of discussing the feasibility of merging Middle and Administrative Management categories of employment. ARTICLE YY XMX 203.0 EMERGENCY WAIVER PROVISION SAMA Contract Extension: 2010-14 Page 18 55A-21 19.1 20- 1 In case of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this Agreement or the Santa Ana Municipal Code or Resolutions, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergencies. After the City declares the emergency over, this Agreement will be reinstated immediately. SAMA shall have the right to meet and confer with the City regarding the impact of the suspension of the provisions in the Agreement during the emergency. AMENDED ARTICLE YXYXXXc (new language in bold italics; deleted provisions lined out) 212-0.0 TERM 20A 21.1 The term of this Memorandum of Understanding shall commence on the date when the terms and conditions for its effectiveness, as set forth in Article III, Implementation, are fully met, but in no event shall said Memorandum of Understanding become effective prior to 12:01 a.m. on July 1, 2004. This Memorandum of Understanding shall expire and otherwise be fully terminated at 12:00 midnight on June 30, 200812 2014. ARTICLE XXII >QU 2221.0 NON-DISCRIMINATION 21-.1 22.1 The parties mutually recognize and agree fully to protect the rights of all employees covered hereby to join and participate in the activities of SAMA and all other rights in the Employee Relations Resolution (Resolution Number 81-075) and Government Code, Sections 3500 through 3511. i2--1-.2 22.2 The provisions of this Memorandum of Understanding shall be applied equally to all employees covered hereby without favor or discrimination because of race, color, sex, sexual orientation, age, national origin, political or religious opinions or affiliations, or disability status or other factors not directly related to the successful performance of the job. SAMA Contract Extension: 2010-14 Page 19 55A-22 ARTICLE YYXXX >Q(XF Z3.0 22.8 RATIFICATION & EXECUTION Z3.1 The City and SAMA have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and SAMA acknowledge that this Agreement shall not be in full force and effect until ratified by the membership of SAMA and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this Agreement is hereby executed by the authorized representatives of the City and SAMA and entered into 4th day of January ZO11. CITY OF SANTA ANA Dated: David N. Ream City Manager RECOMMENDED: ATTEST: Kathie Gonzalez Maria D. Huizar Executive Director Clerk of the Council Personnel Services APPROVED AS TO FORM: CITY ATTORNEY'S OFFICE Joseph Straka Assistant City Attorney SAMA Contract Extension: 2010-14 Page 20 55A-23 This Agreement has been ratified by the membership of the Santa Ana Management Association. Dated: By: President By: Vice President SAMA Contract Extension: 2010-14 Page 21 55A-24 M 00 CO LO r OO C0D 00p M f07 R n O C"! 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BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On July 1, 1991, the City Council passed and adopted Resolution No. 91- 066 re-establishing the Basic Classification and Compensation Plan for classifications of employment designated as unrepresented Executive Management. The City Council has amended Resolution No. 91-066 on numerous occasions since its adoption. C_ On December 17, 2001, the City Council adopted Resolution No. 2001- 089 which amended Resolution 91-066 to establish that the salary rate for the unrepresented Executive Management classification of Fire Chief be increased by the same percentage increases as provided to members of the Fire Management Association (FMA). D. On July 2, 2007, the City Council adopted Resolution 2007-048, amending Resolution No. 91-066, to provide for certain salary increases and benefits for unrepresented Executive Management, with the exception of the classification of Fire Chief, as were provided to Administrative Management and Middle Management employees represented by the Santa Ana Management Association (SAMA), including a two and one-half percent (2.5%) salary increase to be effective January 1, 2009. E. On December 15, 2008, in an on-going effort to maintain the City's financial stability in a difficult economic climate, the City Council adopted Resolution No. 2008-079, authorizing the City Manager to rescind the salary increase scheduled for January 1, 2009, for classifications of employment designated as unrepresented Executive Management. F_ It is the City's desire that, with the exception of the salary for the classification of Fire Chief, unrepresented Executive Management officers and employees shall continue to be subject to the same adjustments in 55A-31 wages and benefits as are provided for Administrative Management and Middle Management employees represented by SAMA. Therefore, it is the City's desire to: 1. Adjust the base salaries assigned to unrepresented Executive Management classifications by the same percentage, on the same dates, and in the same manner as agreed to be provided to SAMA represented management classifications, during the four-year period July 1, 2010, through June 30, 2014, as shown below: July 1, 2010 = 0% (No increase) July 1, 2011 = 3.0% July 1, 2012 = 3.5% July 1, 2013 = 0% (No increase) 2. Continue to provide the unrepresented Executive Management classification of Fire Chief with the same percentage salary increase(s) as are or as will be provided to members of the FMA. 3. Effective July 1, 2010, eliminate the eligibility for Performance-Based Salary Adjustments provisions as found in Resolution 91-066, (maximum of seven and one-half percent (7.5%) annual salary adjustment), for unrepresented Executive Management officers and employees. In lieu of this performance-based incentive, effective July 1, 2012, one (1) additional step will be added to the steps in rate ranges as set forth in Salary Schedule EM-1 1, for a total of 16 steps, and effective July 1, 2013, one (1) additional step will be added to the steps in rate ranges as set forth in Salary Schedule EM-12, for a total of 17 steps. 4. Unrepresented Executive Management officers and employees shall defer longevity vacation and management vacation cash out for FY 2010-11. Allow an additional carryover of 60 hours of longevity vacation and 40 hours of management vacation and a maximum cash out value of 100 hours and 67 hours for longevity vacation and management vacation, respectively, for FY 2011-12, 2012-13 and 2013-14. 5. For FY 2010-11, reduce the Medical Retiree Subsidy Plan deposit for unrepresented Executive Management officers and employees from one and three-quarters percent (1.75%) to one percent (1%) of base salary. 6. Except as provided in Resolution No. 91-066, and as provided in subsequent amendments thereto, continue to treat unrepresented Executive Management classifications as subject to the same basic classification and compensation plan provisions and their application as SAMA represented management classifications. 55A-32 7. Continue to provide unrepresented Executive Management officers and employees with the same retirement, health and other benefit adjustments, based on similar conditions, as provided to SAMA represented management employees, and continue to provide unrepresented Executive Management officers and employees with additional benefits not provided to SAMA represented management employees, as provided in Resolution 91-066. G. It is now desired to amend Council Resolution No_ 91-066 to effect these objectives. Section 2: That Resolution No. 91-066, as amended, is hereby further amended as follows: A. That Section 1. Management Compensation Plan, as amended, is hereby further amended to read as follows: "Section 1. Management Compensation Plan. There is hereby reestablished a Management Compensation Plan for unrepresented Executive Management officers and employees of the City of Santa Ana." B. That Section 2. Schedule of Salaries, as amended, is hereby further amended to read as follows: "Section 2. Schedule of Salaries. A. Two separate salary schedules showing salary rate ranges for classifications of employment designated as Executive Management (EM) are attached hereto in matrix format and are made a part hereof as though set forth in full herein. These schedules and their respective effective dates are listed as follows: Salary Schedule Unrepresented Category of Employment No_ Effective Date Executive Management (EM) EM-11 7/1/11" EM-12 7/1/12- Effective July 1, 2011 (Exhibit A hereto), the salary matrices showing monthly pay ranges and steps in effect on June 30, 201 1 , assigned to classifications of employment designated as unrepresented Executive Management (EM), will be increased by three percent (3%) which is equal to the percentage increase as that provided for classifications represented by SAMA. - Effective July 1, 2012 (Exhibit B hereto), the salary matrices showing monthly pay ranges and steps in effect on June 30, 2012, assigned to classifications of employment designated as unrepresented Executive Management (EM), will be 55A-33 increased by three and one-half percent (3.5%) which is equal to the percentage increase as that provided for classification represented by SAMA. B. Effective July 1, 2012, one (1) salary step will be added to the EM salary step range making a total of sixteen (16) salary steps. This salary step is added in lieu of the incentive based merit pay program eliminated July 1, 2010. C. Effective July 1, 2013, one (1) salary step will be added to the EM salary step range making for a total of seventeen (17) salary steps. This salary step is added in leiu of the incentive based merit pay program eliminated July 1, 2010. D. Each unrepresented Executive Management (EM) salary schedule contains numerous salary rate ranges, each range comprised of seventeen (17) separate rates of pay shown in monthly amounts. The respective rate ranges are identified by a two-digit number preceded by the capital letters "EM" for Executive Management and the separate rates of pay or steps within each salary rate range are identified by the numbers "1" through "17" inclusive, with Step "1" being the lowest or minimum rate of the range, Step "9" is the middle or midpoint rate of the range, and Step "17" being the highest or maximum rate." C. That Section 4.3 Compensation Plan Changes for Unrepresented Executive Management Classifications, as amended, is hereby further amended to read as follows: "Section 4.3 Compensation Plan Changes for Unrepresented Executive Management Classifications. Unless specified otherwise herein, unrepresented Executive Management officers and employees will be subject to the same changes in compensation plan provisions, including but not limited to, bilingual pay; sick leave maximum accrual; bereavement leave; holidays; longevity vacation cash out; medical and dental insurance; access to participate in City's Vision Plan; retirement; residency requirements; medical retirement subsidy plan; and work week schedule, as provided or will be provided to SAMA represented Middle Management employees on or after July 1, 2010." D. That Section 6.21 Medical Retirement Subsidy Plan, as amended, is hereby further amended to read as follows: "6.21 Medical Retirement Subsidy Plan. A. Based on the first payroll period in October 2001 and no later than October 31 each year thereafter, the City shall contribute to a fund for employees covered by this Resolution for the purpose of providing a retiree health insurance subsidy plan. Eligibility for and the specific payments made to affected employees shall be designated by the City Manager. The plan shall be administered by the City, at no cost to the affected employees. The funds contributed by the City will be maintained in such a manner as to insure that they are invested in a reasonably secure plan that 55A-34 bears a reasonable rate of interest/growth given current financial markets, such as investments made pursuant to the then current Statement of Investment Policy for the City of Santa Ana. This program is for medical insurance premium reduction only and will be implemented by February 1, 2002, for an employee retiring after July 1, 2001. If an employee retires between July 1, 2001 and February 1, 2002, he or she will be eligible to participate in said plan; however, in no event, will he or she be eligible to utilize this program until February 1, 2002. Additionally, in no event shall said employee(s) be eligible for retroactive medical program reduction assistance prior to February 1, 2002. B. For Fiscal Year 2009-10, the City's annual contribution to the Medical Retirement Subsidy Plan for employees covered by this Resolution shall equal one and three-quarters' percent (1.75%) of the salary base of unrepresented Executive Management employees, which is equal to that provided for classifications represented by SAMA. 1. Effective October 2010, the payment of one and three-quarters' percent (1.75%) of base salary to the Medical Retirement Subsidy Plan for employees covered by this Resolution will be reduced by three-quarters of one percent (0.75%); therefore, the October 2010 payment by the City to the Medical Retirement Subsidy Plan for employees covered by this Resolution shall be one percent (1 of the salary base of unrepresented Executive Management employees, which is equal to that provided for classifications represented by SAMA. 2. Effective Fiscal Year 2011-12, the City's annual contribution to the Medical Retirement Subsidy Plan shall revert back to one and three-quarters' percent (1.75%) of the salary base of unrepresented Executive Management employees covered by this Resolution, which is equal to that provided for classifications represented by SAMA." E. That Section 7. Management Performance-Based Evaluation System, and subsections thereof, as amended, are hereby further amended to read as follows: "Section 7. Management Performance-Based Evaluation System. There is hereby established a performance based evaluation system for officers and employees employed in classes herein designated as unrepresented Executive Management (EM), the provisions of which are set forth herein below. 7.1 Purpose. The basic purpose of the performance-based evaluation system is to help attract, retain and motivate highly competent managers and to provide them with incentive to excel. 7.2 Salary Advancement Within Rate Ranges. The following provisions shall govern salary advancement within rate ranges for officers and employees in classes herein designated as unrepresented Executive Management (EM): 55A-35 A_ For any officer or employee in an unrepresented Executive Management classification covered by this resolution who has been initially appointed to a step lower than Step "17", advancement to the next higher step in the Unrepresented Executive Management (EM) Schedule of Salary rate ranges may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. Such advancement shall be in two-step increments, each step being equivalent to approximately two and one-half percent (2.5%), for a total annual increase of approximately five percent (5%) per year. For example, an employee covered by Resolution 91-066 shall advance from Step 1 to Step 3, Step 3 to Step 5, Step 5 to Step 7, Step 7 to Step 9, Step 9 to Step 11, Step 11 to Step 13, Step 13 to Step 15, or Step 15 to Step 17 (the top step in the salary rate range), respectively. This two-step advancement shall be granted for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of such merit step increase, if granted, shall be the first (1s) day of the month following the completion of one (1) year of service at the step from which said employee is being advanced. B. Each unrepresented Executive Management employee who has not yet reached Step 15 of the Unrepresented Executive Management (EM) Schedule of Salary rate ranges shall continue to progress through the salary rate range at the rate of two (2) steps per year, approximately five percent (5%), until Step 15 is achieved. C. For the period of Fiscal Years 2010-11 and 2011-12, no unrepresented Executive Management employee shall advance further than Step 15 of the salary rate range. D. Effective July 1, 2012, each unrepresented Executive Management employee who has already reached Step 15 shall be eligible to receive a one (1) step merit salary increase, approximately two and one-half percent (2.5%), effective on his or her anniversary date in class. Said employee shall then be at Step 16 of his or her salary rate range. E. Effective July 1, 2013, each unrepresented Executive Management employee who has already reached Step 16 shall be eligible to receive a one (1) step merit salary increase, approximately two and one-half percent (2.5%), effective on his or her anniversary date in class. Said employee shall then be at Step 17 of his or her salary rate range. F_ Merit advancement shall require the following: 1. There shall be on file in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. 2. The City Manager, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the 55A-36 Executive Director of Personnel Services a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore- The employee shall be notified by the City Manager as to such recommendations and shall be informed of the reasons. 3. No advancement in salary shall become effective until approved by the City Manager, except when placement on a salary step above Step "1" results from promotion under the provisions of Section 5.5 of this Resolution. 4. Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step advance shall be retroactive to the first (1s) day of the month following the completion of the required length of service. G. When an employee in an unrepresented Executive Management classification has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three (3) months of additional continued service in the classification and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six (6) months of additional continued service in the classification. H. An employee in an unrepresented Executive Management classification, who is being paid at any salary step above Step "l," may be reduced to the next lower step in the appropriate salary rate range by the City Manager. Procedure for such reduction shall follow the same procedure for merit advancement in Subsection 7.2, Paragraph (G) above, and such officer or employee may be considered for readvancement under the same provisions as contained in Subsection 7.2, Paragraph (G) above." 1. That Section 7.5 Performance-Based Salary Adiustments, as amended, is hereby further amended to read as follows: "Section 7.5. Performance-Based Salary Adjustments. Effective July 1, 2010, performance-based salary adjustments, maximum of seven and one-half percent (7.5%), for unrepresented Executive Management officers and employees, is eliminated. In lieu of this performance-based incentive, effective July 1, 2012, one (1) merit step will be added to the steps in the rate ranges as provided for in Salary Schedule EM-1 1, for a total of 16 steps, and effective July 1, 2013, one (1) merit step will be added to the steps in the rate ranges as provided for in Salary Schedule EM-12, for a total of 17 steps. Attainment of these merit steps shall be in accordance with Section 7.2, Paragraphs (G) and (H), above." Section 3: That except as amended by this Resolution, all other provisions of Resolution No. 91-066, as amended, shall remain in full force and effect. Section 4: This Resolution shall be operative from and after January 4, 201 1 . 55A-37 ADOPTED this 4th day of January 2011. Miguel A. Pulido Mayor APPROVED AS TO FORM: City Attorney's Office By: Joseph Straka Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2011- 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 55A-38 f~ LR7 u-> M o CO co CD O MO CD f' r~ M O7 r N r co L(7 Co OO M CD O M r~ W Lf,> LO LO Q) L(> ~ M c07 L O/7 00 O M OLR W CD 6) N LOB ca=? 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