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HomeMy WebLinkAbout FULL PACKET_2013-08-05MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JULY 12, 2013 CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 1:10 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor (1:23 P.M.) SAL TINAJERO, Mayor Pro Tern (1:11 P.M.) ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None STAFF Present: KEVIN O'ROURKE, Interim City Manager MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS • Apolonio Cortes, suggested personal and professional characteristics desired in next City Manager — should speak/understand Spanish, relate to community, live in the City, experience with youth related issues, willingness to involve the community in decision - making process, engage the community in development of Strategic Plan, resolve issues with jail, and provide for a balanced budget. • Madeline Spencer, thanked the City Council for community involvement in the selection of the City Manager; thanked Mayor Pro Tern Tinajero for allowing SACReD to serve on interview panel; values and qualifications of next City Manager should include: value transparency, ability to implement Strategic Plan, allow budget allocations to be reflective of community needs, and prioritize needs of community. CITY COUNCIL RECESSED to a Closed Session at 1:20 p.m. at City Hall, Conference Room 831, 20 Civic Center Plaza, Santa Ana, CA. MINUTES SPECIAL MEETING 1 0A -1 JULY 12, 2013 CLOSED SESSION ITEM 1 PUBLIC EMPLOYEE APPOINTMENT pursuant to Government Code Section 54957(b)(1) Title: City Manager CLOSED SESSION REPORT - Nothing to report ADJOURNED - 4:35 P.M. - City Council Meeting Adjourned to Saturday, July 13, 2013 at 8:00 a.m. at City Hall, Conference Rm. 831, 20 Civic Center Plaza, Santa Ana, CA. Maria D. Huizar, Clerk of the Council MINUTES SPECIAL MEETING 2 JULY 12, 2013 1 0A -2 MINUTES OF THE ADJOURNED SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER JULY 13, 2013 CITY HALL 20 CIVIC CENTER PLAZA SANTA ANA, CA 8:10 A. M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None STAFF Present: KEVIN O'ROURKE, Interim City Manager CLOSED SESSION ITEM 1 PUBLIC EMPLOYEE APPOINTMENT pursuant to Government Code Section 54957(b)(1) Title: City Manager CLOSED SESSION REPORT - Nothing to report ADJOURNED - 1:01 P.M. Maria D. Huizar, Clerk of the Council MINUTES ADJOURNED SPECIAL MEETING 1 1OB -1 JULY 13, 2013 10 B -2 MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JULY 15, 2013 CLOSED SESSION MEETING CALLED TO ORDER ATTENDANCE PUBLIC COMMENTS — None COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:10 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern (5:12 p.m.) ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None STAFF Present: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council COUNCIL RECESSED to Room 147 for Closed Session discussion at 5:11 p.m. CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1A CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Government Code Section 54956.9(a) Worker's Comp case of Cecilio Bonilla Case numbers ADJ7242328, 8654394 and 8071401. CITY COUNCIL MINUTES 1 JULY 15, 2013 1 0C -1 Veterans First, Claim No. 2013 -053. 1B CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6 Agency Negotiators: Personnel Services Executive Director, Ed Raya Employee Organizations: Santa Ana Police Officers Association (POA) and Service Employees' International Union (SEIU) Full -Time Employees 1C PUBLIC EMPLOYEE — APPOINTMENT AND PERFORMANCE EVALUATION pursuant to Government Code Section 54957(b)(1) Title: City Manager 1 D PUBLIC EMPLOYEE ANNUAL PERFORMANCE EVALUATION pursuant to Government Code Section 54957 Title: Clerk of the Council CLOSED SESSION REPORT — See Item 19A. for Report. ADJOURNED THE CLOSED SESSION MEETING AT 6:30 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES 2 JULY 15, 2013 1 0C -2 CALLED TO ORDER REGULAR OPEN SESSION COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:31 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS COUNCILMEMBERS Absent: None STAFF Present: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council MAYOR PULIDO ROGER ARAGON, POLICE CHAPLAIN SPECIAL PRESENTATION by State Senator, Lou Correa, 34th District who presented a Resolution to the City of Santa Ana for efforts to reduce gun violence in the local community through the Anonymous Gun Buyback program and wished the City continued success. Also, provided annual report on State Senate accomplishments. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER BENAVIDES to Wesley Shih, Partner and Co- founder Wesley Chu from Sender One Climbing for opening a new facility in Santa Ana. CERTIFICATES OF RECOGNITION presented by INDEPENDENCE DAY CITY COUNCIL AD HOC COMMITTEE MEMBERS REYNA, MARTINEZ, and BENAVIDES, to the 2013 Independence Day Celebration Sponsors - Northgate Market; Gay CITY COUNCIL MINUTES 3 JULY 15, 2013 1 0C -3 Neighbors, Families and Friends; Santa Ana Police Officer's Association; AT &T; C &C Development; Waste Management; Santa Ana Republican Women Federated; and TNT Fireworks for their generous donation and to the Santa Ana Independence Day Celebration Committee for donating their time and efforts to making event a great success. AGENDA ITEM TAKEN OUT OF ORDER COUNCIL AGENDA ITEMS Pursuant to Santa Ana Charter Section 411, any member of the City Council may place items on the City Council Agenda to be considered by the City Council. 85A PUBLIC ART ON UTILITY BOXES (MAYOR PULIDO, BENAVIDES AND REYNA) • James Kendricks, spoke in support of public arts on utility boxes. • Diane Ashbaugh, presented video depicting samples of public art in other cities. Mayor Pulido created an ad hoc committee comprised of self, Councilmembers Reyna and Benavides to further review concept. CLOSED SESSION REPORT — City Attorney Carvalho reported that the City Council will be adjourning meeting to July 18, 2013 at 3:30 p.m. to continue discussion on Closed Session Item; also reported actions considered and included as Agenda Item 19A. PUBLIC COMMENT • Steve Rocco, commented on upcoming restraining order hearing and other related matters. • Samuel Romero, requested to be included in discussion of arts in downtown; reported on increased in vandalism, need for police patrol; proposed police assessment fee to help address matters. • Alex Vega, spoke on disagreement with allocation of baseball fields. • Barbara Lamere, commented on increased use of illegal fireworks on the 4th of JUIy; requested that open space area at Centennial Park be recovered from Santa Ana College. • Jason Wildman, spoke of misdemeanor cases filed against homeless. • Jesus Nieto, addressed the City Council on baseball related issues. o Mayor Pro Tern Tinajero indicated that the Parks, Recreation, Education and Youth (PREY) Council Committee will consider matter on July 29, 2013 at 5:30 p.m. CITY COUNCIL MINUTES 4 JULY 15, 2013 1 0C -4 CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 31 A. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN ABSENT: MINUTES SECOND: Tinajero Amezcua, Benavides, Sarmiento, Tinajero (7) None (0) None (0) None (0) ADMINISTRATIVE MATTERS Martinez, Reyna, Pulido, 10A MINUTES OF THE REGULAR MEETING OF JULY 1, 2013 - 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 SECOND READING ORDINANCE - AMENDMENT APPLICATION NO. 2013 -02 TO REZONE MCFADDEN PLACE FROM LIGHT INDUSTRIAL (M -1) TO SPECIFIC DEVELOPMENT NO. 85 AT 1400 -1441 SOUTH VILLAGE WAY AND 2100 EAST WILSHIRE AVENUE — MAKENA PROPERTIES, APPLICANT - Planning and Building Agency Placed on first reading at the July 1, 2013 City Council meeting and approved by a vote of 7 -0. Published in the Orange County Reporter on July 5, 2013. MOTION: Place ordinance on second reading and adopt. ORDINANCE NO. NS -2846 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REZONING THE PROPERTY LOCATED AT 1400 -1441 SOUTH VILLAGE WAY AND 2100 EAST WILSHIRE AVENUE FROM LIGHT INDUSTRIAL (M1) TO SPECIFIC CITY COUNCIL MINUTES 5 1 0C -5 JULY 15, 2013 DEVELOPMENT NO. 85 (SD -85) (AA NO. 2013 -02) AND ADOPTING SPECIFIC DEVELOPMENT NO. 85 (SD -85) FOR SAID PROPERTY MISCELLANEOUS ADMINISTRATION 19A CLOSED SESSION REPORT — City Attorney's Office MOTION: Approve the following settlement agreements: • AGMT NO. 2013 -105 - Worker's Comp case of Cecilio Bonilla Case numbers ADJ7242328, 8654394 and 8071401; enter into two Stipulated Awards in the amount of $38,056.79 and $23,641.54 and future medical care. • AGMT NO. 2013 -106 - Veterans First, Claim No. 2013 -053; in the amount of $8,778.36 19B EXCUSED ABSENCES — None 19C DESTRUCTION OF OBSOLETE CITY RECORDS — Clerk of the Council MOTION: Approve the request for the destruction of obsolete records from Finance and Management Services Agency and Community Development Agency in accordance with the retention schedule outlined in City Council Resolution 2013 -014. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A APPROPRIATION ADJUSTMENT AND AGREEMENTS - DESIGN AND CONSTRUCTION OF NEW OCELOT EXHIBIT AT SANTA ANA ZOO AT PRENTICE PARK (PROJECT NO. 13 -2636) - Parks, Recreation & Community Services and Public Works Agency MOTION: 1. Authorize the City Manager and Clerk of the Council to execute a funding agreement, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 6 JULY 15, 2013 1 0C -6 AGMT NO. 2013 -107 - With Friends of Santa Ana Zoo ( FOSAZ) for the development of a new Ocelot Exhibit at the Santa Ana Zoo at Prentice Park 2. Authorize the City Manager and Clerk of the Council to execute a professional services agreement, subject to non - substantive changes approved by the City Manager and City Attorney AGMT NO. 2013 -108 - With ELM, Inc., for the development of contract documents for a new Ocelot Exhibit at the Santa Ana Zoo at Prentice Park 3. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2014 -002 - Accepting $350,000 in donations from FOSAZ in the PRCSA Fees and Donations revenue account and appropriating same into the PRCSA Fees and Donations expenditure account for a new Ocelot Exhibit project at the Santa Ana Zoo at Prentice Park. 20B APPROPRIATION ADJUSTMENT FOR CALIFORNIA BOARD OF STATE AND COMMUNITY CORRECTIONS LAW ENFORCEMENT FUNDING - Police Department MOTION: Approve an appropriation adjustment. (Requires rive affirmative votes) APPROPRIATION ADJUSTMENT NO. 2014 -004 - Recognizing $156,379 in Local Assistance law enforcement funds from the California Board of State and Community Corrections in the Police Block Grants revenue account and appropriate same to expenditure account. 20C APPROPRIATION ADJUSTMENT ACCEPTING SUPPLEMENTAL LAW ENFORCEMENT SERVICES FUNDS — Police Department MOTION: Approve an appropriation adjustment. (Requires rive affirmative votes) APPROPRIATION ADJUSTMENT NO. 2014 -003 - Recognizing $442,268 in the Supplemental Law Enforcement Services Fund revenue account and appropriate same to expenditure account for overtime. CITY COUNCIL MINUTES 7 JULY 15, 2013 1 0C -7 20D APPROPRIATION ADJUSTMENT ACCEPTING REIMBURSEMENT AGREEMENT FUNDS FOR NEWPORT BAY TMDL COMPLIANCE - Public Works Agency MOTION: Approve an appropriation adjustment. (Requires rive affirmative votes) APPROPRIATION ADJUSTMENT NO. 2014 -005 - Accepting funds from the County of Orange in the amount of $60,000 into the Federal Clean Water Protection Enterprise Fund and appropriating the same to the Federal Clean Water Protection Enterprise Fund for the Newport Bay TMDL compliance alternative feasibility report. GRANTS /APPLICATIONS 21A AUTHORIZATION TO APPLY FOR FEDERAL HIGHWAY SAFETY IMPROVEMENT PROGRAM GRANTS - Public Works Agency MOTION: Authorize staff to submit grant applications to the State of California Department of Transportation for consideration of federal Highway Safety Improvement Program funding. SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES MOTION: Award in accordance with Request for Council Action. (Items 22A through 22C) 22A SPEC. NO. 09 -036 - TRANSPORTATION SERVICES FOR THE SENIOR CENTERS - Renew the contract with JFK Transportation Company for a one -year period in an annual amount not to exceed $50,000 (Parks, Recreation and Community Services) - Finance & Management Services Agency 22B SPEC. NO. 12 -047 - TRAFFIC LINE PAINTING AND TRAFFIC SIGN MAINTENANCE - Renew the contract with Orange County Striping Service, Inc. for a one -year period in an amount not to exceed $400,275 (Public Works Agency) - Finance & Management Services Agency 22C SPEC. NO. 13 -033 - HEATING, VENTILATION, AND AIR CONDITIONING MAINTENANCE AND REPAIRS - Award a contract to Adelphia, Inc. dba Chandler's Air Conditioning and Refrigeration for a one - year period with provisions for three one -year renewals in an annual amount not to exceed $90,000 - Finance & Management Services Agency CITY COUNCIL MINUTES 8 JULY 15, 2013 1 0C -8 PROJECTS /CHANGE ORDERS 23A CONTRACT AWARD TO AEGIS ITS, INC., FOR TRAFFIC SIGNAL EQUIPMENT REPLACEMENT PHASE I (PROJECT NO. 10 -6719) - Public Works Agency f, C[0 101"FA 1. Award a contract to Aegis ITS, Inc., the lowest responsible bidder, in accordance with the unit bid prices in the amount not to exceed $150,000 for construction traffic signal equipment replacement — Phase 1 project. 2. Approve a Cost Analysis with a total estimated construction cost of $160,000. AGREEMENTS 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 25A through 25G) 25A AGMT NO. 2013 -109 - LANDSCAPE MAINTENANCE SERVICES IN DISTRICT FOUR PARK SITES - With Azteca Landscape for an 18 month term with four one -year renewal options in an amount of $1,174,926.06 with a 10% contingency for unanticipated work for a total amount not to exceed $1,292,418.67 - Parks, Recreation & Community Services Agency 25B AGMT NO. 2013 -110 — CLOSED CIRCUIT TELEVISION INSPECTION OF SANITARY SEWER SERVICES - With Houston & Harris PCS, Inc. in an amount not to exceed $400,000 for a term expiring June 30, 2014 and may be renewed for up to three additional one -year periods. - Public Works Agency 25C AGMT NOS. 2013 -111 AND 112 - AMENDMENTS - ON -CALL ENGINEERING SERVICES FOR WATER AND SEWER PROJECTS - With Tetra Tech, Inc., & Psomas, Inc. for one -year terms in an amount not to exceed $200,000 for each firm. - Public Works Agency 25D AGMT NO. 2013 -113 - AMENDMENT - WATER SYSTEM PROGRAMMING AND ENGINEERING SERVICES - With CPC Powertec, CITY COUNCIL MINUTES 9 JULY 15, 2013 1 0C -9 Inc. for a two -year term, in an amount not to exceed $60,000 per year. - Public Works Agency 25E AGMT NOS. 2013 -114 and 2013 -115 - AMENDMENTS - STORM DRAIN FACILITY CLEANING AND SPILL RESPONSE - With United Storm Water, Inc., & Ocean Blue Environmental Services, Inc., exercising the option to extend the term for a one -year period, providing funding in the amount of $250,000 annually, and assigning authority to the City Manager to exercise three remaining one -year options to extend. - Public Works Agency 25F AGMT NO. 2013 -116 - SETTLEMENT AGREEMENT FOR GRAND AVENUE WIDENING (PROJECT NO. 081732, NON - GENERAL FUND) (PROPERTY AT 1221 E. FIRST ST., UNIT A, APN 308 - 454 -12 & 13) - With Western Dental Services, Inc. dba Western Dental in the amount of $90,105. - Public Works Agency 25G AGMT NO. 2013 -117 — STATE GOVERNMENT LIAISON SERVICES - With Townsend Public Affairs in an annual amount not to exceed $50,000 and term expiring June 30, 2014. - City Manager's Office LAND USE MATTERS CONDITIONAL USE PERM ITIVARIANCES 31A CONDITIONAL USE PERMIT NO. 2013 -06 TO ALLOW EXTENDED BUSINESS HOURS FOR A 7- ELEVEN CONVENIENCE MARKET AT 5210 WEST FIRST STREET, SUITE A - RALPH DEPPISCH, APPLICANT - Planning and Building Agency Recommended action approved by the Planning Commission on June 24, 2013, by a vote of 5 -0 (Alderete and Gartner absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2013 -06 as conditioned. * *END OF CONSENT CALENDAR ** CITY COUNCIL MINUTES 10 JULY 15, 2013 1 0C -10 BUSINESS CALENDAR ITEMS RESOLUTIONS 55A RESOLUTION ESTABLISHING THE APPROPRIATION LIMIT OF THE CITY OF SANTA ANA FOR FY 2013 -14 - Finance & Management Services Agency MOTION: Adopt a resolution. RESOLUTION NO. 2013 -036 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING THE APPROPRIATION LIMIT OF THE CITY OF SANTA ANA FOR FISCAL YEAR 2013 -2014 MOTION: Sarmiento SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Reyna, Pulido, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 55B WORKFORCE INVESTMENT ACT TITLE I SUB -GRANT FOR PROGRAM YEAR 2013 -2014 — Community Development Agency MOTION: Adopt a resolution. RESOLUTION NO. 2013 -037 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER OR HIS DESIGNEE TO EXECUTE ALL NECESSARY DOCUMENTS FOR THE WORKFORCE INVESTMENT ACT SUB -GRANT WITH THE STATE OF CALIFORNIA, WORKFORCE INVESTMENT DIVISION MOTION: Martinez SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Reyna, Pulido, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) CITY COUNCIL MINUTES 11 JULY 15, 2013 1 0C -11 *Councilmember Sarmiento reported that out of an abundance of caution and due to any potential nexus with business clients would be recusing self from Agenda Item 75A; he left the dais and did not return to the meeting. PUBLIC HEARINGS 75A PUBLIC HEARING - ORDINANCE REGULATING ALCOHOL SALES AND ENTERTAINMENT — MODIFICATIONS TO CHAPTER 41 & 11 OF SAMC (ZOA NO. 2012 -03) — Planning and Building Agency Recommended action approved by Planning Commission on November 26, 2012, by a vote of 4 -2 (Alderete, Yrarrazaval opposed). Item continued from the December 3, 2012 Council meeting per staff request by a vote of 7 -0; Continued from the February 4, 2013 Council meeting per direction from the Public Safety Council Committee; Council continued per staff's request to a minimum of 90 days on March 4, 2013. Legal Notice published in the Orange County Reporter on July 5, 2013. Executive Director of Planning and Building, Jay Trevino presented staff report. Listed process and extensive number of meetings held on the subject. Written communication received and entered into the record. Mayor Pulido opened the Public Hearing. The following speakers addressed the Council: • Omero Guerrero, spoke in support of proposed ordinance. • George Mendoza, spoke in support of ordinance; provisions of ordinance would allow patrons to enjoy the City after hours. • Allen Moon, advocate for vibrant cultural components, supports ordinance that aligns with branding of City. • Sara Escalante, representing the Santa Ana Business Council, concerned that Police Department not able to handle after hour calls and vandalism; concerned about distance between establishments allowed to operate; does not support ordinance. • James Kendricks, supports ordinance, businesses will be given another tool to promote their business — become destination City. • Jonathan Pantoja, spoke in opposition of ordinance. • Tixoc Ventura, spoke in opposition to ordinance; other recreational activities should be promoted. CITY COUNCIL MINUTES 12 JULY 15, 2013 1 0C -12 • Apolonio Cortes, concerned with ordinance, underage drinking a problem. • Carlos Melendes, spoke in opposition to ordinance, reiterated concerns expressed by previous speakers; maintain ordinance in current form. • Juan Carlos, opposes ordinance, City should not approve more bars to operate. • Manuela Lopez, oppose ordinance, City to focus on health and well- being of our youth, and reduce alcohol sales. • Nancy Mejia, representing Latino Health Access, promoting health and fitness corridor in the downtown area; concerned with last minute changes proposed; increased number of new bars in area; establishments not be required to sell food; presented 235 petitions opposing ordinance — City Council to take balanced approach. • Teresa Cuin, opposed to ordinance and potential increased number of establishments that will allow alcohol. • Pierre DeJardins, owner of Bistro 400 Restaurant, strongly supports ordinance. • Jordan Satz, spoke in support ordinance, will allow for safer environment and better food options. • Adrian Munoz, not opposed to ordinance, but safety of inebriated patrons. • Dave Leon, co -owner of Yost Theater and Velvet Lounge, supports ordinance and summed up 10 reasons for support. • Zach Moos, resident and operation of Velvet Lounge; operators will be held accountable and increase safety; Santa Ana to be more competitive; supports ordinance. • Brandon Owen, business owner and event promoter in the City; area revolutionizing; supports ordinance. • Darren Shippen, thanked staff for all meetings held on the subject; spoke in support of ordinance. • Dave Hoen, ordinance does not change hours alcohol allowed to be sold, businesses need to have tools to succeed; ordinance may be revised at a later time, if needed. • Chris Lasoya, supports ordinance • Mathew Vertiglione, supports ordinance and after -hour businesses. • Austin Acevedo, supports ordinance, will minimize driving under the influence. • Eric Barnes, supports entertainment hours extended to 4 a.m.; allows for safer environment for patrons. • Elaine Garcia, opined that ordinance is wise economic decision for City. • Mire Molnar, supports after hour eateries. • Heath Duran, noted that City not changing drinking age or extending hours of alcohol sales, only extending business hours with no alcohol sale; Conditional Use Permits continue to require full discretion of the City Council. CITY COUNCIL MINUTES 13 JULY 15, 2013 1 0C -13 • Katy Barraza, supports after hour businesses that will provide safer environment. • Beatriz Hernandez, noted that responsibility is at home; alcohol sales will stop at 2:00 p.m.; change will promote the City and increase employment. • Victoria Salgado, opposed to density of establishments that sell alcohol. The Hearing closed at 8:46 p.m. City Council discussion ensued. Councilmember Benavides thanked speakers; ordinance has been streamlined and revised over past 2 years; will allow for other improvements in the downtown area; City reviewed entertainment district; proposed modification to recommendation #2 to change Downtown and Transit Zoning Code areas from 500 feet to 250 feet. Pulido seconded motion for purposes of discussion. Mayor Pro Tem Tinajero commented that in the City of Fullerton the police costs have outweighed the revenue being generated in the downtown. Requested clarification from staff on need for including sale of food after - hours component in ordinance. Proposed motion to adopt staff recommendation and include provision that businesses with more than 500 people capacity be allowed to have after -hour entertainment, but table the bar matter to the following City Council meeting. Councilmember Martinez agreed with recommendation by staff. Planning & Building Agency Executive Director Trevino indicated that sale of food will provide balance with restaurants and those selling only alcohol; ordinance drafted by staff addresses concerned heard from businesses and provides balance; Planning Commission added provisions that include allowance for more bars anywhere in the City and 500 foot separation from other bar, school or park, other component added was after hour entertainment; police department concerned with public safety issues that after hours entertainment may pose; proposed that businesses with capacity of more than 500 feet be allowed to apply for entertainment permit for extended hours through the Conditional Use Permit (CUP) process. City Attorney Carvalho clarified Robert's Rules of Order as they pertain to the order substitute motions are considered. Councilmember Amezcua asked if Police patrol units able to handle capacity. Deputy Police Chief McGeachy commented on staffing challenges and noted that approximately 15 -17 officers on duty during those hours. CITY COUNCIL MINUTES 14 JULY 15, 2013 1OC -14 Mayor Pulido requested clarification on substitute motion made by Mayor Pro Tern Tinajero from staff. Planning & Building Agency Executive Director Trevino indicated that businesses could continue to sell food, but the entertainment is at question. Councilmember Martinez concerned with public safety and staff resources. Commented on number of staff members of other police department agencies with similar issues. Support Mayor Pro Tern Tinajero's motion to allow larger establishments to be open longer and allow entertainment. Planning & Building Agency Executive Director Trevino noted that all businesses that have after hour Conditional Use Permit (CUP) could continue to sell food under existing ordinance because it requires a CUP and they all have permits. Councilmember Reyna suggested that only staff recommendation be considered; City Council concurred to only consider original motion. MOTION: 1. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2847 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTERS 11 AND 41 OF THE SANTA ANA MUNICIPAL CODE TO UPDATE THE CITY'S REGULATION OF ENTERTAINMENT AND ALCOHOL PERMITS AND APPLICATION STANDARDS. 2. Rescind Planning Commission Resolution No. 89 -7 which delegated authority to the Zoning Administrator to act on alcohol sales Conditional Use Permits. MOTION: Reyna SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Reyna, Pulido, Tinajero (6) NOES: None (0) ABSTAINED Sarmiento(1) AND NOT PRESENT: ABSENT: None (0) CITY COUNCIL MINUTES 15 JULY 15, 2013 1 0C -15 *Mayor Pulido and Mayor Pro Tern Tinajero left the meeting at 9:25 p.m. and did not return. COMMENTS 90A CITY MANAGER'S COMMENTS — None 90B CITY COUNCILMEMBER COMMENTS Councilmember Martinez: • Recently attended event at Delhi Center; thanked business community for employing youth; • Attended Housing Element meeting last week; City adding health component; thanked non - profit organizations for their contributions to effort; • Thanked all participants in City Manager recruitment process; • Attended NALEO Conference as a board member; many Federal Issues impacting community including Tax - Exempt Bonds; and • Announced that City will be hosting Strategic Planning Community Forum on Saturday, August 10th at 9:30 a.m. at the Southwest Senior Center. Councilmember Amezcua: • Suggested that Sasser and Birch Parks be excluded from alcohol and entertainment ordinance requirements. Councilmember Reyna • Thanked representatives that participated in the City Manager recruitment process; encouraged all to attend Strategic Planning Forum; • Look forward to proposed local art program (on utility boxes); suggested that youth be included in the process; and • Urged all to shop in Santa Ana. Councilmember Benavides: • Thanked all for attending tonight's meeting and interest in the community; • Invited all to attend Sunset at the Zoo event on Sunday, July 21St; • Encouraged all to shop in Santa Ana; and • Adjourned meeting to Thursday, July 18th at 3:30 p.m. CITY COUNCIL MINUTES 16 JULY 15, 2013 1 0C -16 ADJOURNED- 9:49 P.M. - The meeting was Adjourned to Thursday, July 18, 2013 at 3:30 p.m. for a Closed Session Meeting in Room 831 of City Hall, 20 Civic Center Plaza, , Santa Ana, California. Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS Street Car Project Locally Preferred Alignment • Ordinance Addressing Homeless Shelters as per Requirements in SB 2 • Public Hearing on Sexlinger Property Adoption of Strategic Plan • Harbor Blvd. Mixed -Use Plan CITY COUNCIL MINUTES 17 JULY 15, 2013 1 0C -17 1 0C -18 MINUTES OF THE ADJOURNED REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER JULY 18, 2013 CITY HALL 20 CIVIC CENTER PLAZA SANTA ANA, CA 3:41 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern (4:12 P.M.) ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None STAFF Present: KEVIN O'ROURKE, Interim City Manager CLOSED SESSION ITEM 1 PUBLIC EMPLOYEE APPOINTMENT pursuant to Government Code Section 54957(b)(1) Title: City Manager CLOSED SESSION REPORT - Nothing to report ADJOURNED - 5:23 P.M. Maria D. Huizar, Clerk of the Council MINUTES ADJOURNED REGULAR MEETING 1 1OD -1 JULY 18, 2013 10 D -2 MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JULY 23, 2013 CALLED TO ORDER SOUTHWEST SENIOR CENTER 2201 W. McFADDEN AVENUE SANTA ANA, CA 4:37 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor (4:53 P.M.) SAL TINAJERO, Mayor Pro Tern (5:16 P.M.) ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None STAFF Present: KEVIN O'ROURKE, Interim City Manager JOSE SANDOVAL, Chief Deputy City Attorney MARIA D. HUIZAR, Clerk of the Council Quorum was established thru presence of Councilmembers Amezcua, Benavides, Martinez, Reyna, and Sarmiento. MOTION: Elect Councilmember Amezcua as Chair (pursuant to SAMC 2- 101 due to unavailability of Mayor and Mayor Pro Tem). MOTION: Martinez SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Martinez, Reyna, and Sarmiento (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Pulido, Tinajero (2) MINUTES SPECIAL MEETING 1 JULY 23, 2013 10E -1 PUBLIC COMMENTS — None COUNCIL RECESSED to Conference Room for Closed Session discussion at 4:38 p.m. PUBLIC COMMENTS — None CLOSED SESSION ITEM 1 PUBLIC EMPLOYEE APPOINTMENT pursuant to Government Code Section 54957(b)(1) Title: City Manager `Mayor Pulido left at 5:16 p.m. and did not return. WORK STUDY SESSION WS1 Santa Ana /Garden Grove Transit Vision Update — Cities of Santa Ana and Garden Grove Transit Vsion and Go Local Project Concept Presentation presented by Interim City Manager O'Rourke and Jason Gabriel, Principal Civil Engineer Why are we here? • Start a Conversation with the Mayor & City Council & Seek/Reaffirm Policy Direction on: 1. City Adopted Transit Vision 2. Streetcar 3. Grade Separation 4. Expansion of the Santa Ana Regional Transportation Center (SARTC) 5. Possible Relocation of OCTA Offices 6. 1 -5 Freeway HOV Widening Project Background OCTA approved the "Go Local" program in 2006 • City- initiated Transit Extensions to Metrolink • In 2008, Santa Ana /Garden Grove Submitted Fixed Guideway Project Concept as Part of the Larger Transit Vision • Santa Ana's Transit Vision — A Streetcar MINUTES SPECIAL MEETING 2 JULY 23, 2013 10E -2 — Expansion of the Santa Ana Regional Transportation Center (SARTC) — Santa Ana Blvd. Grade Separation • City was awarded Funding to fully develop Project Concept Whv Street Car? Gal Future on • Population density of 1.5 times L.A. • 5th most densely populated City in U.S. • 17,380 residents per square mile • 48,500 jobs per square mile • City, County, State & Federal offices and courthouses • SARTC average weekday visitor count is 2,995 • Served by 18 OCTA bus routes • 17.8% of households without a car • 13.8% of residents use public transit • Historic Pacific Electric Railway route • A Streetcar is a destination in and of itself Transit Leade Initial segm r in Oranae Count ent in Santa Ana Potential future extension through Garden Grove Would connect Anaheim & Garden Grove to Downtown Santa Ana and the Civic Center MINUTES SPECIAL MEETING 3 JULY 23, 2013 10E -3 ni n­ �a.,w .w I an.M1.MO.Vtl ...wm ... � n..... w a.w, �,a. •�a ���6e uw. f ent in Santa Ana Potential future extension through Garden Grove Would connect Anaheim & Garden Grove to Downtown Santa Ana and the Civic Center MINUTES SPECIAL MEETING 3 JULY 23, 2013 10E -3 Alternatives Analyzed • Reduced Set of Alternatives Evaluated in Environmental Assessment (EA) / Draft Environmental Impact Report (DEIR) (Nov 2012): ❑ No Build ❑ Transportation System Management (TSM) • Changes to Existing OCTA Bus System • Low Cost ❑ Streetcar 1 ❑ Streetcar 2 Streetcar Alternatives To ARC �1 Metmllnk/ T Amtrak to Los Angeles Curtin G. PegbnaliruWl Sesw y iG C3 Ans ff 999 � 8 "i'Sa :EHgo LEGEND Sveertarl Slrw�[ar3 o v,mone swe sway a.a Average Daily Ridership Projections 8,000 6,000 4,000 2,000 r Ridership 0 TSM/Bus Streetcar Streetcar 1 2 1. Ridership projections for streetcar alternatives based on average of high and low forecasts Streetcar Economic Development Potential MINUTES SPECIAL MEETING 4 JULY 23, 2013 10E -4 • In Portland, $3.5 billion was invested within 2 blocks of the initial streetcar alignment • In Seattle, $2.4 billion in investment occurred within 3 blocks of the streetcar line • Tampa gained $1 billion in investment within 3 blocks of its streetcar line • Little Rock attracted $816 million in capital investment along its 3 -mile River Rail streetcar corridor within 10 years • Santa Ana /Garden Grove investment potential being evaluated as part of the next phase of the project. • Preliminary analysis anticipates a similar level of investment as Little Rock. Streetcar Economic Develooment Potential Cost Estimates tS i+l4kAI&ts` $16,4 $13.2 Streetcar 1 $2311.4 $49 Streetcar 2 $257.0 $6,1 $1.5 $112 $141 516.4; $43 $21:13 , $18.4 $61 534.5 1. All costs in millions 2. Annualized Costs are based on a 12 -year bus and a 25 -year streetcar useful life per FTA depreciation schedule 3. Full cost, including previously funded phases, year of expenditure, Cordoba Corporation, July 2013 4. Includes O &M costs for travel time improvements outside the study area Cost Comparison to Other Systems With a pre- construction capital cost estimate of $47.5 million per mile, the cost of the Santa Ana - Garden Grove system is on par with other streetcar and BRT systems being planned and /or built: • Tucson's nearly completed streetcar cost $50.5 million /mile • Seattle's First Hill streetcar will cost $53.6 million /mile MINUTES SPECIAL MEETING 5 JULY 23, 2013 10E -5 • Kansas City's streetcar is estimated to cost $50 million /mile • Portland's Lake Oswego extension will cost $59.3 million /mile • Anaheim's streetcar may cost $99.7 million /mile • The Hartford New Britain Busway is estimated to cost $60.9 million /mile' • San Francisco's Van Ness Avenue BRT system will cost $62.8 million /mile` despite their relatively high costs, both of the BRT systems received federal New Starts funding Community Outreach Efforts • General community awareness campaign Initiated Oct 2012 ❑ One -on -one & small group discussions with more than 30 groups: • Schools • Churches • Businesses • Service organizations • Neighborhood associations ❑ More meetings planned • Focused Downtown Santa Ana business outreach ❑ Initiated Nov 2011 ❑ Fixed Guide -Way tours ❑ Property owners ❑ Merchants ❑ Arts Council ❑ Door -to -door meetings with more than 234 business representatives ❑ Information provided in English & Spanish MINUTES SPECIAL MEETING 6 JULY 23, 2013 10E -6 Steps take & Immediate Actions Remaining: To Date: a) Go Local request by OCTA (2006) b) City Proposal (2007) c) OCTA funding to City for conceptual development (2008) Moving Forward: 1) City Council — Information (7 -16 -2013) 2) City Council - SS / LPA & Environmental Status 7 -23 -2013 (first time public interacts w/ full CC) 3) OCTA — Project Status to (August 2013) 4) Release Environmental (August 2013) 5) OCTA — Completion of Draft Environmental (September /October 2013) 6) City Council - Select LPA & Certify Environmental (November 2013) 7) OCTA — Confirm adoption of LPA & Environmental by City Council (December 2013) Council Police Direction Needed As Leaders in the County for the Regional Transit Vision, the City Council needs to Advise Staff: 1. Do you Support the Proposed Project & Next Steps? 2. Owner /Operator goes to OCTA — Design & Construction — Operations & Maintenance ($5 — 6 million annually) City Council made several general comments on proposed Streetcar project, including: overwhelming support of proposed project; need to have balanced distribution of transit funds i.e. highways, streets, etc.; proposed Streetcar project would alleviate street traffic congestion; OCTA's M -2 funds set aside for alternative modes of transportation; evaluate alternative route drop off; staff to analyze tangible benefits to City's economic development; study walkability component; City Council supports OCTA as owner and operator of Streetcar; Council to promote and encourage Countywide support of project. MINUTES SPECIAL MEETING 7 JULY 23, 2013 10E -7 Interim City Manager O'Rourke briefly discussed the SARTC concept and Caltran's proposed Interstate 5 Freeway HOV Widening Project ADJOURNED - 6:45 P.M. Maria D. Huizar, Clerk of the Council MINUTES SPECIAL MEETING 10E -8 JULY 23, 2013 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: ORDINANCE SECOND READING: ORDINANCE REGULATING ALCOHOL SALES AND ENTERTAINMENT — MODIFICATIONS TO CHAPTER 41 & 11 OF SAMC (ZOA NO 20 3) C Y NAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15t Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On July 15, 2013, the City Council introduced first reading and authorized publication of title for the following Ordinance by a vote of 6 -0 (Sarmiento abstained): ORDINANCE NO. NS -2847 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTERS 11 AND 41 OF THE SANTA ANA MUNICIPAL CODE TO UPDATE THE CITY'S REGULATION OF ENTERTAINMENT AND ALCOHOL PERMITS AND APPLICATION STANDARDS FISCAL IMPACT There is no fiscal impact associated with this action. Maria D. Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS -2847 11 A -1 11 A -2 (ROH 08/05/13) ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTERS 11 AND 41 OF THE SANTA ANA MUNICIPAL CODE TO UPDATE THE CITY'S REGULATION OF ENTERTAINMENT AND ALCOHOL PERMITS AND APPLICATION STANDARDS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. That the judicious regulation of the sale and service of alcohol is necessary to protect the public health, safety and welfare. B. That the City of Santa Ana seeks to be in compliance with the State of California's regulations for the sale and service of alcohol as contained in the Alcoholic Beverage Control Act (Business and Professions Code Section 23000 - 23047). C. That, after a thorough period of research and public involvement, the following standards have been developed in order to simplify the permitting process for alcohol sales conditional use permits, while maintaining those regulations necessary to provide for public health, safety and welfare. D. The Police Department is currently updating Chapter 11 to create regulations to encompass entertainment establishments. The Department recognizes that the unique entertainment venues within the City serve to provide a rich and diverse cultural experience for individuals and visitors to the City. E. With reduced revenues and the increased growth of nightlife in the city, the Police Department is seeking to support the emerging vibrant uses by developing a strong ordinance to mitigate any negative impacts associated with these venues, and to minimize calls for service while ensuring a reduced fiscal impact on the City. F. Police department data convincingly supports the premise that the City's entertainment establishments routinely generate a greater percentage of police - related calls and require a greater number of police service hours than establishments that do not provide entertainment. 11 A -3 G. The proposed revisions will add operational standards, such as minimum lighting and security guards, while deleting outdated requirements, such as patron registration. The proposed revisions to Chapter 11 will address all live entertainment venues throughout the City and will rename the Dance Permit to the Entertainment Permit. The Entertainment Permit would require the permitting of any venue having live entertainment on a regular basis. The proposed revisions would establish five entertainment categories each specifying mandatory criteria and operational standards, such as requiring minimum police officer and security staffing, attendee identification scanning and a security plan. H. The changes to Chapter 11 will require all entertainment venues within the City that are currently conducting entertainment to obtain an Entertainment Permit. Existing uses will be given a one -year grace period in order to obtain the permit. The changes will create a consistent set of regulations for all entertainment venues within the City. J. The Request for Council Action for this ordinance dated July 15, 2013, shall by this reference be incorporated herein, and together with this ordinance, any amendments or supplements and the oral testimony before the City Council at this meeting, shall additionally constitute the necessary findings for this ordinance. K. All provisions of the Santa Ana Municipal Code which are repeated herein are repeated solely in order to comply with the provisions of Section 418 of the City Charter. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action or decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. Section 2. Pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Section 11 -1 of Chapter 11 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 11 -1. Definitions. Chapter 11 ENTERTAINMENT 2 11 A -4 For the purpose of this chapter the words and phrases herein defined shall be construed as having the following meanings: After -hours is operation of an establishment with live entertainment between the hours of 12 midnight and 2 a.m. Live Entertainment will not be allowed between 2 a.m. and 6 a.m. Ambient music is recorded music which is audible from a distance of no more than twenty (20) feet from any portion of the exterior of the premises and which is utilized to create ambience and is not intended to entertain. Amplified music is electronically enhanced music which is audible from a distance of no more than twenty (20) feet from any portion of the exterior of the premises and which is intended to entertain. Dance or Dancing is movement of the human body accompanied by music or rhythm. Live entertainment includes, but is not limited to, musical performances (non- ambient, live or recorded), any act, play, revue, pantomime scene, dance act, DJ, Karaoke, strolling musician or any combination thereof, performed by one (1) or more persons whether or not they are compensated for the performance. Private entertainment is entertainment which is limited to those persons individually invited, to which no admission charge is made, or entertainment conducted by a bona fide club, society or association, or organization incorporated for benevolent, charitable, dramatic, literary, recreational or entertainment purposes having an established membership, and which holds meetings other than such entertainment at regular stated intervals, and when the proceeds, if any, of such entertainment are used only for the purposes of such club, society, association or organization. Section 4. Section 11 -2 of Chapter 11 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 11 -2. Private entertainment excepted. The provisions of this chapter shall not apply to a private entertainment. Section 5. Section 11 -3 of Chapter 11 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 11 -3. Permit -- Required; application; investigation; exception. 3 11 A -5 (a) Temporary Live Entertainment. Every person desiring to conduct temporary live entertainment, not to exceed one (1) day, shall, ten (10) days prior to such temporary one (1) day live entertainment event, file an application for a land use certificate to do so on forms provided. No applicant may obtain more than six (6) temporary one (1) day live entertainment land use certificates in any one -year period. Any property where temporary live entertainment is provided must comply with all zoning and occupancy requirements and regulations applicable to that property. Temporary live entertainment shall be governed under the provisions for land use certificates, and are not subject to the provisions for entertainment permits under this section. (b) Entertainment Permit. Every person wishing to provide live entertainment as defined in Section 11 -1 Definitions, shall file an application with the City Manager, or designee, on forms provided at least sixty (60) days prior to the commencement of the offering of such entertainment. (c) Such written application shall set forth the following facts: (1) The name and residence of the applicant or applicants, and if the applicant is a corporation or partnership, the names and residences of the officers, partners or directors thereof, and if the applicant is an association, the names and residences of the officers thereof; (2) The particular place for which the permit is desired; (3) The days and time of entertainment activities to be held under the permit; (4) A statement that the applicant is the licensee of record, sole party, or applicants are the sole party, either directly or indirectly interested in the entertainment for which a permit is sought, and that no other person is, or will be, in any manner interested, directly or indirectly, during the continuance of the permit; (5) A statement of the ownership of the realty of the premises for which the permit is sought; (6) The name of at least one responsible party on the premises, as well as a telephone number on the premises where such a person can be reached; (7) Detailed description of all entertainment to be provided, including, but not limited to, amplified music, dancing, and any other similar live entertainment activities; (d) The City Manager, or designee, shall investigate the persons applying for such permit, shall consider the items and standards for granting set out in section 11 -6 and, in conformance therewith, shall determine which permit category applies pursuant to section 11 -7, and then grant such permit if all of the conditions of approval 4 11 A -6 have been met. In the event that all of the conditions of approval have not been met, the City Manager, or designee, may deny the permit applied for, and shall forthwith notify the applicant of the action along with a statement identifying the reasons for the denial. (e) No person, firm, partnership, corporation, company, or non - profit or charitable organization shall conduct any entertainment, without first making application for and obtaining a permit to do so, nor shall any person conduct the same during the time while a permit to do so is revoked. (f) Any modifications or revisions to the live entertainment provided under an entertainment permit require City Manager, or designee, approval. (g) An entertainment permit shall be valid for a period not to exceed one (1) year from date of issuance. Entertainment permits are not automatically renewed and it shall be the responsibility of the permit holder to file a new application for an entertainment permit at least forty -five (45) days prior to the previous permit's expiration. (h) All establishments within the City that were conducting activities requiring permitting and regulated under this section whose activities existed prior to [Ordinance Adoption Date], shall have a period of one (1) year from the date of the adoption of the revisions to apply for an entertainment permit. During such time any fees for the processing of the permit shall be waived. (i) Any permit issued pursuant to the terms of this chapter is issued solely to the person or entity applying for the permit and is non - transferrable to any other person or entity. 0) Any permit applicant aggrieved by the decision of the City Manager, or designee, to deny said permit may appeal as provided in Chapter 3 of the Santa Ana Municipal Code, except that the written notice of appeal must be filed with the clerk of the council and the City Manager, or designee, within ten (10) days of service of the written notice of the City Manager's, or designee's, decision. Section 6. Section 11-4 of the Santa Ana Municipal Code is hereby deleted in its entirety: Sec. 11 -4. Reserved. Section 7. Section 11 -5 of the Santa Ana Municipal Code is hereby deleted in its entirety: Sec. 11 -5. Reserved. 11 A -7 Section 8. Section 11 -6 of Chapter 11 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 11 -6. Same -- Issuance of permit. The City Manager, or designee, shall issue an entertainment permit to an applicant who submits a completed entertainment permit application and has fulfilled all conditions of approval found in this chapter. No permit shall be issued if the applicant or any person interested in or having any control of any part of the management of the entertainment has been convicted of a felony. Any such conviction will justify the revocation of any existing permit. Section 9. Section 11 -7 of Chapter 11 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 11 -7. Same -- Operational standards. All establishments with an entertainment permit shall comply with the following operational standards: (a) Category 1. If the establishment has no amplified music, no dancing, and is not operating after - hours, as defined in this chapter, then no entertainment permit is required. (b) Category 2. If the establishment has amplified music, but no dancing, and is not operating after - hours, as defined in this chapter, then an entertainment permit is required and the establishment shall comply with the following operational standards: (1) The owner or manager of the entertainment venue shall maintain on the premises a written security plan approved by the Police Department. The Category 2 Security Plan shall consist of a policies and procedures manual that addresses the following items: (A) Procedures for handling obviously intoxicated persons. (B) The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. (C) Procedures for handling patrons involved in fighting, arguing or loitering about the building, and /or in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s). purposes of alcohol sales. (D) Procedures for verifying the age of patrons for 6 11 A -8 (E) Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. reported criminal activity. (F) Procedures for calling the police regarding observed or (G) Procedures for management of queuing lines. (H) The location and description of any video games proposed to be on the premises. (2) Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in the security plan. Any pool or billiard tables will be subject to the provisions of Santa Ana Municipal Code Chapter 29 — Pool and Billiards. (3) Neither the responsible party for the permitted establishment, nor any person or entity operating the premises with the permission of the responsible party, shall violate the City's adult entertainment ordinance contained in Santa Ana Municipal Code section 12 -1 and 12 -2. (4) The premises shall not be operated as an adult entertainment business as such term is defined in Santa Ana Municipal Code section 41- 1701.6. (5) Persons who appear obviously intoxicated shall not be admitted into the venue. (6) Employees shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. (7) Music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. (8) There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. (9) Any graffiti painted or marked upon the premises or on any adjacent area under the control of the responsible party for the permitted establishment shall be removed or painted within 24 hours of being applied. 11 A -9 (10) It shall be the permitted establishment's obligation to ensure that California Penal Code section 602 - Trespassing is complied with at all times that the premises are in operation. (11) The responsible party for the permitted establishment shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. (12) In no event shall the applicant allow the number of occupants to exceed the posted maximum occupancy. (13) Existing venue and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require existing project lighting may require upgrading and new lighting must meet current code standards. Lighting standards cannot be located in required landscape planters where they may become obscured by the mature canopy growth of trees. (14) Cash register(s) must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage or other mitigation agreed upon with the Police Department. (15) Window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. (16) Window displays and racks must be kept to a maximum height of three feet including merchandise. (17) A timed - access cash controller or drop safe must be installed or other mitigation measures agreed upon with the police department. (18) Installation of a silent armed robbery alarm or other mitigation measures agreed upon with the police department. (19) The permittee is ultimately responsible for all activity on the premises. (20) The permit is non - transferable. The permit cannot be transferred to a new owner /operator, under a sublease or by a subcontractor. (c) Category 3. If the establishment has amplified music and dancing, but is not operating after - hours, as defined in this chapter, then an entertainment permit is required and the establishment shall comply with all of the operational standards for Category 2 entertainment permits, as well as the following operational standards: 11A -10 (1) The owner or manager of the entertainment venue shall maintain on the premises a written security plan approved by the Police Department. The Category 3 Security Plan shall consist of a policies and procedures manual containing all of the items required in the Category 2 Security Plan plus the following: (A) A fully- dimensioned site plan showing: (i) The posting locations of any required security guards; (ii) The location of all emergency exits; (iii) The location of primary entrances and exits for patrons; (iv) The location and square footage of the alcohol storage area; (v) The dimensions and locations of the dance floor(s), stage(s) and fixed bar(s); (vi) The location of the designated queuing area including the location of any stanchions; (vii) The location of all cameras for the required Closed Circuit Television System (CCTV); (viii) Occupancy standards and approvals from the Building Department and Orange County Fire Authority; (ix) Additional items as required to be indicated as determined necessary by the City Manager, or designee. (B) Procedures for counting the number of occupants entering and exiting the venue for purposes of enforcing established occupancy limits. (2) Except in case of emergency, the responsible party for the permitted establishment shall not permit its patrons to enter or exit the licensed premises through any entrance /exit other than the primary entrance /exit, excluding entrances /exits from enclosed patio areas. Steps shall be taken by the responsible party for the permitted establishment to discourage unauthorized exiting. (3) The Police Department will require uniformed, state - licensed security guards and /or Santa Ana police officers, at the owner's expense, to perform crowd control inside and outside of the establishment, based upon the type of activities anticipated at the location or based upon prior history of activity at this establishment or other similar businesses. These security guards will be deployed as per the agreed upon, Security Policies and Procedures Manual that has been approved by the Police Department. At a minimum and at all times, entertainment is being offered, the applicant shall employ a minimum of one (1) uniformed, state licensed security guard for every 100 persons in attendance per event, for keeping the peace. Mandated security officers will be required to use a radio frequency and communication equipment that is specified by the Police Department. Radios and communication equipment will be provided by the establishment at the establishment's cost. Guards will be required to provide escort service to patrons of the establishment if requested, insofar as the guard is not off the 9 11A -11 premises for more than ten (10) minutes. Mandated security guards will be required to participate in mutual aid activities with the Police Department and other guard companies at the direction of the Police Department. This may include the adoption of mutual aid communications as well as attendance at information sharing meetings. It is the responsibility of the permittee to keep copies and associated records of all individuals acting as private security for the establishment, which illustrate their State - licensed certification. These copies /records shall be readily accessible and provided to Santa Ana Police personnel 24 hours a day upon request. (4) An electronic incident log shall be maintained at the licensed premises on a continual basis with at least one year of entries and be readily available for inspection by a police officer. The log is for recording any physical altercations, injuries, and objectionable conditions that constitute a nuisance occurring in, on, or at the licensed premises, including the immediately adjacent area that is owned, leased, or rented by the licensee. The log will indicate date, time, description of incident, and action taken. "Objectionable conditions that constitute a nuisance" means disturbance of the peace, public drunkenness, drinking in public, harassment of passersby, gambling, prostitution, loitering, public urination, lewd conduct, drug trafficking, excessive loud noise, etc. (5) Contract security services, proprietary security personnel, or personnel assuming the functions typically associated with security shall be familiar with the establishment's written Police Department approved Security Policies and Procedures by reviewing them and signing that they have read and understood the policy. The signed acknowledgement shall be kept in a file relating to the security manual and shall be made available to the Police Department upon request. (6) Security personnel required by the entertainment permit issued for the entertainment venue shall be in a uniform or clothing, which is readily identifiable as a security person. Security uniform standards will be included in the Security Policy and Procedures Manual and will not be the same colors as the Police Department's. They shall maintain order and enforce the establishment's no loitering policy, and shall take "reasonable steps" (as that term is defined in subparagraph (3) of Section 24200 of the California Business and Professions Code) to correct objectionable conditions that constitute a nuisance. (7) If there is an increase of 25% in the number of police - related incidents on or near the premises, the permittee shall increase the number of uniformed, state - licensed security guards to a total number of guards as determined by the Chief of the Police Department. (8) In addition to the above number of state - licensed uniformed security guards, the applicant shall provide a minimum of one state - licensed uniformed security guard to ensure patron safety when going to and from the required parking for the venue whether on -site or off -site. Said guard is specifically assigned to this function until all activity on the premises has ceased and patrons have cleared the parking area. 10 11A -12 (9) For any concert/live entertainment event where attendance exceeds 400 persons, it shall be the Permittee's responsibility to pay for a minimum of two uniformed Santa Ana police officers to work the event and ensure public safety. If the proposed event is deemed to have special circumstances by the Police Department, the Chief of Police or his authorized representative may increase the number of required police officers to ensure public safety. The officer costs shall be the Permittee's responsibility to include, at a minimum one -half hour prior to, during, and one -half hour after the time the event is scheduled to end or until all patrons have left the premises and parking areas. Law enforcement presence is required at a minimum of four hours for each officer assigned to the venue. (10) The permittee will be responsible for verifying the age of those wishing to purchase and /or consume alcoholic beverages in order to ensure that the business is in compliance with State law restricting the age of the sales and consumption of alcohol to those twenty -one (21) years of age and older. This verification process may include such techniques as, the manual checking of identification by a trained employee, the use of an identification scanner or similar device, or other method as approved in the security plan. This condition is not intended to be used as a means to discriminate against patrons based on race, ethnicity or legal status. (11) The owner /operator shall provide a Closed Circuit Television System approved by the Police Department and capable of viewing and recording events on the property and inside the premises with a resolution that will clearly identify individuals for later identification. This system will be clearly identified within the agreed upon Security Policy and Procedures manual. Camera system components shall include: (A) A minimum of one color camera at each police department specified location. (B) A color camera recorder or digital system capable of recording events on all cameras simultaneously. (C) Provide an IP -based system. (12) The permittee shall submit a monthly activity schedule to the Police Department. The schedule must include a brief synopsis of the type of venue, hours of the venue, artist(s) names and expected attendance. The submission must be via e-mail and must be received 30 days prior. Updates to the proposed schedule must be sent immediately. (13) A ticket manifest for an event shall be provided, on demand, to an authorized Police Department representative, if requested. The ticket manifest must clearly outline the total number of tickets sold for said event. It is generally understood that the industry standard is to utilize an electronic ticketing system. Authorization by the Police Department to access this online electronic system is the preferred method. (14) Queuing lines shall be managed in an orderly manner and all disruptive and intoxicated patrons shall be denied entry. The business owner or his I 11A -13 designate shall be responsible for monitoring and managing the queuing lines at all times. Food or alcohol may not be served to patrons waiting to enter the establishment. (15) The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses and residences. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. Placement of stanchions and barriers must receive Public Works Agency approval. (16) Controls shall be established to maintain occupancy levels allowed by the Orange County Fire Authority and these Fire Department approved levels will not be exceeded. Methods of controlling occupancy can include, but not limited to the following: Counters used to count the number of occupants entering and exiting the location, which are available for inspection by OCFA or the police department. (17) The permitted establishment shall at all times comply with Santa Ana Municipal Code sections 10 -181 through 10 -187 regarding curfews for minors. (d) Category 4. If the establishment has amplified music, dancing, and is operating after - hours, as defined in this chapter, then an entertainment permit is required and the establishment shall comply with all of the operational standards for Category 2 and Category 3, as well as the following operational standards: (1) The owner or manager of the entertainment venue shall maintain on the premises a written security plan approved by the Police Department. The Category 4 Security Plan shall consist of a policies and procedures manual containing all of the items required in the Category 2 and Category 3 Security Plans plus the following: (A) Procedures for the provision of alternate transportation services to patrons. This may include procedures for access to a telephone, the provision of a list of taxi services, or other service that will ensure the safe travel of any patron, particularly those who are intoxicated, in leaving the establishment. Section 10. Section 11 -8 of Chapter 11 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 11 -8. Indemnification. Anyone possessing an entertainment permit shall indemnify and hold the City harmless from any and all losses, claims, actions or damages suffered by any person or persons by reason of or resulting from any negligence of the permittee or its agents, employees, or patrons or on account of any act or omission of the permittee in its exercise of its permit or use or occupancy of any premises in connection with such permit. In the event any suit or action is brought against the City, the permittee shall, upon notice of the commencement thereof, defend the same, at no cost and expense to the City, and promptly satisfy any final judgment adverse to the City or to the City and the permittee jointly; provided, that in the event the City determines that one (1) or more principles of 12 11A -14 governmental or public law are involved, the City retains the right to participate in such action. The above liability shall not be diminished by the fact, if it be a fact, that any such death, injury, damage, loss, cost or expense may have been, or may be alleged to have been, contributed to by the negligence of the City or its officers, employees or agents; provided, however, that nothing contained in this section shall be construed as requiring the permittee to indemnify the City against liability for damages arising out of bodily injury to persons or damage to property caused by or resulting from the sole negligence of the City, or its officers, employees or agents. Section 11. Section 11 -9 of the Santa Ana Municipal Code is hereby deleted in its entirety: Sec. 11 -9. Reserved. Section 12. Section 11 -10 of the Santa Ana Municipal Code is hereby deleted in its entirety: Sec. 11 -10. Reserved. Section 13. Section 11 -11 of Chapter 11 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 11 -11. Entertainment prohibition; hours. No person shall allow, conduct or permit on any premises within the city open to the public any entertainment activities between the hours of 2 a.m. and 6 a.m. during any day of the week. Section 14. Section 11 -12 of Chapter 11 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 11 -12. Entertainment Permit Fee Schedule Adoption The City shall adopt and amend, from time to time, a schedule of fees as described in this Article by Resolution. Section 15. Section 11 -13 of Chapter 11 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 11 -13. Penalties and Revocation 13 11A -15 (a) Any establishment obtaining an entertainment permit shall be subject to a penalty in the event that the business is in violation of any of the conditions of approval outlined in this chapter. (b) This penalty shall consist of: (1) a written warning upon the first violation, which shall cite the specific condition(s) of approval that were violated; (2) the payment of a fine upon the second violation; (3) the payment of an increased fine upon the third violation; (4) the setting of an administrative revocation hearing, pursuant to the procedures established in Chapter 3 of the Santa Ana Municipal Code, for the fourth violation. (c) In the event of a revocation, the permittee may apply for reissuance of the permit after six (6) months from the date of revocation. Until such time as the permit may be reinstated, all entertainment on the premises must cease. Section 16. The title of Chapter 12 of the Santa Ana Municipal Code is amended to read in full as follows: Chapter 12 ADULT ENTERTAINMENT Section 17. Section 41 -25.5 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -25.5. Bar. A commercial establishment whose primary use is the sale and service of alcoholic beverages for consumption on the premises, with or without food service, from which minors are excluded by law and which requires a "public premises" -type license issued by the California Department of Alcoholic Beverage Control. Section 18. Section 41 -44.5 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -44.5. Concert Venue. 14 11A -16 A commercial establishment of 11,000 square feet or larger where people go to primarily listen to and observe various forms of live concerts or entertainment, which includes dancing or other form of personal interaction with the performance. Section 19. Section 41 -57 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -57. Eating Establishment. A commercial establishment whose primary use is the sale and service of meals on -site to guests and which has suitable kitchen facilities containing the necessary appliances required for cooking unpackaged foods, and which complies with all of the requirements of the local department of health and the California Department of Alcoholic Beverage Control for a bona fide public eating place pursuant to the Section 23038 of the California Business and Professions Code. Section 20. Section 41 -101.2 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 101.2. Live Entertainment. Includes, but is not limited to, musical performances (non- ambient (as defined in section 11 -1), live or recorded), any act, play, revue, pantomime scene, dance act, DJ, Karaoke, strolling musician or any combination thereof, performed by one (1) or more persons whether or not they are compensated for the performance. Section 21. Section 41 -128 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -128. Off -Sale Establishment. Those establishments licensed by the California Department of Alcoholic Beverage Control to sell alcohol for consumption away from the premises (e.g., liquor stores, convenience stores, grocery stores). Section 22. Section 41 -129 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -129. On -Sale Establishment. 15 11A -17 Those establishments that qualify as bona fide eating establishments and that are licensed by the California Department of Alcoholic Beverage Control to sell alcohol for consumption on the premises. Section 23. Section 41 -138.5 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 138.5. Public Premise. An establishment licensed by the California Department of Alcoholic Beverage Control to sell and serve alcohol pursuant to Section 23039 of the California Business and Professions Code. Section 24. Section 41 -150.8 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 150.8. Separation Requirement. The prescribed distance between a regulated use, conditionally permitted use, or any other use specifying a separation requirement, and the sensitive use(s) near which it is located. For purposes of variances or minor exceptions as addressed in Sec. 41 -632, a separation requirement will not be considered a development standard and will not be subject to waiver or modification. Section 25. Section 41 -132 of the Santa Ana Municipal Code is hereby deleted in its entirety: Sec. 41 -132. Reserved. Section 26. Section 41 -191 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -191. Regulated uses. (a) Purpose. It is recognized that there are some uses which, because of their very nature, are considered as having serious objectionable operational characteristics, particularly when several of them are concentrated under certain circumstances, by having a deleterious effect upon the adjacent areas. Special regulation of these uses is necessary to insure that these adverse effects will not contribute to the blighting or downgrading of the surrounding neighborhood by a concentration of these uses in any one (1) area. 16 11A -18 1701.6. (b) Uses subject to regulation: (1) Adult bookstore as defined in section 41 -12.1. (2) Adult entertainment businesses as defined in section 41 -12.2. (3) Adult theaters as defined in section 41 -12.4. (4) Adult entertainment businesses as defined in section 41- (5) Bars as defined in section 41 -25.5. (6) Figure model studios as defined in section 12 -120. (7) Massage establishments as defined in section 22 -1. (8) Peep show establishments as defined in section 12 -22. (9) Adult motels as defined in section 41 -12.3. (c) It shall be unlawful to hereafter establish any of the uses referred to in subsection (b) within the separation requirement of one thousand (1,000) feet of any other such regulated use. (d) None of the uses referred to in subsection (b) may be established within the separation requirement of one thousand (1,000) feet of any property zoned or used for residential, church, school primarily attended by minors, or park purposes. Section 27. Section 41- 195.5(g) of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41- 195.5. Temporary Outdoor Activities. (g) Temporary outdoor activities where alcohol sale or and /or consumption is allowed. (1) All cooking: equipment (grills, barbecues, etc.) must be turned off one -half ( 1/2) hour before the activity closure each evening. (2) The sale, service and consumption of alcohol shall occur only within a fenced -in area. This area shall be designated with appropriate signage identifying it as such and shall be approved by the police department. 17 11A -19 (3) The applicant shall ensure that security personnel are on duty at all times and monitoring the fenced -in area designated for the sale, service and consumption of alcohol. Security personnel shall prevent people from carrying alcoholic beverages outside the designated area noted in 41- 195.5(g)(2). (4) Advertising which indicates the availability of alcoholic beverages shall be posted at the point of beverage dispensing only. (5) Alcoholic beverages shall be served in distinctive cups, which are different from those used for non - alcoholic beverages. (6) No more than two (2) cups containing alcoholic beverages may be sold to a customer at a time. All alcoholic beverages shall be sold in paper or plastic cups and not in their original glass or metal containers. (7) The server is prohibited from selling alcoholic beverages to an obviously intoxicated person. (8) The server is prohibited from consuming alcoholic beverages. (9) The sale, service and consumption of alcoholic beverages shall cease one (1) hour prior the end of the activity. Section 28. Section 41 -196 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -196. Establishments selling alcoholic beverages. (a) Conditional Use Permit required. Except as provided in subsection (b), no establishment may sell alcoholic beverages for either on -site or off -site consumption unless a conditional use permit has been approved for such establishment pursuant to Article V of this chapter. Prior to the public hearing for the approval of said conditional use permit, the establishment must be in compliance with all provisions of Chapter 41. (b) Land use certificates for incidental alcohol sales. A land use certificate may be issued pursuant to the requirements of Section 41 -675 for an establishment which serves alcoholic beverages for either on -site or off -site consumption only if the establishment falls within one (1) of the following categories: (1) Club or lodge establishments where admittance is limited to members and guests invited by members and where the sale of alcoholic beverages is clearly incidental to other activities conducted on the premises. (2) Florists shops offering the sale of a bottle of an alcoholic beverage together with a floral arrangement. 18 11 A -20 (c) Alcohol storage and display area for off -sale establishments. No off -sale establishment under 10,000 square feet shall have a combined alcohol storage and display area that exceeds five percent (5 %) of the gross floor area of the store area. (d) Separation requirement for off -sale establishments under 10,000 square feet. No off -sale establishment may be granted a conditional use permit for the sale of alcoholic beverages if any of the following conditions apply: (1) The proposed establishment is within one thousand (1,000) linear feet of an existing off -sale alcohol license as measured from the primary entrance of one establishment to the primary entrance of the other establishment. (2) The proposed establishment is within one thousand (1,000) linear feet of any property used as a school primarily attended by minors, for a church or for park purposes as measured from the door of one establishment to the door of the other use(s). (3) The proposed establishment is determined to be overconcentrated by the state department of alcohol beverage control as defined in Business and Professions Code section 23958.4. (e) Finding of public convenience or necessity for off -sale establishments under 10,000 square feet located within an area of undue concentration. If the proposed off -sale establishment is located within an area deemed to have an undue concentration of off -sale alcohol licenses pursuant to the State Department of Alcoholic Beverage Control, the City may, at its discretion, prepare a Letter of Public Convenience or Necessity to allow the alcohol license pursuant to the process contained in Section 41- 645.5. However, the conditions in subsections (2) and (3) may not be waived. (f) Operational standards for off -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41 -196: (1) No alcoholic beverages shall be consumed on any property adjacent to the licensed premises under the control of the licensee. (2) The applicant shall be responsible for maintaining free of litter the area adjacent to the premises over which he has control. (3) There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, promoting or indicating the availability of alcoholic beverages on the premises. at any time. (4) There shall be no coin - operated games maintained on the premises 19 11 A -21 (5) All public telephones shall be located on the interior of the premises. (6) Any graffiti painted or marked upon the premises or on any adjacent area under the control of the applicant shall be removed or painted over within 24 hours of being applied. (7) The applicant shall post a placard prohibiting loitering, pursuant to California Penal Code ( "CPC ") section 602, on the exterior of the premises. (8) It shall be the applicant's responsibility to ensure that CPC section 602 is complied with at all times that the premises are in operation. (9) The applicant shall at all times utilize an age verification device for all purchases of alcoholic beverages. (10) The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s); verifying age /checking identification of patrons; calling the police regarding observed or reported criminal activity. (11) If there is a marked or noticeable increase in the number of police - related incidents on or near the premises, as such increase may be determined by the Chief of Police, the applicant may be required to provide state - licensed, uniformed security guards at a number determined by the Chief of Police. (12) All managers and employees selling alcoholic beverages shall undergo and successfully complete a certified training program in responsible methods and skills for selling alcoholic beverages. The California Department of Alcoholic Beverage Control must approve said training program. Records of each employee's successful completion of the certified training program required by this section shall be maintained on the premises of the alcoholic beverage outlet and shall be presented upon request by a representative of the City of Santa Ana. (13) Alcoholic beverages in containers of less than 16 oz. cannot be sold by single containers, but must be sold in pre - packaged multi -unit quantities. (14) The sales of alcoholic beverages shall be permitted only between the hours of 7:00 a.m. and 12:00 /midnight each day of the week unless otherwise modified by the granting of an after -hours Conditional Use Permit. (15) Existing building and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door /window locking devices 20 11 A -22 and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. (16) Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. (17) Window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. (18) Window displays and racks must be kept to a maximum height of three feet including merchandise. (19) A timed - access cash controller or drop safe must be installed. (20) A silent armed robbery alarm must be installed and operable at all times. (21) Clearly distinguishable height markers shall be installed on the inside door jamb of all doors used by the public to access the store. Horizontal marks, one -inch wide by three inch long, in different colors, and in a contrasting color to the background, shall be placed every six inches beginning at 5' and ending at 66 ". (22) No person under the age of 21 shall sell or deliver alcoholic beverages. (23) Provide a Closed Circuit Television System approved by the Police Department and capable of viewing and recording events inside and outside the premises including the parking areas with a resolution which will clearly identify individuals for later identification as follows: (a) A minimum of one color camera at each cash register that views the front of a customer, from the waist to the top of the head. (b) A minimum of one color camera that views the full length side of a customer at the cash register area. (c) A color camera recorder capable of recording events on all cameras simultaneously. minimum of 60 days. six times. (d) A tape or disc storage library of recorded cameras kept for a (e) If video tape is used, tapes cannot be taped over more than 21 11 A -23 (f) An audio recording component that will record sounds occurring at the customer counter. (g) An Internet Protocol (IP) -based system is required. (24) It shall be the operator's responsibility to submit a shopping cart containment plan pursuant to SAMC Section 33.210. (25) The operator shall be responsible for obtaining all necessary permits for building tenant and freestanding signs. This shall include any window signs and temporary banners. (g) Operational standards for on -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41 -196 (a). (1) The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. (2) There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. (3) The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after -hours operations pursuant to Santa Ana Municipal Code Chapter 41. (4)_ It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. (5) The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. (6) All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. 22 11 A -24 (7) During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those 21 and older. (8) Queuing lines shall be managed in an orderly manner and all disruptive and /or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. (9) The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. All stanchions or barriers located on public property must be approved by the Public Works Agency. (10) Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. (11) There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. (12) There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free ", "two for the price of one ", or "all you can drink for..." or similar language. (13) Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. (14) Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ( "SAMC ") Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. (15) Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12 -1 and 12 -2. 23 11 A -25 (16) The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41- 1701.6. (17) The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. (18) There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. (19) Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. (20) Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article Il, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, doortwindow locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. (21) A timed - access cash controller or drop safe must be installed. (22) Install a silent armed robbery alarm. (23) The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the Police Department, addressing at a minimum the following items: (A) Procedures for handling obviously intoxicated persons. (B) The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. (C) Procedures for handling patrons involved in fighting, arguing or loitering about the building, and /or in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s). (D) Procedures for verifying the age of patrons for purposes of alcohol sales. (E) Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. 24 11 A -26 reported criminal activity. (F) Procedures for calling the police regarding observed or (G) Procedures for management of queuing lines. (H) The location and description of any video games proposed to be on the premises. (24) The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the Public Works Agency. (25) Combined alcohol storage and display areas shall not exceed five percent (5 %) of the gross floor area of the licensed establishment. Section 29. Section 41 -196.2 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read in full as follows: Sec. 41- 196.2. Concert venues. (a) Conditional Use Permit required. No concert venue, as defined in Section 41 -44.5, may operate as a commercial use unless a conditional use permit has been approved for such establishment pursuant to Article V of this chapter. Prior to the public hearing for the approval of said conditional use permit, the establishment must be in compliance with all provisions of Chapter 41. (b) Operational standards for concert venues. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41- 196.2: (1) The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the Police Department, addressing at a minimum the following items: (A) Procedures for handling obviously intoxicated persons. (B) The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. (C) Procedures for handling patrons involved in fighting, arguing or loitering about the building, and /or in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s). 25 11 A -27 (D) Procedures for verifying the age of patrons for purposes of alcohol sales. (E) Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. reported criminal activity. be on the premises. guards; patrons; storage area; (F) Procedures for calling the police regarding observed or (G) Procedures for management of queuing lines. (H) The location and description of any video games proposed to (1) A fully- dimensioned site plan showing: (i) The posting locations of any required security (ii) The location of all emergency exits; (iii) The location of primary entrances and exits for (iv) The location and square footage of the alcohol (v) The dimensions and locations of the dance floor(s), stage(s) and fixed bar(s); (vi) The location of the designated queuing area including the location of any stanchions; (vii) The location of all cameras for the required Closed Circuit Television System (CCTV); (viii) Occupancy standards and approvals from the Building Department and Orange County Fire Authority; (ix) Additional items as required to be indicated as determined necessary by the City Manager, or designee. (J) Procedures for counting the number of occupants entering and exiting the venue for purposes of enforcing established occupancy limits. (K) Procedures for the provision of alternate transportation services to patrons. This may include procedures for access to a telephone, the provision of a list of taxi services, or other service that will ensure the safe travel of any patron, particularly those who are intoxicated, in leaving the establishment. (L) Procedures for requiring the use of wristbands to indicate patrons' ages to identify those who are 21 years of age and older. 26 11 A -28 (2) Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in the security plan. Any pool or billiard tables will be subject to the provisions of Santa Ana Municipal Code Chapter 29 — Pool and Billiards. (3) Neither the responsible party for the permitted establishment, nor any person or entity operating the premises with the permission of the responsible party, shall violate the City's adult entertainment ordinance contained in Santa Ana Municipal Code section 12 -1 and 12 -2. (4) The premises shall not be operated as an adult entertainment business as such term is defined in Santa Ana Municipal Code section 41- 1701.6. (5) Persons who appear obviously intoxicated shall not be admitted into the venue. (6) Employees shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. (7) Music/noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. (8) There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. (9) Any graffiti painted or marked upon the premises or on any adjacent area under the control of the responsible party for the permitted establishment shall be removed or painted within 24 hours of being applied. (10) It shall be the permitted establishment's obligation to ensure that California Penal Code section 602 - Trespassing is complied with at all times that the premises are in operation. (11) The responsible party for the permitted establishment shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. (12) In no event shall the applicant allow the number of occupants to exceed the posted maximum occupancy. (13) Existing venue and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require existing project lighting may require upgrading and new lighting must meet current code standards. Lighting standards 27 11 A -29 cannot be located in required landscape planters where they may become obscured by the mature canopy growth of trees. (14) Cash register(s) must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage or other mitigation agreed upon with the Police Department. (15) Window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. (16) Window displays and racks must be kept to a maximum height of three feet including merchandise. (17) A timed - access cash controller or drop safe must be installed or other mitigation measures agreed upon with the police department. (18) Installation of a silent armed robbery alarm or other mitigation measures agreed upon with the police department. (19) The permittee is ultimately responsible for all activity on the premises. (20) The permit is non - transferable. The permit cannot be transferred to a new owner /operator, under a sublease or by a subcontractor. (21) Except in case of emergency, the responsible party for the permitted establishment shall not permit its patrons to enter or exit the licensed premises through any entrance /exit other than the primary entrance /exit, excluding entrances /exits from enclosed patio areas. Steps shall be taken by the responsible party for the permitted establishment to discourage unauthorized exiting. (22) The Police Department will require uniformed, state - licensed security guards and /or Santa Ana police officers, at the owner's expense, to perform crowd control inside and outside of the establishment, based upon the type of activities anticipated at the location or based upon prior history of activity at this establishment or other similar businesses. These security guards will be deployed as per the agreed upon, Security Policies and Procedures Manual that has been approved by the Police Department. At a minimum and at all times, entertainment is being offered, the applicant shall employ a minimum of one (1) uniformed, state licensed security guard for every 100 persons in attendance per event, for keeping the peace. Mandated security officers will be required to use a radio frequency and communication equipment that is specified by the Police Department. Radios and communication equipment will be provided by the establishment at the establishment's cost. Guards will be required to provide escort service to patrons of the establishment if requested, insofar as the guard is not off the premises for more than ten (10) minutes. Mandated security guards will be required to participate in mutual aid activities with the Police Department and other guard companies 28 11 A -30 at the direction of the Police Department. This may include the adoption of mutual aid communications as well as attendance at information sharing meetings. It is the responsibility of the permittee to keep copies and associated records of all individuals acting as private security for the establishment, which illustrate their State - licensed certification. These copies /records shall be readily accessible and provided to Santa Ana Police personnel 24 hours a day upon request. (23) An electronic incident log shall be maintained at the licensed premises on a continual basis with at least one year of entries and be readily available for inspection by a police officer. The log is for recording any physical altercations, injuries, and objectionable conditions that constitute a nuisance occurring in, on, or at the licensed premises, including the immediately adjacent area that is owned, leased, or rented by the licensee. The log will indicate date, time, description of incident, and action taken. "Objectionable conditions that constitute a nuisance" means disturbance of the peace, public drunkenness, drinking in public, harassment of passersby, gambling, prostitution, loitering, public urination, lewd conduct, drug trafficking, excessive loud noise, etc. (24) Contract security services, proprietary security personnel, or personnel assuming the functions typically associated with security shall be familiar with the establishment's written Police Department approved Security Policies and Procedures by reviewing them and signing that they have read and understood the policy. The signed acknowledgement shall be kept in a file relating to the security manual and shall be made available to the Police Department upon request. (25) Security personnel required by the entertainment permit issued for the entertainment venue shall be in a uniform or clothing, which is readily identifiable as a security person. Security uniform standards will be included in the Security Policy and Procedures Manual and will not be the same colors as the Police Department's. They shall maintain order and enforce the establishment's no loitering policy, and shall take "reasonable steps" (as that term is defined in subparagraph (3) of Section 24200 of the California Business and Professions Code) to correct objectionable conditions that constitute a nuisance. (26) If there is an increase of 25% in the number of police - related incidents on or near the premises, the permittee shall increase the number of uniformed, state - licensed security guards to a total number of guards as determined by the Chief of the Police Department. (27) In addition to the above number of state - licensed uniformed security guards, the applicant shall provide a minimum of one state - licensed uniformed security guard to ensure patron safety when going to and from the required parking for the venue whether on -site or off -site. Said guard is specifically assigned to this function until all activity on the premises has ceased and patrons have cleared the parking area. (28) For any concert/live entertainment event where attendance exceeds 400 persons, it shall be the Permittee's responsibility to pay for a minimum of two 29 11 A -31 uniformed Santa Ana police officers to work the event and ensure public safety. If the proposed event is deemed to have special circumstances by the Police Department, the Chief of Police or his authorized representative may increase the number of required police officers to ensure public safety. The officer costs shall be the Permittee's responsibility to include, at a minimum one -half hour prior to, during, and one -half hour after the time the event is scheduled to end or until all patrons have left the premises and parking areas. Law enforcement presence is required at a minimum of four hours for each officer assigned to the venue. (29) The permittee will be responsible for verifying the age of those wishing to purchase and /or consume alcoholic beverages in order to ensure that the business is in compliance with State law restricting the age of the sales and consumption of alcohol to those twenty -one (21) years of age and older. This verification process may include such techniques as, the manual checking of identification by a trained employee, the use of an identification scanner or similar device, or other method as approved in the security plan. This condition is not intended to be used as a means to discriminate against patrons based on race, ethnicity or legal status. (30) The owner /operator shall provide a Closed Circuit Television System approved by the Police Department and capable of viewing and recording events on the property and inside the premises with a resolution that will clearly identify individuals for later identification. This system will be clearly identified within the agreed upon Security Policy and Procedures manual. Camera system components shall include: (A) A minimum of one color camera at each police department specified location. (B) A color camera recorder or digital system capable of recording events on all cameras simultaneously. (C) Provide an IP -based system. (31) The permittee shall submit a monthly activity schedule to the Police Department. The schedule must include a brief synopsis of the type of venue, hours of the venue, artist(s) names and expected attendance. The submission must be via e-mail and must be received 30 days prior. Updates to the proposed schedule must be sent immediately. (32) A ticket manifest for an event shall be provided, on demand, to an authorized Police Department representative, if requested. The ticket manifest must clearly outline the total number of tickets sold for said event. It is generally understood that the industry standard is to utilize an electronic ticketing system. Authorization by the Police Department to access this online electronic system is the preferred method. (33) Queuing lines shall be managed in an orderly manner and all disruptive and intoxicated patrons shall be denied entry. The business owner or his designate shall be responsible for monitoring and managing the queuing lines at all times. Food or alcohol may not be served to patrons waiting to enter the establishment. 30 11 A -32 (34) The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses and residences. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. Placement of stanchions and barriers must receive Public Works Agency approval. (35) Controls shall be established to maintain occupancy levels allowed by the Orange County Fire Authority and these Fire Department approved levels will not be exceeded. Methods of controlling occupancy can include, but not limited to the following: Counters used to count the number of occupants entering and exiting the location, which are available for inspection by OCFA or the police department. (36) The permitted establishment shall at all times comply with Santa Ana Municipal Code sections 10 -181 through 10 -187 regarding curfews for minors. Section 30. Section 41 -196.5 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 196.5. Entertainment permit required. Any legal non - residential use wishing to offer entertainment as an ancillary use to its primary operation must apply for an entertainment permit pursuant to Chapter 11 of the Santa Ana Municipal Code. At no time may entertainment be offered without such a permit. Section 31. Section 41 -630 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -630. Planning commission duties, authority. The planning commission is hereby authorized under conditions herein provided to grant minor exceptions to, and variances from the provisions of this chapter, and to grant conditional use permits for uses in any zone in which such uses may be conditionally permitted. Section 32. Section 41 -631 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -631. Zoning administrator, powers and duties. The zoning administrator is authorized to act on minor exceptions as listed in section 41- 632(a)(3). Section 33. Section 41 -632 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: 31 11 A -33 Sec. 41 -632. Conditional use permit, variance and minor exception applications -- Initiation, scope. (a) In accordance with the procedures outlined in this article, application may be made for: (1) Conditional use permit for a specific use of land or buildings in a land use district wherein such use may be so conditionally permitted. (2) Variance from the development standards of this chapter. (3) Minor exception to obtain a waiver or modification of those zoning provisions which pertain to the following: (a) Lineal dimensions of yards. Modifications granted shall not exceed by more than twenty (20) per cent the minimum requirements. (b) Separation between buildings and other structures. Modifications granted shall not exceed by more than fifty (50) per cent the minimum requirement. (c) Lot coverage. Modifications granted shall not exceed by more than twenty (20) per cent the maximum coverage permitted. (d) Height of buildings. Modifications granted shall not exceed by more than twenty -five (25) per cent the maximum height permitted. (e) Signs. Area modifications granted shall not exceed by more than twenty (20) per cent the maximum area permitted. (f) Setback and future right -of -way lines. (g) Off - street parking. Modifications granted for reductions in required number of stalls shall not exceed by more than twenty (20) per cent the minimum ordinance requirement and pursuant to the standards contained in section 41- 638.1. (h) Operational standards. Modifications granted may include minor exceptions to screening and landscape requirements but shall not include exceptions to provisions pertaining to uses permitted in the open. (i) Walls and fences. Section 34. Section 41 -633 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: 32 11 A -34 Sec. 41 -633. Same -- Filing; form and content. Application for conditional use permit, variance or minor exception shall be in writing and filed in the city planning department upon forms provided by the department and shall include the following information: (a) A full statement of the special circumstances and conditions relied upon as grounds for application. (b) An outline of the proposed use, including adequate plans and a legal description of the property involved. (c) For public notification required for any public hearings the provisions of Santa Ana Municipal Code section 2- 153(c) shall apply. (d) Each application shall be signed by the record owner or agent for the owner if notarized certificate of power of attorney is filed with the application. Section 35. Section 41 -634 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -634. Same -- Filing fees. Every application under this chapter for a minor exception, variance, conditional use permit or appeal to the planning commission or city council shall be accompanied by a filing fee. No application shall be accepted for filing without the required fee, except that all governmental agencies are exempted from the fee requirement. The city council shall from time to time by resolution adopt a schedule of fees to be charged, a copy of which shall be maintained in the office of the planning department. Section 36. Section 41 -635 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -635. Hearing on application -- Hearing date. Upon the filing for a minor exception, variance or conditional use permit, the director of planning shall set the application for public hearing at a regular or an adjourned meeting which is to be held not less than seven (7) days nor more than forty -five (45) days after the filing date. Section 37. Section 41 -636 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -636. Same -- Notice of hearing. 33 11 A -35 All public notification requirements shall comply with the provisions of Santa Ana Municipal Code section 2- 153(c). Section 38. Section 41 -638 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -638. Standards for granting applications for minor exceptions, variances and conditional use permit and appeals. (a) The council and planning commission, and in the case of minor exceptions, the zoning administrator may grant according to the procedure outlined in this chapter: (1) Conditional use permits for specific uses located at a particular location when it shall be deemed: (i) That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or the community; and (ii) That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity; and (iii) That the proposed use will not adversely affect the present economic stability or future economic development of property in the surrounding area; (iv) That the proposed use will comply with the regulations and conditions specified in this chapter for such use; and (v) That the proposed use will not adversely affect the general plan of the city or any specific plan applicable to the area of the proposed use. (2) Variances from and minor exceptions to the provisions of the Municipal Code when it appears that all of the following have been established: (i) That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this chapter; (ii) That the granting of a variance or minor exception is necessary for the preservation and enjoyment of one or more substantial property rights; (iii) That the granting of a variance or minor exception will not be materially detrimental to the public welfare or injurious to surrounding property; 34 11 A -36 (iv) That the granting of a variance or minor exception will not adversely affect the general plan of the city. (b) In granting any conditional use permit, variance or minor exception, the zoning administrator, planning commission or council may impose such conditions as are deemed necessary and desirable to protect the public health, safety or welfare in accordance with the purpose and intent of this chapter. Section 39. Section 41 -640 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -640. Zoning administrator to make finding of fact -- Referral to planning commission for hearing. In granting or denying a minor exception, the zoning administrator shall make a written finding which shall specify all facts relied upon in rendering his decision and in attaching conditions and safeguards. A copy of the decision together with the written finding of fact shall be filed with the clerk of the council, with the city's planning department, and mailed to the applicant. All decisions of the zoning administrator on applications for minor exceptions shall be final unless appealed to the planning commission pursuant to section 41 -645. Section 40. Section 41 -641 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -641. Same -- Referral to planning commission. In the event the zoning administrator is of the opinion any minor exception request is of such magnitude as to be of special interest to the people of the City of Santa Ana and the planning commission, he may continue the hearing to the next regularly scheduled meeting of the planning commission, who shall then process the application in the manner prescribed in section 41 -639 of this article. Section 41. Section 41 -643 of the Santa Ana Municipal Code is hereby deleted in its entirety: Sec. 41 -643. Reserved. Section 42. Section 41 -644 of the Santa Ana Municipal Code is hereby deleted in its entirety: Sec. 41 -644. Reserved. 35 11 A -37 Section 43. Section 41 -645 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41 -645. Appeals from decisions of planning commission and /or zoning administrator- - Generally. (a) An appeal from a decision or requirement of the planning commission or zoning administrator may be made by any interested party, individual or group. (b) Any appeal made under the terms of this article shall be made within ten (10) calendar days following the date of the decision by the planning commission or zoning administrator. Further, said appeal period shall end at 5:00 p.m. on the tenth calendar day following said date of the decision by the planning commission or zoning administrator. If said tenth calendar day ends on a Saturday, Sunday or holiday, the ten (10) day period shall end at 5:00 p.m. on the next regular business day. The formal action by the zoning administrator or planning commission shall become effective on the day following the first regularly scheduled council meeting after the ten (10) day appeal period, unless the city council in compliance with section 41 -645 of this article V, holds a public hearing on the matter, then the decision of the city council will become effective on the day following the hearing and decision by the city council. (c) All appeals shall be in writing and on forms provided by the planning department and shall specify wherein there was any error of decision or requirement by the commission or zoning administrator. Furthermore, a copy of said appeal shall be filed with the planning department and the clerk of the council. (d) Upon receipt of said appeal of the decision of the planning commission, the planning department shall set the matter for hearing by the council. In the event the matter is an appeal from a ruling by the zoning administrator, the matter shall be heard by the planning commission. (e) All appeals shall be heard in the same manner as prescribed for the original hearing. (f) Upon filing of an appeal, the planning department shall forward to the clerk of the council a copy of the written findings, maps, papers and exhibits upon which the decision of the planning commission and /or zoning administrator was based. (g) The council, or in the case of a zoning administrator appeal, the planning commission, may, after public hearing, affirm, reverse, change, modify the original decision and may make any additional determination it shall consider appropriate within the limitations imposed by this chapter. Such decision shall be filed with the clerk of the council, and the city planning department; one copy thereof shall be sent to the applicant. 36 11 A -38 Section 44. Section 41 -645.5 of Chapter 41 of the Santa Ana Municipal Code is amended to read in full as follows: Sec. 41- 645.5. Same -- Preparation of a letter of public convenience or necessity for off -sale alcohol conditional use permits. (a) In the event that a business requesting a conditional use permit for an off -sale alcohol license is located within an area deemed to have an undue concentration of said licenses as determined by the California Department of Alcoholic Beverage Control pursuant to Section 23958 et seq. of the California Business and Professions Code, then that business may apply to the planning commission for the preparation of a letter of public convenience or necessity as a component of the application for the conditional use permit. The process of consideration of this request will be governed by Article V regarding the processing of conditional use permits except that the following findings must be made. (1) In granting said letter of public convenience or necessity the applicant must prove and the planning commission must find that: (i) The proposed use will not be detrimental to the character of development in the immediate neighborhood and will be in harmony with the overall objectives of the General Plan. (ii) The economic benefit outweighs the negative impacts to the community as whole. (iii) The issuance of the license will provide a needed service not currently being met in the community (iv) There exist special and unusual circumstances present here to justify a new retail alcohol outlet when there are already similar alcohol uses existing nearby. (v) The business cannot operate profitably without a liquor license. (vi) The applicant has demonstrated reasonable efforts to seek community input. (b) Within two (2) days following the date of a planning commission decision on the preparation of a letter of public convenience or necessity, the planning manager shall send a written report of such decision to the members of the city council. If, within twenty -one (21) days following the date of such a planning commission decision, the city council sets the matter for public hearing, then the decision of the planning commission shall be vacated and the decision regarding the preparation of a letter of public convenience or necessity shall be heard and decided by the city council. 37 11 A -39 Section 45. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge, Assistant City Attorney AYES: NOES: Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2013 Miguel A. Pulido Mayor 38 11 A -40 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 39 11 A -41 11 A -42 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: DESTRUCTION OF OBSOLETE CITY RECORDS CI ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1St Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the requests for the destruction of obsolete records from City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. DISCUSSION On April 1, 2013, 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 period in which records need to be retained. 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 5B 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. Attachments 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: August 1, 2013 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 2013 -014. Thank you. 19C -3 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CITY MANAGER'S OFFICE 2013 RECORD RECORD RECORD EXPIRATION CATEGORY SERIES DESCRIPTION DATES Chronological Files Staff Memoranda and Correspondence July 1, 2011 and prior Correspondence/ July 1, 2011 Chronological Files Councilmember Self- explanatory and prior Council Requests Mayor Inquiries processed for Mayor July 1, 2011 and prior Wards 1 through 6 Inquiries processed for Councilmembers July 1, 2011 and prior Correspondence General Correspondence Self- explanatory July 1, 2011 and prior Staff Inquiries processed for Staff July 1, 2011 and prior Monthly Status City Manager Self- explanatory July 1, 2011 Reports and prior Payroll Records Council /Staff Self- explanatory July 1, 2011 and prior July 1, 2011 Travel Folders Council /Staff Self- explanatory and prior APPROVE: Kevin O' - '' Date Interim City Manager RECORDS DESTROYED: Volume in Cubic Feet Weight in Pounds 19C -4 CONSENT: Sonia R. Carvalho Date City Attorney ✓t. AUDITED BY: Mark Lawrence Date Exec. Assistant to the City Manager Memorandum To: City Attorney, Sonia Carvalho From: Police Records Manager, Christina Holland Date: 6/5/2013 Re: Records Destruction Request Hello Ms. Carvalho, For your review and approval, attached are requests from the Jail, Police Records, Fiscal and Evidence to destroy records in accordance with the City's Records Destruction Policy. If you have any questions or concerns, please let me know. Unless you have questions or concerns, will you please sign and forward them to the City Clerk's office for City Council approval. You may contact me at 245 -8620, if you need additional information. Thank you. Respectfully submitted, Christina Holland 19C -5 Z ell- CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: Records Division Record Record Series Record Description Record Dates Category Police Reports Crime, arrest, All crime, arrest, collision, alarm, 12/31/2006 and collision, etc. information, vehicle reports prior reports completed by officers Prepared by: Name: Carol Contreras Date: June 3, 2013 Title: Records Supervisor Number of boxes to be destroyed: 148 CONSENT BY: (�'/i1/13 Carlos Rojas, Chief of Police Date Police Department APPROVED BY: Carvalho, Sonia R. City Attorney Records destroyed by: Date of destruction: -711) l Date Print Name & Badge # Signature Once your records have been destroyed return this form to the Records Manager and keep a copy of this form for your files. Page 1 of 1 19C -6 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: Record Record Series Record Description Record Dates Category Time Sheets ISE Time Schedules 11/1/08- 4/30/11 MAV Videos In Car Video Recordings on VHS 5/1/01 - (approved by IA) 12/31/03 Prepared by: Name: Glenn Beach Title: Evidence & Supplies Supervisor Date: 4/25/2013 Number of boxes to be destroyed: 2 Boxes CONSENT BY: Carlos Rojas, Acting Chief of Police Police Department APPROVED BY: Sonia R. Carvalho `Cu" City Attorney Records destroyed by: Date of destruction: Date U ILI t3 Date Print Name & Badge # Signature Once your records have been destroyed return this form to the Records Manager and keep a copy of this form for your files. Page 1 of 1 19C -7 1 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: Record R Record Series R Record Description R Record Dates Category Jail I Inmate I Inmate complaints and 9 99,00, 02, 04, Administration G Grievances D Dispositions & Disp. Hearings 0 05, 06, 08 reports Jail Operations I Incident D Discipline Major /Minor, Incident 9 98, 03, 04, 05, Reports r reports, Admin. Reports, Incident 0 06, 07, 08,09 Memo Jail Operations S Shift Activity O Officer's logs, Supervisor logs, 0 01, 03, 04, 05, logs R Records logs, Med. Reject logs, 0 06 Med. Billing. Inmate head count 0 07,08,09 Commissary L Logs and E End of shift balance, Abandoned 0 03, 04, 05, 06 records f funds, Comm. Billing, Aaramark Comm. Billing, Money Reports, locker funds, pay to stay, 1 bonds 10 (highlighted) Jail C Chits T Time -off, overtime, sick, access 0 08, 09, 10 Administration c card logs Jail Operations M Misc. E Equipment repair, Mr. Instruction, 9 95, 98, 06 CRSS Construction Manuals, Training Material, Old building Jail Operations M Med. Fed. F Federal Medical Files I/M 0 00 -06 Files Jail Operations T Training M Misc. Obsolete Training Materials N No dates Jail Operations P Pharmacy M Misc. Med. Various 0 00 -06 Orders Jail Operations S Shift Activity O Officers logs, visitor logs, mail 0 06, 07, 08, logs I I logs, detox logs, suicide logs, 1 109,10 E r restraint logs, key logs, inventory Jail Records C Court lists , , WSM, ICE, CDC, CYA, COC 0 07, 08, 09, 10 L 19C -8 r CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: Jail Operations Shift Activity Daily maintenance, Ad Seg. 05,06, 07 Shake down, Officer's logs, Duress Logs, Armory Inventory, Mail, Maintenance logs, AD Seg. 05,06,08,09 Rosters, daily shift assng. Jail Records Documents Inmate Files and Records 97, 98, 99, 02, 00,01 Prepared by: Name: SCA Thompson per Estrada Title: Records Supervisor Date: 04/25/2013 Number of boxes to be destroyed: 1419 CONSENT BY: i Carlos Rojas, Chief of Police Police Department APPROVED BY: �I4 - arvalho, Sonia R. J' City Attorney Records destroyed by: Date of destruction: Date LQ �4 1"? Date Print Name & Badge # Signature Once your records have been destroyed return this form to the Records Manager and keep a copy of this form for your files. Page 2 of 2 19C -9 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: Record Category Record Series Record Description Record Dates Payroll Leave of Authorizing absence forms 1/1/06— Absence 12/31 /07 Payroll Time Labor expenditure charges to 1/1/06— Exception applicable Fund /Activity other 12/31/07 Sheets than home acct Prepared by: Name: Lori Brown Title: Police Fiscal Supervisor Date: May 23, 2013 Number of boxes to be destroyed: 24 CONSENT BY: Carlos Rojas, Chief of Police Police Department APPROVED BY: �Z -�-�- (�,, Carvalho, Sonia R. -�" City Attorney Records destroyed by: Date of destruction: C-1111113. Date Date Print Name & Badge # Signature Once your records have been destroyed return this form to the Records Manager and keep a copy of this form for your files. Page 1 of 1 19C -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: QUARTERLY REPORT OF INVESTMENTS AS OF JUNE 30, 2013 CITY MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER In 1995, the State of California enacted legislation revising the reporting requirements relative to investment of funds by governmental agencies. These requirements, which became effective on January 1, 1996, mandate that a statement outlining the ability of the City to meet the budgeted expenditures for the subsequent six months be submitted to the City Council on a quarterly basis. The legislation dictates that this quarterly report contain the seven major elements listed below: • Type of investments, • Date of maturity, • Par and dollar amounts invested in each security, • Weighted average maturity of the investments, • Market value as of the date of the report, • Source of the market value information, and • Any funds, investments or programs, including loans, under the management of contracted parties. State statutes require that a quarterly report be presented at a Council meeting; however, our office continues to provide this information monthly. The information is in compliance with State law and the City's Investment Policy. The attached report (Exhibit 1) accurately reflects all pooled investments held on behalf of the City as of June 30, 2013. 19D -1 Quarterly Report of Investments August 5, 2103 Page 2 The following table represents percentage policy limits set by the City's Investment Policy and State Law and respective types, amounts and percentages, as of June 30, 2013. Type of Investment r In $ In % COSA Policy Limits State Law Limits Certifcate of Deposit (CD) $0.00 0.00% 30% 30% Commercial Paper(C /P) $0.00 0.00% 25% 25% Federal Farm Credit Bank (FFCB) $50,925,600.00 16.00% None None Federal Home Loan Bank (FHLB) $62,259,319.40 19,56% None None Federal Home Loan Mortgage Corp. (FHLMC) $23,886,858.89 7.51% None None Federal National Mortgage Association (FNMA) $81,340,023.50 25.56% None None Overnight Sweep (C /P) $50,000,000.00 15.71% 25% 25% Local Agency Investment Fund (LAIF) $49,825,554.12 15.66 % None None Treasuries $0.00 0.00% None None Total $318,237,355.91 100.00% The following graph represents percentages within the respective investment types, as of June 30, 2013. 15.660/ 16.00% ■ Federal Farm Credit Bank FISCAL IMPACT ■ Federal Home Loan Bank * Federal Home Loan Mortgage Corp. ■ Federal National Mortgage Association ■ Overnight Sweep (Commercial Paper) There is no fiscal impact associated with this action. Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1 Treasurer's Report 19D-2 Quarterly Report of Investments August 5, 2013 Page 3 CITY OF SANTA ANA TREASURER'S REPORT as of June 30, 2013 EXHIBIT 1 Lei P? 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C. d °o 0 0 Y cc c x m c d L n Ac n U a C_ O C c Cl � h LL Q E m O) 2 L H m 1 r d N CL O E! Z o a H 2 N -T N O N o M V) M } 2 w F wV) °o O O 0 Q 0 o 0 0 °O O Y O c O m m C L U rn o o o. 0 o 0 c M 7 LL o EOD Ol 2 L N m U m z° 7 E! a N U Q Q z Z M M 0 M O N N M N w } U) a r` o) O r- v 00 O O O 0 oo O f0 O Y m c m mr m C co L U rn N 0 D O c OD � M LL O E "D cm m LL L m U z� = 0 N CO m > W o Z oa F Z U) b O M LO am D O p0 N n� n E u o n O N O o n O N co 0 ° ° o O ° ° O O 0 0 oo °O O N O W A O N m m C c °r° L L la U m N N O O D r` O n � o o ° o O LL o LL 0 Ea0 E OD mW ro Z o 0 0 N H N N m af m Q� d W ` W w Q a Q �a a 13 Q D Q Z Z c a Cl) O co o o N v 04 04 N v ri) y E w q fq �d =9 r r n c O o r a a 00 °O 0 N M M O 9 c m o' m n a c, a C ML ¢ O C 7 LL n C £« u. 0) L � U c/ L =, N m c n F CC H da DG H 2 v M W, O n N C o u; } U) U, w r rn CO U O J a O Z D LL W U W N w U LL °o o O °O °O Cl O ay.+ C O v N o �o m m O 2 O O N O 0 os 0 U J C°D O a 0 Z LL M W o U — w a- wa w W Q' U U Q LL. 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Q H Z u) �O W Q M O O O Co N N M 0) 2 w N w m W 0 m J CL U_ Z a LL °o 0 O 00 00 °o 0 N O O O N c O O M o a� u O o O O O >v W O Uoo m m WW > � W m � J W a 0, U o z� � rn aZ LL Q H Z U) o O O Lo T N pp m rn CD A U) a r5 U v c 3 LL c d E H > c T v c d N V O J o� 0 °O 0 0 N C � e c � 7 LL C d h > c V w r Q� r m° V C J O C 0 O � c c a LL C E V; c 'c c u c u d C cm Q r C W G J [ a « a w C G r n o r CO n y r Lu w u) m N } U J O a W U Z M Z a m N O C O U N m m O O N N Off 0 } J O� a a W o U = Z .c KQ E U)<�7 Z U ao in a �Q �o N co Oa c co o o rn N M } h w U) U) } U) 0 M O N 0 m ° F- U c M In Q c M O UI > .O LL Y LO r a N O OI M O V d U N O rn M o � °O v Cl °O o° N O C O U N m m O O N N Off 0 } J O� a a W o U = Z .c KQ E U)<�7 Z U ao in a �Q �o N co Oa c co o o rn N M } h w U) U) } U) 0 M O N 0 m ° 7 04 )IL I jto ] § \ \ f k co I E § § I § � IL 0 # � D ` zIL ° / Q X D m f U) a / o E , ƒ p % £ § � U) L) S ol L) $! U § � | j ) IL u } � ; / & LL k � q � Cc ƒC, &; £ Z, a 0 Ol � § ., d� ! cc � C, LU U) m qco � k .0 co cl LO cD OD )\ r< cl `28 0 C L. �\ I< \ oo 04 � LU U) U) Lq LO at CD � 19D-1 0 eo:q U <&p \d 7 §: ) o REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: QUARTERLY REPORT OF CONTRACTS ENTERED INTO BY THE CITY MANAGER lrz'5� Cl AGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Receive and file the Quarterly Report of Contracts entered into between April 1, 2013 to June 30, 2013 valued at $25,000 and less. DISCUSSION On November 7, 2006, the voters approved a Charter Amendment increasing the authority of the City Manager to enter into contracts and agreements up to a value of $25,000. Section 421 of the Charter requires the City Manager to report to the City Council quarterly on the contracts entered into under his authority for informational purposes. The report is required to include the names of contractors and the amounts of each contract. Exhibit A is a listing of all purchase orders, agreements, and change notices entered into between April 1, 2013 to June 30, 2013 valued at amounts between $500 and $25,000. Unless included under a blanket contract, the City as a general rule does not purchase goods or services valued at under $500 through either a purchase order or an agreement. Purchase orders and service agreements valued at greater than $25,000 require approval by City Council. FISCAL IMPACT There is no fiscal impact associated with this action. 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O = z (L ~ O >- z z z O U v Z a H H 2= 2 w� Q Z o W z }p w S U Q U O¢ N W— Z LL >> =) o Z O m Q a a N w O O 2 2 Z J O z O O U V V z > Q J Q J 1 O Q S N O W C 1' N W O J J N S w Q CL Q Q Q `a d W F_ V J m N 1 LL Q 2 > Q U> O O LL O U N H O Q Q O wn m m m m m m m m m m m m m m m m m m MO t/1 V1 V1 t0 tO to IN tD lD tO t0 I, n n n n n � N N N N N N N N N N N N N N N N N N w t�D t�O l\O LOO tLD t�D l�D w w to t�O l\O w ttDD l�D w 1 m V U1 t0 Il 00 m O .-1 N M V N t0 n 00 m O � n n n n n n a0 00 00 m m 00 00 00 00 00 01 19E -7 0 N U O m c w E W IV m Q i Q 1pi oel REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: WORKFORCE INVESTMENT ACT LOCAL STRATEGIC PLAN FOR PROGRAM YEARS 2013 -2017 "MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the Santa Ana Workforce Investment Board Local Strategic Workforce Plan for Program Years 2013 -2017 and authorize its submittal to the State of California Workforce Investment Board. 2. Authorize the Mayor and Santa Ana Workforce Investment Board Chair to sign the Local Strategic Workforce Plan. WORKFORCE INVESTMENT BOARD RECOMMENDATION At its regular meeting of July 18, 2013, by a vote of 17:0 (Claudio, Davila, de la Riva, Didion, Elliott, Gebre, Gonzalez, Jimenez -Hami, Knitter, Korthuis, Lewis, Nazeri, Su absent), the Workforce Investment Board recommended that the City Council: 1) approve the Santa Ana Workforce Investment Board Local Strategic Workforce Plan for Program Years 2013 -2017 and authorize its submittal to the State of California Workforce Investment Board; and 2) Authorize the Mayor and Santa Ana Workforce Investment Board Chair to execute the Local Strategic Workforce Plan. DISCUSSION Local Workforce Investment Boards (WIB) submitted their initial strategic five -year local plans in 2000, pursuant to requirements released by the Department of Labor (DOL). Due to continued uncertainty regarding Workforce Investment Act (WIA) reauthorization, DOL has required only modifications or given extensions to both the state and local plans for the past eight years. The last approved five year local plan for the Santa Ana WIB expired in 2005, with the WIB submitting plan modifications periodically as directed by the State. 19F -1 WIA Local Plan PY 2013 -2017 August 5, 2013 Page 2 On behalf of the Governor, the California WIB is responsible for the development and implementation of a State Workforce Plan (State Plan). The State Plan serves as a framework for the development of public policy, fiscal investment, operation of state labor exchange, and workforce education and training programs. At the direction of DOL, the State submitted its State Workforce Plan, which was approved by DOL on June 7, 2013. As a result of the DOL directive, the State released a Workforce Services Draft Directive (WSDD -81) on April 12, 2013 giving guidance to the local WIBs for use in preparation of their local five year plans; and subsequently finalized their instructions to the local WIBs on May 22, 2013 in Workforce Services Directive (WSD 12 -14). The Governor's vision is to establish a five year plan that will align workforce programs around the needs of regional growth sectors. The outcomes are expected to increase the accessibility to postsecondary education and training programs and meet the workforce needs of regional economies. The plan focuses on serving veterans, people with disabilities and disconnected youth. The essential elements of the plan center around local and regional workforce & economic development networks that can engage business, labor, education and training providers, to address the region's education and training priorities. Workforce Investment Boards are expected to support and participate in regional efforts and provide periodic feedback to the State. Local WIBs are required to submit five -year local plans that align with this State Plan, identifying their strategies to achieve the State Plan goals. Approval of subject action will enable submittal of the WIA Local Strategic Workforce Plan PY 2013 -2017 (Exhibit 1) for state review and approval as precedent to the City receiving WIA funds. WIA regulations require a 30 -day public comment period to allow for input on the expected usage of these federal funds. A public notice was published on June 26, 2013 in the Orange County Register announcing the availability of the local plan document for review with a public hearing held at the July 18, 2013 WIB meeting. All public comments received up to the end of the 30 -day comment period that are in disagreement with the plan, are included in the final document. FISCAL IMPACT There is no fiscal impact associated with this action Sandra D. Gottlieb Acting Executive Director Community Development Agency SDG /LAO /DS /kg Exhibit: 1. WIA Local Strategic Workforce Plan PY 2013 -2017 19F -2 SANTA ANA WORKFORCE INVESTMENT BOARD M June 27, 2013 Tim Rainey California Workforce Investment Board 777 12"' Street, Suite 200 Sacramento, CA 95814 -0001 Dear Mr. Tim Rainey: Please find enclosed the Santa Ana Workforce Investment Board Local Plan for PY 2013 -17 and request for Board Rectification. The enclosed document still needs to be signed by the WIB Chair and City of Santa Ana Mayor. At this time, the plan is scheduled to go before the WIB on July 18, 2013 and the City Council on August 5, 2013. A fully executed packet will be submitted shortly afterwards. As per the directive WSD12 -14, an electronic copy has also been submitted. Should there be any questions, please do not hesitate to contact me at (7 14) 647 -6991. Sincerely, Linda Oberman Economic Development Manager City of Santa Ana 1000 E. Santa Ana Blvd to 00, Santa Ana, CA 92701 Phone 714.5 S x 714.565.2602 ATTACHMENT 1 WORKFORCE INVESTMENT ACT LOCAL STRATEGIC WORKFORCE PLAN PROGRAM YEARS 2013 -17 Local Workforce Investment Area: Name: Santa Ana Workforce Investment Board Date of Submission: June 27, 2013 Contact Person: Linda Oberman Contact Person's Phone Number: 714 -647 -6991 ® Check the box if you would like to be considered for High Performing Board Designation Special requests for services, aids, and/or special formats may be made by contacting the California Workforce Investment Board at (916) 324 -3425. The TTY line: (916) 324 -6523. FWSD12 -14A Page 1 of 1 5113 19F -4 EXECUTIVE SUMMARY Santa Ana's Workforce Investment Board Santa Ana's Workforce Investment Board (WIB) integrates all elements of the community engaged in enhancing the workforce of the City and its surrounding region: education, social services, business, labor, and government. The WIB "braids" Federal funds from the Workforce Investment Act (WIA) with state, local, and grant resources. Through career pathway training, the WIB converts labor market research into actions that expand access to jobs and to improve the quality of the current and future workforce. Santa Ana's WORK (One -Stop) Center exemplifies key aspects of the WIB's vision. This strategic plan lays the foundation for change, identifies challenges that remain unmet and /or are likely to arise, the institutional structure available to meet them, and plans to extend that institutional structure as appropriate. It touches on each of the State Standards in turn. Overview: The Santa Ana WIB Vision and Workforce Analysis Santa Ana's vision rests on integrating current and future resources through its WIB partners. Integration suggests more than partnering or assembling multiple funding sources. It means making certain that all elements of the workforce support system work together to create synergy for its target populations by offering inviting and seamless services, wherever a client enters the system. Santa Ana's vision also embraces the future, as all visions should. Anyone who has simply observed the evolution of the telephone over the past decade understands that technology is explosive. It spawns new industries and clusters and changes old ones. It generates fresh workforce opportunities in the process. The Santa Ana WIB's strategic plan rests not only on strengths of its current industrial base, but also the demands of emerging business and economic trends. Finally, Santa Ana's vision is sensitive to the needs of its unique demographics and regional mix. As a major supplier of workforce for surrounding communities, Santa Ana is firmly embedded in its regional and cluster matrix. To establish those needs, this plan rests on the analysis of the most current data available, provided by government agencies, private studies, and university forecasts. Realizing the Vision: Strategic Directions for the Santa Ana WIB Santa Ana's implementation of the vision entails enhancing business and supports social and educational services and access to them, mostly though not exclusively through its WORK Center and WIB. An effective efficient administration is necessary to deliver the services that make each of these strategies effective. The proposal describes in detail how the Santa Ana WIB makes that happen. Its overall strategies: • Identify regional clusters most likely to create new jobs in which Santa Ana's workforce can participate and the foundational requirements of such jobs; 1 19F -5 • Expand small business development support as a creator of new jobs and method for growing the local tax base; • Educate Santa Ana's current and future workforce through classroom pre - training and training activities, plus on- the -job training and workforce skill enhancement activities; • Offer career pathway programs for both unemployed and employed adults and youth; • Increase access to jobs for disconnected and underserved populations, especially youth; • Organize, integrate and support social and other services through the WIB's network of partnerships, volunteer organizations, and established institutional resources; and • Assure funding from all public, private, and other sources in support of its programs. 19F -6 TABLE OF CONTENTS EXECUTIVE SUMMARY 1 TABLE OF CONTENTS 3 INTRODUCTION— SETTING THE STAGE 5 Local Structure and Issues 5 A Regional Approach to Local Issues 6 A Note on Data Sources 8 STANDARD 1: VISION — STRATEGIC PLANNING AND IMPLEMENTATION 9 Introduction and Overview 9 The State Vision Standard 10 Santa Ana's Vision 10 Elaborating Strategies that Give Meaning to the Vision 10 Metrics for Determining the Effectiveness of the Strategies 13 Workforce Analysis in Support of Vision and Related Strategies 15 Translating Cluster and Industry Data into Strategies for Success 20 Skill Gaps Generated by the Key Clusters and Industries 22 From Analysis to Goals 24 Summary 25 STAMDARD 2: BUSINESS SERVICE PLAN 26 Introduction and Overview 26 Current and Future Composition of Santa Ana WIB 26 Current and Planned Santa Ana WIB Partnerships 27 Baseline: Performance of WIB and WORK Center to Date 29 Services to be Offered to Businesses in Support of Strategic Plan 30 Summary 33 STANDARD 3: ADULT STRATEGIES 34 Introduction and Overview 34 Essential Adult Strategies Based on DOL and State Standards Plus Local Needs 34 Career Pathway Framework Strategies 35 Using Labor Market Information to Frame Training 36 Partnerships that Guide Present and Future Strategies 38 3 19F -7 Programs from Present to Future: Examples and Development Paths 39 A Planning guide for Strategy Implementation 41 STANDARD 4: YOUTH STRATEGIES 44 introduction and Overview 44 Environment /Circumstances /Need /Gaps Affecting Santa Ana's Youth 44 Vision /Strategies 46 Reviewing Santa Ana's Institutional /Resource Response to Date 47 Operational Plans: Implementing the Strategic Vision of the Next Five Years 50 How the WIS will Interact with the Institutional Structure 53 Summary 54 STANDARD 5: ADMINISTRATION 55 Introduction and Overview 55 Activities in Support of Excellent WiB Administration 55 Past Performance Predicts Future Administrative Excellence 57 Summary 51 STANDARD 6: SUMMARY AND HIGH PERFORMANCE CLAIM 62 From Strategies to Plans: Becoming a High Performance WIB 62 The Summary in Tabular Form b2 APPENDICES G P-1&•1 INTRODUCTION - - SETTING THE STAGE Local Structure and Issues Santa Ana's workforce faces unique challenges based on its population base, its industrial growth, and its economic position. These are reflected in its vision, and in the opportunities for improving the institutional and social structure that impacts strategies for developing an optimally effective Work investment Board (WIB) that the City experiences. Santa Ana has been the County Seat of Orange County since its founding, over a quarter century ago. Santa Ana often is compared with Anaheim. Santa Ana is the second oldest and second most populous incorporated city in Orange County compared to Anaheim, and its median household income ranks nearly the same, near the bottom of incorporated Orange County cities. However, fruitful comparison ends here. In racial and ethnic composition, Santa Ana's population is over 100% more Latino, and nearly 50% less Asian American and African American. Far more of Santa Ana's residents speak Spanish at home as their primary or additional language. Santa Ana also is a particularly young population, with almost a quarter more of its population under 18 than the state norm. Add to this an exceptionally high drop -out rate for local schools. These issues create a unique flavor for Santa Ana the city. They impact almost every element of work and work preparedness, including their underlying education, youth culture, industry distribution, and other drivers. Here is how Santa Ana stacks up against a few key California demographic and economic trends, according to the U.S. Bureau of Census (2010 -11); Bureau of Labor Statistics (2012); and for the latest unemployment figures, California Employment Development Department (EDD, 2013): ITEM SANTA ANA CALIFORNIA Persons under 18 years old 30.7% 25.0% Latino population 78.2% 38.6% Language other than English in home 82.9% 42.2% High school or higher education graduate 51.9% 80.8% Bachelor's Degree 11.7% 30.2% Per capita income $16,562 $29,634 Median Household income $54,399 $61,632 Hispanic owned firms 31.8% 16.5% Poverty rate 19.8% 13.5% Unemployment as of April, 2013 9.1% 7.5% Of particular note is Santa Ana's markedly lower per capita income but less dramatically unequal household income. This discrepancy becomes the more striking when measured against housing costs for Orange County as a whole, whose the mean wage is more than double that of Santa Ana and whose mean cost for housing is $938 /month for one bedroom. The average worker at the Orange County rate must work 59 hours /week to afford his /her housing. 19F -9 For two bedroom housing, the worker must put in 70 hours, and up to 115 hours for four bedrooms. Housing costs for Santa Ana do not vary significantly from the Orange County mean. Hence, the work hours to affordable housing ratio is far worse for Santa Ana. Clearly, more members of Santa families have to work to make ends meet than for Orange County or for California as a whole. Household income figures show that they do so. These statistics reveal a population that struggles, perhaps because of language issues, in educational attainment and hence income. That fact forms the background for understanding both the program goals and program costs underlying workforce preparation, management, and support for the City. A Regional Approach to Local Issues No city exists in isolation. Every city has a mobile labor population, and in the case of Santa Ana there is both a noteworthy influx of labor but an even more significant labor outflow. The same is true of services. Though some labor force related services are limited to local residents by statute or regulation, Santa Ana residents are not limited to seeking educational, social, and other job- related services within city borders. However, the definition of region is complex. Each Federal and State agency defines its region or locus of activities differently. The same is true for statistical compilations. For example, the BLS Labor Market Information (LMI) database crosses into Los Angeles County to include Long Beach, and indeed a major grant for community colleges to be administered in Santa Ana beginning in fiscal 2014 includes the MSA in its administrative purview. Other definitions include mostly northern Orange County, but stop at the border of Irvine to the southeast, because it is so different. Accordingly, we have defined a regional context for WIB services in terms of the fluidity of the Santa Ana workforce, geographical nearness, emerging economic trends, current and future industry, and the provision of job - related services. • Geographic Contiguity. The five contiguous incorporated cities most like Santa Ana in demographics are Fountain Valley, Garden Grove, Orange, Tustin, and Westminster. This expanded area, plus Yorba Linda and Fullerton, contains many of the services Santa Ana residents use and whose residents use some of Santa Ana's services. This regional "catch basin," plus Anaheim, also produces a preponderance of the jobs at which Santa Ana residents work. Stanton'`w'``,""? La Palma Los Atam�tas Anahsfm fi 4 In � 7ustcn Huntmgto r Beach r 19F -10 Santa Ana has extensive networks of formal and informal agreements and joint activities with each of the area's other two WIBs: Orange County and Anaheim. The geography of the area makes that imperative and provides opportunities for regional collaboration. • Labor Mobility. The disparity between per capita and household income suggests that in an average Santa Ana household over three earners generate income. The U.S. Bureau of the Census also tells us that the average commute time to a job is significantly greater than the time required to drive across Santa Ana. Finally, we note that there are not enough industries in Santa Ana to employ the population that works and that nearby cities engaged in tourism and other activities are growing far more rapidly than Santa Ana. In fact Irvine has been one of the fastest growing cities in the nation for a long period of time. All this suggests that Santa Ana is a labor supplier for the cities that surround it. Hence, a key fact of life is that many of those who are trained and educated in Santa Ana and use Santa Ana employment and social services, will work in the area around it. According to the 2010 Census, the five regional players surrounding Santa Ana support an aggregate population of 356,963, slightly larger than the population of Santa Ana itself. Within this population, 48.6% are Hispanic and 39.6% are Asian American. The African American population is very small throughout this region of Orange County. The percentage of Latinos is smaller than that of Santa Ana. However, like Santa Ana, this region's percentage of Latino population is well above the average for California, about 25% larger. Other statistics, such as poverty rates, are about the same, except for average household income, which is slightly above the California median at $63,000. • Emerging Economic Trends. In the plan, we utilize several theoretical constructs and data sources that illuminate regional labor trends. We have outlined the ones we use in the plan. One of the most important ways to measure regional economic trends is to understand where the most important industry clusters reside. Clusters represent particular industry segments and technologies and the supporting industries and services that surround and nurture them. Clusters provide a measurable theoretical structure for regionalism. Of the many definitions of clusters, the most up -to -date is that of the EDA (Department of Commerce Economic Development Administration), based on the research of Harvard Business School's Institute for Strategy and Competitiveness and ultimately on the theoretical frameworks of Michael Porter. Trends associated with the development of labor can be found in the most recent statistical analyses and projections of the U.S. Bureaus of Labor Statistics and Census, and the State Employment Development Department (EDD), plus economic forecasts by California State Fullerton (CSUF), UCLA, the Los Angeles Economic Development Corporation (LAEDC), and others. These analytic and forecasting entities offer broad scale definitions of economic regions, often referred to by the Census term MSA (Metropolitan Statistical Area). Sometimes these regions group Orange County or north Orange County together, sometimes they include Long Beach and other regions of northern Los Angeles County. Such sources are 7 19F -11 good for understanding broad trends, but not detailed ones. For example, as we prepared the plan we learned that an important emerging regional trend is biotechnology industries. Those are important for Santa Ana in that they generate a number of secondary and support jobs but the trend is not congruent with the general educational level of the labor population per -se. • Distribution of Services. Like economic trends, many services offered to the current and potential labor force are regional. For example, Santa Ana is relatively weak in higher level vocational and job /educational improvement resources, such as colleges and universities, despite one excellent community college resource. However, nearby communities feature a major California University (Irvine), and significant California State University (Fullerton), and numerous other similarly placed institutions. Neither of the institutions named above are within the contiguous communities, but all are both available and well used by Santa Ana populations. At the same time, Santa Ana's Digital Media Center is a business incubator, headed by a former Santa Ana Workforce Development expert, that draws on the entire region (and beyond) for its clientele. What can be said of educational support institutions also can be said of other forms of social and educational and job development /improvement institutions. Most are not limited to local populations but seek to serve broader populations that may cover a much larger area than a specific local. A Note on Data Sources Wherever possible this plan relies on primary data provided by BLS, EDD, Census, California Department of Labor, and the California Department of Finance. Some of the Census data is a projection based on principles that are uniform for the nation. The same is true for data on regional trends beyond cluster information provided by EDA. In addition, we have relied on several sources of compiled information, vetted by the State or EDA. The Orange County Comprehensive Economic Development Strategy (CEDS) is one key source. Another rich source of information is monographic studies and reports by California State Fullerton, which touch on particular subject matter related to economic and labor force information. Other broader regional studies are from EDA, the LAEDC, and other national sources regarding green /Cleantech development and other related topics. In order to keep the narrative fluid and emphasize the interpretation of data rather than the data itself, we tend to mention sources, often in abbreviation, rather than cite them in detail. The exception is when the source is not one of those mentioned above. Next: Vision, Analysis, Metrics, and Strategies The next chapter opens with a statement of Santa Ana's vision for the next five years, followed by an analysis of its present workforce and future work -force needs. We then outline the key strategies for developing the tools to help the future workforce, derive concrete goals to serve those strategies, and metrics for assessing progress toward those goals. 8 19F -12 STANDARD 1 VISION, ECONOMIC & WORKFORCE ANALYSIS, STRATEGIC PLANNING AND IMPLEMENTATION Introduction and Overview The Section addresses the following State Standards: • The plan meets local planning requirements in CUIC Section 14200[c]. • The plan's vision is strategic and comprehensive. • The plan's goals and objectives are evidence - based. • Key Stakeholders are actively engaged both in the planning and implementation of the plan. • The five year plan meets Planning Requirements in UI Code 14200 & SB 698 These five State Standards amalgamate the strategic visions of both the Governor and the statewide WIB. Santa Ana's vision is consistent with both. Following a very brief summary of the State's vision, this section elaborates and specifies them in detail, as they apply to Santa Ana's specific context and needs, then indicates strategies for implementing the vision. The evidence for the vision is based on WIB and WORK Center One -stop performance to date, plans, and labor force data gathered from current sources. The detailed labor force data is in a separate section that combines an analysis of Santa Ana's workforce with regional data. The State Visi ®n Standard The Governor stresses the importance of regionalism and of identifying and preparing for emerging industries and other business developments that enhance California's competitiveness. His vision emphasizes the importance of preparing a workforce to satisfy the needs of the developing regional industries. The WIB's statewide vision is expressed in the subtitle of its report, "Strategies for Shared Prosperity." That vision endorses the Governor's call for regional approaches and seeks the integration of activities that develop a business structure and especially a workforce capable of creating community wealth. It breaks goals into the basic workforce funding categories: adult, youth, and underserved populations. It examines the services that each provides. It calls for special emphasis on addressing underserved populations through supporting services that share data and integrate their services to the extent possible. Santa Ana's vision contains both general and timeless statements unrelated to particular strategies, but also expresses the concrete elements that the strategies directly implement. Santa Ana believes that any vision must be supported by data and evidence of accomplishment and potential. It must be capable of being implemented, a practical, not theoretical statement of purpose. Because this proposal tracks State Standards in pre -set categories, there will be some duplication of both concepts and data below and in other Sections of this proposal. 19F -14 Santa Ana's Vision The WIB, led by WORK Center and economic development information and supported by its labor and educational partners, and by the various communities it serves, have defined Santa Ana's vision as follows: As the City of Ana evolves to become increasingly competitive in attracting and retaining businesses, it will engage all elements of the workforce support network in a seamless collaboration that brings success to the job and career aspirations of all its populations. The overall vision statement rests on three interrelated core elements. Remaining on the leading edge of local and regional competitiveness. This idea does not imply shifting with the winds of every new technology and business trend, but rather analyzing those trends in order to assess which best fit Santa Ana's labor supply, needs, geography and demography, transportation, and future planning. it requires a realistic grasp of what it takes to enhance the City's position vis -a -vis developing business clusters and the regional economy and a willingness to involve those elements of the community able to translate that position into action plans. It also means focusing energies on small business as a key driver in creating new employment and in growing the existing employment base. 2. Focusing on the WIB as a unifying force. The WIB stands in the center of all workforce - related activities. It convenes and connects all elements of the educational, labor, government, and business institutional structure. It provides information, monitors progress, suggests and makes connections, and influences relationships in a way that only so diverse and respected a convening entity can. In effect, the WIB is the key player in a large public /private partnership. 3. Emphasizing client centered service. Of course, Santa Ana has a One -Stop, its WORK Center. However, the vision is not about a place so much as a concept and process. Clients should be able to enter the system at any point and receive all the services to which they are entitled or wish to have in order to gain the skills to apply for a job, acquire it, enhance their job skills, and /or plan and prepare themselves for a career. Elaborating the Strategies That Give Meaning to the Vision In order to achieve this vision, the goals and missions of all related public and private entities must be identified, assessed, and in many cases negotiated, aligned, and prioritized. Specifically, achieving the vision entails the strategic activities described below. They both are rooted in Santa Ana's present and aspire to creating a better future over time. They frame the five year strategic goals.1 • Align its goals with the information and strategies outlined in the Orange Countt Comprehensive Economic Development Strategy (CEDS) and other related strategic 1 NOTE: Only the evidentiary basis for each strategy. The specific data that give rise to the strategies are spelled out in the Sections that follow. Later sections also contain "sub- strategies" and tactics that give rise to specific plans for these strategies. 10 19F -15 analysis and planning tools. Santa Ana participated in creating the CEDS through its participation in community meetings, the establishment of overall goals, supporting objectives, and implementing strategies and tactics. Data /evidentiary basis: CEDS plan on file with EDA, evidence from CEDS in workforce analysis in this Section below. • Continue and expand the WIB and its relationships with neighboring WIB's — Anaheim and Orange County. Several WIB members already serve on the two other WIBs, and collaborative activities always take place. However, the greater the collaborative connections, the easier it becomes to acquire new information important to work -force evolution, and the more seamless becomes the experience for Santa Ana clients. The Santa Ana WIB itself is considering expansion to incorporate five new members in key areas related to emerging business, small business, and human resource development in larger companies. • Constantly update its understanding of the regional economy. This strategy implies acquiring and understanding knowledge of changing County and regional goals and trends, and especially its developing business clusters. Santa Ana conducts its own research in this regard, but it collaborates with other cities in the MSA and in Orange County for that purpose. The Orange County CEDS provides evidence of part of this collaboration, as does the exchange of information with Anaheim and the borrowed use of Anaheim's database information. Data /evidentiary basis: Evidence of Santa Ana's currency with the relevant research through Economic Modeling Specialists, Inc. (EMSI) will be found in the labor force analysis in this section below and in subsequent Sections. • Conduct local demographic, labor, and other studies to stay abreast and if possible ahead of the current trends that predict workforce needs in order to anticipate them in training and other support activities. Data /evidentiary basis: Setting the Stage, and this Section below for evidence of data - driven basis of this vision, especially in the use of EDD longitudinal labor need and skill gap analysis. • Analyze and benchmark the current delivery systems for services in Santa Ana, in order to ascertain successful programs and processes and to determine gaps in service that need to be filled. This is an ongoing activity. Benchmark programs in Santa Ana, and in other localities in California, to determine best practices, and in some cases to identify successful programs that can be emulated and modified to fit Santa Ana's workforce needs and populations. Data /evidentiary basis: see Sections below, eg. emulation of "road trip" program, borrowed and enhanced to fit Santa Ana in Youth Section. • Develop and improve tracking and measurement systems, to make certain that goals are being met and surpassed, and to identify systemic concerns that inhibit excellent performance. Santa Ana has several such systems in place. These systems have shown high performance in terms of populations served; jobs generated; etc. • Review training goals and modalities to insure that they are consistent with developing business, economic, and labor needs. Identifying all regional training sources is an ongoing activity. Many of the region's training activities focus on universal job preparation and job ladder attitudes and skills, and others on "timeless" or "traditional" 11 19F -16 work support activities. However, as new industries and clusters evolve, so do job skill requirements for those jobs and often a host of new needs and opportunities created by the secondary and derived jobs the new industries generate Create more certification programs through secondary and post - secondary schools and other preparation service providers, so that employers can more easily identify prepared job applicants; for in- school, out -of- school, labor union, and on- the -job (OJT) training, that label employees who have succeeded in developing career enhancement skills. Focus more directly on the needs of Santa Ana's in- and out -of- school youth population, especially in light of dominant role in the demographics and the economy, and in light of its special needs. Any vision must have an intense local component, because to be implemented it must be able to respond to its realistic context. Youth needs play a special role in Santa Ana workforce development. As a fundamental source of labor for several regional industries and clusters, Santa Ana must remain especially sensitive and reactive to such circumstances. Data /evidentiary basis: published 2014 youth service plan in Youth Section. Focus on other underserved populations, as per the State WIB's goals: veterans, disabled, disconnected and at -risk youth and adults, unemployed adult, and formerly incarcerated population sub - groups. Data /evidentiary basis: Current (FY 2014) service contractor plans in Adult and Youth Sections. Develop stronger green and cleantech industries. California has become the home to green industry development. Orange County and Santa Ana's MSA have been involved in the process, though not to the extent of northern California. Santa Ana has not yet developed a strategy for supporting participation in the labor support for this industry. It is part of Santa Ana's vision and will be supported by strategies outlined in the sections below. Braid funding streams. The past four years have seen nearly a steady decline in State formula funding for Santa Ana programs, in the face of mild inflation and significantly increased need. Santa now blends that funding with other Federal and State Resources, business in -kind and other resources, and educational and other grants. Greater effort and imagination must be put into increasing funding levels among non - WIA sources of all kinds. Data /evidentiary basis: quarterly and annual fiscal reports on expenditures to W1B and State. 12 19F -17 • Continue to integrate supportive services. One of the strengths of Santa Ana has been its ability to marshal its supportive educational, social, economic, and other supportive services. This is the key process that needs to be continued and expanded in order to create the seamless integration that comprises one of the key overall strategic visions. One of the keys to expanding integration is the constant identification and incorporation of partners throughout the business, labor, education, social services communities. It is one of the reasons that underlies the strategy for expanding the WIB. Data /evidentiary basis: prior outcomes reports and plans in Adult and Youth program Sections below. • Develop local small business as a job generator. We will see below that the Santa Ana labor force benefits regional clusters and local industry. Regionalism has been and continues to be a positive trend for generating jobs for Santa Ana's labor force. However, given Santa Ana's workforce demographics, focus solely on regional clusters tends to keep Santa Ana's vision turned outwards. That increases average travel times, reduces local social "stickiness" and participation, and does not benefit the tax base which funds many social and economic services. Santa Ana will make developing its local small businesses a major element in its strategic approach, because it generates primary, secondary, and induced jobs and enhances the local economy. Data/ evidentiary basis: Multiple SBA Office of Advocacy (Advo) published studies, 2007 -2013, showing importance of small, minority, and immigrant businesses in job creation and social wealth generation, redirected policies of Employment Training Panel (ETP) and other State programs. • Encourage existing institutions that support and accelerate job generation through rapid business development. The Digital Media Center is one of Santa Ana's important resources for gathering and developing new small business with big potential. It has expanded beyond digital media to include a rounded slate of businesses with high potential impact. Other incubators and accelerators in Orange County, such as K5, Frost VP, LaunchPad, and others (most located in Irvine and south in the county) represent ways to channel and finance job and wealth creating technologies, and to identify future growth industries. Over 85% of successfully incubated companies remain in the region after graduation. Data / evidentiary basis: National Business Incubation Association, data from Digital Media Center census. Metrics for Determining the Effectiveness of the Strategies Santa Ana uses internal and external measurement systems for assessing the effectiveness of its programs, and will continue to do so as strategies are implemented by the WIB, WORK Center, and collaborating community partners. The metrics are both quantitative and qualitative. The measurement strategy i5 analyzed in detail in the San la mina Workforce inv25tiii2nt rLP U Results of the Phase 111 Return on investment: Calendar Year 2008, by CSU F; Santa Ana... Success Stories, Putting People to Work, 2011, both to be found in their entirety in the Appendix; in Orange County Workforce Indicators and Community indicators (2012); and in EDD and EMSI statistical analyses. Other metrics, such as the Sub- grantee WIA quarterly and 13 19F -18 annual reports, offer important data but not any method beyond "counting" to support its theoretical basis. The advantages of the CSUF study are that it targets the Santa Ana WIB directly, explicitly lists the basis for its data collection, publishes its mathematical confidence level for quantitative and qualitative analysis, and lists the limits on its metrics. The advantages of the Orange County study are that it is regional and explains in plain language what its data means and the reasons that each metric is important. Metrics used to assess programs include: Internal measures. The WIB summarizes its program participation and expenditures on a quarterly and annual basis pegged to its July —June fiscal year. Each agency funded by the WIB or supporting its activities within Santa Ana's submits an annual strategic plan and projection. Each plan describes its vision and mission and goals for the year, its outreach approach as appropriate, and its process for determining success. Internal measures include numbers of client contacts, number of clients served, number who graduate from specific educational and vocational programs and job services, number of job orders, number of recruitments, cost per client, cost per job acquired, and career growth by supported workers. At a more detailed level, they included which services (eg. Internet search ,WIC, etc.) were utilized by participants and at what rates. External measures. External measures are provided by outside agencies hired by the WIB to insure an added level of objectivity in assessing its impact. They include (but are not limited to) the direct quantitative measures such as those listed for internal analysis, plus several others: • Secondary and induced jobs, using direct measures and multipliers standardized by industry; • Local, state, and federal taxes generated by direct and "multiplied" jobs; • Dollars saved as workers exit government social support systems; • Overall return on investment generated by combining these measures with the net present value of the expenditures; • Dates of job starts, job duration, pay upon entry and exit, time lag after program participation before employment or re- employment or promotion; and • Most intense calendar quarters for workforce services, as feedback for internal measures and staff planning. Qualitative results based on both comprehensive and selective random interviews with program participants to determine user satisfaction, learning, and perceived effectiveness: Taken during program participation, at program exit, and as follow -up interviews up to six months after program exit. • Correlated with age, sex, racial - ethnic, and other demographic characteristics. 14 19F -19 Workforce Analysis in Support of Vision and Related Strategies This section summarizes workforce analysis and needs. In addition to Census, LMI, and EDD data, some of the data comes from the BLS MSA analysis, the Orange County Business Council and WIB, and is county -wide. In addition to the Orange County CEDS, we have drawn upon its study, Workforce Indicators, 2012 -13, Community Indicators,2012, CSUF studies cited in previously, and studies of Santa Ana's labor economics through EMSI. And finally where possible, we have tried to integrate the various regional and local perspectives. The information is presented not simply as a survey of trends that affect labor needs, supply, and quality, but as the basis of strategic imperatives. Overall Economic Health. If it Is true that a rising tide lifts all boats, then Santa Ana should benefit from a recovery that is occurring more rapidly for Southern California (six counties that include and surround Orange County) than for the country as a whole. CSUF (2013) indicates that for Southern California both the sum of leading economic indicators and those associated with real Gross Domestic Product lead the national averages. Leading indicators for total civilian employment also lead the nation, but the gap appears to be lessening. Within the broader six county area, Orange County as a whole is doing better than the others in job growth and general economic prosperity. That general economic trend does not suggest that progress has been uniform. The American Community Survey (ACS), a projected summary provided by Census, shows that Santa Ana and all of the areas identified in Section 0 as a surrounding contiguous area, trail the State six county region in the general movement toward prosperity. EDD data for April, 2013 show that unemployment in Santa Ana is about 20% higher than for California. EMSI compares job growth in the Santa Ana area with Orange County as a whole. It projects that from 2010 to 2011, jobs in Orange County will grow half again as much as Santa Ana, 16.7% vs 10.2 %. This suggests not only that the economy of Santa Ana is likely to lag, but also that the key jobs on which its workforce will rely likely will be outside of the City. Cluster Development as a Driver of Employment for Santa Ana. In order to assess the pipeline of job opportunities, we must first identify the key industrial sectors that provide jobs and income in the region and city, then identify what drives them and how they will evolve over the period of this strategic plan, and finally what skills they will require. We then will be in a position to match Santa Ana's strengths and weaknesses in addressing skill gaps, and to design programs to build on the strengths and address the weaknesses. The impact of clusters may be measured in several ways, three of which are particularly important for Santa Ana: by Numbers directly employed, General economic influence based on employment and multiplier effect, and Salary. Hence, in each case below, we have provided three rankings, one reflecting each measure in turn. For example (1/10/10) indicates that as a cluster, Tourism /Hospitality Fly 19F -20 ranks first in employment, tenth in multiplier effect and tenth in salary. That would suggest that it creates lots of openings for work, but work along the bottom rung of the career ladder, often with no way to climb that ladder or even to move laterally into feeder industries. It suggests that the category is important for its sheer size, but not desirable as a place to prosper over the long term without serious career pathway support. The top ten clusters by economic impact employ over two - thirds of all residents of Orange County in 2011. The top 14 employ 75 %. Looked at in terms of overall growth in employment measured against 2007, almost every cluster has exhibited growth. Measured against 2009 and 2010, all have exhibited more modest gains. CSUF suggests that the increase in employment will continue over the next five years, but after adjusting for inflation and population growth, reaching 2007 levels in both employment and salaries may be problematic. Within the clusters and sub - clusters below, several outliers suggest opportunity for Orange County residents, and may be adjusted to fit Santa Ana's profile. Logistics, information technology, and biotechnology/ nanotechnology represent emerging business segments with low current employment but significant employment potential in future, as well as generating multipliers through the sub - clusters and industries that will grow to support them. Manufacturing, construction, health care, social services, and hospitality represent clusters of lower importance to Orange County but with greater congruence with Santa Ana's labor base. The key clusters, based on NAICS codes and incorporated in EDA, BLS, and CEDS data for 2011 and the four years preceding it, are: • Tourism and hospitality (1/10/10). This sector includes subsectors of restaurants and hotels and all of the industries in food production and service, logistics and transportation that support them. While this cluster employs the most workers in Orange County, and especially from Santa Ana, it is the lowest paying of the clusters on average and has a relatively small multiplier effect. Nonetheless, both its size and salaries have steadily increased over the five years ending in 2011, the only cluster, except for relatively smaller ones, for which that is true. Manufacturing (2/8/7). Manufacturing includes traditional and advanced versions, and includes every form of fabrication and machining, and the materials production, transportation and logistics, warehousing, and other industries supporting it. While manufacturing has shown small growth in salary over the years, it remains important because of its overall size and the fact that multipliers in this industry are generally high. In Santa Ana, most manufacturing is "traditional" and small, in that it represents hands -on labor to make things in limited runs. But some is both more intricate in fabrication machining, assembly, and materials, and in the employment of flexible techniques. The exception to slow growth is a sub - cluster called Advanced Manufacturing, whose salaries rank fourth. This sub - cluster is largely associated with bio- technology 16 19F -21 and related drugs and medical devices, and nanotechnology, and in both cases the logistics and information technology that make it work. What makes the manufacturing cluster important is that the aging population involved in traditional manufacturing will create job openings beyond its usual multiplier, while advanced manufacturing depends on advancing technologies, many of which spin out from the MSA and Irvine. Healthcare (3/5/10). Healthcare includes both in- hospital and outpatient care, doctor and dental offices, nursing facilities, family planning clinics, residential care, and the many supportive areas of information, transportation, and pharmaceuticals that support it, plus other social services that surround healthcare. It is difficult to measure salaries here, because salaries in some of the supporting matrix —eg doctors and Biotechnology Cluster providers (ranked 5) are very high, while salaries for ordinary healthcare workers in semi - skilled and non - skilled areas remain very low. Nonetheless salaries have been slowly but steadily increasing over the past five years, as has the level of employment. • Government and Administration (4 /NA /NA). This sector is large in size, and various, but has been in more or less steady decline since 2007. Santa Ana represents a small positive growth exception to this trend. Business, Administrative and Professional Services (5/1/2). This cluster combines ordinary office staffing and ancillary services that provide materials and human resources at every level with highly paid specialized services in law, accounting, programming, and other technical support occupations. It has been a steadily growing cluster in both influence and salaries, with many highly skilled and less skilled openings. Finance (6/3/1). This cluster, sometimes referred to as FIRE (Finance, Insurance, Real Estate), includes not only the professions listed, but also banks, credit unions, mortgage- related services, and the surrounding office and materials services that support them. Even more than in health and hospitality clusters, the high ranking average salaries hide wide variations. The top earners in this cluster have reasonably large staffs who service them at relative low salaries. • Advanced Manufacturing (8/8/4). A sub - cluster under manufacturing for all practical purposes, it is distinguished by its status as an emerging industry and by its significantly higher salaries. • Construction (9/4/9). Construction here is broadly construed, as both the construction of new commercial, industrial, and housing structures and the enhancement of standing ones, plus the architectural, design, utility, and other supporting industries. It also includes the logistics and transportation, and manufacturing and materiel clusters that support it. Construction took an especially serious hit during the recession, but has been coming back since. 17 19F -22 • other key industries and sub - clusters (combined). This group of industries is generally not, or not yet, one of the key sources of employment. However, in each case below the sub - cluster either is gaining ground or emerging as a new cluster with new employment demands and critical skill needs: • Bio- technology /nanotechnology (10/9/5). Analyzed above as a growing sub - cluster under health care, it is emerging as a strong cluster on its own. The demands of this cluster are highly technical. However its service and other supporting industries create many opportunities for jobs across the skill spectrum. The MSA area and region just beyond Orange County indicate significant research in both areas, generating companies that have been spinning off in Irvine and elsewhere in Orange County. • Information technology (10/9/3). Often seen as a sub - cluster because it contributes to almost every industry segment, information technology is emerging as its own cluster with high skill demands and high salary payoffs in a manner similar to bio- technology. Information technology is broadly defined as digital and non - digital, hardware and software, telecommunications, and Internet design and security. Its demands are mostly for highly skilled labor, though elements of programming and digital management are being taught as early as high school. • Logistics (1017/6). Logistics supports almost every other manufacturing and service cluster, but like the other emerging clusters, is becoming important on its own. Logistics includes all elements of transportation by air, land and sea, warehousing, planning, cargo handling, and specialized information and security services and tracking. It generates needs for both skilled and lower skilled labor. When considering logistics, a more powerful picture emerges by including the MSA and not just Orange County, because then the ports of Long Beach and Los Angeles are included. Together they comprise the largest port facility in the country. In fad, two local California State University branches, Long Beach and Dominguez Hills, are providing certifications, study programs and degrees, and graduates to serve the cluster. Some learners commute or migrate from Orange County and elsewhere. • Environment, Energy, Green (10/2/8). This cluster is small but powerfully emerging, with impacts at every level of labor need and every skill base. It consists of waste management, alternate energy, and conservation industries. Because it cuts across so many industrial sectors, from traditional and advanced manufacturing through logistics, nanotechnology, and every variety of office service, it is an important emerging but as yet relatively undefined /not delimited cluster. Opportunity within it is powerful. The MSA view also emphasizes the emerging importance of this sector, one of the most powerful emerging clusters in the country, though still lagging northern California in importance. 18 19F -23 Clusters do not measure jobs directly. The constituent industries on which they are based do. Each is easier to measure on its own in terms of skill and labor needs. The fastest growing industries in Orange County, not according to cluster, but based on two to four digit NAICS codes and analyzed in EDD data follow. They are not necessarily largest in size, but fastest in growth. 1. Colleges, universities, professional schools, average 22% growth 2. Amusement, gambling, recreation, accommodation, restaurants, 20% 3. Heavy and civil engineering and construction, 20% 4. Management, scientific and technical consulting, computer systems, 17% 5. Administrative and support services, 11% 6. Motor vehicle and parts dealers, 11% 7. Social and health care services, 10% As we move from considering job opportunity in regional terms to looking at Santa Ana in 2013, the picture of rapidly growing industries changes somewhat. Clusters by nature require a regional perspective, often but not necessarily County -wide. If we look at Santa Ana alone, based on EMSI data, we find the following ranking and percentages based on employment, accounting for nearly three - fourths of all employment: 1. Government, 26% 2. Waste management, remediation services, and administration, 11 %; 3. Manufacturing, 10% 4. Professional, scientific, and technical services, 8% 5. Wholesale and retail combined, 9% 6. Health care, 7% 7. Accommodation /food/ other services, 8% 19 19F -24 a Government 11 Waste mgt related to Manufacturing FA Profl /sci'c /tech'I N Wholesale /retail Health care Accomm /food /other In terms of fastest growing sectors, the picture differs markedly from Orange County as a whole. Here are the leading growth areas by size of employment for Santa Ana from 2010 to 2020, according to the BLS. The Orange County ranking is in parentheses next to each business category. The Santa Ana list almost flips the Orange County one on its head. Missing in Santa Ana are high level technical occupations. Manufacturing is projected by the BLS to lose 73 jobs over the ten year span, which as a percentage amounts to no growth. 1. Health care /social assistance (7) 2. Professional and business services (5) 3. Construction (3) 4. Wholesale and retail 5. Leisure /hospitality (2) 6. Government 7. Education (2) 8. Transportation /utilities 9. Financial services It is clear from these rankings that Santa Ana participates in the general economic and job development of the region, and is sensitive to emerging clusters within it. However, its workforce population, which numbered 233,823 in 2013, is more workaday than the norm for the region. This confirms the proposition that a number of the most critical job opportunities for the Santa Ana laboring population over the next five years will lie outside of its city boundaries. As indicated in the strategic analysis, this is a double edged sword. It suggests that Santa Ana can benefit from the growth of Orange County industries and clusters of industries. But it also suggests a need to invite, encourage, and support small business in order to develop industry and labor demand, and taxes within Santa Ana's city boundaries. Translating Cluster and Industry Data into Strategies For Success The emerging clusters and industries that cut across Orange County in general and Santa Ana in specific include: health care and social assistance, bio- technology and nanotechnology, leisure and hospitality, logistics, green and environmental technologies, and traditional and advanced manufacturing. While it is important to service all of them over the next five years, limited resources require that we select a limited number for special emphasis, that the focus be responsive to current and potential skills and aspirations of Santa Ana's workforce, that Santa Ana develop the training and career pathways to support the priority industries, and that Santa Ana work to enhance its local job development and business attraction activities. To an extent not characteristic of Orange County as a whole, Santa Ana must link economic development and workforce strategies. 20 19F -25 Santa Ana will focus on two main clusters and devote its resources to a lesser extent in two others: • Manufacturing. Though traditional manufacturing is slated to lose a trivial amount of jobs over the next decade, these losses are offset by two conditions. First, Santa Ana's manufacturing ownership is aging, which creates opportunities for the upcoming youth population locally. Second, advanced manufacturing is in fact on the increase all over the County, not in decline. Although much of this activity is outside of Santa Ana proper, its workforce mobility will allow its population to migrate to where the jobs are. Advanced manufacturing itself is composed not only of new industries and techniques, as indicated in the bio- technology and nanotechnology analysis, but also is a factor in all manufacturing. CNC, 3 -D printing and sintering, and related technologies make it imperative that any middle market manufacturer adopt practices that require mathematics skills in order to stay competitive. The same is true for small manufacturers, though often to a lesser extent. These developments create the following needs for labor: on- the -job technical and semi - technical labor trainable by the current sources of industrial arts training in the public and private schools, highly skilled labor trainable is specific courses and prepared for by STEM and other education for the advanced techniques and clusters now in growth mode, and OJT formal and informal training to create career pathways and earning ladders for those already in the workforce or about to enter it. Note that in the career pathway model, manufacturing skills often can be trained for, rather than requiring formal education, but that this this pathway is narrowing as manufacturing sophistication grows. • Health care and associated social services. One of the fastest growing clusters in Orange County, this cluster has been passingly important for Santa Ana proper. No cluster has fueled growth in Orange County to the extent of the health care system, especially the large hospitals and research facilities of the northern part of the county. Santa Ana has one hospital of note within it, but a large number of clinics, outpatient facilities, etc. The Affordable Care Act is projected to result in more such facilities, creating a greater need for labor at all levels of the health and social system. In addition, dental practices, including needs for every level of dental technicians, are among the fastest growing sub - categories in Santa Ana. Santa Ana thus is experiencing one of the most significant gaps between need and trained human resources. As in the case of the manufacturing cluster, the health care cluster has an established base of training facilities for front office, back office, and technical support. The Santa Ana youth program, as suggested in Section 4 below, already is focusing on this need both in school and other programs. in addition, the region is rich in post- secondary training facilities. • Hospitality /entertainment and especially its sub - clusters. This cluster continues to be a mainstay of northern Orange County based on the sheer number of people who work in it. In addition to its traditionally low paying jobs at the bottom of the employment ladder, this cluster has been able to stimulate some higher paying ones in the fields of 21 19F -26 culinary arts and hospitality management. There already is a significant training infrastructure supporting such training in Santa Ana and environs that furnishes a solid base to build upon. Standard 3 and 4 suggest how this translates programmatically. • Green /clean /environmental cluster. Santa Ana has a head start in its focus on waste management and remediation internally and the large amount of growth regionally. This cluster provides the second largest percentage of employment in the City now (11 %). Regional research and development should lead to job creation over the span of this strategic plan. More important, almost all other industry clusters increasingly are endorsing green and clean methods, from the generation of their electricity to the manufacture of their products, to the management of their waste. Many industries in addition are employing experts to manage their supply chains in an environmentally responsible way. It is a large and miscellaneous area in which a variety of industries will contribute. Skill Gaps Generated by the Key Clusters and Industries Ultimately, cluster and industry development come down to the types of job openings they will create. Here is a selected list, from EMSI, based on two to four digit NAICS codes, ranked by the percentages of job openings generated 2011 -2012. Overall job growth for Orange County for the period will be less than 2 %, but that is significantly higher than for Santa Ana, where the growth is projected by EMSI to be essentially flat. • 6% -4% growth: Dental assistant, dental technicians, electrical maintenance and repair, heavy equipment maintenance and repair, recording technicians; Accountants and business managers, electricians, medical office workers, HVAC engineers and technicians, physical therapists, surveying technicians, HAZMAT workers, theater and recording arts practitioners; • 3% growth: Office ranagers, construction workers, taxation specialists, computer scientists, information specialists, food service workers, diesel mechanics, estheticians. • Outliers— airframe mechanics and technicians (21 %), aircraft power plant mechanics and engineers (20 %), marine transportation technicians (20 %). These lists show the percentage of job openings, but do not indicate whether those jobs are new or replacement jobs. Nor do they indicate number of jobs. Hence and 20% growth in aircraft mechanics may mean far fewer jobs than a 1% increase in hospitality in number of jobs. 22 19F -27 Here is a list of 2011 -2012 skill shortages from the same EMSI source, listed in order from the largest number (6,356) to the smallest. Sales (6,356 openings) Real estate Business management Distribution/ marketing Finance Health services and sciences Business /commerce General office Cooking culinary/ Accounting business management Public administration Retail management Computer programming Computer science General merchandising and sales Taxation Carpenter Accounting Medical administration Medical assistant /technician Construction Marketing manager Bookkeeper Truck /bus driver Computer systems analyst Health /medical professional Culinary arts Program management Network systems administrator (928) Together, these lists show that most of the jobs in demand require trainable skills or some form of post- secondary education. As we shall see in Section 3, the career pathway model allows for various levels of training and education, begun and ended over short and long terms, and entered to at various points in the skill development cycle. More important, training and education are especially important in Santa Ana, because of the demographics of its current and potential working population. EMSI also lists the "Top Program Completions in the Santa Ana region. This list shows that liberal arts and humanities completions in 2011 (1,480) totaled almost as much as all other categories combined. Those other categories, in order were health professions (651), business programs (325), personal and culinary services (262), followed by visual and performing arts, law enforcement and firefighting, legal studies, computer and information sciences, family and consumer services, and precision production. Not one of these categories matched the degree of any need expressed above. We already have noted the youth of Santa Ana's population and its relatively low level of K -12 and post- secondary completion. The availability of teaching professionals to remedy this concern show that the issue will not be easy to address. Anticipated job openings over the next year according to two to four digit NAICS codes (Anaheim) show an average gain of 4 -6% across most employment categories, with several outliers in the 20% growth range. Meanwhile, teachers, educational administrators, educational technicians, and teachers aids openings are shrinking by 3% to 4 %. If we look at sub - categories, including post - secondary teachers and elementary school teachers we see an even higher percentage of shrinkage. Santa Ana has exceeded its performance goals as established by the State in job education and training to date and intends to continue to do so in the face of these challenges. These challenges do not exist in isolation. They combine with the low per- capita income and the need 23 19F -28 of Santa Ana households to create livable income through multiple wage - earners per household, the requirement that youth programs provide living stipends to their most at -risk populations, the high need for English learning to supplement Spanish spoken at home, and the shrinking State budgets for workforce development, to stifle many of the options for addressing the education gap. More important, studies by UCLA and the LAEDC indicate that the situation is not likely to be aided by demographic change. The Orange County population is aging, and EMSI shows that Santa Ana's is as well. For Orange County as a whole, 27.6% of the population is under age 19. That number is 32.7% for Santa Ana. At the other end of the spectrum, 11.2% of Orange County's population is over 65, vs 8.2% for Santa Ana. In addition, the California Department of Finance and Community Indicators show that migrants into Orange County from all sources, especially Mexico and several countries in Asia, once drove its population growth. But as of the period from 2008 -2010, internal growth and migration from Los Angeles County and elsewhere are driving that growth. This trend reinforces the serious need for training and for strategies that both enhance its quality and increase its quantity and the need to think regionally and act locally. From Analysis to Goals The demographic, workforce, cluster, industry, and job gap analysis transform the strategic vision into a set of more concrete strategic goals: • Stimulate full time living wage employment for Santa Ana residents in both local and regional industries. This implies the following sub - goals: • Create relationships with small and large businesses (and as appropriate the human resource departments of larger concerns), to identify current and evolving job opportunities and to learn what employers look for in candidates. • Continue and expand study of strong and emerging industry clusters, and high wage /high value jobs in the region and industries in the City. • Support small business and entrepreneurship through training, simplification of regulations, and the established avenues of public or public /private counseling. • Focus on the four key clusters to establish training criteria for adults and youth, but do not neglect the traditional sources of high employment and employment turnover, especially in manufacturing. • Strengthen the technology business support activities of incubators and accelerators in identifying sources of emerging job needs. • Intensify business attraction and retention activities for Santa Ana in support of making Orange County a regional, state, national, and international business leader, and Santa Ana increasingly self - sufficient in the job market. • Enhance all elements of job training that support infrastructure. This includes: 24 19F -29 • Expand training opportunity for all populations, especially those in particular need, such as low income, displaced workers, military veterans, youth, disabled and formerly incarcerated persons, utilizing the career ladder model of access and education. • Develop more educational pathways into the Latino community in both English and Spanish, to enhance their opportunities for job acquisition and growth. • Continue skill gap analysis to keep abreast of training needs. • Broaden the types of training available for both job entry and job advancement, including in- school and on- the -job types. • Measure the results of public and private training programs in terms of aptness, job placement, and career enhancement. • Extend support services for all population segments, including in- school and out -of- school youth and adults, including social safety net, housing, transportation, and other job - related activities. • Do not neglect those already employed yet seeking more responsible positions. Make certain that they are aided through career enhancement training. Summary: How the Vision, Strategies, and Workforce Analysis Meet State Plan Standards • Santa Ana's plan meets the mandatory Planning Requirements in UI Code 14200 and SB 698 • The Plan is data and evidence driven. It rests on the particulars of Santa Ana's population, labor force analysis and skill -gaps, and the WIB's performance to date. It is a solid practical plan embracing not only what has worked and can work for the City, not a series of hopes for change. • The Plan has been derived from broad scale community participation., both inside and outside of the WIB itself, including meetings, submitted agency and other plans, and private interviews with key WIB members. • The plan is comprehensive, embracing all populations and needs, including special needs groups identified in the State WIB and Governor's plans. • The plan is forward looking, in terms of industries to be served, and potential workers to be trained, as suggested in the labor force analysis and the demographic analysis. • The plan is strategic, based on an evolution of current programs and the evolution of nevv ones as appropriate. 25 19F -30 STANDARD 2: BUSINESS SERVICE PLAN Introduction and Overview The Section addresses the following State Standards, namely that the plan: • integrates local business involvement and workforce initiatives. • Forms local partners with priority industry sector employers, and education in developing and operating regional workforce and economic development networks. • Facilitates and /or participates in unified workforce services support to employers within the labor market, integrating with other relevant local WIB's, educators, and other partners. • Leads in identifying and obtaining resources to sustain operation of regional workforce and economic development networks over time The "business plan" for implementing the vision, strategic initiatives, goals, and workforce analysis above rests on the following fundamental principles: • Expansion of WORK Center one -stop services to create a seamless experience for system users; • Continuation of established successful programs that have achieved measurable success; • Addition of new training and career pathway ideas and strategies to meet changing cluster, industry, labor force, and needs; • Optimization of collaborative strategies between business, labor, educational, and service sectors through the agency and leadership of the WIB; • Outreach and collaboration with Anaheim and Orange County WIBs; education institution and well established business organizations; • Search for additional funding to supplement that currently in place Current and Future Composition of Santa Ana WIB The Santa Ana WIB now consists of 31 members, in the categories shown. The categories of social services and advocacy nonprofits have been combined. Some of the service organizations might be considered public entities, but for this analysis, we have identified only economic and community development personnel as government. See Appendices for detailed list. SANTA ANA WIB, n Business 2013 26 19F -32 M Social services /nonprofits v4 Labor M Education M Government Santa Ana's strategic plan calls for the expansion of the WIB to include several smaller and larger businesses. The intent of this expansion is to better identify and track emerging employment trends and for the WIB to keep its finger on the pulse of changing training needs. The small businesses will help forward Santa Ana's job development strategies, and the larger ones will contribute human resource and hiring expertise. Santa Ana has identified the target companies which it intends to contact. The WIB expansion "wish list" is found in the Appendix. The WIB is divided into committees "for the purpose of ensuring the flow of the WIB's strategic plan." The committees are: • Executive Committee meets on alternate months to formulate policy recommendations, monitor the strategic work plan, act as a general clearinghouse for WIB and WORK Center activities, develop a collaborative and communications strategy, and make interim decisions as appropriate. • Marketing committee has the duel responsibility of marketing WIB activities in general and developing ways to bring new perspectives onto the board. It writes and executes an annual plan for that purpose. • Employer and Customer Service Committee studies the needs and expectations of the business community specifically to improve the services of the WORK Center. It has taken the lead in making the strategic recommendations for this application. • Oversight and Data Committee keeps up with the changing demographic, labor force, and business data that drives program relevance and effectiveness. • Youth Council includes interested and appropriate WIB members plus community organizations and parents dedicated to serving this element of the workforce. it is an increasingly powerful part of WIB activities. The local business service plan is being developed by the Employer and Customer Service Committee, of course with the aid of the other committees. It developed the vision, strategies, and general plan outline in its meeting of May 28, 2013. Current and Planned Santa Ana WIB Partnerships WIB PARTNERSHIPS, U Business :E =jai - N Social w..... :£;'s = -: £ services /nonprofi r..;i�i•R£�: ... �.= Labor "- ££ a Education 9 Government 27 19F -33 Santa Ana's current set of 29 WIB partnerships is analyzed in the same categories used to analyze the WIB. The important category of labor consolidates representation from several unions. The Chamber is counted as business. It should be noted that of the 29 partnerships, six (21 %) are devoted to youth and /or minority underserved populations. See the Appendices for detailed list. Santa Ana's strategic plan calls for expansion of its partnerships in every sector, except direct government employees. The expansion will focus on adding representatives from manufacturing, health care, hospitality, and green clusters that make up its emerging employment thrust. Both the composition of the WIB and its network of collaborating entities suggest a broad collaborative approach to promoting, reinforcing, and sustaining existing and future businesses on behalf of growing an increasingly sophisticated workforce, and to providing the labor force training necessary in the process. A deeper analysis of the WIB membership and relationships shows that the WIB and WORK Center connect the various elements of job production, preparation, and promotion. For example, Rancho Santiago Community College District (RSCCD) not only runs two campuses in the area, but maintains and manages the Digital Media Center incubator, houses an SBA sponsored Small Business Development Center (SBDC) offering free services to local businesses at every level, houses several vocational training centers focusing on customized training and even arts businesses, maintains a corporate training institute, and now heads the Regional Technical Educational Center, coordinating the educational activities of all community colleges in the MSA. Business, workforce, educational and social services such as the Chamber of Commerce, private Career College of California, Conservation Corps, Department of Rehabilitation, Therapeutic Arts, Goodwill Industries, Cambodian Family Services, Women helping Women, and even the library system have been brought into collaboration through memoranda of understanding (MOU) or contracts and the exchange of information and planning through the WIB and WORK Center. A list of formal collaborators may be found in the MOUs and a larger informal one may be found in the 2011 Santa Ana Annual Report, Our City, Our Success Stories: Putting the People of Santa Ana to Work. Both found in the Appendices. The Santa Ana WIB has three members who also sit on Anaheim and Orange County WIBs. It maintains contact with those WiBs and reports on their activities at each WIB meeting and through WIB committee work. In addition, the three WIB's coordinate and collaborate on regional grant opportunities, regional labor issues, job fairs and a constant exchange of marketing materials and cross - marketing with each. By collaborating and sharing information and personnel Santa Ana is able to address business and labor needs more effectively, efficiently and virtually seamless to the business community. In addition to sharing information and perspectives, Santa Ana routes residents in its surrounding areas to neighboring local WIBs, so that job development and support services are integrated for the nearly 700,000 residents in the six city area. There truly is no wrong door to the business owner or worker looking for assistance. Santa Ana has worked hard to develop and foster relationships with highly respected business groups in the region. Orange County Business Council —Santa Ana WIB staff attends and participate in their Economic Development Committee as well as their Workforce Committee which meet monthly. Santa Ana Chamber — management staff meet regularly to discuss business needs, service delivery and work jointly in offering topical workshops and joint host to ►T:3 19F -34 a quarterly Manufacturers Council meeting. In addition, Santa Ana is currently partners with the OC WIB who is the grant administrator for a federal Innovations grant targeting the IT career pathway and its impact in virtually every industry in our region. Baseline: Performance of WIB and WORK Center to Date The information below is extracted directly from the Phase 111 Return on Investment Analysis (for calendar 1008) and the 2011 Annual Report, cited above, Both maybe found in their entirety in the Appendices. Detailed information on the constituencies served based on internal reports to WIA for 2012 -2013 will be found in the analysis of Santa Ana's administrative quality in Standard 5, and in the Appendices. In 2011, 379 business clients posted 11,985 job openings online. Through 35 onsite job fairs and other recruitment activities the WORK Center was able to find 234 employees for 91 employers. It provided layoff aversion services to 250 businesses, including expert consulting to 92, and it saved or retained 76 jobs for the City. Overall, 48,193 potential clients visited Santa Ana's WORK Center in search of help finding work, education and training, or other forms of employment support. More important, of that number the WORK Center was able to place 1,949 adults in jobs. Of that number 1,500 (77 %) were retained in later measurements. Dislocated workers experienced the same retention rate, and ultimately 276 found reemployment. The WORK Center enrolled 547 learners in training programs, or whom 325 were awarded scholarships. All of these numbers exceeded goals. The results for youth were equally impressive. 822 accessed services and program through the WORK Center, 140 youth filled internships for 50 local employers, and 185 received certifications, a success rate of 76 %. This internal report for 2011 was surpassed in thoroughness by the external report from CSUF. The CSUF report was conducted by its Social Sciences Research Center. It was based on telephone and exit interviews of participants, and according to accepted academic statistical standards. Its analysis was a completely independent work of scholarly analysis. The number of clients climbed significantly between the 2007 report and 2011, but the success percentages were consistent, despite the overwhelming impact of the recession. CSUF showed the Santa Ana WORK Center and its partners serving over 1,500 clients every quarter. Over 5,900 new clients used its resources overall. The study found that the Return on Investment (ROI) for services provided to them by the Santa Ana WORK Center was 147 %, despite the significant economic slowdown, endurance of the recession, and the increased service costs that it generated. In 2008, the WORK Center and WIB changed to a form of data collection and analysis based on the learning lab /integration of services and which continues to be a strategic goal of the WIB. To begin the process of meeting true integration, the Santa Ana WORK Center required all participants utilizing its One Stop center to register with the office not individual partner agency. 29 19F -35 Businesses Services Plan Santa Ana's businesses services are done in a team approach with the City's Economic Development staff alongside WORK Center personnel. We have found that this model to be efficient expedites communication and facilitates delivery of services to the business community. Staff is cross trained on city incentives and various economic development programs in the community as well as trained on WIA programs such as general recruitment, On- the -Job training (OJT), customized training for new hires as well as incumbent workers, and layoff aversion /rapid response services. Facilitation of business development, especially small business. Training, counseling and support for small business and entrepreneurial development, utilizing SBA, SBDC, CDFI (access to capital), community college, and other resources. For more established enterprises, services also include general support and higher level specific expertise by industry experts and consultants. Most of these services are free of charge to the user. The small business connection is especially important and the Santa Ana WIB is well positioned to expand its activities here. Santa Ana is the location of a District office of SBA. It houses numerous programs in both free and low cost counseling and education and information, plus lending. Santa Ana's WIB Director meets regularly with the District Manager to discuss issues affecting the business community. Two other institutions amplify its resources in the area: the Small Business Development Center(SBDC) for Orange and Riverside Counties is located in the city and the WIB sits on their advisory board, and the three state CDC /CDFI, which offers direct lending, loan packaging and referral, and counseling, is located in Anaheim a few miles away. The Vice -Chair of the WIB is from the local CDC /CDFI office and has been very accessible to meeting with local business owners and newly formed businesses. Workshops and other forms of aid to business in understanding and streamlining of permitting, taxation (and tax credits), regulation, and other processes for inducing businesses to come to and stay in Santa Ana. Of special importance was training on how to make the highest and best use of tax credits from the Santa Ana Enterprise Zone. These credits for employing local residents in an expanded area around the Zone, can be substantial for a business and can extend back up to four years from the time of application. • Workshops and forums for managing existing and future workers and for facilitating compliance with OSHA, ADA, labor laws, environmental, and other regulations. Information services and marketing activities to attract and retain new businesses for Santa Ana, especially in the emerging industry sectors. • Recruitment services for business to aid in finding appropriate employees. In addition, the Santa Ana Workforce Center offsets half the salaries for on- the -job- training activities, provides no cost ETP training and apprenticeship opportunities. 30 19F -36 Workforce Training and development. The WORK Center collaborates with local K -12 and community college programs to promote both vocational and pre - vocational training for adults and youth. It works with: K -12 educators to promote STEM and STEAM education in all its schools as a precursor to training that maximized not just vocational skills, but career paths; Both K -12 and post - secondary resources to keep youth in school and to promote special programs for them; Employment Training Panel (ETP) and other state, federal and other funded programs that offer specialized training to front line workers in order to retain and grow local industries; The Santa Ana Workforce Investment Board will integrate its local business involvement with workforce initiatives by: • Develop outreach plan to business with the identified priority regional sectors by 9/30/2013. Begin implementation of outreach plan by 12/31/2013. • Convene Private Sector members of Santa Ana Workforce Investment Board and other business service agencies such as local Chambers of Commerce and members of the business services team to develop business success metrics that respond to identified priority regional sectors by 9/30/2013. Develop talent pipelines via job clubs and merge them to identified priority regional sectors by 9/30/2013. Rapid Response and lay -off aversion. The WORK Center will partners with priority industry sector employers and educators in developing and operating regional workforce and economic development networks as a primary strategy by: • Form the Greater Santa Ana Regional Economic Development Resources Network by 12/31/2013. The network will include business representatives from the local WIBs, local education partners, workforce developers and other business servicing agencies. Develop Strategic Plan and metrics by 6/30/2014. Strategic plan will include identifying and meeting the skill needs of the priority industry sectors. Strategic plan will include the following: - Develop systems that provide an "early warning" to identify "at- risk" businesses and coordinate economic development, workforce and business assistance resources to provide Rapid Response business assistance that may potentially 31 19F -37 avert a layoff and maintain the company and jobs locally. This will include monitoring the Worker Adjustment and Training Notification (WARN) system to receive early notice when larger businesses are about to lay off workers, moving immediately to address the unemployment and re- employment issues generated and to make training facilities available. Also participate in several trade groups and Human Resources associations to offer up alternative resources to alleviate layoffs or closures; - Offers workshops and co- sponsor manufacturers' council meetings as part of a general information outreach, but also to create potential job networking for workers in transition; -Moves imaginatively to extend the notion of Rapid Response to larger small businesses below the level requiring WARN notices but which may be experiencing flat or negative growth or distress, in order to intervene and stimulate employment among them before layoffs become necessary; -Keeps contact with businesses, so that they may receive WORK Center support before they are at the point of folding, leaving the city, or laying off workers. - Gather and analyze information. As indicated above, Santa Ana will collect and analyzes information both on its local industries and regional clusters, its evolving workforce, and its training facilities on a regular basis. - Expand local and regional partnerships to support business and labor needs through long term established relationships with the Santa Ana Chamber of Commerce, the OC Business Council and Hispanic Chamber of Commerce. A. Collaborative Strategies to Leverage Training Resources. The Santa Ana Workforce Investment Board will form a Regional Business Services Collaborative composed: of members of local workforce agencies /intermediaries such as local WIB boards and Community Based organizations share job leads and workforce talent to increase responsiveness to priority industry sectors by 12/31/2013 32 19F -38 The Santa Ana WIB and the Santa Ana Regional Economic Development Network will complete a Strategic Plan to enhance already existing service that will include at minimum: • Small Business Assistance and Entrepreneur Assistance program to be funded by ETP aimed at assisting entrepreneurs and providing free manufacturing support through the California Manufacturing Technology Consulting (CMTC); • A plan that will outline funding opportunities and aligns resources with labor, education, corrections, social services, economic development and other key partners and programs in support of the local plan by 6/30/2014. The plan will Identify funding in addition to WIA and develop resources to address the skill needs of priority industry sectors including the training for incumbent workers. Summary: How the Business Service Plan Meets the State Standards The business service plan meeting the State standards by: • Tightly binding local business involvement and workforce initiatives through the activities of its Workforce and Economic Development Departments and through initiatives that identify, track, and develop job opportunities, and match them with established and innovative training, placement, and career development programs. • Providing business support by marshaling community business, labor, government, and educational collaborators with free services through its WIB and collaborating community partners. • Basing funded scholastic, vocational, customized, and on- the -job training programs for every employment and potential employment sector on established and emerging industry needs. • Combining business attraction and retention strategies with an aggressive multi- disciplinary layoff aversion and rapid response approach. • Maintaining unified workforce services support to employers within the labor market, and integrating its services seamlessly with other relevant local WIB's, educators, and other partners. • Taking a leadership role in identifying and obtaining resources to sustain operation of regional workforce and economic development networks over time 33 19F -39 INVESTMENT BOARD t dEll M;t Adult Training Skills Development Career Pathways STANDARD 3 ADULT STRATEGIES Introduction and Overview This Section addresses the State Standards below. The local board should: • Coordinate its pre- apprenticeship and apprenticeship programs with Department of Labor Employment Training Administration (DOL) and /or approved California Department of Industrial Relations Division of Apprenticeship Standards (CDIR). • Prioritize training for occupation in priority industries, resulting in attainment of degrees and /or other credentials used by priority sector employers. • Emphasize career pathways as frameworks for viable skill development • Partner with stakeholders to identify funding to support improved skills, degrees, and training that results in certification and employment In meeting the standards to date, Santa Ana has driven all programs through the WORK Center one -stop program and an extensive local and regional network of collaborators. In order to continue that tradition and meet the State Standards in an evolving business and jobs environment, Santa Ana must constantly re- imagine and re -craft its adult programs to increase the availability of training options and opportunities for adults, expand its educational and other partnerships, and sharpen the relevance of its training strategies and content. This section opens with a listing of strategic goals specifically oriented to the adult learning population. It discusses career pathway strategies as the core element in enhancing opportunity for job seekers and those currently employed. It then addresses how these strategies bring a wide network of collaborating agencies and regional support systems into play to implement the strategies in service of the needs of local industries and regional clusters. Essential Adult Strategies Based on DOL and State Standards Plus Local Needs The critical strategies for developing an ongoing program for adult learners include the following: • Use the career pathway /career ladder process and tools throughout as the model for adult training. Insure a variety of program entry points, locations, duration and depth of classes, and classroom and job settings in order to accommodate the economic circumstances and short and longer term needs of the client base. 34 19F -41 • Coordinate training programs and build partnerships among the contributing public and private agencies to enhance the flow of information about cluster and industry training and employment needs. • Focus on emerging and priority sectors, but include all segments of business in the training subject mix. • Constantly measure performance and outcomes in quantitative and qualitative terms. • Continue and expand successful programs. • Provide the extra services and support to client populations who need them in order to spend time in career pathway training. Career Pathway Framework Strategies The key to effective training is to conceive of jobs as steps along a career pathway or up a career ladder. A ladder suggests movement upward. However, the pathway is a better metaphor because it suggests an ability to get on or off the path as desired and can lead in many directions. A career pathway amounts to a series of learning opportunities divided into discrete units that can be combined to help employed or unemployed adults upgrade their skills, grow in their jobs, and advance. The DOL has provided guidance to transform this concept into a plan. it stresses a systems approach to identifying and training in skills for job advancement and certification. The systems approach also includes a variety of training modalities and addresses formal and working learners alike. In particular, the DOL career pathway process includes the congruence of training programs with emerging clusters, addressing the full range of formal educational and vocational training options in and out of school settings, combining vocational learning with traditional education options, and working toward credentials and certifications accepted by industry. It establishes multiple entry points into the process and integrates other workforce services around the educational /training experience. It enables learners to combine work and study in training and creates flexible learning schedules to accommodate it. Most important, it imposes a system of measurable progress throughout the process and at the system level. The Wisconsin WIB has created a graphic representation of career pathway training that is used by the Orange County WIB and others to illustrate the process. It also forms the basis of Santa Ana's approach. It is reproduced below, extracted from http: / /www.wdbscw.org /initiatives/ career- pathways.html). For Santa Ana in particular, language and ESL training, plus pre - preparation in education are important, as are support services, internship's, and flexilDle, convenient scheduling. 35 19F -42 Career Pathway Platform COstomer can enter system at any point based on skill nerd. _ _ ............. . ....................... ........... ........................... ............ ............................... - ses a: .............. a_ =s::::::: :.::::::- :::::::: - ::::,::: ........«... ....... »..... ». ............... .. ......:: - -.:-c ..- .... ^:r -: :....x... «..x•n••rs:n•.: • sr": •:e :�. :::xs:ia�:fiiE daS_E,. ':`_00.'.::'. °., «•_f�xa .43:.: � °y_:: i::a::.., :.... ...__ ... .•:.ice ........ ..... ».... szi. i'• Zef..-., e. ,..,.- .,.,.,...:,.......:...... = ' :ii`-'• .........._ »_.........» _ _ _ •_,,����' ��f[iiE[� _icy: -. Using Labor Market Information to Frame Training In Sections 1 and 2, we addressed crucial elements that inform the need for and content of adult training: preparation for priority industries and rapid response to those impacted by layoffs. In summary, Santa Ana's training will accommodate its traditional industries, but will concentrate on developing training for the following priority clusters: Manufacturing and the manufacturing cluster. In its traditional and advanced modes, manufacturing supports both local and regional economic development. Manufacturing may be experiencing flat growth overall in the coming half- decade, but its advanced form is growing rapidly in Santa Ana and environs, and this cluster employs a large percentage of the working population. The current manufacturing workforce is aging faster than the population in general. As it does so and "old heads" retire and die, they will take with them expertise, learned experience, and just plain labor. Hence, opportunities exist for work at every level of skill within the labor force. Because manufacturing, even in its most traditional forms, is increasingly sophisticated, training in mathematics through trigonometry, computers, computer - driven tools, 3 -D printing, and a host of technologies represent career ladder 36 19F -43 opportunities through education and training. Because much of traditional manufacturing requires skill and experience, there is a ladder up even for semi- and non - skilled workers willing to learn. There is hardly a field in which OJT matters more. What is true of traditional manufacturing is even more important in understanding the needs of advanced manufacturing, where education, training, and certification at entry count more heavily, and where advancement on the job is quicker and steeper. Advanced manufacturing also may require subject mastery in an emerging technology and /or engineering training. And advanced manufacturing jobs pay well. The WIB already has representatives from manufacturing companies and labor. It has hosted regular manufacturers' roundtables, and is seeking new members from the manufacturing sector. It is well positioned to understand and to develop the kinds of certification programs needed. Santa Ana is addressing the training issues through a broad educational collaboration described below, overseen by the WIB. • The healthcare and associated social services cluster is a large and a fast growing group of associated industries in northern Orange County with a strong Santa Ana labor and growing business component. It is primarily a service area and therefore has different training and career pathway characteristics than manufacturing. It is expected that The Affordable Care Act will increase the need for nursing homes and transitional facilities in the City as well as hospitals in the area surrounding it. Entry into this labor market can be relatively low - skilled (eg. orderlies), or require education and certifications (eg. nursing assistants, laboratory technicians, etc.). Advancement typically is through on- the -job training, further education and certification, and experience. Although the barriers to entry for related social services can be low, the elements of the career pathway are similar. Santa Ana already is engaged in the support of training in the health care and social services area. Regional training opportunities also abound through formal training. This cluster is represented well on the WIB, so trends can be monitored and career learning programs adjusted to fit. • Hospitality. Similar to the health care /social services cluster, hospitality is service based in all of its constituent elements (hotels, restaurants, entertainment, etc.). It features the lowest barriers to entry for new workers, but traditionally also has experienced the lowest ceilings and most difficult paths to career enhancement. This is good news for some elements of the labor force that must connect immediately, but not necessarily for those looking for a career ladder. It simply cannot be ignored because of its size. Nor are career ladder opportunities potentially absent. Santa Ana is addressing the career pathway issue through training in culinary and other arts that are both skilled, and can lead to career advancement. initial training for the culinary arts can be formal or informal and on- the -job. At the K -12 level, but more importantly at the post- secondary and out -of- school /private levels the culinary arts are becoming an important feature of Santa Ana job training. The same is true for a number of other related fields. Programs for them are analyzed below. 37 19F -44 • The green /clean /environmental cluster is somewhat more complex to service by training at present. On the one hand, Santa Ana is a regional center for waste management and remediation, which draws a lot of employment. On the other hand, Santa Ana's segment of this increasingly green employment field favors its low end jobs. As pointed out in Section 2, green /clean technology is a burgeoning and amorphous field. it encompasses not only better disposition of waste, but is becoming part of almost all other fields. So far it is a cluster nearly without borders, even extending into construction and architecture, because of the promulgation of LEED (Leadership in Environmental and Energy Design) standards. For example, the WIB is represented by at least one company that employs a green manager to deal with waste, pollution, and its supply chain; plus two engineers specifically trained in environmental mitigation. As more industries manage their industrial process to optimize environmental effectiveness, this field will grow. It certainly will require formal and informal vocational training, plus advanced education and certification. The key certifications required by LEED and the regulations of the Environmental Protection Agency are very clear. Partnerships That Guide Present and Future Strategies The Santa Ana WIB wishes to build on its successful start in creating the institutional and agency framework that will implement its strategy and build on its bi- lingual training base. In order to provide the seamless access to resources that is a crucial part of its vision, Santa Ana has established active workforce training partnerships with the following: Nearby One -Stop Centers. The Orange County WIB works with several WIBs offering similar services. Those closest to Santa Ana, and with whom the Santa Ana WORK Center and WIB act most in concert are in Westminster, Anaheim, Buena Park, and Irvine. All but Anaheim are managed by the Orange County WIB. A single registration provides the access to all the facilities and tools provided by each Center. Santa Ana has participated in grant- seeking with the Orange County WIB and recently won a joint venture award with them. Colleges and Universities. Santa Ana works most closely with RSCCD, Santa Ana College, Saddleback College to provide basic STEM and STEAM support, plus continuing education support and basic skills training in business, technical, and public sector arenas. These programs are offered through general curricula plus extensions services whose programs vary from short term to long. Nearby universities, such as CSUF and UCI also provide advanced training in specialized areas, as do Chapman and Concordia Colleges. The region also features an extensive regional community college system including Fullerton, Orange Coast, Golden West, North Orange County and Coastline, that offers commercial, business, and career ladder courses. • Private industry. Local business represents the largest economic sector represented on the WIB. Its WIB participants, as well as local labor participate in career pathway 38 19F -45 programs, including on- the -job training, customized training, and other adult and youth services. Goodwill Industries has been funded by the City as a strong force for career ladder and entrepreneurial training overtime. Santa Ana worked extensively with Hewlett Packard to recruit workers and has an ongoing relationship with them. Another local business, Tenacore, has used Federal and State funding to provide low and no -cost training in medical technologies to City residents. The Chamber has been active in ETP- driven training as well. And the Career College of California, a private college, has provided vocational training to Santa Ana residents based on scholarships provided by the City. Santa Ana Related Agencies. These agencies include the Departments of Rehabilitation, Social Services, and others. Some have been mentioned in the Sections above, and those specifically directed toward helping you are explored in Section 4. Together, these resources offer a variety of social services in support of job search and career path enhancement, including foot stamps, CalWorks, Cash Assistance for Immigrant Populations, housing, homeless support, and similar services that make acquiring and holding a job, and simply completing a course of training, easier. In addition, the WORK Center itself, in cooperation with other City agencies, offers monthly workshops in resume writing, interview techniques, overcoming barriers to employment, and computer skills (in Spanish and English). State and Federal Agencies. The EDD has several representatives on the WIB and provides regular Labor Market Information, a source of maintaining currency with developments in priority areas. As indicated in Section 1, the Santa Ana WIB makes extensive use of other State and Federal sources of economic and demographic analysis. Programs From Present to Future: Examples and Development Paths Programs through which career pathway training operates include the following. All are ongoing programs now in place that will be expanded to meet Santa Ana's strategic goals and are consistent with both the DOL and State standards: Customized training for particular priority industry segments. Here are several examples of programs that are ongoing: Santa Ana is the lead agency in the "Bridge to Engineering" program, a $5 million DOL sponsored classroom and OJT and placement assistance program to establish and enhance career pathway /career ladder programs in engineering. A four year program, it will extend until 2015. It involves accelerated STEM training with a specific engineering and mathematics orientation. Santa Ana administers and monitors the progress of the program. The program participants ranged under Santa Ana include Santa Ana College, Saddleback College, Canada College, CSUF, UCI, and San Francisco University; plus private entities Rapid Tech, Growth Sector and OCTANE. Bridge to Engineering will reach about 290 participants. 39 19F -46 A private company, Farus LLC, provided customized classroom and hands -on training through the WORK Center in various aspects of ultrasound technology, from a basic understanding of the process through teardown and maintenance and board repair. The Tenacore program is another example of private investment in growing a trained and competent Santa Ana workforce. • Formal classroom training at the colleges and universities have been analyzed above. • Regional cluster and industry specific training coordination and administration. Career Technical Training Orange County (CTEoc), in place at RSCCD, now provides information about career pathway courses at every level for the County. It is analyzed in detail in Section 4 below, because the bulk of its programs deal with youth. However, both in- school and other training resources reach adults as well. It lists career courses in manufacturing, health and medicine, hospitality, and engineering and green technology. Based on CTEoc's record of performance and its seamless approach to routing learners successfully, RSCCD will be the educational routing service for the entire community college system in Santa Ana's MSA for the next five years. • ETP. The State's Employment Training Panel funds employers to improve the specific skills and career ladder options of workers. It does not do training itself, but it uses California employment taxes to create its pool of funds. As of 2013 it has made funds not available before accessible to small businesses. It now includes funding to help transition workers from seasonal or part time work to full time, to support job creation, and to increase the concentration on apprenticeship and journeyman training. The new thrust of ETP is consistent with Santa Ana's increasing emphasis on small business development and will be seeking expanded investment through them. Santa Ana has received several sizeable ongoing grants under the ETP program, including one to the Chamber of Commerce for about $1 million, of which $377,000 was in local in -kind contributions. The policy shift is evident in 2013 in grants to two small businesses in construction, one (to Hope Builders) to focus on skill development for incumbent and displaced workers in technical skills and one (to Innovative Constructions Solutions) for administrative and business support training. Each was less than $100,000 and intended to serve a limited number of applicants. "Earn and Learn" and Hybrid Programs. Earn and learn, hybrid educational programs, externships, and internships all refer to a mixed and fluid method of educating a labor force based on the career pathway idea. They suggest that work experience either supplements classroom experience or under some circumstance is equal to it. These programs also suggest that in preparing incumbent workers, job applicants, and displaced workers, it is necessary to offset the lack of income they may experience while training. Almost every program cited above contains earn and learn provisions. Some have their own names. 40 19F -47 • On- the -job training and Apprenticeship are part of nearly every grant to an employer or agency. In addition, Santa Ana defrays the cost of employees receiving such training, including ETP, by paying for half the wages of the trainee. WEX is the Work Experience Program, sponsored and funded by the Santa Ana Social Services Administration Independent and Braided funding evidence. It should be clear from the examples and the chart on page 15 that Santa Ana has been exceptionally active in seeking grant funding, donations in kind, and business support to supplement its WIB funding, especially recently. Since its inception, the WIB has more than matched WIA funding with outside cash. Each of the specific examples listed has its own funding source. • Santa Ana WORK Center sponsors monthly workshops and outreach, resume building, pre - interview and interview preparation, and computer skills. These workshops act as both advertising and a gateway to the specific services offered. A Planning Guide for Strategy Implementation The following planning guide provides specific plans and ideas for implementing the strategies and projections above. Conduct priority industry sector employer surveys and focus groups to specify employer needs and strengthen employer engagement, identify needed skills needed to complete, and create regional industry roundtables and collaborative networks in the targeted industries. Focus on high wage, high value occupations and offer career pathways and credentialing for them. The Santa Ana WIB uses State and the Orange County Business Council as its source Labor Market Information, in maintaining currency with developments in priority areas. As indicated in Section 1, the Santa Ana WIB makes extensive use of other State and Federal sources of economic and demographic analysis. In order to enhance the capacity to collect workforce intelligence the Santa Ana WIB will develop a sustainable forecasting mechanism to be proactive in determining current and future skill needs of employers and industry annually; as well as identifying occupations and clusters of opportunity through analysis of economic data, trends, and other sources. Annual industry sector analysis will include labor market projections through State and local sources and: • Conduct throughout the year priority industry sector employer surveys to engage businesses and strengthen employer engagement. Employer needs will be identified not only through surveys, but also through focus groups, as well as by active participation in regional industry roundtables and collaborative networks in the targeted industries. Surveys wilt' begin in October 2013. • Studies such as the annual Orange County Business Council's Workforce and Community Indicators reports will be utilized Identify occupations that provide sustainable wages 41 and ensure training in these occupations is available for job seekers. This will be conducted annually. Develop a sustainable annual forecast by using existing Orange County Business Council's Workforce and Community Indicators report to proactively determine current and future skill needs, especially in high priority occupations /clusters. The forecast also should review educational opportunities and track graduation rates and post - graduation employment. Set aside 25% of WIA funds for training, in addition to leveraging additional training funds from other sources to strengthen co- enrollments of TAA eligible participants and increase the funding level of the OiT programs. Form a collaborative relationship between local labor, the City of Santa Ana Workforce Investment Board (WIB), the Santa Ana Youth Council, and other partners for the purposes of creating pre - apprenticeship /apprenticeship programs to identify curriculum based priority industry sectors, braided funding to sustain program, and best target populations. Santa Ana must work hard to build the skills and productivity of our existing adult workforce. Nearly 50% of Santa Ana's workforce lacks a high school education. They also lack the skills and training to fill technical jobs, and they earn less than the state's median wage. Therefore Santa Ana will build pre - apprenticeship and apprenticeship partnerships to increase the employability of its workforce. Pre - apprenticeship programs are a great way to start exploring careers in the trades. In certain cases, available programs offer the opportunity to earn while you learn. These programs offer an overview of each trade, the qualifications and skills needed for each trade and on- the -job training and related instruction. The programs also offer career -entry advice and emphasize the importance of succeeding in school and in the workforce. While pre - apprenticeship does not guarantee a job, pre - apprenticeship graduates have a higher rate of success in apprenticeship programs. Lastly pre- apprenticeship /apprenticeship programs offer better futures for Santa Ana's workers. As the need for skilled labor grows, these programs will prepare the workforce for a growing demand in technical occupations. These skilled jobs call for more than a high school diploma but less than a four -year degree. The following outlines the plan of action: For a committee composed of One -Stop staff, WIB members including members of organized labor, and other partners to explore pre- apprenticeship /apprenticeship programs by 12/31/2013. Exploratory Committee will at minimum • Identify curriculum based on priority industry sectors by 6/30/2014. Curriculum will coordinated with local apprenticeship programs that are registered by the US Department of Labor Employment Training Administration and approved by the California Department of Industrial Relations Division of Apprenticeship Standards. 42 19F -49 Explore funding including but not limited to WIA funds to build and sustain program(s) by 9/30/14. • Form the Santa Ana Apprenticeship Collaborative and finalize MOU's by 12/31/2014 • Begin training via pre - apprenticeship /apprenticeship programs by January 2015. Insure that career pathways developed in the local area are based on accelerated, employer - verified, and integrated program models and curricula that shorten the time to meaningful credentials, and that career pathways lead to potential job opportunities. This will be done by the creation of a WIB ad -hoc committee composed of adult education, workforce development, community colleges, community based organizations, priority industry sector employers, and labor organizations to more tightly knit service framework around career pathways and better communicate them to the target populations. Committee will form by 12/31/2013. A strategic planning session will be conducted by 3/31/2014. This will result in working with partners to identify strategies to effectively utilize existing funding, leverage /braid the identified funding, and pursue additional resources for support training. Tasks would include: • Surveying and cataloging the full range of funding that is locally available to support training. • Working with Chamber of Commerce and /or higher education partners to develop a joint revenue plan. • Prioritizing opportunities for long -term, multi -year funding to capture longer term outcomes and system change opportunities. • Identifying and securing ETP funding opportunities to provide incumbent worker training. • A Career Pathway Framework will be adopted by the Santa Ana WIB by 6/30/2014. 43 19F -50 SANTA ANA WORKFORCE INVESTMENT BOARD Youth Strategies 19F -51 STANDARD 4: YOUTH STRATEGIES Introduction and Overview The State Standards for Youth Strategies require that the WIB: • Partner with K -12 education and others on strategies that reduce high school dropout rates and encourage dropout recovery • Partner in developing and executing strategies to re- engage disconnected youth • Partner with employers, educators, and others to help youth understand career pathway options • Encourage youth to focus on attainment of postsecondary degrees and other credentials important to priority industry sector employers in the local /regional labor market. The key strategies for youth are easy to state, but difficult to accomplish: encourage as many as possible to stay in school and as appropriate to use that experience to prepare for work life; provide options for re- engaging those who have left school or become disconnected from it and /or from work in some way; extend the career pathways for youth to include post- secondary and private certifications necessary to attain and retain meaningful work. Many of the educational and career pathway opportunities available to the population over 18 are equally available to those under 18. In order to avoid duplication and repetition, this section will simply assume that fact. However, youth, especially those who are disconnected from the educational system or are potentially heading for disconnection, also have special economic and social needs that Santa Ana has recognized and strive to meet in a more effective way. The City has an active Youth Council which reports to the WIB and rests upon a network of collaborating institutions for meeting the special needs of its youth population. This Standard will detail those needs then review existing programs and indicate how they will expand and improve to better serve the youth population. Environment/Circumstances/Need/Gaps Affecting Santa Ana's Youth Santa Ana youth seeking employment face several daunting circumstances.z They • Represent a disproportionately large percentage of the population; • Have an exceptionally high rate of drop outs, and therefore often need significant pre - preparation for apprenticeship and other vocational programs plus other forms of social and economic support; and Z In addition to the other sources utilized above, this section draws its data from the U.S. Department of Education National Center for Educational Statistics (2013) [NCES), California Department of Finance (2013) [DOF), and California Department of Education Demographics Unit (2013) [EDU]. 44 19F -52 Jobs for which they qualify often exist more outside Santa Ana than within it, and the fastest growing business sectors often require training that most often takes place outside of Santa Ana, again requiring supplemental support. The Santa Ana youth program focuses on the most aggrieved of this population: those who are poor, homeless, dropped out, runaway, pregnant, pre - maturely parenting, offending or released after incarceration, foster youth, etc. Orange County's population in general has grown 5.4% over the past decade, compared to 5.1/0 for the nation as a whole. That growth has been fueled both by immigration and natural increase in roughly equal measure, though with significant yearly swings. Within that population, those age 14 -19 population has grown 7 %. Racially and ethnically, Orange County is 42% White (compared to 62% for the U.S.), 32% Latino (compared to 18% for the U.S.), 19% Asian American (compared to 5% for the U.S.), and 2% African American,( compared to 11% for the U.S.). The graphic below shows the degree to which the population will evolve over the next 30 -40 years. Because the Latino population is swinging from being fueled by immigration to being fueled by birthrate, youth will be especially impacted. This trend clearly shows the transition of populations in Orange County to Latino dominance over time. It is more startling for Santa Ana. Its population is 78% Latino today, two and a half times greater than Orange County's and approaching five times the U.S. figure. Over four- fifths of the population speak (or also speak) Spanish in the home. This creates a workforce impact felt in few places elsewhere the country. Santa Ana youth demographics exhibit other characteristics that present special challenges. Youth under 18 now represent 30.7% of Santa Ana's population. This is almost a quarter higher than the national average. This is reflected in educational and workforce preparation statistics. The Santa Ana school district has the highest percentage of English learners, 56 %, exactly double for that of Orange County. The Santa Ana Unified School District (SAUSD) is the sixth largest school district in California, and the largest in Orange County. The student population at SAUSD is 95.40% Hispanic. Approximately 82% of SAUSD students are English learners. Spanish, Vietnamese and Khmer are the most common languages spoken at home. Approximately 87/0 of SAUSD students participate in free or reduced -price meal programs. 45 19F -53 ...- 8 African American 40 T gp ® Asian American 30 fir. '� m Latino 20 _`- N White I 10 ( irt4 0 t / _ 2000 2010 2020 2030 2040 2050 This trend clearly shows the transition of populations in Orange County to Latino dominance over time. It is more startling for Santa Ana. Its population is 78% Latino today, two and a half times greater than Orange County's and approaching five times the U.S. figure. Over four- fifths of the population speak (or also speak) Spanish in the home. This creates a workforce impact felt in few places elsewhere the country. Santa Ana youth demographics exhibit other characteristics that present special challenges. Youth under 18 now represent 30.7% of Santa Ana's population. This is almost a quarter higher than the national average. This is reflected in educational and workforce preparation statistics. The Santa Ana school district has the highest percentage of English learners, 56 %, exactly double for that of Orange County. The Santa Ana Unified School District (SAUSD) is the sixth largest school district in California, and the largest in Orange County. The student population at SAUSD is 95.40% Hispanic. Approximately 82% of SAUSD students are English learners. Spanish, Vietnamese and Khmer are the most common languages spoken at home. Approximately 87/0 of SAUSD students participate in free or reduced -price meal programs. 45 19F -53 Although it has shown steady improvement since 2006, Santa Ana remains the lowest performing of all Orange County school districts on the Academic Preparedness Index, where its performance averages 88% of the county average. Two other statistics dramatically define the youth population of Santa Ana. Investment in education is very much down. A look at both the growth of NAICS job categories in education and education support shows all such jobs losing 3% over the 2011 -2012 period, compared to an average 2% gain for all Orange County jobs, and a drop -out rate, highest in the county and averaging 30% more than the County as a whole.3 Vision /Strategies Clearly, the extent ofthis need underlines the importance of the following youth strategies: • Intense focus on both the in- school and disconnected youth; • Creating vocational and vocational ladder and career pathway programs; • Establishing more skill enhancement programs in and out of schools; • Better preparing potential workers through STEM and STEAM programs in schools; • Intensifying special methods for reaching disconnected youth; • Expanding outreach efforts at all levels; • Approaching issues of job development on a regional basis; • Extending their collaborative efforts even beyond the immediate regional level if needed; and • Copying novel and innovative benchmarked approaches utilized elsewhere. The Santa Ana community already has a robust multiplicity of relatively easy to access no -cost and low cost resources. Integrated K -12 and Community College programs, various Federal, and local and regional agencies, businesses, labor organizations, and special programs to address issues of the dropout rate, short term vocational training, longer term preparation for career advancement, and on-the-job skill enhancement and job retention programs. These programs have involvement of the WIB and WORK Center staff. School programs emphasize English language, mathematics, reading, writing, and computer skills needed in the increasingly complex modern manufacturing and service worlds. Still, the challenges are formidable, and WIB partners have constantly raised concerns about English language, high school completion, general communications, and job readiness skill. Santa Ana also has made special efforts to address youth who have become disconnected from educational and work systems or face high barriers to participation with them. Statistics show an increasing needs gap in manufacturing as its workforce ages and retires, creating a loss of manufacturing jobs beyond the national average. In 2001, the City created a Manufacturer's 3 The drop -out figure, provided by the Data Reporting Office of the Department of Education (April, 2013) is misleading, in that it does not include about one -third of the worst performing public schools, any charter schools, GED and continuing education schools, etc. Nor are the results of those schools that do report verified. 46 19F -54 Roundtable to address this gap. It has since lapsed, but has been recently revived in partnership with the SA Chamber of Commerce and is part of the WIB strategy going forward. In addition to existing job gaps, given the increasingly technical nature of new entry level jobs and the number of unengaged and underserved youth, it is especially important to focus on both pre - employment and career pathway approaches. In this effort, Santa Ana will expand collaborations between educational, vocational training, and business sectors, as well as social services that address probationary and Foster Care youth. Most, but not all, of these resources will be located within City boundaries. All will draw upon regional means that include information, personnel, money, and even equipment One of the best signs for the expansion of opportunity is in the construction field. In addition to a general pick -up in construction activity in 2013, RSCCD just signed a Project Labor Agreement (PLA) for 7 -10 years of construction work at for the District, due to the recent passage of a $198 million bond. That will be a driver for disconnected youth, as well as for the general adult workforce. Early discussions have been taking place between RSCCD and local union trades. The WIB will be developing a strategy for assessment and referrals and formulizing MOU's with Santiago Canyon and their pre- apprenticeship programs and with So Cal Laborers Apprentice training center. Reviewing Santa Ana's Institutional /Resource Response to Date Santa Ana already has made a significant start on each of the needs identified. Though the issues Santa Ana youth face are serious, the WIB, working across all elements of the community have established a variety of youth focused entities that have achieved significant success in the past. Together, these institutions form a web of success and an important safety net for youth seeking employment and betterment. Collectively, the operators of youth programs offer approximately 11 training curricula that lead to a certificate. The Local Youth Council intends to expand that philosophy to include all the programs that it funds. This start serves as the baseline for strategies going forward. The following institutions combine funding sources and integrate programs, helping youth address the key issues that plague them as a population. Important characteristics of each program involve cross - cutting strategies that braid together diverse sources of funding, business and educational interests, hands -on experience and classroom learning, motivational approaches to setting aspirations high, and a focus on career pathways, not simply jobs. Santa Ana Youth Service Provider Network (SAYSPN) integrates various service agencies to serve disconnected /at -risk youth, that is those who are not engaged in the school system or who have fallen away from it. It offers a full range of services, resources and tools to low- income youth ages 16 -21 in overcoming barriers to employment. It is part of the Santa Ana WORK Center, and therefore the one -stop service menu. For PY 2013 -14 the WIB has seven partner agencies to serve WIA youth: the O.C. Conservation Corps, Children's Therapeutic Arts Center, the Santa Ana Public Library /Digital Media Center, OC Asian and Pacific Islander Community Alliance; Santa Ana WORK Center, Career College of California and Kid Works. Services include: 47 19F -55 Educational /foundational: tutoring and study - skills development, high school diploma /GED completion, vocational /occupational skills training and career development; • Guidance: Counseling, drug /alcohol prevention, leadership /community development; Employment: year round work opportunities, paid and unpaid internships and job shadowing. The SAYSPN has met or exceeded the standards set for youth by the state. For example, • In the 16 -18 age range 100% of program participants received diplomas, 98% were retained in school, college, or jobs, and 85% completed their skill attainment goals; • For youth 19 -21, 83% of participants landed jobs, 88% acquired credentials, and 84% stayed employed when measured nine months after exiting the program. Career Technical Education Orange County and the Regional Consortium of Rancho Santiago Community College (Santa Ana) and Santiago Canyon College (Orange). Although the focus of this regional facility is broader than just youth, its focus is on increasing the number of career pathways and post - secondary education opportunities for students. Any conversation about youth education and training must include it. An important regional resource, CTEoc is located at Rancho Santiago Community College. CTEoc is the result of braiding funding. Nine area community colleges, four Regional Occupational Programs (ROP), plus 13 school districts have made it a sustainable and impactful institution. CTEoc acts as a "go to" one -stop resource. Its Website tracks relevant region -wide events, announces available and new educational and training courses, and gathers and distributes regional data about vocational educational opportunity. CTEoc also has established regional Professional Learning Communities, implemented the State's Common Core Standards, and integrated industry information through advisory boards featuring the region's leading business leaders. For example, a recent search for available vocational training courses turned up 21 currently available programs in media, cabinetmaking /woodworking, a range of therapeutic services, pharmacy, all elements of culinary arts, and fabrication engineering. In each case it indicated the career pathway, the district, the instructor, and location. It also listed Professional Learning Communities in business, construction, culinary arts, digital media, performance arts, engineering, fashion, and automotive fields. • Vital Link. Closely associated with CTEoc has been the Vital Link program. It provides videos, exhibits, courseware, and hands -on mentorship to link business and educational needs. Its videos and visitation /apprenticeship programs cover a number of the key areas of skill -based careers, from product development through electronics and software, to green /clean technologies, and even high level medical practices. High School Inc. High School Inc. (HSI) functions as a separate academy within Valley High School. HSI provides workshops in specific employment skills, such as those listed 48 19F -56 above for Vital Link in short and longterm training formats. Current partnerships include SAUSD, the State Department of Education and Orange County Juvenile Probation Department. Santa Ana Youth Council (SAYC) is a committee under the SA WIB and acts as an advocate for the City's youth to both government and private industry, and provides services and resources to support SAYSPN and the WIB's job training, job placement, and skills enhancement programs. Its activities cut across Santa Ana's diverse economic and racial communities, and its partnerships extend into the school system and business community. • Santa Ana Youth Forum creates an opportunity for 14 -22 year olds in- and out -of- school youth to participate in policy conversations with peers and to hear speakers on such social dysfunctionalities as drugs and alcohol that impact school and job performance, and to develop leadership skills they will need in seeking and advancing in jobs. Other High School and Post - Secondary efforts. The WIB has partnered with employers, educators, and others to help youth understand career pathway options and to encourage youth to focus on attainment of postsecondary degrees and other credentials important to priority industry sector employers in the local /region labor market. It is particularly well positioned to do so, because of the diversity of its make- up, including representation from all educational levels, from K through college; business and union leadership; EDD, WORK Center, and other officials. Through its Youth Council, the Santa Ana WIB leads, monitors, and integrates the youth program agencies and brings business to the table as supporting institutions. It partnered with K -12 education and others on strategies to reduce high school dropout rates and to encourage recovery of disconnect students. It does so through HSIS, providing workshops and workshop support, and offers similar support to the OCJPS. Partners in developing and executing strategies to engage those disconnect /disengaged youth by connecting them with employers and potential employers to explain and develop career pathways. It helped develop the SAYSPN develop its program and routes youth to it as appropriate. The WIB does the same for the others. It encourages youth to focus on attaining credentials and post - secondary degrees in fields identified as priority industry sectors, as well as in the traditional local providers of employment. It partners with STEM program and ROP, the key providers of career pathway support, plus SAYSPN to make the career pathway a practical reality. 49 19F -57 Operational Plans: Implementing the Strategic Vision over the Next Five Years Serving youth, especially youth who have become disconnected from the educational community, is a complex task. It is what would be called in business an "irrational market," because there is not a single complex of institutional resources able to reach its key elements. The existence of a single WORK center has been and will continue to be a target for outreach to this group. Throughout the next five years, Santa Ana will add new emphasis on youth separated from school, in terms of re- engaging them and especially determining productive career ladders. The WIB has strengthened emphasis on specific industry, rather than generalized skill -based programming. The Youth focus will on the same priority growth areas as the Adult focus - healthcare, hospitality, food processing, and bio- related fields, plus the standard traditional skill -based offerings it now has. Perhaps the most serious of the problems faced is the drop -out rate. In many ways it either drives the other issues youth face or becomes emblematic of them. Santa Ana's strategy for addressing the drop -out rate is: • Year 1: Research. Gather information and statistics from SAUSD and the surrounding communities on comparative API scores and high school graduation rates; identify and list ACCESS, alternate, charter, and continuation high schools; clubs, programs, and academies within high schools that relate to career pathway; and determine number of youth on probation or in juvenile hall or in Youth Guidance Center; and discover the number and names of personnel in each school dedicated to Career Center and related activities. Year 2: Analysis and Experiment. Analyze what information and resources are most important to improving the drop -out rate and distribute information to relevant Santa Ana educational decision- makers; court local educational entities willing to collaborate; create a timeline for implementing pilot programs to address; expand MOUs with educational and social service entities to provide a better flow of information and services; find space available for programs; and revise and issue new youth services RFPs to reflect new knowledge and programs. Year 3, Pilot Program Launch. Conduct trainings for educators, administrators, principals, and others with responsibility for curbing drop -outs, based on the information gained and pilot programs planned; establish relationships with them to make the programs work and insure continuity; launch pilot programs at targeted schools; measure outcomes tightly to assess effectiveness and efficiency; and work with classes that have been identified as at -risk in order to connect them with workforce education and encourage high school graduation and education beyond it. 50 19F -58 • Year 4: Review and Adapt. From results in the prior years modify strategies to improve strategies and make programs more effective for each school community; and incorporate student as well as teacher and staff, input. • Year 5: Expand. Continue and secure additional funding for programs that are working. • Years 1 -5: Work to engage disconnected Youth. Investigate locations where to find disconnected youth using official personnel and contractors who have reputations for bringing them back into school programs; create an outreach strategy based on youth population realities; create paid youth work experience programs and supportive service; and augment outreach information on new attractive in- school activities. A second set of strategic priorities involves extending the network of services available to youth. The institutional basis for doing so is described below. But from a general planning perspective the activities required include: • Link up with other "Employer Boards," vocational schools, colleges, and universities to stay apprised of the needs and demands of employers; • Develop trainings on local occupational demands for teachers, school administrators, and youth program operators to tailor career pathway programs to match the occupations that are in demand; • Expand workshops, and seminar programs to expose youth to the various career pathways, especially those with high labor force needs; • Improve collaboration with apprenticeship agencies, determine the entry skills needed, and work through the Youth Council to develop MOU's with pre- apprenticeship programs as appropriate; = Include career pathway exposure at job fairs, resource fairs, and Santa Ana's regular workshops, and consider creating an annual career pathway conference for the general youth population to provide information on priority industry sectors career pathways. Specific programs to achieve these goals are listed below. It is important to note that WIA funding is an important element of the braided financial support needed, along with the other resources listed above, because WIA funding tends to be short term and some of the programs are extensive. In particular, Santa Ana plans to extend some of its workforce training programs for adults as well as youth from six months to 6 -18 months. SAYSPN and SAYSN will continue to make connections within the community and to extend their successful programs through the instrumentalities listed below and others. New Youth Training Program, 201314, based on WIA Funding. Santa Ana has just let contracts to seven agencies offering training, apprenticeship, tutoring, and case management, and in some cases supporting income totaling $982,562. Of the youth to 51 19F -59 be served, 69.5% are out of school, the rest in school. Programs address STEM training, plus vocational and career enhancement training in medical and business office administration, paralegal and medical assistance, mental health para - professional, childcare, customer service, folk lift, chainsaw, and digital media skills. Training hours vary from 40 -60 in some programs, to 820 for the most complex fields. The average training cost is $7,737 /youth. Specifically, • Orange County Asian and Pacifica Islander Community Alliance will provide work experience, supportive services for job development, and resources for post- secondary education for 15 disconnected youth; • Santa Ana Public Library will provide post- secondary occupational skills training in digital technology for 20 youth in and out of school. it also will provide paid work experience and leadership training; • Santa Ana WORK Center will provide paid work experience and supportive services to 20 youth related to STEM workforce preparation; • Orange County Children's Therapeutic Arts Center will continue its work in tutoring, occupational skills training, job preparation, and support services for 25 disconnected youth; • Orange County Conservation Corps will serve 20 out -of- school youth with work experience, alternate secondary education and post education services; • Career College of California will provide business and medical front office preparation plus medical assistant and paralegal training for 15 out -of- school youth; and • KidWorks will provide higher education resources and paid work experience for in- school and disconnected youth. • Road Trip Nation Program. This new program builds on the success of several East coast and national efforts. The goal of the program is to encourage youth to define their own roads in life by both an imaginary and actual road trips that connect classroom learning with actual experiences and consequences. The twelve workshop program, which culminates in a project, just "graduated" its first cohort of 75 in April 2013. It will be continued and expanded. The SAYSN is the lead on this and will continue the program for PY 2013 -14 and be available to youth enrolled in the WIA grant. • ROP Expansion. Future ROP programs will add sections on health care, laboratory workers, within HSIS. CTEoc. So successful has CTEoc been in its region, it has just won a multi -year grant to expand its program into the entire MSA area and beyond, covering not only the Orange County region, but beyond Long Beach all the way to downtown Los Angeles. In its expanded format, it will create a single " triage - information- referral -direct support" network for youth (and adults) through the community college system and other employment services. Those expanded services include increasing the number of ROPs 52 19F -60 through a partnership with HSIS aimed at reducing the drop -out rate by enhancing the number of alternatives available to students at risk, Vital Link will be continued and expanded as new videos become available and as focus shifts to the key new regional employment drivers in bio- and other technologies, tourism, and health care. HSI /Orange County Juvenile Probation Services are extending their collaboration to Community Day schools, in order to focus on foster youth. The model for this program is the Los Angeles County After School Employer Network program, another regional resources harnessed to local needs. Other High School and Post Secondary Schools. The WIB is committed to expansion to include the emerging high value /high growth business sectors and has five slots available through normal turnover to recruit them. As it does, emerging markets will have increasing influence in encouraging a new job development perspective in education. Both the WIB and the Santa Ana Unified School District have been developing and will increase their intensity in developing STEM training as a pre- requisite for the new jobs expected to be created. • Juvenile justice, demand - driven and collaborative models, underutilized, disabled, marginalized, and at -risk youth. WIB and WORK Center staff are in regular communication with each aforementioned program coordinators or senior manager. How the WIB will Interact with the Institutional Structure In addition to maintaining its role with existing institutions, the WIB plans to further its partnership with ROP and HSIS to expand services in order to reduce the number of dropouts, and to work with OC Department of Educations and OCJPS to provide services to their program Community Day Schools with a focus on reaching foster youth. The WIB also is considering the following programs to implement its vision: • Creating expanded vouchers for childcare, transportation, etc., in order to free low income youth to more easily take advantage of educational and workforce opportunities; • Enhancing the "green and clean" components of workforce preparedness, because currently that has not been a need honored in practice; • Collaborating more closely with labor- sponsored apprenticeship and other programs; • Building upon current programs offered at RSCCD and SAC which focus on innovative arts - driven programs, have a high degree of job placement before graduation (70 -80 %), and which allow for a wider range of job opportunities, especially in the tourist, culinary, arts, and other fields; 53 19F -61 Expanding contact with local small and larger businesses to identify job opportunities through direct action and enhancing WIB membership with employers, human resource professionals, and industry representative from the growing economic segments; • Establishing more programs at community colleges for new immigrants and others, especially disconnected youth, on pre -job seeking and job advancement social and "soft" skills; • Conducting annual strategy sessions to review progress, measure program effectiveness, review workforce needs and gaps, plan for the near and longer term, and recommend changes in strategic and tactical emphasis to the relevant agencies. Slwrr mart': How the Youth Program Meets State Standards This Section's discussion shows that it has a strong institutional base to build on for youth programs, plus strategies to expand them and better target the youth population. Specifically, it has shown that: • The WIB and WORK Center have special sensitivity to creating both short term partnerships and longterm plans for reducing the drop -out rate. • The WIB has taken a similar tack in creating concrete plans for re- engaging those who have left the educational system or been left behind by it, or who have been disconnected from work itself. • The WIB has already engaged employers, educators, and social service providers to help youth understand career pathway options and to provide access to those options. It plans to expand those activities and has suggested specific ways in which it intends to do so. • The WIB has gone beyond encouraging youth to acquire post- secondary degrees and other credentials. It has pegged its training activities to both priority and traditional economic sectors and work opportunities. 54 19F -62 SANTA ANA WORKFORCE INVESTMENT BOARD -1 ijklolki 4 Elk. I or Administration 19F -63 STANDARDS: ADMINISTRATION Introduction and Overview The State Standards governing Board Administration require that the WIB: • Membership meets all legal requirements (WIA Section 117(b), SB 293) and is representative of the community Meets other required WIA elements (sections 117(h) and 212(b), SB698) • Continuously reviews performance of its programs and initiatives, and has a strategy for encouraging and ensuring continuous improvement. • Transparently communicates the results of its efforts with the community. Except for verifying past performance, this Section requires relatively little new evidence. It draws on examples from prior sections and in its Appendices provides information to address many of the elements of these requirements. We also provide additional evidence and argument to suggest that the Santa Ana WIB not only meets the required standards, surpasses them in order to create an open, committed, and innovative presence in Santa Ana. The Santa Ana WIB is a local and regional leader in workforce improvement. It encourages the businesses development and business practices that form labor demand matrix. Activities In Support of Excellent WIB Administration The WIB meets all legal WIA requirements as follows: Section 2 and 3 and the By -Laws and WIB materials in the Appendices show that Santa Ana plans its recruitment of new members in a way that responds to perceived needs. • Labor constitutes 17% of the composition of the WIB. We have shown above that the WIB both monitors and is responsive to the needs and opportunities of the One -Stop WORK Center, and that the WIB's committees reflect its activities in general. In specific, the WIB maintains an active Youth Council (its Youth Committee). The WIB's Employer and Customer Services Committee (its Business Services Committee) is tasked with constantly reviewing and updating the Business Service Plan and does so. The WIB also maintains an Oversight and Data Committee that both monitors the WORK Center One -Stop activities, but tracks regional data to determine and understand gaps in the skill base that need addressing. • The transparency of the WIB's activities is shown by its advertised and open regular meetings, and its ability to make its competition fair is shown by its CSUF and Chapman University contract of outside evaluation of the WIA grant programs. That contract(s) were competed through an RFP process that met City, State and Federal procurement standards, with expressed evaluation criteria. 55 19F -64 • The WIB receives reports from the WORK Center each month, and the WORK Center in turn receives such reports from its collaborators and constituent agencies, including certifications earned and the demographic breakdown of populations served. • The WIB has met its goal of 30% expenditure for out -of- school youth and achieved at or exceeded its six negotiated Common Measure performance goals for PY 2011 -12 and on track to do similarly for PY 2012 -13. The WIB monitors, assesses, and takes corrective action to maintain its programs, especially concerning the WORK Center. The best way to understand this is to navigate the WORK Center website, www.santaanaworkcenter.org. This Website is open to employees and job seekers, who may check on program progress at any time. • The internal and external measures indicated in Standard 2 and 3 indicate that measurement begins at registration and is tracked throughout the life of any individual user and the program in general. • Periodic expert assessments go beyond operational analysis to the community economic impacts of WORK Center activities in a detailed and comprehensive way, as well as testing program effectiveness from the standpoint of program imperatives and user experience. The measure of community impact is RO1, and both the results and methods for determining the RO1 may be found in the Appendices. • The WIB engages its public through solicited comments in post - program interviews and in its open meeting structure. It publishes results in hard copy form and on its Website. • The WIB provides evidence of its activities by "messaging" through its many WIB and associated partners. Its Marketing Committee is in the process of constantly making the activities of the WIB known and drawing people to the WORK Center's Website. • The City of Santa Ana has not established any additional One -Stop centers within the city, though it collaborates, as shown in Standard 3, with all surrounding One- Stops. Of the four mentioned, three are operated by the Orange County WIB and one (Anaheim) is, like Santa Ana, a single independent entity. • The broad and comprehensive nature of the WIB's collaborative network is set forth in previous sections, and its composition is indicated in the pie charts accompanying the analysis. The Appendices show the extent of the WIB's collaborative network through its MOUs. • The WIB and WORK Center are especially sensitive to methods of addressing underserved and special needs population segments, whether defined by race /ethnicity /primary language, physical limits, age, or past behaviors. It makes special room for them in its programs and physical provision for them as appropriate. And it reports on progress for these underserved groups. • The WIB has an active entrepreneurship and small business support program, as shown in Standards 3 and 4. 56 19F -65 Past Performance Predicts Future Administrative Excellence Here is the client performance record for the past full year and for 2013 year -to -date. Of course, the 2013 data shows fewer exits, because the program is in progress. In almost every category of participant, PY 2013 is on a course to significantly surpass PY 2012. In fact, Santa Ana has met or surpassed all criteria necessary to meet WIB certification. The full "Participant Reports" that create the excerpted data tables below may be found in the Appendices: Adult Program PY 2012 JUL — MAR, 2013 OVERALL PROGRAM ACTIVITY ENTERED EXITED ENTERED EXITED Total participants 426 268 329 152 Intensive services 95 57 113 39 Training services 86 51 76 24 Concurrent program participation 365 220 263 115 Individual training accounts 82 42 118 52 Supportive services 63 33 97 44 Attained recognized certificate /diploma /degree 26 21 16 12 Entered unsubsidized employment 105 231 73 152 Training related 58 83 Other exits 11 81 16 75 PY 2012 JUL —MAR, 2013 DEMOGRAPHIC CHARACTERISTICS ENTERED EXITED ENTERED EXITED Gender Female 202 140 164 78 Male 224 128 165 74 Race./ethnicity Latino /Hispanic 271 170 219 114 Asian American 32 24 31 7 African American 26 15 16 8 White 105 62 73 32 Ages 14 -21 11 7 16 10 22 -54 (includes median age of 43) 446 287 335 155 54+ 83 49 69 33 57 19F -66 Youth Program PY 2012 JUL — MAR, 2013 OVERALL PROGRAM ACTIVITY ENTERED EXITED ENTERED EXITED Total participants 93 86 131 24 Concurrent program participation 1 0 6 1 Attained recognized certificate /diploma /degree 42 63 66 12 Entered unsubsidized employment 22 24 Entered post- secondary education 90 14 129 4 Entered apprenticeship program 1 11 1 2 Training related 2 17 4 If Supportive services 47 42 66 3 PY 2012 JUL— MAR, 2013 DEMOGRAPHIC CHARACTERISTICS ENTERED EXITED ENTERED EXITED Gender Concurrent program participation 443 229 Attained recognized certificate /diploma /degree Female 51 48 67 9 Male 42 38 66 12 Race /ethnicity Latino /Hispanic 90 83 129 24 African American 1 1 1 0 White 2 2 0 0 Ages 14 -18 39 37 67 9 19 -21 54 49 64 15 Dislocated Worker Program PY 2012 OVERALL PROGRAM ACTIVITY ENTERED EXITED Total participants 449 228 Concurrent program participation 443 229 Attained recognized certificate /diploma /degree 32 Entered unsubsidized employment 231 Training related 25 Supportive services 95 39 58 19F -67 PY 2012 DEMOGRAPHIC CHARACTERISTICS ENTERED EXITED Gender DW 807,310 Female 268 136 Mate 181 95 Race /ethnicity 4,529,722 (AS OF 4/30/2013) CDBG Latino /Hispanic 292 151 Asian American 87 47 African American 11 6 White 2 1 Ages 19 -21 1 1 22 -54 (includes median age of 43) 550 294 54+ 26 10 Significantly, when asked what the barriers to employment were, respondents indicated overwhelmingly that it was low skill /education attainment (55 %), followed by lack of literacy /English (20 %). Of respondents who answered questions on education 20% were high school dropouts, but 77% had difficulty in achieving employment despite high school graduation. Post - secondary education among these groups was almost nil. Braided Funding for Santa Ana WIB Programs PY 2013 -2014 WIA Adult $1,181,097 DW 807,310 Youth 1,231,373 Non WIA Grants SSA $ 800,000 H1 B. 4,529,722 (AS OF 4/30/2013) CDBG 100,000 59 19F -68 PY 2012 -2013 PY 2011 -2012 WIA Adult $1,333,382 DW 897,808 Youth 1,381,816 Non WIA Grants DOL Tech Earmark $ 289,770 CA New Start 105,264 SSA WEX 200,000 Hl B. 4,997,479 PY 2010 -2011 WIA Adult $1,356,958 DW 836,749 Youth 1,409,639 Non WIA Grants DOL Tech Grant $ 714,000 DOL Literacy Earmark 129,930 OC Green Jobs Grant 39,140 CA New Start 113,985 Adult ARRA 524,870 DW ARRA 627,458 Youth ARRA 12,106 M i Lei �� Summary: How the WIB's Administration Meets State Standards The standards for administration have a legal /structural component, and a performance component. Formally, the WIB structure of the WIB meets the standards: Membership represents the community, meeting the WIA Section 117(b), SIB 293 and WIA sections 117(h) and 212(b), SB698 requirements. This and prior sections have shown that it has the appropriate community representation, balance of public and private interests, youth representation, and committee structure. In performance, the WIB has shown evidence in the Section above that it continuously reviews performance of its programs and initiatives. In this and prior Sections the WIB has shown that it has multiple strategies and concrete plans for encouraging and ensuring continuous improvement. The WIB has consistently and transparently communicated the results of its efforts with the community through its Website and its publications (several of which are in the Appendices). It also has opened its meeting on a regular basis. 61 19F -70 SUMMARY AND HIGH PERFORMANCE CLAIM From Strategies to Plans: Becoming a High Performance WIB In this Section, we return to the fundamental strategies and how they map into specific plans for WIB development. This tabular form is both a review and a shorthand way to understand how the narrative fits both the standards and the Santa Ana WIB five year plan. The Santa Ana WIB, both as a body and through its Committees, has created detailed plans for its next half - decade. They are both ambitious and grounded. They rest on general principles and a unified overall vision, but they are detailed and realistic. They look backward to the WIB's performance over time, and forward to improvements that will make it still better. The Santa Ana WIB, through its elaboration of key strategies and how they will be implemented demonstrates that it meets all the criteria necessary to be named a "High Performance WIB." The Summary In Tabular Form ST RATEGY: OVERALL s Align with the information and 1Yrs 1 -5: constant update of regional data, participation in CEDS strategies of OC CEDS updates Continue and expand relationships with Yrs 1 -5: extension of current practices other OC WIBs Constantly upgrade understanding of Yrs 1 -5: Continue own demographic and economic studies, especially regional economy re: clusters, exchange data /analysis with Anaheim/ OCBC Conduct local demographic, labor, Yrs 1 -5: Continue own demographic studies on how regional clusters economic studies to stay abreast affect local industries; gap analysis for skills needed Develop and improve tracking and Yrs 3: Bid out 1101 and other analyses to local universities, develop measurement systems measures for secondary and induced multipliers. Harmonize agency visions and missions Yrs 1 -5: Continue practice or collecting 1 and 5 year plans from agents, meeting or WIB committees to integrate them. Review training goals/ modalities for Yrs 1 -5: Goals change with population, grants. Follow specific plan consistency w /constituent needs for training. See training development process for youth below. Create more certification programs See training process for youth below Focus more directly on needs of all Yr 1: Research and study best practices and available resources youth populations Yr 2: Analyze and test plan and develop pilot programs Yr 3: Launch pilots in willing schools and other resources Yr 4: Review and adapt pilot Yr 5: Expand throughout local area, enlist schools and others Focus on other underserved populations Yrs 1 -5: Expand relationships with community organizations to insure and expand support services for adults and youth Develop stronger green /Cleantech Yrs 1 -5: Follow similar process to youth training, from research to industries /employment commitment. Field will continue to develop on its own. Braid funding streams Yrs 1 -5: Continue to expand, using WIB to recruit business support, 62 19F -71 63 19F -72 ETP to expand small business training, etc. Continue to integrate supportive Yrs 1 -5: See process for youth training, but accelerate it. services Develop local small business as job Yrs 1 -5: Use ETP, SBDC, SCORE, other sources of expertise to support generator entrepreneurship and small business development. Encourage existing incubation and Yrs 1 -5: Support RSCCD, Digital Media Center, and other incubators acceleration institutions and accelerators, route new businesses from inside and outside the City to them. STANDARD ECONOMIC DEVELOPMENT: Continue and expand analysis of needs Yr 0 -1: Outreach plan to identified priority sectors, develop business for attracting business, preparing success metrics, develop talent pipelines via job clubs workforce. Yrs 2 -5: Continue and expand program. Develop stronger business connection Yr 1: Form Greater Santa Ana Regional Economic Development to WIB, especially small and priority Center; identify new funding sources for small business, priority sector businesses sector development; form regional business collaborative of agencies, intermediaries, and support organizations. Yr 2: Develop strategic plan and metrics for business development; develop strategic plan and funding for training /support services integration. Yrs 3 -5: Implement new strategies to supplement ongoing ones. Streamline permitting and other Yrs 1 -5: Expand workshop programs on tax credits, OSHA, and other processes for small and other regulations /ordinances /tax credit /Enterprise Zone programs. businesses Configure lay -off aversion, rapid Yrs 0 -1: Follow data collection procedures and outreach procedures response programs to be more provided in this Section above. proactive Yr 1 -2: Supplement WARN notices with proactive analysis of businesses using resources developed in years 0 -1 in Section 1 above. Yrs 1 -5: Expand counseling programs provided by private contractors and others intervene in failing /flailing businesses to save or add jobs and increase bottom lines. Develop stronger emphasis on career Yr 1: conduct surveys, focus groups to determine priority sector skill pathway framework needs, engage business community; create annual forecast to project needs into future and measure against graduation statistics; restructure training as necessary to make certain career pathways /certification programs are employer -based and create minimal time to employment. Yr 2: Create collaborative committees between WIB, Youth Council, others for developing pre- apprenticeship program; similar WIB level committee to identify, more closely integrate support services. Yr 2 -5: Work with community partners to identify and develop new sources of non -WIA program funding to supplement, leverage and braid; implement plans made in years 1 and 2. Devise more recruitment and Yrs 1 -5: Continue business services programs begun with Hewlett specialized training programs for area Packard and others for recruitment, increase job fairs and make business them more oriented to priority sector needs and opportunities. Expand customized, on- the -job training, Yrs 1 -S. See program for Youth Services below and Overall Goats earn -to -learn training Section above for specifics, 63 19F -72 M. 19F -73 Yrs 2 -5: Implement processes shown for year 2 in "business development plans" above. STANDARD 4: YOUTH PROGRAMS/SUPPORT MATRIX Focus more directly on methods for Yr 1: Research and study best practices and available resources in ameliorating drop -out rate Santa Ana and region, including ACCESS, alternate, charter schools. Yr 2: Determine best strategies for addressing issues and design pilot programs to address them. Yr 3: Select willing K -12 and other sites, train their administrators and teachers, and launch pilots. Yrs 4 -5: Review and adapt pilot and expand throughout local schools and related institutions. Yr 5: Expand throughout local area, enlist schools and others. Work to engage disconnected youth Yrs 0-1: Determine locations where disconnected youth congregate, engage those with reputation for being able to bring them back to school programs. Yrs 1 -5: utilize similar strategy to above: study — pilot —full implementation —to modify high school programs for this population. More tightly connect supportive Yr 1: Create formal collaboration with "Employer Boards" plus local services to youth programs educational institutions at all levels to gather data, study issues. Yrs 1 -2: Expand and formally organize support service providers, including private sector. Yrs 1 -5: Expand formal workshops and seminars, and job fairs and focus on career pathways, especially in priority areas, apprentice- ships, and other programs for disconnected youth. Expand concept and applications of See Sections 1 and 3 above regarding identification and expansion of career path education for youth career path training programs. Also: Yr 1 -2: Develop trainings for teachers and administrators and youth program operators on priority and other occupational opportunities; improve collaborative network for same. M. 19F -73 ATTACHMENT 3 WIA Local Plan Program Years 2013 -17 Assurances A. The Local Workforce Investment Board (local board) assures that it will comply with the uniform administrative requirements referred to in the Workforce Investment Act (WIA) Section 184(a)(3). B. The local board assures that no funds received under WIA will be used to assist, promote, or deter union organizing. (WIA Section 181(b)(7)] C. The local board assures that the board will comply with the nondiscrimination provisions of WIA Section 188. D. The local board assures that the board will collect and maintain data necessary to show compliance with the nondiscrimination provisions of WIA Section 188. E. The local board assures that there will be compliance with grant procedures of WIA Section 189(c). F. The local board assures that funds will be spent in accordance with the WIA, written U.S. Department of Labor guidance, and other applicable federal and State laws and regulations. G. The local board assures that veteran workforce investment programs funded under WIA Section 168 will be carried out In accordance with that Section. H. The local board assures it will comply with future State Workforce Investment Board policies and guidelines, legislative mandates and /or other special provisions as may be required under federal law or policy, including the WIA or State legislation. I. The local board assures that when allocated adult funds for employment and training activities are limited, priority shall be given to veterans, recipients of public assistance and other low- income individuals for intensive and training services. [WIA Section 134(d)(4)(E), 118(b)(4), and California Unemployment Insurance Code (CUIC) Section 14230(a)(6)] J. The local board certifies that its One -Stop Career Centers (One- Stops) will recognize and comply with applicable labor agreements affecting represented employees located in the One- Stops. This shall include the right to access by State labor organization representatives pursuant to L11 Ralph C. Dills Act. [Chapter 10.3 (commencing with Section 3512) of Division 4 of Title 1 of the Government Code, and CUIC Section 14233] FWSD12 -14B Page 1 of 2 5/13 19F -74 K. The local board assures that State employees who are located at the One -Stops shall remain under the supervision of their employing department for the purposes of performance evaluations and other matters concerning civil service rights and responsibilities. State employees performing services at One -Stops shall retain existing civil service and collective bargaining protections on matters relating to employment, including but not limited to hiring, promotion, discipline, and grievance procedures. L. The local board assures that when work - related issues arise at One -Stops between State employees and operators or supervisors of other partners, the operator or other supervisor shall refer such issues to the State employee's civil service supervisor. The One -Stop operators and partners shall cooperate in the investigation of the following matters: discrimination under the California Fair Employment and Housing Act [Part 2.8 (commencing with Section 12900) of Division 3, of Title 2 of the Government Code], threats and/or violence concerning State employees, and State employee misconduct. M. One -Stop Operator is responsible for administering One -Stop Center services in accordance with roles that have been defined by the local board. The local board assures that it will select the One -Stop Operator with the agreement of the Chief Local Elected Official through one of three means: 1. Through a consortium of at least three or more required One -Stop partners; or 2. Through competitive process such as a Request for Proposal; or 3. It may serve as the One -Stop Operator directly but only with the consent of the Chief Local Elected Official and the Governor. The only time these selection procedures are not required is in the following circumstances: the One -Stop delivery system, of which the operator is a part, existed before August 7, 1998; the existing One -Stop system includes all of the required One -Stop partners; and a Memorandum of Understanding has been executed which is consistent with the requirements of the Act. [WIA Section 121(d)(2)(A), and Title 20 CFR Part 662.410] Lee McMurtray Local Board Chair Signature August 6, 2013 Date FWSD12 -148 Page 2 of 2 5113 19F -75 ATTACHMENT 4 WIA Local Plan Program Year 2013 -14 Title IB Participant Plan Summary WIA 118; 20 CFR 661.350(x)(13); TEGL 17 -05 Plan the number of individuals that are in each category. Totals for PY 2013 07101113 through 06130114) .: ADULT :. :p►N ,. _ _; ,:YOUTH 1. Registered Participants Carried in from PY 2012 110 150 7 2. New Registered Participants for PY 2013 210 120 128 3. Total Registered Participants for PY 2013 (Line 1 plus 2) 320 270 135 4. Exiters for PY 2013 240 160 130 5, Registered Participants Carried Out to PY 2014 (Line 3 minus 4) 1 80 110 5 'PROGRAM .- SERV1US :.:......: 6, Core Self Services 2,438 1,625 66 7. Core Registered Services 210 120 81 8. Intensive Services 160 72 9, Training Services 53 29 YOUTH.' MEASURES. ..... :.:......: 10. Attainment of a Literacy and /or Numeracy Gain 66 11. Attainment of a High School Diploma, GED, or Certificate s` . 81 Santa Ana LW IA Local Workforce Investment Area Contact Person, Title Telephone Number Date Prepared Linda Oberman, Economic Development Manager 714 - 647 -6991 June 20, 2013 Comments: FWSD12 -14C DRAFT page 1 of 1 5/13 19F -76 ATTACHMENT 5 WIA Local Plan Program Year 2013 -14 Title IB Budget Plan Summary' (Adult or Dislocated Worker) WIA 118; 20 CFR 661.350(a)(13) PROGRAM TYPE for PY 2013 -14, beginning 07/01/13 through 06/30/14 ❑ Grant Code 201/202/2031204 WIA IB -Adult 21 Grant Code 501/502/503/504 WIA IB- Dislocated Worker 1. Year of Appropriation 2012 -13 2013 -14 2. Formula Allocation 901,162 807,310 3. Allocation Adjustment - Plus or Minus 4. Transfers - Plus or Minus 350,000 5. TOTAL FUNDS AVAILABLE (Lines 2 thru 4) 1,251,162 807,310 6. Program Services (sum of Lines 6.A thru 6.E) 1,126,046 726,579 A. Core Self Services 10. B. Core Registered Services 25,866 26,689 C. Intensive Services 280,846 295,827 D. Training Services 499,353 161,775 E. Other 319,981 242,288 7. Administration (Line 5 minus 6 ) 125,116 80,731 8. TOTAL (Line 6 plus 7) 1 1,251,162 807,310 9. September 2012 132,426 10. December 2012 490,155 a..... 11. March 2013 809,041 12, June 2013 901,162 a 13. September 2013 1,251,162 121,097 14. December 2013 435,947 15. March 2014 605,483 16. June 2014 807,310 17. September 2014 4 18. December 2014 19, March 2015 20. June 2015 21. % for Administration Expenditures (Line 7 /1-ine 5) 1 10% 10% Santa Ana Local Workforce Investment Area Linda Oberman, Economic Develop Mgr 714 - 647 -6991 June 25, 2013 Contact Person, Title Telephone Number Date Prepared Comments: 1 Refer to 20 CFR Part 667.160 and WIA Directive WIAD01 -10 for guidance and information regarding locaf area obligation rates, and recapture and reallocation policies and procedures. FWSD12 -14D Page 1 of 1 19F -77 5/13 WIA Local Plan Program Year 2013 -14 ATTACHMENT 6 Title 113 Budget Plat: S- Umma.,' (Youth) WIA 118; 20 CFR 661.350(a)(13) PROGRAM TYPE for PY 2013 -14, beginning 04/01/13 through 06/30/14 0 Grant Code 301/302/303/304 WIA IB -Youth :FUNDING IDENTIFICATION:. K386XX -X StJ ti" °'rant .. . K4 —=Sub' rant 1. Year of Appropriation 2012 -13 2013 -14 2. Formula Allocation 1,416,092 1,231,373 3. Allocation Adjustment - Plus or Minus 4. TOTAL FUNDS AVAILABLE (Line 2 plus 3) 1,416,092 1,231,373 5. Program Services (sum of Lines 5A and 5B) 1,274,483 1,108,236 A. In School 300,678 343,553 B. Out -of- School 30% 973,805 764,683 6. Administration (Line 4 minus 5) 141,609 123,137 7. TOTAL (Line 5 plus 6) 1,416,092 1,231,373 8. June 2012 9. September 2012 a, , 10. December 2012 ' 11. March 2013 335,334. „ 12. June 2013 509,929 13. September 2013 817,772 14. December 2013 1,125,615 15. March 2014 1,416,092 17,366 16. June 2014 307,844 17. September 2014 538, 726 18. December 2014 ;: 769,608 19. March 2015 1,000,490 20. June 2015 1,231,373 C0STCOMPL [AN CI -FLI AN. 21. % for Administration Expenditures Line 6 /Line 4) 1 10 % 10% Santa Ana Local Workforce Investment Area Linda Oberman, Economic Develop Mgr 714 - 647 -6991 June 25, 2013 Contact Person, Title Telephone Number Date Prepared Comments: 1 Refer to 20 CFR Part 667.160 and WIA Directive WIAD01 -10 for guidance and information regarding local area obligation rates, and recapture and reallocation policies and procedures. FWSD12 -14E Page 1 of 1 5/13 19F -78 ATTACHMENT 7 WIA Local Plan Program Year 2013 -14 Negotiated Levels of Performance (Responses to State Plan Appendix H — Section 8) Instructions: Enter your local area's levels of performance for PYs 2011 -12 and 2012 -13 and provide an estimate of your PY 2013 -14 performance target. On the following page, provide a narrative rationale that supports each PY 2013 -14 goal. For example, if the local projected goal is lower than the PY 2012 -13 State goal, provide an explanation. STATE NEGOTIATED LEVELS OF PERFORMANCE' WIA Requirement at Section 136(b)2 PY 2011 -12 PY 2012 --13 Adults Adults Entered Employment Rate 56.4% 59% Employment Retention Rate 81.% 81% Average Earnings $13,000 $13,700 Dislocated Workers Average Earnings $11,348% Entered Employment Rate 65% 64.5% Employment Retention Rate 83% 84% Average Earnings $15,900 $18,543 Youth (ages 14-21) Employment Retention Rate 85,2% Placement in Employment or Education 65% 72% Attainment of a Degree or Certificate 61% 60% Literacy and Numeracy Gains 40% 54% LOCAL LEVELS OF PERFORMANCE' WIA Requirement at Section 136(c)' PY 2011 -12 PY 2012 -13 Estimated PY 2013 -14 Adults Entered Employment Rate 59.6% 61.1% 61.1% Employment Retention Rate 78.7% 75.5% 75.5% Average Earnings $11,348% $11,800 $11,800 Dislocated Workers Entered Employment Rate 61.8% 58.9% 58.9% Employment Retention Rate 85,2% 83,0% 83.0% Average Earnings $16,128 $14,000 $14,000 Youth (ages 14-21) Placement in Employment or Education 65% 72% 72% Attainment of a Degree or Certificate 61% 60% 60% Literacy and Numeracy Gains 40% 54% 54% 1 Guidance on state and local performance can be found on the U.S. Department of Labor (DOL) Employment and Training Administration Web site. Specific Training and Employment Guidance Letters (TEGL) include, but are not limited to B -99, 11 -01, and 17 -05. 2 The DOL Employment and Training Administration approved California's waiver request to move from the statutory performance measures specified in WIA Section 136 to the common performance measures defined in TEGL 17 -05. This waiver was initially approved for Program Year (PY) 2007 -08 and has been extended through PY 2013 -14, FWSD12 -14F Page 1 of 2 5/13 19F -79 RA In ONALE SUPPJRTiN ^v PY "2013 -1 4 ESTii01 ATE D LOCAL PERFORMANCE LEVELS For PY 2011 -12 Santa Ana was able to exceed only one goal out of three under Adult and while we exceeded all three performance goals for Dislocated Workers it was only by 2 or 3 percentage points. Given Santa Ana's demographics, high school attainment rate, language barriers and near double digit unemployment figures Santa Ana LWIA requests to maintain performance goals for PY 2013 -14 as they are for PY 2012 -13. FWSD12 -14F Page 2 of 2 5/13 ATTACHMENT 8 WIA LoCai Plan Program Years 2013 -17 Comprehensive One -Stop Center Partner Listing The Workforce Investment Act (WIA) Section 121(b) identifies all the required partner programs that must be part of the local One -Stop Career Center system. Those programs are listed below, The Chief Local Elected Official may also include additional partners to enhance the services provided locally. The Final Rule Section 662.250 requires these same partners to offer their program's core services in at least one comprehensive One -Stop Career Center in the local workforce area. Provide the name of each organization (required and additional) that provides services in your local One - Stop Career Center system. Include with your submittal, a copy of the executed Memorandum of Understanding (MOU) required under WIA Section 121(c). If an MOU has not been fully executed with a partner, notice instructions are included in Directive WIAD05 -6, Notification Requirement Relatinq to Lack of One -Stop MOUs. A separate form should be completed for each One -Stop Career Center in your local area that meets this requirement. Programs authorized under WIA Title I (Public Law 105 -220); Programs authorized under the Wagner- Peyser Act (29 U.S.C. 49 et seq.); City of Santa Ana - Santa Ana WORK Employment Development Department (EDD) Adult education and literacy activities Rancho Santiago Community College /Santa Ana College authorized under WIA Title 11 - Centennial Center (Public Law 105 -220); FWSD12 -14G Page 1 of 2 5/13 19F -81 1. LWIB Today's Date: Please enter all information requested June 25, 2013 Name of Local Workforce Investment Board: Santa Ana Counties covered: Orange Center's complete physical address: _ 1000 E. Santa Ana Blvd, Suite 200, Santa Ana CA 92706 Mailing address (if different): One -Stop Career Center hours of operation: 7:30 AM - 5:00 PM I Public phone number: 714 - 565 -2600 Public fax number: 714- 56.5 -2602 TTY number: Website URL: www.santaanawib.com Office Manager /Administrator: (Name and Title) Linda Oberman, Economic Development Manager Phone number and email: 714 - 674 -6991 Public contact email address: , loberman@santa-ana.org Number of staff: 28 Programs authorized under WIA Title I (Public Law 105 -220); Programs authorized under the Wagner- Peyser Act (29 U.S.C. 49 et seq.); City of Santa Ana - Santa Ana WORK Employment Development Department (EDD) Adult education and literacy activities Rancho Santiago Community College /Santa Ana College authorized under WIA Title 11 - Centennial Center (Public Law 105 -220); FWSD12 -14G Page 1 of 2 5/13 19F -81 Programs authorized under Title I of the Department of Rehabilitaton (DOR) Rehabilitation Act of 1973 (29 U.S.C. 720 et seq.); Programs authorized under Section Orange County Social Services Agency (SSA) 403(a)(5) of the Social Security Act (42 U.S.C. 603(a)(5), as added by Section 5001 of the Balanced Budget Act of 1997); Activities authorized under Title V of the Asian American Senior Citizens Older Americans Act of 1965 l (42 U.S.C. 3056 et seq.); i Postsecondary vocational education Rancho Santiago Community College District/ activities authorized under the Carl D. Santa Ana College Perkins Vocational and Applied Technology Education Act (20 U.S.C. 2301 et seq.); Activities authorized under Chapter 2 of Title Employment Development Department (EDD) II of the Trade Act of 1974 I (19 U.S.C. 2271 et eq.); Activities authorized under Chapter 41 Employment Development Department (EDD) of Title 38, U.S.C.; Employment and training activities carried Community Action Partnership of Orange County out under the Community Services Block (CAPOC) Grant Act (42 U.S.C. 9901 et seq.); Employment and training activities carried Santa Ana Housing Authority (Community Development out by the Department of Housing and Agency - Santa Ana WIB is under this umbrella agency) Urban Development; and, Programs authorized under State Employment Development Department (EDD) unemployment compensation laws (in accordance with applicable federal law) i Addltionat Partner Prog rams Or anization Training and Employment Services Goodwill Industries, Santa Ana Post- Secondary Vocational Education District ROP — Santa Ana Unified School District WIA Section 166 for Indian and Native Americans Southern California Indian Center 20 CFR Section 662,230; Ul Code 14231 (a)(13 The Orange County Small Business Development Center Development Center (SBDC) ; (SBDC) Required Partner — SBDC FWSD12 -14G Page 2 of 2 5113 19F -82 ATTACHMENT 9 ', IA Local Plan Program Years 2013; Al ; Memorandums of Understanding Local Workforce Investment Boards are required to establish a Memorandum of Understanding (MOU) with each partner that provides services through the local One -Stop System. Complete the information below and attach a copy of each MOU with your local plan under this cover sheet. Local Partner Name MOU Expiration Date 1. City of Santa Ana, Community Development Department Agency WORK Center 6/30 /2013 2. Santa Ana WORK Center 6/30/2015 3. Employment Development Department 6/30/2015 4. State Department of Rehabilitation 6/30/2015 15. Goodwill Industries of Orange County 6/30/2015 6. Rancho Santiago Community College District 6/30/2015 7. County of Orange Social Services Agency In Effect 18. Orange County Small Business Development Center In Effect 9. Santa Ana Housing Authority In Effect 10. Community Action Partnership of Orange County In Effect 11. Asian American Senior Citizens Service Center In Effect 12. Southern California Indian Center, Inc. In Effect FWSD12 -14H Page 1 of 1 5/13 G ei && Memorandum of Understanding For THE CITY OF SANTA, COMM.NIT Y DEVELOPMENT AGENCY WORK CENTER i:1; ff :V A -2012 -208 EXTENSION OF MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA, COMMUNITY DEVELOPMENT AGENCY (WORK CENTER) AND THE SANTA ANA WORKFORCE INVESTMENT BOARD I. PARTIES: This Extension of Memorandum of Understanding ( "MOU ") is hereby entered into on 2012 by and between the City of Santa Ana, Community Development Agency, and its WORK Center ( "WORK Center ") a One -Stop Operation, and the Santa Ana Workforce Investment Board ( "SAWIB "). Each of the One -Stop Partners has signed an MOU with the WORK Center describing its specific role and responsibilities at the WORK Center. II. DURATION OF AGREEMENT: The initial term of this Agreement began on July 1, 2001, and may be extended through the mutual exercise of an option to extend by the parties on an annual basis, unless terminated by either party with thirty (30) days written notice to the other party. A copy of the WORK Center's approved annual budget and participant plans is attached hereto and incorporated herein. The term of this Agreement shall cover Program Year 2012 -2013. III. PURPOSE: The purpose of this Extension to the Agreement is for the Santa Ana WORK Center to continue to provide a comprehensive One -Stop Center in response to the "Request for Proposals /Business Plans for One -Stop Service Center in Santa Ana" ( "UP ") originally released on March 19, 2001. IV. RESPONSIBILITIES OF WORK CENTER: The WORK Center„ through the combined efforts of the WORK Center partners which include the Employment Development Department, Orange County Social Services Agency, Rancho Santiago Community College District, Santa Ana Unified School District, Goodwill Industries, Santa Ana College, State Department of Rehabilitation, City of Santa Ana Economic Development Department, ROP programs and several other agencies, shall provide the community with a variety of informational employment and training services based on individual needs. The responsibilities and duties of the WORK Center are set forth in detail in the "Proposal /Business Plan" response submitted by the WORK Center, dated April 27, 2001. The WORK Center will submit a new Participant Plan and Budget for Program Year 2012 -13 for the formula funds. IV. AUDIT: The WORK Center agrees that if it receives Three Hundred Thousand Dollars ($300,000.00) or more in federal funds, it shall ensure that the City of Santa Ana includes the WORK Center in its annual audit which shalt be conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. 19F -85 V. PROHIBITION FROM DISCRIMINATION: The WORK Center and all One -Stop Partners are prohibited from discrimination on the grounds of race, color, religion, sex, national origin, age, disability, political affiliation or belief. VI. FUNDING: The SAWIB anticipates allocating Workforce Investment Act funds to the WORK Center for the operation of the One -Stop Service Center each funding cycle. The WORK Center's Business Plan/Proposal shall remain in effect until such time as the SAWIB selects a different one -stop operator. VII. MONITORING /OVERSIGHT: The SAWIB and its staff reserve the right to review and monitor all services funded under this MOU and the RFP. This includes all records, documents, polices and procedures or other data or documentation requested by the SAWIB, the State of California's Compliance Monitoring Section/Compliance Review Division and the Department of Labor. The WORK Center Director shall be responsible for internal monitoring of its programs, services, cash management, procurement, and property inventory as well as the monitoring of any services, programs or projects that are contracted to program operators and/or consultants. All WIA funding received by the City of Santa Ana will be included in the annual audit completed by an outside auditing firm for the City. VIII. PERFORMANCE GOALS: SAWIB shall establish annual performance goals for the WORK Center for adults and dislocated workers based on the common measures established for the Local Workforce Investment Area (LWIA). Said performance goals shall be renegotiated between the parties hereto once the SAWIB has negotiated with the State for each year. IX. GOAL TRACKING: All partners in the One -Stop Delivery system have agreed to work toward the development of common performance goals and measures that will be in alignment with the stated goals of the workforce investment system. The WORK Center will work very closely with the local business community to assure placement goals will be meet. The WORK Center will collect feedback from employers, analyze the information, and implement strategies for improvement in partnership with the Santa Ana Economic Development Division. X. DISPUTE RESOLUTION: The parties hereto shall first attempt to resolve all disputes informally at the lowest level starting with the site supervisor and staff. If dispute resolution is not accomplished, any party may call a meeting of the parties to formally discuss and resolve all disputes. Should the parties fail to resolve the dispute, the dispute shall be referred to the Chair of the SAWIB, who shall place the dispute upon the agenda of a regular or special meeting of the SAWIB'S Executive Committee. The Executive Committee shall mediate the dispute and shall have final authority to resolve the issue. XI. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken., the rest of this MOU shall remain in full force and effect. XIL MODIFICATION/TERMINATION: This MOU, along with all exhibits thereto, constitutes the entire agreement between the parties. This MOU may be modified, altered, revised, extended or renewed by mutual written consent of the parties, by the 2 l Lei 0-1•J issuance of a written_ amendment, signed and dated by all parties. Updates to the budget and goals shall be made annually by the WORK Center, with approval of the SAWIB. Participation in this MOU may be terminated by giving no less than thirty (30) calendar days' prior written notice of intent to terminate to the other party. XHI. ASSIGNABILITY: None of the duties or work to be performed by any of the parties hereto shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of each party hereto. All subcontracts and other agreements that relate to this MOU must be submitted and reviewed by each party hereto. XIV. RECORDS RETENTION: All accounting records and evidence pertaining to all costs related to this MOU and all documents related to this MOU shall be kept available for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this MOU, or (b) costs and expenses of this MOU to which the WORK Center, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. The WORK Center shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the SAWIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of finds under this Agreement for a three -year period from and after the effective date of this Agreement. XV. PATENT, COPYRIGHTS AND RIGHTS IN DATA: The One -Stop Partners and /or the SAWIB will disclose to the City any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy -four (74) days of invention, development or assembly. The City, State of California, and U.S. Department of Labor (DOL) will have the right to patent any invention and copyright any written product or computer program or data generated by any of the Ore -Stop Partners, subcontractors, and/or the SAWIB. Upon written request, all pertinent information, specifications and right, title and interest shall be transferred to the designated agency. Each One -Stop Partner shall be notified of the City's requirements and regulations pertaining to patent rights with respect to any discovery or invention which arises or is developed in the course of or under any contract with the WORK Center. XVI. INVENTIONS, PATENTS AND COPYRIGHTS: A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the One -Stop Partner /SAWIB shall report the fact promptly and fully to the CITY. The One -Stop Partner /SAWIB shall report the fact to the Grant Officer at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rights in the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the 3 19F -87 "Governmental Patent Policy" (President's Memorandum for Leads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright -able material is developed in the course of or under a DOL Grant or agreement, the City and the author that developed the work is free to copyright material or to permit others to do so. The One -Stop Partner and the SAWIB shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a contractor purchases ownership with grant support; and (c) Each One -Stop Partner and the SAWIB shall comply with the requirements of 29 CFR Part 97.34, C. Rights to Data. The DOL and the City shall have unlimited rights to any data first procured or delivered under this Agreement. XVII. CLEAN AIR/CLEAN WATER: If the grant hereunder exceeds $100,000, Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended, must be adhered to. Under these laws and regulations, assurances will be made to the following effect: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) Notification will be made prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) Notification will be made to the CITY and the EPA about any known violation of the above laws and regulations. E, G •i ;ff9,Z9] All parties are in agreement with this Extension of the Memorandum of Understanding and will implement it as herein stated. ATTEST: By:_ Maria D. Huizar Cleric of the Council APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney BY: Lisa E. Storck Assistant City Attorney Recommended for Approval: CITY OF SANTA ANA Paul Walters City Manager Santa Ana Workforce Investment Board BY: Lee McMurtray, Chair _ BY: Nancy T, dwards, Acting Executive Director Community D elopment Agency A �i & *- ] A -2012 -121 Memorandum of Understanding For SANTA ANA W /®/R K CENTER (CITY OF SANTA ANA) GL'];'Il] Memorandum of Understanding (MOU) Pursuant to the Workforce Investment Act of 1998 (WIA) I. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), and several agencies (having signed Attachment "A ", "One -Stop Partner Commitment" and, if physically located at the One -Stop location, Attachment "B ", "Resource Sharing Agreement" and Attaclunent "C ", "Memorandum of Operation" if applicable functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana W/O/M<- Center). 2. PURPOSE: The Santa Ana W /O/R/K Center, through its central Iocation at the Santa Ana Regional Transportation Center, 1000 E. Santa Ana Blvd. shall provide and /or coordinate workforce investment services to individuals, providing them with the necessary skills to participate in building a world -class workforce in Santa Ana. Services and referrals provided at the Santa Ana W/O /R/K Center may include, but are not limited to, the following: a Eligibility determination a Outreach, intake and orientation to services available a Initial assessment of skills, aptitudes, abilities and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market infon-nation 0 Provision of performance infonnation • Employment referral a Provision of support and follow -up services a Identification of skills required to be competitive in the local labor market a Filing for Unemployment Insurance claims • Access to CaUOBS for Labor Exchange services a Help in establishing eligibility for CalWORKS and financial aid Occupational skills training a On-the-job training Workplace learning with classroom training a Skills upgrading and retraining 9 Entrepreneurial training a Job readiness training • Adult education and literacy A Services for persons with disabilities Pq 19F -91 Serve mature workers by operating as a specialized recruitment ann for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages Customized training for employment with specific employer Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall become effective July 1, 2012 and tenninate June 30, 2015. This MOU will remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his/her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the timeframes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and/or resources utilized may include some or all of the following: cross- training of staff, in -house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 19F -92 7. CONFIDENTIALITY: The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application for or receipt of services shall be confidential information subject to the provisions of 34 CFR 361.38. The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. 8. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the future as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Committee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be home by the losing party. 10. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise strielcen, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 12. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. 4 19F -93 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One - Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center will assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act. 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty/crime coverages. The City of Santa Ana shall be named as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City. 16. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 5 19F -94 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. [AL Miguel A. Pul.ido, Mayor, City of Santa Ana Name and Title 20 Civic Center Plaza, Santa Ana. CA 92701 Address FOR THE CITY OF SANTA ANA ATTEST: Maria D. Huizar, Clerk ottie Council JUL 2 6 Niz Date CIT SANTA ANA 6,�, Paul Walters, Interim City Manager SANTA ANA WORK CE ER (CITY OF SANTA ANA) (ONE -STOP PARTNER) ignature Date Linda Oberman, Economic Development Manager Name and Title 1000 E. Santa Ana Blvd. 4200 -220. Santa Ana CA 92701 Address Approved as to Form: Sonia R. Carvalho, City Attorney Lisa E. Storck, Assistant City Attorney THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. 19F -95 Attachment "A" One -Stop Partner Commitment 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the Santa Ana WORK Center (City of Santa Ana) and other agencies (identified in the "One -Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the Santa Ana WORK Center (City of Santa Ana commits to the following: • Implement WIA program services on behalf of the Santa Ana Workforce Investment Board • Under WIA provide core, intensive, and individual training account services as defined by the WIA and the Department of Labor • Coordinate activities and services with all One -Stop Partners to provide the best integrated services possible to the community • Provide information to the WIB with regards to service activity, outcomes and workforce issues for their review Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O/R/K Center: 21 FTEs Hours /days per week Agency Staff Assigned to Santa Ana WORK Center: 5 days week, M -F PERFORMANCE GOALS: Customer Service All on -site, One -Stop Partners shall commit to the following goals for the W /O /R/K Center: 1. To conform to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate in a task force empowered to oversee, measure and respond to customer service data. lLei I1 Attachment "A ", Page 2 Quantifiable Service Outcomes • Develop uniform policy of customer services for the WORK Center under the integration plan with input from partners located at and participating in the Learning Lab • Measure customer service levels of users at the WORT{ Center and meet with participating partners to implement changes as appropriate • Meet at least the minimum level of common performance goals as set by the State with local input and negotiation • Meet performance goals outlined in the service integration plan AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOR THE Santa Ana WORK Center (City of Santa Ana) (Legal Name of Partner Agency) *dQ Signature Date Linda Oberman, Economic Development Manager Name and Title 1000E Santa Ana Blvd. #200 -220 Santa Ana., CA 92701 Address MOU Partner rev 2 -12 19F -97 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR SANTA ANA WORK CENTER (CITY OF SANTA ANA) ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board ■_C' 19.] s Employment and Training Activities under Title I of the Workforce Programs Represented Investment Act s Intake Orientation/Workshops Screening and eligibility determination for WIA assistance s Identification and referral on individuals in need of employment and Services Provided training services s Coordinate Work Center employment and training programs with those offered through the One -Stop system ♦ Other programs and services appropriate through WIA funding ® Co- location of staff Method of Service ® Co- location of services Delivery ® Cross training of staff M On -line • In person • By phone Referral Method E Referral form ® Online © Customer Satisfaction Contribution to One -Stop System Provide coordination and services for WIA programs ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board ■_C' 19.] Attachment B a lt'J_ag One Stop location — Santa Ana WORK Center — Cost Sharing 2010 -11 Name of Organization — City of Santa Ana Projected Budget _ Estimated Annual Contribution Funding source Provided by Total Resource Cost Staff costs Resource Center Staff Workshop staff —Career Net _ Workshop Staff — Orientation Workshop Staff — IAW Technical support (maintenance, troubleshooting, web, page /software development) Administrative staff FTE} Costs associated with staffing (including fingerprinting, drug tests, training) FTE staff stationed at One-Stop Total FTE'S 14.75 Total Associated Costs $115025440 WIA City of Santa Ana $ 1 502 440 Facultv Costs i Rent (including utilities ) $ 90,145 WIA $ 90,145 Building & Grounds Maintenance $ Insurance $ Security $ Telecommunications 1 33,770 WIA $ 33 770 TOTAL FACILITY COSTS $123,915 WIA City of Santa Ana $ 123.915 Equipment/Technology Equipment (computers, copiers, fax machine, telephone, etc. $ 3,690 WIA $ 3,690 Maintenance $ 1,300 $ 1,300 Software $ IS Strategic Plan $ 9,095 $ 9,095 Total Equipment/Technology $14,085 WIA City of Santa Ana $ 14,085 -Supplies General Supplies/Printing Supplies/Printing S46,890 WIA City of Santa Ana $ 46,890 Safety supplies $ Fed ex/UPS Total Supplies $ $ 46,890 WIA City of Santa Ana $ 46,890 Subscriptions/Periodicals Include newspapers, magazines, internet, etc) $ 865 WIA City of Santa Ana 865 11 19F -100 Marketing $ 480 WIA City of Santa Ana 480 Miscellaneous Postage $ Memberships $ 2,250 WIA $ 2 250 Overhead $ 28,510 $ 28,510 Wesley Bosch — Career Counseling � $ 75,000 $ 75,000 Total Miscellaneous $105,760 WIA City of Santa Ana $ 105,760 Total Contributions $1,794,435 WIA City of Santa Ana $ 1,794,435 Estimated Annual Contribution = The portion of your total cost that benefits the One Stop Center, Funding Source = The soure of funding used to pay for these costs Provided by = The partner providing the staff, equipment, or service. Total Resource Cost = The total cost, if known, of the line item. 12 19F -101 MEMORANDUM OF OPERATIONS ( "MOO") Santa Ana WORM Center WIA and EDD Wagner - Peyser Integration PARTI ES: The parties to this MOO are the Santa Ana WORK Center WIA, by and through the City of Santa Ana, a charter city and municipal corporation ( "City "), and EDD Employment Development Department Workforce Services, a department of the State of California ("State "). DURATION: This MOO shall become effective on Julv 1, 2012 and terminate on June 30, 2015. MODIFICATION AND ASSIGNMENT: This MOO may be modified at any time by written agreement of both of the parties. PLANNING/ PURPOSE: 1) Identify the goals of the partnership. To effectively collaborate on a seamless, integrated, skills -based delivery system to all job seekers and employers (customers) that enter our site. 2) Provide description of partnership, specific to each LWIA. (Refer to the existing MOU, who are the players, what are the resources ?) Section 121 (c)(1) of the Workforce Investment Act (WIA) requires that the Local Workforce Investment Board (WIB) -and all mandated partner- agencies be party to a Memorandum of Understanding (MOU) as to the operation of the Santa Ana W /O /R /K Center, hereinafter referred to as "SAWC: The current MOU insures that the Partners will afford universal access to comprehensive workforce development services which are customer driven and based upon clear objectives. It also provides for mutually negotiated outcomes with methods of performance measurements to attain customer satisfaction. The partners to the MOU are as follows: City of Santa Ana, State Employment Development Department, State Department of Rehabilitation, Orange County Department of Education, ROP, Rancho Santiago Community College District, Goodwill of Orange County, Community Action partnership of Orange County, SER — Title iV Older Worker program and the City of Santa Ana Housing Department. Definitions of Terms 2a) Functional Team: Staff from partner agencies providing integrated services as defined in the Memorandum of Operations. 2b) Functional Supervision Oversight of functional staff in all areas other than defined by terms and conditions of union agreements. Rev 2012, Page 1 19F -102 Memorandum of Operations City of Santa Ana WIA and EDD Wagner- Peyser Integration 2c) Partner Agency: An agency that has entered into a Memorandum of Operations with the local teaming lab leadership. 3) Services offered (What services are we integrating and what is the customer flow ?) The integrated service delivery system is divided into three components: I. The Welcome Team is responsible for data collection, eligibility verification, registration /enrollment, and referral to the appropriate next steps. Any SA WC team member, at any time can refer a customer to appropriate services, such as: ■ Workshops: Resume, Interviewing, On Line Applications, etc, On -Line E- Learning ■ Labor Market information ■ Veteran Services ■ Computer Classes ■ ESL Classes ■ Comprehensive Assessment GED Assistance ■. _Co.ntinued Education- [ I. The Skills Team is responsible for comprehensive assessments and skills enhancement activities. Customers determined to be in need of some form of skill enhancement will be offered demand driven services such as: • Occupational and vocational skills training • OJT • Adult Education • Job Readiness workshops • Customized training • Basic Skills Remediation ■ Workplace literacy ■ Apprenticeship programs ■ Interviewing workshops ■ Tutorial programs ■ Comprehensive Assessment Ill. The Monitoring Team is responsible for job placement, as well as the job development and promotional activities. Page 2 of 14 19F -103 Memorandum of Operations City of Santa Ana WIA and EDD Wagner - Peyser Integration The customers who are considered "Job- Ready" or have completed activities through the Welcome and Monitoring components may access the demand driven services which include: • Job Referrals • Job Search • Soft skills training, including budgeting • Job Assisted Workshops • Interviewing Skills Development and Dress for Success • Career Transitioning and Stress Management • Group assistance /workshops • Resume Preparation 4) What will be achieved by integration? The job seekers will gain greater access to employment and skill attainment resources to improve their employability through the SAWC. SAWC fully embraces the integration vision and the opportunity this system provides added value for job seekers and the business community alike. Through the service integration efforts, SAWC offers a skill -based service delivery system which enables the W /O /R/K Center to respond more readily to the changing economic conditions and the competitive market demand. 5) Performance outcomes, to include WIA and Wagner- Peyser. 5a) How will they be determined? By using the State of California's base wage file. 5b) What reports will be used to determine performance? CaiJOBS and JTA Reports. 5c) Reporting requirements. As outlined in the directive. 5d) Frequency of Reports. Quarterly. 6) Establishment of Functional Teams (How ?) Staff will be selected based upon their skills, knowledge, qualifications and the appropriateness of the assignment by taking into consideration the primary needs of the W /O /R /K Center. 6a) What minimum skills do team members need? All team members should possess the following skills and abilities: Strong customer service and organizational skills • Ability to effectively communicate verbally and in writing Page 3 of 14 19F -104 Memorandum of Operations City of Santa Ana WIA and END Wagner - Peyser Integration • Sensitivity to customers with diverse backgrounds andlor in stressful life situations • Ability to multi -task and efficiently produce accurate work under pressure ■ Ability to legibly and accurately document services 9 Commitment to maintain confidentiality of customer information and system records as legislated by current program policy requirements • Ability to work independently as well as in a team environment a Knowledge of skills and aptitude assessment tools and the ability to interpret and analyze test results ■ Ability to constructively critique resumes and cover letters Ability to effectively deliver a variety of services in a group setting, such as workshops and /or orientations. w Proficient knowledge of the Microsoft Office program and all office equipment s Ability to effectively coach and mentor customers Knowledge of the local labor market ■ Effective use of marketing and sales techniques Knowledge of community resources and referral process Maintain knowledge of service delivery programs as it relates to all customers Anticipating and realizing that all staff will need to be rotated among the various functions as business needs dictate, 6b) Functional job descriptions for supervisors and team members. Functional Supervisor's Roles and Responsibilities • Communicate and refer any personnel andlor administrative issues to the responsible agency manager. • Provide direct functional supervision for their respective integrated team. Set daily work assignments to meet customer flow. Monitor team activities and make appropriate changes to ensure proper staffing coverage during peak periods, meal /break periods, and unscheduled or emergency absences. Conduct routine assessment of staffing needs within team: Operating system and equipment are operating properly Training and coaching team members as necessary Provide tools for performance enhancement 9 Ensure staff understand and comply with all internal security policies and procedures for the LWiA and the EDD. © Coordinate and facilitate regularly scheduled team meetings. a Encourage communication opportunities for staff feedback and continuous quality improvement of team process. ■ Perform functions necessary to ensure an integrated operation. Monitor performance measures to meet goal expectations. Page 4 of 14 19F -105 Memorandum of Operations City of Santa Ana MA and EDD Wagner- Peyser fntegration N Perform customer service satisfaction actions. Welcome Team Roles and Responsibilities It Greet all customers in a friendly, welcoming, and professional manner. • Conduct initial interview and review eligibility documents. • Determine the purpose of customers visit and direct them accordingly. = Facilitate the initial assessment to gauge the skill levels, aptitudes, and job qualifications of the customer. ■ Analyze the results and enter required information into the database. • Interview customers to identify barriers to employment and identify those services that will help address and /or eliminate the barriers. • Answer questions about services offered through the system. • Maintain knowledge of local community agencies and programs through frequent communication. Refer individuals as appropriate to other community and partner agencies. Schedule appointments for customers as needed. ■ Based upon the initial interview, refer job seekers as appropriate to either the Skills Team or the Monitoring Team ■ Ensure proper recording of customer's personal information, eligibility documents, activities referred to and /or completed, and applicable notes are entered into the database system; guaranteeing compliance with the mandated program requirements for eligibility of services. • Develop the Individual Work Plan with the customer to provide an overview of their career goals, employment objectives and, potential service needs. ■ Maintain knowledge of the Welcome Team process; ensure program integrity by committing to protecting customer confidentiality and demonstrating constant professionalism. ■ Attend staff meetings, submit required reports, interpret program information, and make procedural recommendations. ■ Contribute in their team role(s) to ensure that performance measures are met and /or exceeded, while ensuring compliance with the Federal, State, and Local rules and regulations, ■ May occasionally assist with special projects, including, but not limited to, specialized outreach to targeted program groups, employer recruitments, and the development of new skills training activities. = May perform other duties as assigned. Skills Team Roles and Responsibilities ■ Conduct first time interview with job seeker(s) to review initial assessment results, skills identified, aptitudes, interests, barriers to employment, and supportive service needs. Page 5 of 14 19F -106 h"emorandum of Operatlons City of Santa Ana \NIA and EDD Wagner- Peyser Integration • Continue to develop the Individual Work Plan with the customer to provide an overview of their career goals, the initial assessment results, and potential service needs. ■ Prepare various forms of testing /assessment for customers, including selecting the appropriate testinglassessment tools, proctoring tests, and interpreting the results for each. This may include a comprehensive assessment for the customer if determined necessary. • Deliver a variety of skill development services for the customer addressing their specific needs in the areas of employment, training, and supportive services. ■ Deliver services in both group and one -on -one settings to customers. ■ Maintain a high level of familiarity with the local labor market to ensure that services are aligned with the employer and labor market needs. • Facilitate and arrange for the job seeker to attend needed skill enhancement activities. This can include arranging for one of more of the following, in -house training sessions, classes at training providers, classes at post secondary institutions. • As appropriate, assist the customer with applying for financial aid or scheduling off -site training activities. • Assist customers in job search activities as it relates to interviews, resumes, applications, and letters to employers. • Maintain knowledge of occupational training and local economic information to assist customers in defining career goals. • Further develop the Individual Work Plan with customers to establish appropriate career goals and detail specific plans for skill development /enhancement activities, job search strategies, and supportive services. Update and modify the IAP as needed to ensure that the customer's needs are met. • Maintain knowledge of local community agencies and programs through frequent communication. Refer individuals as appropriate to other community and partner agencies. • Facilitate and deliver workshops and group sessions instructing customers on various skills, including basic skills development, customer service, computer skills, and job search skills. ■ Maintain knowledge of the Skills Team process; ensure program integrity by committing to protecting customer confidentiality and demonstrating constant professionalism. ■ Ensure proper recording of customer's personal information, eligibility documents, activities referred to andlor completed, and applicable notes are entered into the database system; guaranteeing compliance with the mandated program requirements for eligibility of services. ■ Attend staff meetings, submit required reports, interpret program information, and make procedural recommendations. Page 6 of 54 19F -107 Mernorandurn of Operations City of Santa Ana WIA and EDD Wagner - Peyser integration • Contribute in their team role(s) to ensure that performance measures are met and /or exceeded, while ensuring compliance with the Federal, State, and Local rules and regulations. • May occasionally assist with special projects, including, but not limited to, specialized outreach to targeted program groups, employer recruitments, and the development of new skills training activities. • May perform other duties as assigned. Monitoring Team Roles and Responsibilities Conduct interview with customer to determine their employment goals, skills identified, aptitudes, interests, barriers to employment, and supportive service needs. tr Update the Individual Work Plan with the customer to provide an overview of their career goals, the initial assessment results, and potential service needs. = Maintain a high level of familiarity with the local labor market to ensure that services are aligned with the employer and labor market needs. • Provide information on the appropriate skill development activities and services available on site, including the resource room, locating Internet based job openings, referrals to supportive services, Skills Team activities, workshops, etc. • Provide job search assistance through job fairs, employer recruitments, job referrals, and job development contacts. • Provide appropriate referrals and services for customers requiring specialized services (counseling, budgeting, etc.). Offer continuous engagement strategies to maintain communication with the customer in order to ensure a successful outcome. • Maintain knowledge of the Monitoring Team process; ensure program integrity by committing to protecting customer confidentiality and demonstrating constant professionalism. • Ensure proper recording of customer's personal information, eligibility documents, activities referred to and /or completed, and applicable notes are entered into the database system; guaranteeing compliance with the mandated program requirements for eligibility of services. • Attend staff meetings, submit required reports, interpret program information, and make procedural recommendations. • Contribute in their team role(s) to ensure that performance measures are met and /or exceeded, while ensuring compliance Vdltir the Federal, State, and Local r ules and regulations. • May occasionally assist with special projects, including, but not limited to, specialized outreach to targeted program groups, employer recruitments, and the development of new skills training activities. • May perform other duties as assigned. Page 7 of 14 Lei _=PK_ple-] Memorandum, of Operations City of Santa Ana VVIA and EDD Wagner- Peyser Integration 6c) How is team membership determined? To be determined by Functional Supervisor, as dictated by Team requirements and staffing levels. 6d) How will disputes pertaining to membership be resolved? Membership disputes will be resolved through discussion and consensus between Site Supervisor(s) and Functional Team Supervisors) in conjunction with business needs and current workload. 7) Selection of functional team members (How ?) By the Service Integration Leadership Team. 7a) Observe civil service rules. According to each Entity's mandated rules, 7b) Classification requirements. Not working team members out of class per the existing documented State and City requirements. 7c) !Within the scope of the duty statement (functional job description). As pre - defined in classification duty statements for each Entity. 8) Determine supervision of functional teams. 8a) How is supervision selected? By the Service Integration Leadership Team 8b) Terms and Conditions State and City supervisors will follow contractual and collective bargaining mandates for the supervision of respective State and City employees. Collaboration will occur between the employee's supervisor and the functional supervisor. This collaboration will include communication between both individuals to allow for the responsibility of certain tasks and responsibilities within a functional team. The communication cannot include the sharing of confidential information as prohibited by state or local policy or union contracts, 8c) Span of Control Responsibilities of State /City Entity Supervisor Changes to permanent work schedule, including lunches and breaks Approval of attendance records Approval for vacations, sick leaves, personal leaves Counseling and discipline Page 8 of 14 19F -109 Memorandum of Operations City of Santa Ara WIA and EDD Wagner - Peyser Integration • Performance evaluations /probations ■ Travel and expense approvals ■ Approvals for contract negotiated training and in- service courses Responsibilities of Functional Supervisor ■ Setting daily work assignments and work flow • Making temporary changes in meal /break periods to assure proper coverage ■ Setting Resource Room schedules /coverage ■ Setting office coverage during vacations /unscheduled /emergency absences Collaborative Responsibilities of State /City Entity Supervisors and Functional Supervisors ■ Adequate office coverage ■ All staff is properly trained ■ All organizations understand and adhere to all internal security policies and procedures • All staff present a positive image of the One Stop System to customers ■ Regular staff meetings are held and conducted by both the functional supervisor and hiring authority supervisor — frequency to be determined within the site ■ Consistent communication with staff 9) Criteria for Training: 9a) Train leadership Leadership members of all three functional teams will present an overview of the processes of their respective teams (Welcome, Skills, and Monitoring) to the additional members of the Leadership Team. 9b) Educate staff on operations model Functional teams will select representative trainers based on their ability to communicate effectively and their knowledge of the process flow. Selected trainers must also possess excellent customer service skills as well as overall skills and abilities that align with all of the teams. (Note: Leadership must ensure that all staff has had systems training and access before overview training begins.) 9c) Team building To be determined by the Service integration Leadership Tearn. 9d) Specific job training (tasks associated with team responsibilities) Specific dates scheduled in advance to train all staff, Training will be an ongoing process with instruction focused on the duties to be performed and services to be provided to the customer at Page 9 of 14 19F -110 .Ae,� orandurn of Cperalions City of Santa Ana WIA and ED Wagner - Peyser integration the Welcome Team, Skills Team, and Monitoring Team points, including new forms developed for integration All staff must be trained in CaIJOBS, Employer Services, LMI, and specific partner services. Also see response to question 6a for additional training requirements. IMPLEMENTATION: 1) Develop communication strategy: 1a) Establish meeting frequency for supervisors and all center staff. All staff team meetings scheduled no less than once a month, as is the current practice. 1 b) Telling the story through process. Team Supervisors have been instructed to share all team minutes, flow charts, and any specific team processes and /or procedures that have been developed with the other teams. 1c) Telling the story through integrated performance reports. WiA, Ca1JOBS and JTA Reports. 1 d) Collaboration and communication between agency supervisors. Currently have pre - scheduled weekly, monthly and /or Just in Time Leadership meetings, apart from regular staff and team meetings. Plan to continue this practice in order to monitor progress, successes, and potential areas needing adjustments or improvements. 1 e) Center staff recognition A quarterly or semi- annual recognition /celebration of specific staff /teams as performance goal numbers become available and accomplishments are realized. 2) Issue Resolution Strategy: Strategy will be employed that will allow resolution at the lowest possible level. Each team is encouraged to engage in issue resolution through consensus. If consensus cannot be achieved at the current level the issue will be elevated to the next level. The process for this is detailed in 2b below and includes timeframes for issue resolution. 2a) issue communication issues can be elevated at regularly scheduled meetings called by the functional unit, Site Leader or Site Leadership Team, Integrated Leadership Team, or the Senior Management Team. An Issue Action Review /Approval Form will be filled out for any issues elevated to the Service Integration Leadership Team. Page 10 of 14 19F -111 Mernmandum of Operations City of Santa Ana 1NIA and EDP Wagner- Peyser Integration. 2b) issue resolution process Each Team(s) is encouraged to engage in issue resolution through consensus. If consensus cannot be achieved, the issue will be elevated to the next level, beginning with the Functional Team Supervisor or Service Integration Leadership Team. 3) Continuous Improvement 3a) Schedule of System Review To be conducted weekly, monthly, quarterly and annually 3b) Process Change Implement-ation By proactively identifying changes, leaders can use the following essentials to help implement change in an orderly and timely fashion: 1. Leadership readiness 2. Vision clarity Page 11 of 14 19F -112 Any team member may identify an issue that needs to be resolved. All are Issue encouraged to seek resolution through consensus at the lowest possible Identified level. If issue can not be resolved, it may be elevated for resolution. Issue is Level 1 issue is formally discussed by issue is resolved or elevated within 5 svriltera and preserved farnctional team business days Functional Unit and consensus is sought. Level 2 Written issue is formally presented issue is Functional including possible discussed and Issue is resolved or elevated within 5 Team strategies that were consensus is business days .Supervisors used to attempt sought. consensus Level 3 Written issue is formally presented Issue is Service including possible discussed and Issue is resolved or elevated within 5 Integration s1r•alegies that were consensus is business days Leadership used to attempt sought Teorn consensus Final ruling is made by Operator Level a Written Issue is Issue is regardless of consensus, within 10 formally presented discussed and business days. if issue is outside of Senior using an agreed upon consensus is• current Integration policy, dissenter mery A-lanagement formal, sought. forivard issue to State integrated Policy Group jar consideration. Resolution of issue And /Or Final rule is added to local policy and /or- procedures, If issue rises to the Ievel of Referral to State policy, it is elevated to the local board for considerotion integrated Polio }' Group 3) Continuous Improvement 3a) Schedule of System Review To be conducted weekly, monthly, quarterly and annually 3b) Process Change Implement-ation By proactively identifying changes, leaders can use the following essentials to help implement change in an orderly and timely fashion: 1. Leadership readiness 2. Vision clarity Page 11 of 14 19F -112 Memorandum of Operations City of Santa Ana WIA and EDD Wagner- Peyser Integration 3. Marketing the changes 4. Participation of stakeholders 5. Communication planning 6. Educating/Training needs 7. Transition and timing Change Impact Areas: 9. Organizational Structure /Design 2. Job Roles /Responsibilities 3. Skill /Knowledge Requirements 4. Worker Motivation /Incentives 5, Operating Policies and Procedures 6. Employee impacts 7. Change Resistance 3cj Outcome Change Implementation Identify and implement strategies that overcome barriers to change. Address organizational change from a people perspective. Work with leadership to survey organization for change readiness, employee concerns, and cultural implications. After data is analyzed undertake actions/interventions to address these. Some interventions might include: I. New Skill training 2. Individual coaching 3. New workflows / processes 4. New organizational structure 5. Process Updates as needed Santa Ana will consider both qualitative and quantitative measures as indicators to gauge its service integration efforts. Examples of qualitative and quantitative measures for job seekers, for employment, employer and business services and staff capacity building may include the following: For Job Seekers: The number of total enrollments Volume of service usage and type of services Number of return visits • Customer feedback on the service received and recommended changes • Entered employment, wage level and job retention a Service duration hOm initial contact to exit Page 12 of 14 19F -113 Memorandum of Operations City of Santa Ana WIA and EDD Wagner - Peyser Integration For Employment, Employer and Business Services: • Job matching rate • Usage of OJT Work Experience, Customized training, hiring events, job fairs and rapid response activities • Monthly business outreach activities report which include service requested and services rendered Staff Capacity Building • Validation of staff competency in the three service team components • Awareness and understanding the appropriateness of usage of the center and partner resources • Ongoing review of practices that can be subtracted and what practices needed to be added • Utilization of new data system, on -line assessment tool, labor market information, and various cost and non -cost related training options Overall System Improvement: • Market penetration rate for job seekers and employers • Awareness of the W /O /R /K Center services in the community • Customized surveys of employer and job seeker users • Return -on- Investment Analysis Page 13 of 14 19F -114 Memorandum of Operations City of Santa Ana VIIA and EDD Wagner- Peyser Integration The Parties hereto agree to the terms and conditions of this Memorandum of Operations effective as of the date first stated. Partner Agency Signatures City of Santa Ana WORK Center Linda Oberman, Economic Developme t Manager I Signed r y Dater 01; `L 1 I2— �r State of California Employment Development Department Workforce Services Cindy Roy, Santa Ana Workforce Services, Cluster Manager Sign Date: Page 14 of 14 19F -115 INSURANCE ON FILE WON PIP PAWOCEED 6WIL WMMVF� ;;Xp,,RES CMK rf M6SWC DATE: A- 2012 -11 f EMPLOYMENT DEVELOPMENT 19F -116 • Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages o Customized training for employment with specific employer • Employer services, including: job Iisting; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall become effective July 1, 2012 and terminate June 30, 2015. This MOU will remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his /her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the timeframes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and /or resources utilized may include sore or all of the following: cross- training of staff, in -house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 7. CONFIDENTIALITY: 3 19F -117 The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application for or receipt of services shall be confidential information subject to the provisions of 34 CFR 361.38. The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. S. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the future as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of atI parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Committee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 10. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 12. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. 19F -118 TILIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. IAL Miguel A. Pulido, Mayor, City of Santa Ana Name and Title 20 Civic Center Plaza Santa Ana CA 92701 Address FOR TIDE CITY OF SANTA ANA ATTEST: Maria D. HuizarMatia D. Huizar, Clerk. ofe i CouncCouncl JUL 2 5 ?DIZ Date CIS SANTA ANA 61 L' Paul Walters, Interim City Manager CM LOY.� EE rbED F. OPMEN I' DEPARTMENT (ONE -STOP PARTNER) 7,144 Signature Da, e Robert Claudio, Deputy Division Chief for Southern Workforce Services Name and Title 2450 E. Lincoln Avenue 4200, Anaheim CA 92806 Address Approved as to Form: JOSE-PH STRAKA, Interim City Attorney By: Lisa E. Storck, Assistant City Attorney 19F -119 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One - Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORI{ Center will assure its services and. premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act. 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty /crime coverages. The City of Santa Ana shall be named as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City. 16. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and. do so commit by signing. 5 19F -120 Attachment "A" One -Stop Partner Commitment 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the Employment Development Department and other agencies (identified in the "One -Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the Employment Development Department commits to the following: • Outreach, intake and orientation services available through EDD and Santa Ana WORK Center • Initial assessment of skills, aptitudes, abilities and supportive services • Employment data and labor market information • Job Search and placement assistance • Employment referral • Supportive Service referral • Access to filing for Unemployment Insurance • Access to CalJOBS, assistance with registration, resumes, and vacancy listings • Occupational training through TRA • Employer services including job listings, job matching candidate screening information on tax credits and labor market trends • May provide individual case management for veterans, at -risk youth, dislocated workers, ex- offenders, deaf and hearing - impaired persons and others needing intensive job search assistance. Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O /R/K Center: EDD staff assigned to the Santa Ana WORK Center contribute to its operations and goals. The EDD will recognize and comply with applicable labor agreements affecting presented employees located at the SAWC. State employees located at the SAWC shalt remain under the supervision of EDD for the putposes of performance evaluation and other matter concerning civic service rights and responsibilities. Any work - related issue arising at the SAC between EDD employees and the one -stop operator or supervisors of other partners the operator or other supervisor shall refer the issue to the employee's EDD supervisor, The operator and_partner shall cooperate in the investigation of the following matters: discrimination under California Fair Employment and Housing Act (Part 2.8; commencing with Section 12900 of Division 3 of Title 2 of the Government Code), threats and/or violence_ concerning State employees, and State employees misconduct. 19F -121 Cost associated with EDD's occupancy of the SAWC are described in the lease agreement between EDD and the Citv of Santa Ana. PERFORMANCE GOALS: Customer Service All on -site, One -Stop Partners shall commit to the following goals for the W /O/R/K Center: 1. To confoi n to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate in a task force empowered to oversee, measure and respond to customer service data. 19F -122 Attachment "A ", Page 2 Quantifiable Service Outcomes • Obtain 40,000 registrations and 37,600 resumes in Ca1JOBS from SAWC and its satellites; • To Support and contribute to the listings of 115,000 Orange County job vacancies in CaIJOBS • To conduct 12 Initial Assistance Workshops for UI Claimants, 10 Job Search Training Workshops for Veterans, 10 Job Search Training Workshops for Youth, and 10 Job Search Training Workshops for UI clients • To conduct 60 Positive Recruitments (on -site employer interviewing) • To sponsor 2 Job Fairs • Through case management, to enroll and assist job seekers to complete successfully: Youth Employment Opportunity: enroll 70 and close successfully 25; veterans: enroll 72, close successfully 36; and Deaf/Hearing impaired: enroll 70, close successfully 40. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOR THE Employment Development Department Santa Ana Workforce Services (Legal, Name of Partner Agency) Sig 1a ure Date 1 Robert Claudio, Deputy Division Chief for Southern Workforce Services Name and Title 2450 E. Lincoln Avenue ##200 Anaheim CA 92806 Address 19F -123 MOU Partner rev 2-12 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR EMPLOYMENT DEVELOPMENT DEPARTMENT /SANTA ANA WORKFORCE SERVICES 1 Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -124 e Employment and Training Activities under Title I of the Workforce Programs Represented Investment Act a In -take o Orientation e Screening and eligibility determination for WIA assistance Identification and referral on individuals in need of employment and Services Provided training services 4 Coordinate of WORK Center employment and training programs with those offered through the One -Stop ' o Other programs and services appropriate through EDD funding © Co- location of staff I I Method of Service Z Co- location of services Delivery 1 [51 Cross training of staff J © On -line 0 In person © By phone Referral Method M Referral form ❑ Online Z Customer Satisfaction Contribution to One -Stop System ® Provide Coordination and Services for WIA programs 1 Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -124 Attachment B l 19F -125 Cost Allocation Detail Sheet State Fiscal Year 2011 -12 Field Office: Sanla.Ana # 042 Santa Ana WORK Center STAFFING REQUIREMENTS: Ciass Title Class Code Annual Salary PYs Employment Program Mgr. fit 9198 $ 71,756 0.3 Employment Program Mgr. It 9197 $ 67,043 0.3 Employment Program Mgr. 1 9189 $ 58,904 2.0 Employment Development Spec, 11 9216 $ 60,054 0.0 Employment Development Spec. 1 9204 $ 53,189 0.0 Job Agent 9155 $ 59,003 0.0 Employment Program Sup. 1 9190 $ 52,967 0.0 Business Services Officer 1 4720 $ 52,459 0.0 Employment Program Rep. 9194 $ 46,027 21.0 Employment Program Tech 9231 $ 37,146 0.0 Office Technician (Typing) 1139 $ 36,070 0.3 Office Assistant 1379 $ 33,559 0.0 Custodian 2011 $ 29,650 0.0 Student Assistant 4870 $ 12,377 4.0 Youth Aide 9991 $ 7,770 0.0 Bilingual Pay $ 1,200 21.0 Sub.T6(al 49.0< `(A) Personnel Services Costs $ 23,679 $ 22,124 $ 117,808 $ 9666,573 $ 11,903 $ 49,507 $ 25,200 $ 1;216,795'; "(B) WS Branch CO and Management (12.48% of (B)) Includes: Dep Dir, Div Chief, EDA, WSDCO direct charge staff $ 151,856 . -. • ;.' Sub =Total Personnel Benefits (State Rate 42,11% of (C)) Administrative Staff and Technical (AS &T) ((A) multiplied by $9,171 per PY) °total Personnel Services and Benefits Operating Expenses & Equipment (OE &E) Allocated OE &E ($8,900 x (A)) $ 436,011 Includes: utilities, postage, consultant contracts, printing and binding, DP and non DP equipment purchase and maintenance, software purchase and maintenance, pro rata, and SWCAP Direct OE &E per position ($1,296.45 x (A)) $ 63,513 Includes: supplies, training, and travel Cost Center Specific OE &E Rent/Leases (mo. cost per sq. foot) $ 1.41 (# of sq. feet) 5,246.00 $ 88,762 Telephones (mo. cost per line) $ 42.50 (# of lines) 36 $ 18,360 HhiSDGCaIJOBS1 (cost per computer) $ 240.79 (# of computers) 8 $ 23,116 $ 576,339 $ 449,287 $.' 2,394,277 Total t7E8E Rev. 1!2910+3 19F -126 MEMORANDUM OF OPERATIONS ( "MOO") Santa Ana W /0 1R/K Center WIA and EDD Wagner - Peyser integration PARTIES: The parties to this MOO are the Santa Ana WORK Center WIA, by and through the City of Santa Ana, a charter city and municipal corporation ( "City "), and EDD Employment Development Department Workforce Services, a department of the State of California ( "State "). DURATION: This MOO shall become effective on July 1 2012 and terminate on June 30, 2015, MODIFICATION AND ASSIGNMENT: This MOO may be modified at any time by written agreement of both of the parties. PLANNING/ PURPOSE: 1) Identify the goals of the partnership. To effectively collaborate on a seamless, integrated, skills -based delivery system to all job seekers and employers (customers) that enter our site. 2) Provide description of partnership, specific to each LWIA. (Refer to the existing MOU, who are the players, what are the resources ?) Section 121 (c)(1) of the Workforce Investment Act (WiA) requires that the Local Workforce Investment Board (WIB) and all mandated partner agencies be party to a Memorandum of Understanding (MOU) as to the operation of the Santa Ana W 10 1R /K Center, hereinafter referred to as "SAWC". The current MOU insures that the Partners will afford universal access to comprehensive workforce development services which are customer driven and based upon clear objectives. It also provides for mutually negotiated outcomes with methods of performance measurements to attain customer satisfaction. The partners to the MOU are as follows: City of Santa Ana, State Employment Development Department, State Department of Rehabilitation, Orange County Department of Education, ROP, Rancho Santiago Community College District, Goodwill of Orange County, Community Action partnership of Orange County, SER — Title IV Older Worker program and the City of Santa Ana Housing Department. Definitions of Terms 2a) Functional Team: Staff from partner agencies providing integrated services as defined in the Memorandum of Operations. 2b) Functional Supervision Oversight of functional staff in all areas other than defined by terms and conditions of union agreements. Rev 2012, Page 1 19F -127 Memorandum of Operations City of Santa Ana WIA and EDD Wagner- Peyser Integration 2c) Partner Agency: An agency that has entered into a Memorandum of Operations with the local learning lab leadership. 3) Services offered (What services are we integrating and what is the customer flow ?) The integrated service delivery system is divided into three components. 1, The Welcome Team is responsible for data collection, eligibility verification, registration /enrollment, and referral to the appropriate next steps. Any SAWC team member, at any time can refer a customer to appropriate services, such as: Y Workshops: Resume, Interviewing, On Line Applications, etc. On -Line E- Learnfng p Labor Market information Veteran Services Computer Classes ESL Classes Comprehensive Assessment GED Assistance Continued Education 11. The Skills Team is responsible for comprehensive assessments and skills enhancement activities. Customers determined to be in need of some form of skill enhancement will be offered demand driven services scrch as: • Occupational and vocational skills training • OJT Adult Education ■ Job Readiness workshops Customized training Basic Skills Remediation Workplace literacy Apprenticeship programs interviewing workshops Tutorial programs Comprehensive Assessment Ill. The Monitoring Team is responsible for job placement, as well as the job development and promotional activities. Page 2 of 14 19F -128 Memorandum of Operations City of Santa Aria 4UfA and EOD IU Vagner- Peyser integration The customers who are considered "Job- Ready" or have completed activities through the Welcome and Monitoring components may access the demand driven services which include: • Job Referrals • Job Search • Soft skills training, including budgeting • Job Assisted Workshops • Interviewing Skills Development and Dress for Success • Career Transitioning and Stress Management • Group assistance /workshops • Resume Preparation 4) What will be achieved by integration? The job seekers will gain greater access to employment and skill attainment resources to improve their employability through the SAWC. SAWC fully embraces the integration vision and the opportunity this system provides added value for job seekers and the business community alike. Through the service integration efforts, SAWC offers a skill -based service delivery system which enables the W /O /R/K Center to respond more readily to the changing economic conditions and the competitive market demand. 5) Performance outcomes, to include WIA and Wagner - Peyser. 5a) How will they be determined? By using the State of California's base wage file. 5b) What reports will be used to determine performance? Ca1JOBS and JTA Reports. 5c) Reporting requirements. As outlined in the directive. 5d) Frequency of Reports. Quarterly. 6) Establishment of Functional Teams (How ?) Staff will be selected based upon their skills, knowledge, qualifications and the appropriateness of the assignment by taking into consideration the primary needs of the W /O /R/K Center. - 6a) What minimum skills do team members need? All team members should possess the following skills and abilities: Strong customer service and organizational skills • Ability to effectively communicate verbally and in writing Page 3 of 14 19F -129 Memorandum of Operations City of Santa Ana WiA and EDD Wagner - Peyser Integration • Sensitivity to customers with diverse backgrounds andlor in stressful life situations • Ability to multi -task and efficiently produce accurate work under pressure ■ Ability to legibly and accurately document services • Commitment to maintain confidentiality of ccrstomer information and system records as legislated by current program policy requirements • Ability to work independently as well as in a team environment • Knowledge of skills and aptitude assessment tools and the ability to interpret and analyze test results • Ability to constructively critique resumes and cover letters • Ability to effectively deliver a variety of services in a group setting, such as workshops and /or orientations, • Proficient knowledge of the Microsoft Office program and all office equipment • Ability to effectively coach and mentor customers ■ Knowledge of the local labor market • Effective use of marketing and sales techniques Knowledge of community resources and referral process • Maintain knowledge of service delivery programs as it relates to all customers Anticipating and realizing that all staff will need to be rotated among the various functions as business needs dictate. 6b) Functional job descriptions for supervisors and team members. Functional Sunervisor's Roles and Responsibilities • Communicate and refer any personnel and /or administrative issues to the responsible agency manager. ■ Provide direct functional supervision for their respective integrated team. ■ Set daily work assignments to meet customer flow. • Monitor team activities and make appropriate changes to ensure proper staffing coverage during peak periods, meal /break periods, and unscheduled or emergency absences. • Conduct routine assessment of staffing needs within team: Operating system and equipment are operating properly Training and coaching team members as necessary 0 ProV1 e too s for perforrtiance enhancement ■ Ensure staff understand and comply with all internal security policies and procedures for the LV' ✓IA and the EDD. Coordinate and facilitate regularly scheduled team meetings. Encourage communication opportunities for staff feedback and continuous quality improvement of team process, Perform functions necessary to ensure an integrated operation. • Monitor performance measures to meet goal expectations. Page 4 of 14 19F -130 Memorandum of Operations City of Santa Ana MA, and EDD Wagner - Peyser Integration • Perform customer service satisfaction actions. Welcome Team Roles and Responsibilities ■ Greet all customers in a friendly, welcoming, and professional manner. Conduct initial interview and review eligibility documents. ■ Determine the purpose of customer's visit and direct them accordingly, Facilitate the initial assessment to gauge the skill levels, aptitudes, and job qualifications of the customer. • Analyze the results and enter required information into the database. • interview customers to identify barriers 'to employment and identify those services that will help address and /or eliminate the barriers. • Answer questions about services offered through the system. ■ Maintain knowledge of local community agencies and programs through frequent communication. Refer individuals as appropriate to other community and partner agencies. ■ Schedule appointments for customers as needed. ■ Based upon the initial interview, refer job seekers as appropriate to either the Skills Team or the Monitoring Team ■ Ensure proper recording of customer's personal information, eligibility documents, activities referred to and /or completed, and applicable notes are entered into the database system; guaranteeing compliance with the mandated program requirements for eligibility of services. • Develop the Individual Work Plan with the customer to provide an overview of their career goals, employment objectives and, potential service needs, • Maintain knowledge of the Welcome Team process; ensure program integrity by committing to protecting customer confidentiality and demonstrating constant professionalism. • Attend staff meetings, submit required reports, interpret program information, and make procedural recommendations. • Contribute in their team role(s) to ensure that performance measures are met and /or exceeded, while ensuring compliance with the Federal, State, and Local rules and regulations. • May occasionally assist with special projects, including, but not limited to, specialized outreach to targeted program groups, erriployer recruitments, and the developri7ent of new skills training activities, • May perform other duties as assigned. Skills Team Roles and Resonsibilities is Conduct first time interview with job seeker(s) to review initial assessment results, skills identified, aptitudes, interests, barriers to employment, and supportive service needs. Page 5 of 14 19F -131 Memorandum of Operations City of Santa Ana MA and EDD Wagner -Peysv Integration • Continue to develop the Individual Work Plan with the customer to provide an overview of their career goals, the initial assessment results, and potential service needs. • Prepare various forms of testing /assessment for customers, including selecting the appropriate testing /assessment tools, proctoring tests, and interpreting the results for each. This may include a comprehensive assessment for the customer if determined necessary. • Deliver a variety of skill development services for the customer addressing their specific needs in the areas of employment, training, and supportive services. • Deliver services in both group and one -on -one settings to customers. • Maintain a high level of familiarity with the local labor market to ensure that services are aligned with the employer and labor market needs. • Facilitate and arrange for the job seeker to attend needed skill enhancement activities. This can include arranging for one of more of the following: in -house training sessions, classes at training providers, classes atpostsecondary institutions. • As appropriate, assist the customer with applying for financial aid or scheduling off -site training activities. • Assist customers in job search activities as if relates to interviews, resumes, applications, and letters to employers. • Maintain knowledge of occupational training and local economic information to assist customers in defining career goals. • Further develop the Individual Work Plan with customers to establish appropriate career goals and detail specific plans for skill developmentlenhancement activities, job search strategies, and supportive services. Update and modify the fAP as needed to ensure that the Customer's needs are met. • Maintain knowledge of local community agencies and programs through frequent communication. Refer individuals as appropriate to other community and partner agencies. • Facilitate and deliver workshops and group sessions instructing customers on various skills, including basic skills development, customer service, computer skills, and job search skills. Maintain knowledge of the Skills Team process; ensure program integrity by committing to protecting customer confidentiality and demonstrating constant professionalism. • Ensure proper recording of customer's personal information, eligibility documents, activities referred to and /or completed, and applicable notes are entered into the database system; guaranteeing compliance with the mandated program requirements for eligibility of services. Attend staff meetings, submit required reports, interpret program information, and make procedural recommendations. Page 6 of 14 19F -132 Memorandum o € Operations City of Santa Ana WIA and EDD Wagner - Peyser Integration • Contribute in their team role(s) to ensure that performance measures are met and /or exceeded, while ensuring compliance with the Federal, State, and Local rules and regulations. • May occasionally assist with special projects, including, but not limited to, specialized outreach to targeted program groups, employer recruitments, and the development of new skills training activities. • May perform other duties as assigned. Monitoring Team Roles and Responsibilities ■ Conduct interview with customer to determine their employment goals skills identified, aptitude_ s, interests, barriers to employment, and supportive service needs. ■ Update the Individual Work Plan with the customer to provide an overview of their career goals, the initial assessment results, and potential service needs. Maintain a high level of familiarity with the local labor market to ensure that services are aligned with the employer and labor market needs. • Provide information on the appropriate skill development activities and services available on site, including the resource room, locating Internet based job openings, referrals to supportive services, Skills Team activities, workshops, etc. ■ Provide job search assistance through job fairs, employer recruitments, job referrals, and job development contacts. ■ Provide appropriate referrals and services for customers requiring specialized services (counseling, budgeting, etc.). ■ Offer continuous engagement strategies to maintain communication with the customer in order to ensure a successful outcome. • Maintain knowledge of the Monitoring Team process; ensure program integrity by committing to protecting customer confidentiality and demonstrating constant professionalism. • Ensure proper recording of customer's personal information, eligibility documents, activities referred to and /or completed, and applicable notes are entered into the database system; guaranteeing compliance with the mandated program requirements for eligibility of services. Attend staff meetings, submit required reports, interpret program information, and make procedural recommendations. Contribute, in their team role to ensure that (} s performance - measures are met and /or exceeded, while ensuring compliance with the Federal, State, and Local rules and regulations. May occasionally assist with special' projects, including, but not limited to, specialized outreach to targeted program groups, employer recruitments, and the development of new skills training activities. ■ May perform other duties as assigned. Page 7 of 14 19F -133 Memorandum of Operations City of Santa Ana WIA and EDD Wagner - Peyser Integration 6c) How is team membership determined? To be determined by Functional Supervisor, as dictated by Team requirements and staffing levels. 6d) How will disputes pertaining to membership be resolved? Membership disputes wilt be resolved through discussion and consensus between Site Supervisor(s) and Functional Team Supervisor(s) in conjunction with business needs and current workload. 7) Selection of functional team'Mb ibers (How?) By the Service Integration Leadership Team. 7a) Observe civil service rules. According to each Entity's mandated rules. 7b) Classification requirements. Not working team members out of class per the existing documented State and City requirements. 7c) Within the scope of the duty statement (functional job description). As pre - defined in classification duty statements for each Entity. 8) Determine supervision of functional teams. 8a) How is supervision selected? By the Service Integration Leadership Team 8b) Terms and Conditions State and City supervisors will follow contractual and collective bargaining mandates for the supervision of respective State and City employees. Collaboration will occur between the employee's supervisor and the functional supervisor. This collaboration will include communication between both individuals to allow for the responsibility of certain tasks and responsibilities within a functional team. The communication cannot include the sharing of confidential information as prohibited by state or local policy or union contracts. 8c) Span of Control Responsibilities of State /City Entity Supe -1- scr- Changes to permanent work schedule, including lunches and breaks Approval of attendance records Approval for vacations, sick leaves, personal leaves ® Counseling and discipline Page a of 14 19F -134 Memorandum of Operations City of Santa Ana WIA and EDD Wagner•Peyser Integration ■ Performance evaluations /probations • Travel and expense approvals • Approvals for contract negotiated training and in- service courses Responsibilities of Functional Supervisor • Setting daily work assignments and work flow • Making temporary changes in meal /break periods to assure proper coverage • Setting Resource Room schedules /coverage • Setting office coverage during vacations /unscheduled /emergency absences Collaborative Responsibili_t_ies of State/City Entity Supervisors and Functional Supervisors Z Adequate office coverage ■ All staff is properly trained s All organizations understand and adhere to all internal security policies and procedures • All staff present a positive image of the One Stop System to customers ■ Regular staff meetings are held and conducted by both the functional supervisor and hiring authority supervisor — frequency to be determined within the site ■ Consistent communication with staff 9) Criteria for Training: 9a) Train leadership Leadership members of all three functional teams will present an overview of the processes of their respective teams (Welcome, Skills, and Monitoring) to the additional members of the Leadership Team. 9b) EdUGate staff on operations model Functional teams will select representative trainers based on their ability to communicate effectively and their knowledge of the process flow. Selected trainers must also possess excellent customer service skills as well as overall skills and abilities that align with all of the teams. (Note: Leadership must ensure that all staff has had systems training and access before overview training begins.) 9c ) Team building To be determined by the Service Integration Leadership Team, 9d) Specific Job training (tasks associated with team, responsibilities) Specific dates scheduled in advance to train all staff. Training will be an ongoing process with instruction focused on the duties to be performed and services to be provided to the customer at Page 9 of 14 19F -135 Memorandum of Operations City of Santa Ana VVIA and EDD Wagner - Peyser Integration the J'✓elcome Team, Skills Team, and Monitoring Team points, including new forms developed for integration. All staff must be trained in CaiJOBS, Employer Services, LMI, and specific partner services. Also see response to question 6a for additional training requirements. IMPLEMENTATION: 1) Develop communication strategy: 1a) Establish meeting frequency for supervisors and all center staff, All staff team meetings scheduled no less than once a month, as is the current practice- 1b) Telling the story through process. Team Supervisors have been instructed to share all team minutes, flow charts, and any specific team processes and /or procedures that have been developed with the other teams. 1c) Telling the story through integrated performance reports. W1A, CaIJOBS and JTA Reports. 1 d) Collaboration and communication between agency supervisors. Currently have pre - scheduled weekly, monthly and /or Just in Time. Leadership meetings, apart from regular staff and team meetings. Plan to continue this practice in order to monitor progress, successes, and potential areas needing adjustments or improvements. 1e) Center staff recognition A quarterly or semi - annual recognition /celebration of specific staff /teams as performance goal numbers become available and accomplishments are realized. 2) Issue Resolution Strategy: Strategy will be employed that will allow resolution at the lowest possible level, Each team is encouraged to engage in issue resolution through consensus. If consensus cannot be achieved at the current level the issue will be elevated to the next level. The process for this is detailed in 2b below and includes timeframes for issue resolution. 2a) Issue communication Issues can be elevated at regularly scheduled meetings called by the Functional unit, Site Leader or Site Leadership Team, Integrated Leadership Team, or the Senior Management Team, An Issue Action Review /Approval Form will be filled out for any issues elevated to the Service Integration Leadership Team. Page 10 of 14 19F -136 Memorandum of Operations City of Santa Ana WfA and EDD Wagner - Peyser integration 2b) Issue resolution process Each Team(s) is encouraged to engage in issue resolution through consensus. if consensus cannot be achieved, the issue will be elevated to the next level, beginning with the Functional Team Supervisor or Service Integration Leadership Team. 3) Continuous Improvement _ 3a) Schedule of System Review To be conducted weekly, monthly, quarterly and annually 3b) Process Change Implementation By proactively identifying changes, leaders can use the following essentials to help implement change in an orderly and timely fashion: 1. Leadership readiness 2. Vision clarity Page 91 of 14 19F -137 Any team member may identify an issue that needs to be resolved. All are Issue encouraged to seek resolution through consensus at the lowest possible Identified level. If issue can not be resolved, it may be elevated -for resolution. Issue is Level ! _. issue is formally _._. drscirssedbj ... _ Issue is resolved or elevated within 5 and presented functional team business clays Functronal Unit and con.sensrrs is and sought. Level 2 Written issue is formally presented Issue is Functional including possible discussed and Issue is resolved or elevated within 5 Team strategies that were consensus is business days Supervisors used to attempt sought. consensus Level 3 Written issue is formally presented Issue is Service including possible discussed and Issue is resolved or elevated within 5 Integration strategies that were consensus is business dcon Leailers6rip used to attempt sought Team consensus Final ruling is made by Operator Level 4 Written issue is Issare is regardless of consensus, within 10 f6rinally presented discussed and business days. If issue is oz.rlside of Senior using an agreed upon consensus is current integration policy, dissenter may r Management format. sought. forward issue to State Integrated Policy Group for consideration. Resolution of Issue And /Or Final rule is added to local policy and/or procedure,.. if issue rises to the level of Re to State policy, it is elevated to the local board jor consideration Integrated Policy Group 3) Continuous Improvement _ 3a) Schedule of System Review To be conducted weekly, monthly, quarterly and annually 3b) Process Change Implementation By proactively identifying changes, leaders can use the following essentials to help implement change in an orderly and timely fashion: 1. Leadership readiness 2. Vision clarity Page 91 of 14 19F -137 Memorandum of Operations City of Santa Ana VVIA and EDD Wagner - Peyser Integration 3. Marketing the changes 4. Participation of stakeholders 5. Communication planning 6. Educating/Training needs 7. Transition and timing Change impact Areas: 1. Organizational Structure /Design 2. Job Roles /Responsibilities 3. Skill /Knowledge Requirements 4. Worker Motivation /Incentives 5. Operating Policies and Procedures 6. Employee impacts 7, Change Resistance 3c) Outcome Change Implementation identify and implement strategies that overcome barriers to change. Address organizational change from a people perspective. Work with leadership to survey organization for change readiness, employee concerns, and cultural implications. After data is analyzed undertake actions/interventions to address these. Some interventions might include: 1. New Skill training 2. Individual coaching 3. New workflows / processes 4, New organizational structure 5. Process Updates as needed Santa Ana will consider both qualitative and quantitative measures as indicators to gauge its service integration efforts. Examples of qualitative and quantitative measures for job seekers, for employment, employer and business services and staff capacity building may include the following: For Job Seekers: a The number of total enrollments a Volume of service usage and type of services a Number of return visits a Customer feedback on the service received and recommended changes a Entered employment, wage level and job retention a Service duration from initial contact to exit Page 12 cr 14 19F -138 Memorandum of Operations City of Santa Ana WIA and EDD Wagner- Peyser Integration, For Employment, Employer and Business Services: • Job matching rate • Usage of OJT, Work Experience, Customized training, hiring events, job fairs and rapid response activities • Monthly business outreach activities report which include service requested and services rendered Staff Capacity Building: • Validation of staff competency in the three service team components Awareness and unders.tandh�g the appropriateness of usage of the _.. -.. - -- _ _ . ....... -- .... - center and partner resources • Ongoing review of practices that can be subtracted and what practices needed to be added Utilization of new data system, on -line assessment tool, labor market information, and various cost and non -cost related training options Overall System Improvement: • Market penetration rate for job seekers and employers • Awareness of the W /O /R/K Center services in the community • Customized surveys of employer and job seeker users • Return -on- investment Analysis Page 13 of 14 19F -139 Memorandum of Operations City of Santa Ana WIA and EDD Wagner - Peyser Integration The Parties hereto agree to the terms and conditions of this Memorandum of Operations effective as of the date first stated. Partner Agency Signatures City of Santa Ana WORK Center Linda Oberman, Economic Development Manager Signed:* . Date: r-7— State of California Employment Development Department Workforce Services Cindy Roy, Santa Ana Workforce Services, Cluster Manager Date: ( •1 L Page 14 of 14 19F -140 INMANCE ON FIi= WORK MAY PROCEED UNTIL INSURANCE EXPIRES s-_i_ CLERK QF COUNCIL DATE: y7 4 kj;2 A- 2012 -124 Memorandum of Understanding For STATE DEPARTMENT OF REHABILITATION 19F -141 Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages Customized training for employment with specific employer Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall become effective July 1. 2012 and terminate June 30, 2015. This MOU will remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his /her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. if agreed to by all parties, the timeframes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto: The methods and/or resources utilized may include some or all of the following: cross - training of staff, in -house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 19F -142 brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One- Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center will assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act. 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty /crime coverages. The City of Santa Ana shall be named as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City. 16. AUTHORITY AND SIGNATURES: The individuals signing this NIOU and its attachments, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 5 19F -143 Attachment "A" One -Stop Partner Commitment 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the State Department of Rehabilitation and other agencies (identified in the "One - Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One - Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the State Department of Rehabilitation commits to the following: • Intake • Orientation • Identify and referral of individuals receiving assistance or in need of rehabilitation services • Coordination of services and programs with those offered by the Department of Rehabilitation through the One -Stop system Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O /R/K Center: 1 FTE will be located at the WORK Center Hours /days per week Agency Staff Assigned to Santa Ana WORK Center: 9am -4pm, Tuesday and Thursday PERFORMANCE GOALS: Customer Service All on -site, One -Stop Partners shall commit to the following goals for the W /O /R/K Center: 1. To conform to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate in a task force empowered to oversee, measure and respond to customer service data. 19F -144 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR STATE DEPARTMENT OF REHABILITATION ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -145 ♦ Vocational Rehabilitation services to eligible individuals consistent with Programs Represented Federal and State laws Intake ♦ Orientation ♦ Identification and referral on individuals receiving assistance or in need Services Provided of rehabilitation services ♦ Coordination of services and program with those offered by the Department of Rehabilitation through the One -Stop System Z Co- location of staff Method of Service E Co- location of services Delivery E Cross training of staff ❑ On -line ® In person * By phone Referral Method ® Referral form ❑ Online ® Customer Satisfaction' Contribution to One -Stop System ® Provide coordination and services for Department of Rehabilitation ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -145 One Stop location — Santa Ana WORK Center Name of Organization — State Department of Rehabilitation P Jor ected Budget Estimated Annual Contribution Provided by Staff costs Resource Center Staff 23,361.60 State Dept. of Rehabilitation Workshop staff — Career Net Workshop Staff —Orientation Workshop Staff— IAW Technical support (maintenance, troubleshooting, web, page /software development) Administrative staff (FTE) Costs associated with staffing (including fingerprinting, drug tests, training) Total FTE'S 2/5 of a person Total Associated Costs 23,361,60 State Dept. of Rehabilitation IN 19F -146 INSURANCE ON FILE WORK MAY PROCEED UNTIL INSURANCE EXPIRES r-- 2-01 Z CLERK OF COU CIL DATE: JUL 4 2012 A- 2042 -118 Memorandum of Understanding For GOODWILL INDUSTRIES OF ORANGE COUNT" Memorandum of Understanding (MOU) 19F -147 • Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages • Customized training for employment with specific employer • Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall become effective July 1, 2012 and terminate June 30, 2015. This MOU will remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his /her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the timeframes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified. at any time by written agreement of the parties. Assigrunent of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terns of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and /or resources utilized may include some or all of the following: cross - training of staff, in -house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 7. CONFIDENTIALITY: The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application 3 19F -148 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. FO CAL ELECTE OFFICIAL ature Miguel A. Pulido, Mayor, City of Santa Ana Name and Title 20 Civic Center Plaza._Santa Ana, CA 92701 Address FOR THE CITY OF SANTA ANA 'JUL 242012 Date ATTEST: CITYAF SANTA ANA Mama D. Huizar, Cleric of the Pouncil Paul Walters, nterim City Manager GOOI,DfW�ILL INDUSTRIES OF ORANGE COUNTY (ONE -STOP PARTNER) Signature Date Nancy A. Quarles, M. R.A. Vice President of Human ,Services Name and Title 401 N. Fiarview, Santa A_ na, CA__92703 Address Approved as to Form: JOSEPH STRAKA, Interim City Attorney By:.��c E-�� Lisa E. Storek, Assistant City Attorney Attachment "A" 19F -149 Attachment "A ", Page 2 Quantifiable Service Outcomes Increase new employers hiring people with disabilities by 20% Place 25 people with disabilities into competitive employment 0 Provide job - seeking skills training to 50% of the clients placed into jobs Resolve that 75% of jobs will include benefits • Resolve that 70% of applicants employed receive job retention services and will stay on the job 90 days. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOR THE Goodwill Industries of Orange County (Legal Name of Partner Agency) Signature Date Nancy A. Quarles. M. R.A., Vice President of Human Services Name and Title 401 N. Fiarview, Santa Ana, CA 92703 Address MOU Partner rev 2 -32 19F -150 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR GOODWILL INDUSTRIES OF ORANGE COUNTY �Y s Employment and Training /Job Development Services targeted toward Programs Represented individuals unable to find employment independently �^ ♦ Orientation/ Workshops j ♦ Identification and referral on individuals in need of employment and training services /job development Services Provided ♦ Coordinate of Goodwill Industries employment and training programs with those offered through the One -Stop system ♦ Other programs and services appropriate through Goodwill Industries of Orange County funding © Co- location of staff Method of Service ® Co- location of services Delivery © Cross training of staff ❑ On -line • In person • By phone Referral Method ® Referral form ❑ Online © Customer Satisfactions Contribution to One -Stop System 1 Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -151 One Stop location -- Santa Ana WORK Center Name of Organization — Goodwill Industries of Orange County Projected Budget Estimated Annual Contribution Provided by Staff costs Resource Center Staff 22,724 Goodwill Workshop staff — Career Net _ Workshop Staff -- Orientation I — Workshop Staff— IAW _ Technical support (maintenance, troubleshooting, web, page /software development) ! j i Administrative staff (FfE) ' Costs associated with staffing (including fingerprinting, drug tests, training) Total FTE'S 0.5 Total Associated Costs 22,724 Goodwill 19F -152 INSURANCE ON FILE WORK MAY PROCEED UNTIL INSURANCE EXPIRES 3 cLEAK of council. � v- DATE: JUL 2 6 2012 A- 2012 -119 Memorandum of Understanding For RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT 19F -153 Memorandum of Understanding (MOU) Pursuant to the Workforce Investment Act of 1998 (WIA) 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), and several agencies (having signed Attachment "A ", "One -Stop Partner Conunitment" and, if physically located at the One -Stop location, Attachment "B ", "Resource Sharing Agreement" and Attachment "C ", "Memorandum of Operation' if applicable functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana W /O /R/K Center). 2. PURPOSE: The Santa Ana W /O /R/K Center, through its central location at the Santa Ana Regional Transportation Center, 1000 E. Santa Ana Blvd,, and its satellite facilities, shall provide and /or coordinate workforce investment services to individuals, providing them with the necessary skills to participate in building a world -class workforce in Santa Ana. Services and referrals provided at the Santa Ana W /O /R/K Center may include, but are not limited to, the following: • Eligibility determination • Outreach, intake and orientation to services available • Initial assessment of skills, aptitudes, abilities and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market information • Provision of performance information • Employment referral • Provision of support and follow -up services • Identification of skills required to be competitive in the local labor market • Filing for Unemployment Insurance claims • Access to CalJOBS for Labor Exchange services • Help in establishing eligibility for Cal WORKS and financial aid • Occupational skills training • On-the-job training • Workplace learning with classroom training • Skills upgrading and retraining • Entrepreneurial training • Job readiness training • Adult education and literacy • Services for persons with disabilities 2 19F -154 • Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages • Customized training for employment with specific employer • Employer services, including; job listing; job matching; candidate screening and testing; outplacement services; ,job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall become effective July 1, 2012 and terminate June 30, 2015. 'This MOU will remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected. Official or his /her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the timefrarnes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1, Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsiuiiities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the focal WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and/or resources utilized may include some or all of the following: cross- training of staff, in-house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 7. CONFIDENTIALITY: 3 19F -155 The W113 agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application for or receipt of services shall be confidential information subject to the provisions of 34 CFR 361.38. The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and. incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. 8. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the fixture as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Committee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 10. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 12. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. 4 19F -156 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One - Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center will assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act, 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self- insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty /crime coverages. The City of Santa Ana shall be named as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City. 1.6. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments, which are incorporated herein by reference; have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 5 19F -157 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. CIAL Miguel A. Pulido, Mayor, City of Santa Ana Name and Title 20 Civic Center Plaza Santa Ana CA 92701 Address FOR TIIE CITY OF SANTA ANA ATTEST: Maria D. Huizar, Clerk of tq Council jjj� ")6NQ Date C P All ANA Paul Walters; Interim City Manager RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT (ONE -STOP PAR' 'E o as /D ign Lure Date ,lames Kennedy, Vice President Name wad Title 2900 W. Edinger Avenue. Santa Ana, CA 92704 Address Approved as to Form: JOSEPH STRAKA, Interim City Attorney ,l By :A Lisa E. Storck, Assistant City Attorney 19F -158 Attachment "A" One-Stop Partner Commitment L. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the Rancho Santiago Community .._College District and other agencies (identified in the "One -Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center), In addition to accepting the provisions contained in the MOU, the Rancho Santiago Community College District commits to the following: Will provide daily four -hour Workforce Preparation Workshops (M -F) Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O /R/K Center: 2.5 Part -time faculty for a total of 20 hours per week Hours /days per week Agency Staff Assigned to Santa Ana W /O /R /K Center: 4 hours per day. 5 days a week PERFORMANCE GOALS: Customer Serviec All on -site, One -Stop Partners shall commit to the following goals for the W /0/R/K Center: 1. To conform to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate to a task fo.'ee empowered to oversee, measure and respond to customer service data. 19F -159 Attachment "A ", Page 2 Quantifiable Serviee Outcomes • Workforce Preparation courses to be provided to universal access clients. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and de so commit by signing. FOR THE Rancho Santiago Community College District (Legal Name of Partner Agency) Wo ignature 61,11- Date James Kennedy, Vice President Name and Title 2900 W. Edina er Avenue, Santa Ana, CA 92704 Address MU Par €nerrev 2.12 19F -160 CITY OF SANTA ANA WORRFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT Programs Represented Employment and Training Activities provided by RSCCD.�� Santa Ana College School of Continuing Education offers various Employability Skills and Computer Software Applications courses at the Santa Ana Work Center as part of a course series leading to the attainment Services Provided of various certificate programs approved by the California Community I College District Chancellor's Office. i Z Co- location of staff Method of Service ❑ Co- location of services Delivery ❑ Cross training of staff ❑ On -line M In person ❑ By phone Referral Method ❑ Referral form ❑ Online Contribution to One -Stop I 0 Customer- Satisfaction' f System ' Criteria to be determined by the State of California and the Santa Ana workforce Investment Board 19F -161 Attachment B SANTA ANA ONE-STOP PARTNERS MOU RESOURCE SHARING ATTACHMENT" 10 19F -162 One Stop location — Santa Ana WORK Center Name of Orzanization — Rancho Community Cofleee School Dittricr Projected Budget Estimated Annual Contribution Provided ' by Staff costs �1 Resource Center Staff 2.5 staff RSCCD Workshop staff— Workshop Workshop Staff — Workshop RSCCD SAC SCE Instructors' Salaries for Courses at the SAWIB — $75,296.25 I Technical support (maintenance, troubleshooting, web, _ page /software development) Administrative staff (FTE) Costs associated with staffing (including fingerprinting, drug tests, training) Total FTE'S 1.5 FTE Total Associated Costs I $75,296.25 RSCCD 19F -163 EVIDENCE OF COVERAGE aA?AI�NnorYYYY, —) I L�1A!/trla rt LJ1-7GV I G This 'Evidence of Coverage Is used as a matter of information only and confers no rights upon the Certificate Holder. This Evidence of Coverage does not amend, extend, or alter the coverage afforded by the memoranda listed below. MEMORANDUM NUMBER: 77 JOINT POWERS AUTHORrrY (JPA) JPA WEIMBER Alliance of Schools for Cooperative Insurance Programs Rancho Santiago Community College District 16550 Bloomfield Avenue 2323 North Broadway Cerritos, CA 90703 Santa Ana CA 92706 www.ASCIP.org CONTACTNAms: Mr. Fritz Heirich, Chief Executive Officer PHONE: (562) 404 -6029 This is to certify that the Alliance of Schools for Cooperative Insurance Programs (ASCIP) Memorandum of Coverages on insurance listed below have been issued to the Covered Party named above for the period indicated. Notwithstanding any requirement, term, or condition of any contract or other document with respect to which this Evidence of Coverage may be used or may pertain, the coverages afforded by the Memorandum of Coverages described herein are subject to all the terms, exclusions, and conditions of such Memorandum of Coverages. TYPE OF COVc'-RAGE ADDL iNSR MEMORANDUM NUMBER (MOC) POLICY EFF (MMrDp/YYYY) POLICY EXP 12;01a,m. LIMIT OF LIABILITY! COVERAGE GENERALLIABILITY COMBINED SINGLE LIMIT PER OCCURRENCE 4 $5,000,000 OCCURRENCE (HOC #77 7/1/2012 7/1/2013 AGGREGATE $ NIA Personal iniury $ Errors & Cm(ssion s Employment Practices s AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT PER OCCURRENCE $ AUTOMOTIVE PHYSICAL DAMAGE ACTUALCASH VALUE $ COMPREHENSIVE/ COLLISION S AMY AUTO S S 4 PROPERTY REPLACEMENT COST SUBJECT TO POUCY LIMITS, AND CQNDITIDNS TERMS, BUILDING 1 CONTENTS FIRE, THEFT, RENTAL INTERRUPTION $ $ WORKERS COMPENSATION AND EMPLOYERS' UABIUTY WA EACHACCtDENT PER EMPLOYEE g F] WC STATUTORY LIMITS _ POUCY LIMIT $ OTHER SUBJECTTO POLICY LIMITS, TERMS, AND CONDITIONS EMPLOYEE DISHONESTY (CRIME) TT7��J 7/�" .ji/7 ✓_._.bbl' E ADDITIONAL REMARKS: � City pttor'ney As respects to Vocational Classes PSSISt aVI CERTIFICATE HOLDER CANCELLATION Should any of the Nbove coverages for the Covered Party be changed or withdrawn prior to the expiration date issued above, ASCIP will mail 30 days written notice to the City of Santa Aria Certificate Holder, but failure to mail such notice shall impose no obligation or liability of Attn: .,vlle Castro - Cardenas any kind upon ASCIP, Its agents, or representatives, 1000 E. Santa Ana Blvd., Suite 200 Santa Ana CA 92701 f' `fJ / � ✓� - "�'" AUTHGR¢ED REPRE$ENTATM : FMZ Heirich *AMP !s a joint powers authority pursuant to hrtide i (c rnmendna wkh Sectfor, 65001 Chapters of Division 7 of T'die l of the Gower ment Code and Sectlons 39603 and 81603 of the Education Code. 0" 5 -97 C_"T 10.1 13143650 CYnNT COOS: 77 Nancy Lopez 6/f/2012 7.59:30 F24 Sege 2 of 2 19F -164 Additional Covered Party Endorsement District: Rancho Santiago Community College District Endorsement No. 13243650 Additional Covered Party: Description of Operations, Vehicle, or Property: City of Santa Ana As respects to Vocational Classes Coverage Period: Effective :7 1112012 Expires 12: 01 a.m.:71112013 The coverage provided to the Covered Party is hereby extended by this endorsement to the Additional Covered Pany named above in accordance with the provisions contained in the Memorandum of Coverage (MOC). The coverage extended hereby applies only with respect to liability arising out of activities in the Description of Operations, Vehicle, or Property noted above. It is intended by ASCIP in issuing this endorsement to defend and/or indemnify the Additional Covered Parry only if the District is solely negligent. In issuing this endorsement, ASCIP intends and agrees to extend coverage pursuant to the terms and conditions of the MOC to the Additional Covered Party named above only to the extent that the Additional Covered Party faces liability arising out of claims, demands, or lawsuits claiming money damages on account of bodily injury or property damage as defined and limited in the ASCIP MOC. The limits of liability extended to the Additional Covered Party listed above is $5,000,000 per occurrence for liability. p pVEp Pc; TO yAttorney pssistan Authorized Representative: Date rssued:6 /4/2012 ASCIP is a joint powers authority pursuant to Article I (commencing with Section 6500) of Chapter 5 of Division 7 of Title 1 of the Government Code and Sections 39603 and 81603 of the Education Code. Rev 5/97 CUT NO.: 13213550 CLIUT COOL: 77 Naacy Lopez 6/4/2012 7:59:30 An raga 2 of 2 19F -165 Memorandum of Understanding For THE COUNTY OF ORANGE SOCIAL SERVICES AGENCY 19F -166 A- 2012 -204 a MEMORANDUM OF UNDERSTANDING BETWEEN THE COUNTY OF ORANGE SOCIAL SERVICES AGENCY AND THE MAYOR AND CITY COUNCIL OF THE CITY OF SANTA ANA, AND THE SANTA ANA WORKFORCE INVESTMENT BOARD PURSUANT TO THE, WORKFORCE INVESTMENT ACT OF 1998 FOR THE PROVISION OF WORKFORCE INVESTMENT SERVICES This non - financial Memorandum of Understanding (MOU) is entered into by and between the County of Orange, acting through its Social Services Agency (SSA), hereafter referred to as "SSA," and the Mayor and City Council of the City of Santa Ana, and the Santa Ana Workforce Investment Board (SAWIB). This MOU contains program content and purpose along with specific guidelines for the implementation and administration of workforce investment services. Such services are to be provided to California Work Opportunity and Responsibility to Kids (CaIWORKs) Welfare -To -Work (WTW) participants and Santa Ana WORK Center clients who meet the guidelines set forth in this MOU. SSA and the SAWIB may be referred to individually as "Party" and collectively as "the Parties." The County of Orange may be referred to as "COUNTY." The SAWIB and "One -Stop Partners" may be referred to as "Santa Ana WORK Center." The relationship between SSA and SAWIB, with regard to this MOU, is based upon the following: 1. This MOU is authorized and provided for pursuant to the CalWORKs Act of 1997 and Section I21 (c) of the Workforce Investment Act (WIA) of 1998. WIA authorizes the appointment of the local WIB, whose members are selected by COUNTY in workforce regions designated by the Governor of the State of California. 2. Functioning within the Santa Ana WORK Center, the SAWIB collaborates with the One -Stop Partners to provide workforce investment services that increase the employment, job retention, earnings of participants, and increase participants' occupational skill attainment. Attachment "A" relates to the One -Stop Partner Commitment. 3. The CalWORKs WTW Program provides job services, job training, and supportive services to assist Ca1WORKs recipients in obtaining and retaining unsubsidized employment that will lead to self-sufficiency. 4. SSA is willing to refer CalWORKs WTW participants to SAWIB and Santa Ana WORK Center Partners for workforce investment services outlined in this MOU. (WAM0511) Page 1 of 9 19F -167 (June 5, 2012) (WAM0511) This MOU contains the procedural guidelines authorized by both the SSA Director and the SAWIB Chairman, for their respective employees to follow in providing services. Page 2 of 9 lt"�•19.J (June 5, 2012) TABLE OF CONTENTS I. TERM .............................................................................................. ..............................4 II. PURPOSE ....................................................................................... ..............................4 III. DEFINITIONS ............................................................................... ..............................4 IV. POPULATION TO BE SERVED ................................................ ..............................5 V. GOAL .............................................................................................. ..............................5 Vi. SAWIB RESPONSIBILITIES ...................................................... ..............................5 VII. SSA RESPONSIBILITIES ............................................................ ..............................6 VIII. MUTUAL RESPONSIBILITIES ................................................. ..............................6 IX. CROSS REFERRALS ................................................................... ..............................6 X. RETENTION OF RECORDS ...................................................... ..............................6 XI. NOTICE AND CORRESPONDENCE ........................................ ..............................7 XII. RESOLUTION OF CONFLICTS ................................................ ..............................7 XIII. SIGNAGE & COMMUNICATION OF PARTICIPATION ..... ..............................7 XIV. TERMINATION ............................................................................ ..............................7 XV. GENERAL PROVISIONS ............................................................ ..............................8 XVI. AUTHORITY AND SIGNATURES ............................................ ..............................8 (WAM0511) Page 3 of 9 19F -169 (June 5, 2012) I. TERM The term shall commence on November 1, 2012, and remain in effect until terminated by the repeal of the Workforce Investment Act of 1998 or terminated in accordance with Paragraph XIV of this MOV. II. PURPOSE The purpose of this MOU is to provide and/or coordinate available workforce investment services delivered through the SAWIB and their One -Stop Partners at the Santa Ana WORK Center to CaIWORKs WTW clients who choose to participate in the services. III. DEFINITIONS A. Ca1WORKs: California Work Opportunity and Responsibility to Kids Act of 1997 as described in Section 11200 et seq., of the Welfare and Institutions Code. Ca1WORKs was implemented in 1998 to meet requirements of the Federal Personal Responsibility and Work Opportunity Reconciliation Act of 1996 and the Temporary Assistance to Needy Families (TANF) Program. CalWORKs provides cash assistance, case management, job services and training, and supportive services to assist recipients in overcoming barriers to achieve economic self - sufficiency. B. One -Stop Partners: Local agencies collocated at a One -Stop facility providing employment related services and referrals to the public. Partner agencies represented at the Santa Ana WORK Center includes non - profit organizations; local colleges and educational institutions; and city, state, and county agencies. One -Stop Partners shall provide and/or coordinate workforce investment services to individuals, providing them with the necessary skills to participate in building a world -class workforce in. Santa Ana. C. Santa Ana WORK Center: Career center operated by the SAWIB where the public can access core employment services and be referred directly to job training, education, or other services. Local WIBs have established a One -Stop delivery system concept providing job -ready individuals a single point of contact for information on unemployment insurance, career counseling, and job search and placement assistance. The One -Stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. D. Welfare -To -Work (WTW): A mandated program under the Ca.1WORKs Act which requires parents or caretakers in families on welfare, unless exempted, to meet work requirements by participating in WTW activities with a goal of obtaining and /or maintaining stable employment that leads to achieving economic self - sufficiency. E. Workforce Investment Act WIA): In accordance with the WIA of 1998, Public Law 105 -220, Section 117, and State of California implementing legislation and/or Executive Orders, a WIB was created and its members appointed by the Mayor and the City Council of the City of Santa Ana effective March 2000. The purpose of the SAWID shall be to ensure the involvement of the business and industrial community, including small businesses, minority business enterprises, education, labor organizations, community -based organizations, economic development agencies and (WAM0511) Page 4 of 9 19F -170 (June 5, 2012) one -stop delivery system partners in workforce investment activities. IV. POPULATION TO BE SERVED SAWIB shall provide services to CalWORKs WTW participants who voluntarily request to be referred by SSA staff in accordance with CaIWORKs WTW Program requirements. V. GOAL The goal of this MOU is to support and provide workforce investment services that will assist CalWORKs WTW participants increase employment, job retention, and earnings; and achieve the goal of employment and self - sufficiency. The services will also increase the participants' occupational skill attainment, improve the quality of the local workforce, and reduce welfare dependency while enhancing the productivity and competitiveness of the local economy. VI. SAWIB RESPONSIBILITIES SAWIB is responsible for: A. Providing workforce investment services to the community at the Santa Ana WORK Center as mandated by WIA's local area Workforce Investment Board. B. Providing and /or coordinating the following workforce investment services to CalWORKs voluntary participants referred to the Santa Ana WORK Center and providing them with the necessary skills to participate in building a workforce: (WAM0511 ) • Eligibility determination for WIA services • Outreach, intake and orientation to services available • Initial assessment of skills, aptitudes, abilities, and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market information • Provision of performance information • Referral to employment opportunities • Provision of support and follow -up services • Identification of skills required to be competitive in the local labor market • riling for Unemployment Insurance claims • Access to Ca1JOBS for Labor Exchange services • Help in establishing eligibility for Welfare -to -Work (Department of Labor grant programs) and financial aid programs • Occupational skills training • On-the-job training • Workplace learning with classroom training • Skills upgrading and retraining • Entrepreneurial training • Job readiness training • Adult education and literacy • Services for persons with disabilities • Customized training for employment with specific employer Page 5 of 9 19F -171 (June 5, 2012) • Employer services, including: job listings; job matching; candidate screening and testing; outplacement services; job analysis; and information on available tax credits, business development planning, and labor market trends. C. Establishing and implementing a procedure to inform and train SSA staff about the Santa Ana WORK Center workforce investment services available to CaIWORKs WTW participants. VII. SSA RESPONSIBILITIES SSA is responsible for: A. Recognizing that SAWIB oversees the Santa Ana WORK Center and maintains agreements with One -Stop Partners. B. Providing CalWORKs/WTW services to eligible clients /participants in accordance with CaIWORKs program requirements and COUNTY policy. C. Referring CaIWORKs WTW participants that request to be referred and who may benefit from the workforce investment services to SAWIB. D. Facilitating the CaIWORKs WTW participant's attendance in the workforce investment services by making the appropriate referrals for ancillary, child -care and transportation services. E. Establishing and implementing a procedure to inform and train Santa Ana WORK Center staff about the SSA CalWORKS WTW eligibility and services. VIII. MUTUAL RESPONSIBILITIES SSA and SAWIB are mutually responsible for: A. Complying with all applicable Federal, State, and local laws, rules, regulations, and ordinances including the Americans with Disabilities Act of 1990 (ADA). B. Sharing a mission of responding to the needs of the local community businesses, job seekers, and students through an integrated workforce development system. C. Maintaining working relationships with all Santa Ana WORK Center Partners. IX. CROSS REFERRALS The One -Stop Partners shall adopt common intake /cross referral arrangements, which include those listed in the local WIA plan, including modifications thereto. The methods and/or resources utilized may include some or all of the following: cross - training of staff, in -house staff, electronic case management systems, co- enrollments, appointments, e -mail, and phone call. X. RETENTION OF RECORDS SAWIB and SSA agree to comply with record retention and handling per WIA and any applicable Federal and /or State requirements. (WAM0511) Page 6 of 9 19F -172 (June 5, 2012) Xi. NOTICE AND CORRESPONDENCE A. All correspondence concerning this MOU will be in writing and sent to: SSA: County of Orange Social Services Agency Contract Services 888 North Main Street Santa Ana, CA 92701 SAWIB: Santa Ana Workforce Investment Board 1000 East Santa Ana Blvd., Suites 200 & 220 Santa Ana, CA 92701 B. All notices shall be deemed effective when in writing and deposited in the United States mail, first class, postage prepaid and addressed as above. Any notices, claims, correspondence, reports and /or statements authorized or required by this MOU addressed in any other fashion shall be deemed not given. SSA and SAWIB may mutually agree in writing to change the addresses to which notices are sent. XII. RESOLUTION OF CONFLICTS For resolution of conflicts between SSA and SAWIB in regards to the provisions of this MOU, the following shall apply: Step 1: Conference between the participant's Ca1WORKs WTW Staff and the SAWIB Case Manager. Step 2: Conference between the SSA WTW Program Manager and /or Deputy Director or designee, and the SAWIB Director. Step 3: Conference between the SSA Director of Family Self- Sufficiency or designee and the Executive Director of SAWIB. XIII. SIGNAGE & COMMUNICATION OF PARTICIPATION The Santa Ana WORK Center shall provide wall signage listing the names of current participating One -Stop Partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. XIV. TERMINATION A. Either Party may terminate this MOU without penalty immediately with cause or after thirty (30) days' written notice without cause, unless otherwise specified. Notice shall be deemed served on the date of mailing. Cause shall be defined as any breach of this MOU, any misrepresentation, or fraud on the part of either Party, or the repeal of the Workforce Investment Act of 1998. Exercise by SSA of the right to terminate this MOU shall relieve SSA of all further obligations; and exercise by SAWIB of the right to terminate this MOU shall relieve SAWIB of all further obligations. B. Upon termination, or notice thereof, SSA and SAWIB agree to cooperate with each other in the orderly transfer of pertinent documents. C. The obligations of SSA and SAWIB under this MOU are contingent upon the (WAM0511) Page 7of9 19F -173 (June 5, 2012) availability of Federal and /or State funds, as applicable, and inclusion of sufficient funds for the services hereunder in the budget approved by the Orange County Board of Supervisors each fiscal year this MOU remains in effect or operation. In the event that such funding is terminated or reduced, SSA may immediately terminate or modify this MOU, without penalty. The decision of SSA shall be binding on SAWIB. SSA shall provide SAWIB with written notification of such determination. SAWIB shall immediately comply with SSA's decision. XV. GENERAL PROVISIONS A. All documents required by this MOU may be subject to public disclosure. SSA shall not be liable for any such disclosure. B. Nothing herein contained shall be construed as creating the relationship of employer and employee, or principal and agent, between SSA and any WTW participant participating in this program, or any of SAWIB's agents or employees. C. This MOU represents the entire understanding of the Parties with respect to the subject matter. No change, modification, extension, termination or waiver of this MOU, or any of the understandings herein contained, shall be valid unless made in writing and signed by duly authorized representatives of the Parties hereto. D. If any part of the MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. XVI. AUTHORITY AND SIGNATURES The individuals signing this MOU have the authority to commit the Party they represent to the terms of this MOU, and do so commit by signing. (WAM051 I ) Page S of 9 19F -174 (June 5, 2012) WHEREFORE, the parties hereto have Count e, California. Miguel A. Pulido Mayor, City of Santa Ana Dated: OCT Q 4 2012 executed the Memorandum of Understanding in the By: Michael L. Riley, Ph.D1, Director County of Orange Social Services Agency Dated: // %< l 2 By: <;�'k "' �r- Paul M. Walters, City Manager Approved As To Form Dated: SONIA R. CARVALHO City of Santa Ana Attorney By:_Z—k C-- C . Lisa E. Storck Assistant City of Santa Ana Attorney Dated: /-0 __ Z --/ 2_..- (WAM0511) Page 9 of 9 19F -175 ATTEST. MARIA D. HUIZAR CLERK OF THE COUNCIL. (June 5, 2012) Attachment A SANTA ANA WORKFORCE INVESTMENT BOARD ONE -STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR COUNTY OF ORANGE SOCIAL SERVICES AGENCY • Welfare Programs (including, but not limited to CalWORKS) • Employment and Training Activities under Title I of the Workforce Investment Act • Identify and refer CalWORKS voluntary participants to SAWIB for workforce investment services. • Coordinate services and programs offered by SSA with those offered through the One -Stop Partners to program participants. • Provide overview of Ca1WORKs Services to One -Stop Partners. • Provide general information regarding CalWORKs program and access to services for families. • Provide support services such as child care, transportation, and ancillary to CalWORKS WTW participants engaged in workforce investment services. • Other activities and services appropriate to SSA and SSA's funding sources. ® ®Co- location of staff By phone ® Co- location of services ® 11M Cross training of staff ❑ On -line ® In person ® By phone ® Referral form ❑ On line irg ® Referrals for workforce investment services ® Customer Satisfaction( �) (1) Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board Page 1 of 1 (WAM05 t I) (June 5, 2012) 19F -176 November 2, 2012 County of Orange SOCIAL SERVICES AGENCY BBB N. MAIN STREET SANTA(714) 541 -770 5 NOV 08 2012 City of Santa Ana Attn: Julie Castro - Cardenas, Workforce Specialist III Santa Ana Work Center 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 MICHAEL L. RILEY, Ph.D. DIRECTOR MIKE RYAN CHIEF DEPUTY DIRECTOR CAROL WISEMAN DIVISION DIRECTOR �7 f ' TRATIVESERVICES WENDY AQUIN IVISION DIRECTOR DULT SERVICES & TANCEPROGRAMS GARY TAYLOR DIVISION DIRECTOR CHILDREN & FAMILY SERVICES NATHAN NISHIMOTO DIVISION DIRECTOR FAMILY SELF - SUFFICIENCY Subject: MOU between County of Orange Social Services Agency and Mayor and City Council of the City of Santa Ana and the Santa Ana Workforce Investment Board for the Provision of Workforce Investment Services (WAM0511) Dear Julie, Enclosed are two (2) original signed documents of the Memorandum of Understanding between County of Orange Social Services Agency and Mayor and City Council of the City. of Santa Ana and the Santa Ana Workforce Investment Board for the Provision of Workforce Investment Services (WAM051 I). This MOU provides for the coordination of available workforce investment services delivered through the Santa Ana WIB (SAWIB) and the One -Stop Partners at the Santa Ana WORK Center to CalWORKs Welfare -To -Work (WTW) clients who choose to participate in the services. The MOU is non - financial. The MOU shall commence on November 1, 2012 and remain in effect until termination by the repeal of the Workforce Investment Act of 1998. It took us many hours to complete this project but we persevered and. were successful in completing a comprehensive MOL. Vr our agencies. Thank you for your dedication, collaboration and assistance on this project. Sincerely, Ann Myers Contract Administrator 19F -177 INSURANCE ON FILE WORK MAY PROCEED UNTIL INSURANCE EXPIRES -7 -- ( - -Z-0, f -'Z- �01TE COUNCIL 0 E., A-2012-122 Memorandum of Understanding For SANTA ANA UNIFIED SCHOOL DISTRICT 19F -178 Memorandum of Understanding (MOU) Pursuant to the Workforce Investment Act of 1998 (WIA) 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), and several agencies (having signed Attachment "A ", "One -Stop Partner Commitment" and, if physically located at the One -Stop location, Attachment "B ", "Resource Sharing Agreement" and Attachment "C ", "Memorandum of Operation" if applicable functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana W /O/R/K Center). 2. PURPOSE: The Santa Ana W /O/R/K Center, through its central location at the Santa Ana Regional Transportation Center, 1000 E. Santa Ana Blvd., and its satellite facilities, shall provide and /or coordinate workforce investment services to individuals, providing them with the necessary skills to participate in building a world -class workforce in Santa Ana. Services and referrals provided at the Santa Ana W /O /R/K Center may include, but are not limited to, the following: • Eligibility determination • Outreach, intake and orientation to services available • Initial assessment of skills, aptitudes, abilities and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market information • Provision of performance information • Employment referral • Provision of support and follow -up services • Identification of skills required to be competitive in the local labor market • Filing for Unemployment Insurance claims • Access to Ca1JOBS for Labor Exchange services • Help in establishing eligibility for CalWORKS and financial aid • Occupational skills training • On-the-job training • Workplace learning with classroom training • Skills upgrading and retraining • Entrepreneurial training • Job readiness training • Adult education and literacy • Services for persons with disabilities 19F -179 Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages Customized training for employment with specific employer Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his/her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agrced to by all parties, the timefrarnes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and/or resources utilized may include some or all of the following: cross - training of staff, in -house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 7. CONFIDENTIALITY: The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application GL'] =1K Fell] for or receipt of services shall be confidential information subject to the provisions of 34 CFR 361.38. The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. 8. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the future as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Committee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 10. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 12. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. 19F -181 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One- Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center will assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act. 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty /crime coverages. The City of Santa Ana shall be named as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City. 16. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 5 19F -182 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. FOR 9 OFFICIAL Miguel A. Pulido, Mayor, City of Santa Ana Name and Title 20 Civic Center Plaza Santa Ana CA 92701 Address FOR THE CITY OF SANTA ANA ATTEST: Maria D. Huizar, ClerO the Council J13, 4, 2012 Date CIT_ OF SANTA ANA Paul Walters, interim City Manager ( T ANA UNIFIED SCHOOL DISTRICT (ONE -STOP PARTNER) 41"1 Z_ Signature Date Thelma Melendez de Santa Ana, Superintendent Name and Title 1601 E. Chestnut Avenue Santa Ana CA 92701 Address Approved as to Form: Sonia R. Carvalho, City Attorney By:- Lisa E. Storck, Assistant City Attorney THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. SAUSD Board Approved 4/24/12 19F -183 Attachment "A" One -Stop Partner Commitment 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the Santa Ana Unified School District and other agencies (identified in the "One- Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One - Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the Santa Ana Unified School District commits to the following: Workplace Iearning with classroom training Job readiness training Collaborate as need with the WORK Center Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O /R/K Center: N/A Hours /days per week Agency Staff Assigned to Santa Ana W /O/R/K Center: N/A PERFORMANCE GOALS: Customer Service All on -site, One -Stop Partners shall commit to the following goals for the W /O/R/K Center: 1. To conform to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate in a task force empowered to oversee, measure and respond to customer service data. 19F -184 Attachment "A ", Page 2 Quantifiable Service Outcomes Achievement of performance outcomes as related to contracts with the Santa Ana Workforce Investment Board for provision of services to in- school youth enrolled in Workforce Investment Act programs. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOR THE Santa Ana Unified School District (Legal Name of Partner Agency) Signature Date Thelma Melendez de Santa Ana, Superintendent Name and Title 1601 E. Chestnut Avenue, Santa Ana, CA 92701 Address MOU Partner rev 2 -E2 19F -185 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR SANTA ANA UNIFIED SCHOOL DISTRICT ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board lt"�e.1•J ♦ Employment and Training activities under Title I of the Workforce Programs Represented Investment Act. ♦ In -take ♦ Orientation ♦ Screening and eligibility determination for Asian American Senior Citizens Service Center ♦ Identification and referral of individuals qualifying for assistance or in Services Provided need of employment and training services ♦ Coordination of the Santa Ana Unified School District employment and training programs with those offered through the One -Stop ♦ Other programs and services appropriate through Santa Ana Unified School District funding. ❑ Co- location of staff Method of Service ❑ Co-location of services Delivery ® Cross training of staff ❑ On -line • In person • By phone Referral Method ® Referral form ❑ Online ® Customer Satisfaction Contribution to One -Stop System E Provide Coordination and Services for WIA Youth Programs ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board lt"�e.1•J Attachment B SANTA ANA ONE -STOP PARTNERS MOU RESOURCE SHARING ATTACHMENT NOTE: THIS PARTNER IS NOT HOUSED AT THE ONE -STOP AND DOES NOT HAVE A RESOURCE SHARING ATTACHMENT. 10 19F -187 INSURANCE ON FILE WORK MAY PROCEED UNTIL INSURANC XP4t�E CLERK OF COUN DATE: (, -- -1 A -2012 -070 Memorandum of Understanding i !' G •�9,Z9] Memorandum of Understanding (MOU) Pursuant to the Workforce Investment Act of 1998 (WIA) I. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), and several agencies (having signed Attachment "A ", "One - Stop Partner Commitment" and, if physically located at the One -Stop location, Attachment "B ", "Resource Sharing Agreement" and Attachment "C ", "Memorandum of Operation" if applicable fi nctioiung as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana W /O/R/K Center). 2. PURPOSE: The Santa Ana W /O /R/K Center, through its central location at the Santa Ana Regional Transportation Center, 1000 E. Santa Ana Blvd., and its satellite facilities, shall provide and /or coordinate workforce investment services to individuals, providing them with the necessary skills to participate in building a world -class workforce in Santa Ana. Services and referrals provided at the Santa Ana W /O /R/K Center may include, but are not limited to, the following: • Eligibility determination • Outreach, intake and orientation to services available • Initial assessment of skills, aptitudes, abilities and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market information • Provision of performance information • Employment referral • Provision of support and follow -up services Identification of skills required to be competitive in the local labor market • Filing for Unemployment Insurance claims • Access to CalJOBS for Labor Exchange services • Help in establishing eligibility for CaIWORKS and financial aid • Occupational skills training • On-the-job training • Workplace learning with classroom training • Skills upgrading and retraining • Entrepreneurial training • Job readiness training • Adult education and literacy • Services for persons with disabilities KeTe �'*r] Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages Customized training for employment with specific employer Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his/her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the timeframes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in. the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Cous-tesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terms of this MOU. S. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. RESERVED 7. CONFIDENTIALITY: The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application for or receipt of services shall be confidential information subject to the provisions of 34 CFR 361.38. 19F -190 The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. 8. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the future as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will. not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Corrunittee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 10. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 12. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 19F -191 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One -Stop partners will ensure that policies and procedures established by the WII3 and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center will assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act, 1.5. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty/crime coverages. The City of Santa Ana shall be named as additional insured for such insurance and the coverage shall be primary and non - contributory with regard to the City. 16. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 19F -192 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. FOR AL ELECT OFFICIAL eoieture Date Miguel A. Pulido, Mayor, City of Santa Ana Name and Title 20 Civic Center Plaza, Santa Ana, CA 92701 Address FOR THE CITY OF SANTA ANA ATTEST: '- ,t,L IC 4,). /,') Maria D. Huizar, Clerk of g ORANGE COUNTY SMA STOP PARTNER) Signa ure Leila Mozaffari. Director Name and Title CI I' F. SANTA ANA .,_ Council Paul Walters, Interim City Manager LLL BUSINESS DEVELOPMENT CENTER (ONE - 114) Date 2323 N. Broadway, Santa Ana, Ca 92706 Address Approved as to Form: Sonia R. Carvalho, City Attorney By:, Lisa E. Storck, Assistant City Attorney THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on uxe date first written above. 19F -193 Attachment "A" One -Stop Partner Commitment 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the Orange County Small Business Development Center and other agencies (identified in the "One -Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the Orange County Small Business Development Center commits to the following: Agency Services to be provided on -site at the Santa Ana W /O /R/K Center: • The OCSBDC and WORK Center staff will familiarize themselves with each other's organizations in order to facilitate the referral process. • The OCSBDC and WORK Center will collaborate as required by their mutual funding sources. • The WORK Center staff will refer business to the OCSBDC for consulting, training, and access to resources that a business may need. • The OCSBDC will refer clients to the Santa Ana WORK Center Business Service Unit for hiring and other labor issues that the business owner may have. Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O/R/K Center: _ Not Applicable Hours /days per week Agency Staff Assigned to Santa Ana W /O /R/K Center: Not Applicable PERFORNZANCE GOALS: Customer Service All on -site, One -Stop Partners shall commit to the following goals for the W /O/R/K Center: 1. To conform to a uniform policy of customer service; 2. To develop customer service principles all. One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate in a task force empowered to oversee, measure and respond to customer service data. G: 19F -194 Attachment "A ", Page 2 AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOR THE Orange County Small Business Development Center (Legal Name of Partner Agency) 614 e Signa re Date Lelia Mozaffari, Director__ Name and Title 2323 N. Broadway, Santa Ana CA, 92706 Address MOU Partnar rev 2 -12 19F -195 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR THE ORANGE COUNTY SMALL BUSINESS DEVELOPMENT CENTER Programs Represented Services Provided Method of Service Delivery (Check all that apply) Referral Method (Check all that apply) Contribution to One Stop System Performance ♦ Employmen ♦ Training seminars on ❑ Co- location of staff ❑ In person ®Customer t and business topics for small ❑ Co- location of ❑ By phone Satisfaction' Training companies services ❑ Online ❑ Provide activities + Customized business ® Cross training of p Refer direct to Coordination under Title I consulting by industry staff the OCSBDC and Services of the experts in Strategic ❑ On -line for Workforce Business Planning; Investment Marketing Planning; ® On site — OCSBDC Act, Financial Statement office development, analysis, cash flow mgtnt.; Procurement; use of technology in expansion of sales and operations. ♦ Finance facilitation including capital needs analysis, loan doc review and referral to financial institutions Information on licenses & permits, corporate structure, taxes and insurance ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -196 Attachment B l A A 4:�`� tai C��7J ., 14. , NOTE: THIS PARTNER IS NOT HOUSED AT THE GIVE -STOP AND DOES NOT HAVE A RESOURCE SHARING ATTACHMENT. 19F -197 INSURANCE NOT REQUIRED WORK MAY PROCEED CLERK OF COUNCIL DATE: J01- 2 ,. lull A -2012 -120 Memorandum of Understanding SANTA ANA H ®USING AUTHORITY iei =1K � Memorandum of Understanding (MOO) Pursuant t® the W®rkf®rce Investment Act ®f 1998 (WIA) 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), and several agencies (having signed Attachment "A ", "One -Stop Partner Commitment" and, if physically located at the One -Stop location, Attachment "B ", "Resource Sharing Agreement" and Attachment "C ", "Memorandum of Operation" if applicable functioning as "One -Stop Partners" within the Santa Ana One-Stop System (hereinafter referred to as the Santa Ana W /O/R/K Center). 2. PURPOSE: The Santa Ana W /O/R/K Center, through its central location at the Santa Ana Regional Transportation Center, 1000 E. Santa Ana Blvd., and its satellite facilities, shall provide and /or coordinate workforce investment services to individuals, providing there with the necessary skills to participate in building a world -class workforce in Santa Ana. Services and referrals provided at the Santa Ana W /O /R/K Center may include, but are not limited to, the following: • Eligibility determination • Outreach, intake and orientation to services available • Initial assessment of skills, aptitudes, abilities and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market information • Provision cfper orrnance information • Employment referral • Provision of support and follow -up services • Identification of skills required to be competitive in the local labor market • Filing for Unemployment Insurance claims • Access to CalJOBS for Labor Exchange services • Help in establishing eligibility for CalWORKS and financial aid • Occupational skills training • On-the-job training • Workplace learning with classroom training • Skills upgrading Fund retraining • Entrepreneurial training • Job readiness training • Adult education, and literacy • Services for persons with disabilities z 19F -199 Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages Customized training for employment with specific employer Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his/her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the titneframes for notice maybe reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and/or resources utilized may include some or all of the following: cross - training of staff, in -house staff. electronic case management systems, co- enrollments, appointments, e-mail and phone call. 7. CONFIDENTIALITY: The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application 19F -200 for or receipt of services shall be confidential information subject to the provisions of 34 CFR 361.38. The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. S. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the future as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Committee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting. from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 10. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 12. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the perfonnance of this MOU. 19F -201 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One - Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center will assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act. 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty /crime coverages. The City of Santa Ana shall be narned as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City, 16. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attaclunents, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 5 19F -202 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. FOR TIiI -LAD -eAL ELECTED,OFFICIAL Siart'a—V're C Date Miguel A. Palido. Ma oy r City of Santa Ana Name and Title 20 Civic Center Plaza Santa Ana CA 92701 Address FOR THE CITY OF SANTA ANA ATTEST: CII NTA ANA ,D. h l Maria D. Huizar, Clerk of Council Paul Walters, Interim City Manager SANTA ANA HOUSING AUTHORITY (ONE -STOP PARTNER) Signature Date Nancy T. Edwards, Interim Executive Director Housing Authority Name and Title 20 Civic Center Plaza, Santa_ Ana, CA 92701 Address Approved as to Form: Sonia R. Carvalho, City Attorney Dy:� ^__� C-4 Lisa E. Storck; Assistant City Attorney THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. 19F -203 Attachment "A" One -Stop Partner Commitment 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the Santa Ana Housing Authority and other agencies (identified in the "One -Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the Santa Ana Housing Authority commits to the following: To Provide assistance with applications for Section 8 Rental Assistance during wait list opening, and To refer all unemployed Adults in the Housing Choice Voucher Program to the WORK Center. Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O /R/K Center: N/A Hours /days per week Agency Staff Assigned to Santa Ana W /O /R/K Center: N/A PERFORIVIANCE GOALS: Customer Service All on -site, One -Stop Partners shall commit to the following goals for the W /O /R/K Center: 1. To conform to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4, To paiiicipate in a task force empowered to oversee, measure and respond to customer service data. 19F -204 Attachment "A ", Page 2 Quantifiable Service Outcomes The Santa Ana Horsing Authority will track the clients refered to the Santa Ana WORK Center in order to evaluate the effectiveness of these collaborative efforts. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOP, THE Santa Ana Housing Authority (Legal Name of Partner Agency) Signature Date Nancy T, Edwards, Interim Executive Director Housing Authori Name and Title 20 Civic Center- Plaza, Santa Ana, CA 92701 Address MQU Pirrner rev 2• t 2 19F -205 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR SANTA ANA HOUSING AUTHORITY Attachment B 1 Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -206 ♦ Employment and Training activities under HUD Programs Represented o Family Self - Sufficiency s Screening and eligibility determination for Santa Ana Housing Authority ♦ Identification and referral of individuals qualifying for assistance or in need of employment and training services Services Provided ♦ Coordination of the Santa Ana Housing Authority employment and training programs with those offered through the One -Stop o Other programs and services appropriate through Santa Ana Housing Authority funding. ❑ Co- location of staff Method of Service ❑ Co- location of services Delivery ❑ Cross training of staff ❑ On -line © In person ® By phone Referral Method ❑ Referral form ❑ Online I Contribution to One -Stop ® Customer Satisfaction) System Attachment B 1 Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -206 i r i �, + 110-T. Xl - • U- L NOTE: THIS PARTNER IS NOT HOUSED AT THE ONE-STOP AND DOES NOT Hi RESOURCE SHARING ATTACHMENT. 19F -207 INSURANCE NOT ON FILE WORKMAYtTPROCEED CLERK OF COUNCIL DATE: A -2012 -116 Memorandum of Understanding For COMMUNITY ACTION PARTNERSHIP OF ORANGE COUNTY Memorandum of Understanding (MOU) Pursuant to the Workforce Investment Act of 1998 (WIA) I. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), and several agencies (having signed Attachment "A ", "One -Stop Partner Commitment" and, if physically located at the One -Stop location, Attachment "B ", "Resource Sharing Agreement" and Attachment "C ", "Memorandum of Operation" if applicable functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana W /O /R/K Center), 2. PURPOSE: The Santa Ana W /O /R K Center, through its central location at the Santa Ana Regional Transportation Center, 1000 E. Santa Ana Blvd., and its satellite facilities, shall provide and /or coordinate workforce investment services to individuals, providing them with the necessary skills to participate in building a world -class workforce in Santa Ana. Services and referrals provided at the Santa Ana W /O /R/K Center may include, but are not limited to, the following: • Eligibility determination • Outreach, intake and orientation to services available • Initial assessment of skills, aptitudes, abilities and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market information • Provision of performance information • Employment referral • Provision of support and follow -up services • Identification of skills required to be competitive in the local labor market • FiIing for Unemployment Insurance claims • Access to CaIJOBS for Labor Exchange services • Help in establishing eligibility for CalWORKS and financial aid • Occupational skills training • On-the-job training • Workplace learning with classroom training • Skills upgrading and retraining • Entrepreneurial training • Job readiness training • Adult education and literacy 2 19F -209 • Services for persons with disabilities • Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages • Customized training for employment with specific employer • Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his /her designee. The MOU, once signed, becomes part of the local WIA PIan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the timeframes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attaclvnents of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB. Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and/or resources utilized may include some or all of the following: cross- training of staff, in -house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 7. CONFIDENTIALITY: 19F -210 The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application for or receipt of services shall be confidential information subject to the provisions of 34 CFR 361.38. The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. 8. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the future as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Committee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 10. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 12. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. 4 19F -211 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. Miguel A. Pulido, Mayor, City of Santa Ana Name and Title 20 Civic Center Plaza Santa Ana CA 92701 Address FOR THE CITY OF SANTA ANA 411262b1 Date ATTEST: C ' F NTA ANA Maria D. Huizar, Clerk of - ouncil Paul Walters, Interim City Manager COMMUNITY ACTION PARTNERSHIP OF ORANGE COUNTY (ONE -STOP PARTNER) Signature t. Clarence W. Ray, Executive Director Narne and Title 11870 Monarch St. , Garden Grove CA 92841 Address Approved as to Form: JOSEPH STRAKA, Interim City Attorney Lisa E. Storck, Assistant City Attorney `" li boo- Date 19F -212 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One- Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center wilt assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act. 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty /crime coverages. The City of Santa Ana shall be named as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City. 1.6. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 5 19F -213 Attachment "A" One -Stop Partner Commitment 1. PARTIES: The parties to this Memorandum of Understanding (IMOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the Community Action Partnership of Orange County and other agencies (identified in the "One -Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the Community Action Partnership of Orange County commits to the following: Primary delivery of services will be at the offices of CAPOC. Staff from CAPOC and the WORK Center will be cross - trained so that appropriate referrals may be made. CAPOC will train WORK Center staff on its Community Service Block Grant programs i.e., Emergency Safety Services and Family Development Programs and define its referral process. Likewise staff from CAPOC will be trained on the array of services available at the one -stop center. Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O /R/K Center: N/A Hours /days per week Agency Staff Assigned to Santa Ana W /O /R/K Center: N/A PERFORMANCE GOALS: Customer Service All on -site, One -Stop Partners shall corrunit to the following goals for the W /O /R/K Center: 1. To conform to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate in a task force empowered to oversee, measure and respond to customer service data. 19F -214 Attachment "A ", Page 2 Quantifiable Service Outcomes CAPOC will strive to provide quality service, which will bring about customer satisfaction. CAPOC will provide the WORK Center with the numbers of customer contacts and referrals made or received, report any client changes or outcomes as appropriate and provide coordination and services for Community Service Block Grant programs. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOR THE Community Action Partnership of Orange County (Legal Name of Partner Agency) L�/, i i, (�., ) r` W7 a Signature U Date Clarence W. Rav, Executive Director Name and Title 11870 Monarch St., Garden Grove CA 92841 Address (v}OU Pal tiler rev 2 -E 2 19F -215 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR COMMUNITY ACTION PARTNERSHIP OF ORANGE COUNTY F Criteria to be determined by the State of California and the Santa Ana Workforce hivestment Board 19F -216 ® Community Service Block Grant (Emergency Safety Services and Programs Represented family Development Programs) operated by CAPOC at their Family Resource Centers and Human Services Department. o In -take Orientation Identification and referral of individuals qualifying for assistance or in need of employment and training services Services Provided ® Coordination of the Community Action Partnership of Orange County employment and training programs with those offered through the One - Stop Other programs and services appropriate through CSBG funding. i ❑ Co- location of staff Method of Service ❑ Co- location of services Delivery ® Cross training of staff ❑ On -line ❑ In person 0 By phone Referral Method (A Referral form ❑ Online © Customer Satisfaction Contribution to One -Stop Z Customer Change /Outcome System ® Coordination and Services for CSBG program F Criteria to be determined by the State of California and the Santa Ana Workforce hivestment Board 19F -216 Attachment B J-114 PARTNER -40TE: THIS IS NOT HOUSED .. THE SHARING ONE-STOP AND DOES NOT HAVE A RESOURCE ATTACHMENT. 10 19F -217 ACORD, CERTIFICATE OF LIABILITY INSURANCE DATE(MMIDDIYYYY) TYPE OF INSURANCE 07/03/2012 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT; If the certificate holder Is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Comprehensive Insurance Services 22342 Avenida Empresa Suite 250 RSM, CA 92688 NAME PHONE a No E t1: (949)709 -8800 ac Nol: (949)709-166 ..ADDRESS-. INSURER(S) AFFORDING COVERAGE NAICtl _ INSURER A: NONPROFITS' INSURANCE ALLIANCE O CA INSUREb Community Action Partnership o€ Orange County 11870 Monarch St. Garden Grove, CA 92841 INSURERS: ICW GROUP INSURANCE COMPANIES ' INSURER C: NATIONAL UNION FIRE INS CO ! MED EXP (Any one person) PERSONAL S ACV INJURY INSURERD: INSURER E: $ 2,000,000 INSURER F; THIS IS TO CERTIFY THAT THE POLICIES CF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR 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. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. LTR TYPE OF INSURANCE INSR WVD POLICY NUMBER (MMIDWYYYY) f (MMIDDIYYYYJ I LIMITS A GENERAL LIABILITY ` :=T COMMERCIAL GENERAL LIABILITY CLAIMS -MADE L 11 OCCUR ; X Owner & Contr. Pro i I X ' 2012 -00441-NPI I 07/0112012 07/01/2013 i j 3 EACH OCCURRENCE Is 1,00-01000 PREMISES (Ea occurrence) $ 500, 00 ! MED EXP (Any one person) PERSONAL S ACV INJURY $ 20,000 $ 1,000,000 GENERAL AGGREGATE $ 2,000,000 GENL AGGREGATE LIMIT APPLIES PER: POLICY [_-] PRO- JECT X LOC PRODUCTS - COMPIOP AGG $ 2,000,000 I 1 $ A AUTOMOBILE X I X LIABILITY 1 ANY AUTO ALL OWNED _ SCHEDULED AUTOS AUTOS NON-OWNED HIRED AUTOS rx AUTOS 2012-00441-NPC 07101/2012 07/01/2013 ! I {Ea accident) I ;$ 1, 000,000 BODILY INJURY (Per person) ----- �--- IS BODILY INJURY (Per accident) ---- -- j $ (Per acadent c - - -- $ $ i I A UMBRELLA LIAR EXCESS LIAB x OCCUR CLAIMS -MADE 2012 - 00441- UMB -NP 1 j 07101/2012,10710112013 j EACH OCCURRENCE $ 4,000,000 AGGREGATE �$ 4,000,000 DED I X I RETENTION $ 11) r 00 B i IC C AND EMPS YERS' COMPENSATION AND EMPLOYERS' LIAe1LITY YIN ANY PROPRIETCRJPARTNERIEXECUTIV OFFICERIMEMBER EXCLUDEC7 (Mandatory in NH) It yes, describe under DESCRIPTION OF OPERATIONS below RIME - EMPLOYEE i DISHONESTY NIA t I WPLI0214010 OZ- 420- 32- 3�0 0710112012 07101/2013 I i 7101/2 0 1 2;G7/01/2013+ X TORY LIMITS ER E.L. EACH ACCIDENT $ 1 ,000,000 E,L. DISEASE. EA EMPLOYE _. _ $_ 1,000,000 E.L. DISEASE - POLICY LIMIT $ 1, 000, QQQ LIMIT $1,100,000 DEDUCTIBLE $5,000 DESCRIPTION OF OPERATIONS I LOCATIONS 1 VEHICLES (Attach ACORD 101, AddlUonal Remarks Schedule, If more space Is required) L , CITY OF SANTA ANA IS INCUDED AS ADDITIONAL INSURED PER ATTACHED SPECIAL AGREEMENT RC'j 'TO 7n CCU L1 �aC� �,ty Attu 0 IV 17000-AVIV AI VKU t VKVUKA I IVN. All nghts reserved. ACORD 25 (2010105) The ACORD name and logo are registered marks of ACORD 19F -218 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE CITY OF SANTA ANA I THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN SANTA ANA YOUTH COUNCIL ACCORDANCE WITH THE POLICY PROVISIONS. WORKFORCE INVESEMENT BOARD AUTHORIZED REPRESENTATIVE��' 1000 E. SANTA ANA BLVD. STE. 200 SANTA ANA, CA 92701 Richard Eynon, CIC /JEREMY IV 17000-AVIV AI VKU t VKVUKA I IVN. All nghts reserved. ACORD 25 (2010105) The ACORD name and logo are registered marks of ACORD 19F -218 AGREEMENT ADDITIONAL INSUREDllX FOR COMMERCIAL GENERAL. LIABILITY .POLICY Insurance Company NONPROFITS INSURANCE ALLIANCE OF CA This endorsement modifies such insurance as is afforded by the provisions of Policy # 2012 -00441 -NPO _ relating to the following: i . The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701, its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising frotn the operations and uses performed by or on behalf'of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by dbis policy is primary and is not additional to or contributing with any other insurance carried by or for the .benefit of the additional insureds. 'X`� M `XX 'y'K3% &WO X EASE REFER TO CG0001 PORTION OF TI; POLICY, ATTACHED, 4. With respect to.the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage: or limits except after:thirty. (30.)- days written notice has: been given to the City: of Santa Arna,.20;Civic Center Plaza, :Santa Ana, California 92701. *EXCEPT 10 DAYS FOR NON - PAYMENT OF PREMIUM (Completion of the following, including countersignature, is-required to make this endorsement effective.) Effective 7/1,12012 , this endorsement form as a part of Policy -4 201.2 - 00441 -NPO _ Issued to COMMUNITY ACTION PARTNERSHIP OF ORANGE COUNTY Named 1w1ured Countersigned by ( ' Authorized Repz sentative ra � O o�� � S Y t�e`1 �.1SA ���,ty Ptto 19F -219 ACORD,, CERTIFICATE OF LIABILITY INSURANCE ATE (MM DOlYYYYy DATE THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER, THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder In lieu of such endorsement(s). PRODUCER Comprehensive Insurance Services 22342 Avenida Empresa Suite 2 50 RSM, CA 92688 NAME: _ PHONE (949)709-8800 i Arc Na}: (949)709 -1668 A!C No Exl : ADDRESS: J�Y ........._- ._..._ --_ ------._- . j INSURER(S) AFFORDING COVERAGE NAIC N INSURER A; NONPROFITS' INSURANCE ALLIANCE OF CA INSURED Community Action Partnership of Orange County 11870 Monarch St. Garden Grove, CA 92841 _ INSURER 8: ICW GROUP INSURANCE COMPANIES f INSURER C: NATIONAL UNION FIRE INS CO ----- - - - - -- - -- -- -- ._.....--°.--.....-_......_. __.._..._. ............... ... .T. INSURER D: _ INSURER E: INSURER F: COVERAGES CERTIFICATE NUMBER: GL /AUTO /UMB REVISION NUMBER: THIS IS TO CERTIFY THAT 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 CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAYBE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CDND1710NS OF SUCH POLICIES LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. iLTR TYPE OF INSURANCE INSR WVD POLICY NUMBER MMIDDIYYY MMIDONYYY LIMITS A GENERAL LIABILITY ` X I COMMERCIAL GENERAL LIABILITY CLAIMS-MADE Fx OCCUR 1 Contr. Pro I X i 2012- 00441 -NP I I 07/01/2012 I i 07101120131 I j EACH OCCURRENCE S 1,400,00 PREMISES (Ea occurrenceL�',� S S00,000 MED EXP(Any one person) $_ 20,400 PERSONAL&ACV INJURY_ GENERAL AGGREGATE $ 1,000,00 $-- 1 __.._._.._- .__..... BTE E 'LOAGGREG MI F-1 APPLIES PER F71 POLICY PRO JECT X LOC I PRODUCTS - COMPIOP AGG - ___. -2,000,000 $ 2,000,000 $ AUTOMOBILE LIABILITY 2 0 1 2- 00441 -NP 07101/2012 0710112013; , (Ea aadenl i I $ 1,000,000 --- _--- - - - -�. '4 X X I ANY AUTO ALL OWNED r"" -1 SCHEDULED AUTOS _ !AUTOS i--� NON -OWNED i HIRED AUTOS X AUTOS i I � I °BODILY INJURY (Per person) ' is i BODILY INJURY (Per acvder� ) $ (Per accident $ - $ A I 1 UMBRELLA LIAR X I OCCUR EXCESS L1AB I CLAIMS -MADE. 2012- 00441- UMB -NPO 07101120121 07/0112013 EACH OCCURRENCE $ 4,000,000 AGGREGATE $ 4, QQQ i QQQ DED X J RETENTION$ 10,00 $ B a WORKERS COMPENSATIN AND £MPLO ERS' LIABILITY YIN AN Y PROPRIETORIPARTNERtEXECUTN O CERI BER EXCLUDED? IM Manatoy ln NH 5Nbe DESCRIPTION OF OPERATIONS below NIA WPL50214090d l 07101/2012107/0112013 X ! TORY LIMITS -1 ER - -- - -- EL_ EACH - ACCIDEN EL. DISEASE - EA EMPLOYE - 1, 000 , 00 $ 1, OOO , OO O E.L. DISEASE - POLICY LIMIT j $ 1,000,000 1 C )DISHONESTY � - EMPLOYEE 02- 420 -32 -32 07101/2012i07/0112013 LIMIT $1,100,000 DEDUCTIBLE $5,000 DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (Attach ACORD 101, Additional Remarks Schedule, It more space Is required) ITY OF SANTA ANA IS INCUDED AS ADDITIONAL INSURED PER ATTACHED SPECIAL AGREEMENT �R� Q ____ _ .� .vr.. •...v�v �.� VMIN �rCLLHI IVIN -.19— - _VIA. " THE CITY OF SANTA ANA SANTA ANA YOUTH COUNCIL WORKFORCE INVESEMENT BOARD 1000 E. SANTA ANA BLVD_ STE. 200 SANTA ANA, CA 92701 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL eE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHORIZED REPRESENTATIVE non. CIC /JER ACORD 25 (2010105) The ACORD name and logo are registered marks of ACORD 19F -220 All rinhtS rP.SPNP_rI. AGREEMENT ADDITIONAL INSLatD A WIA#RNV**X FOR COMMERCIAL, GENEKAL LIABILTTY PaLt Insurance Company NONPROk' TS IN8UP_4.NMALLIAN(.1B':01+ CA This endorsement niodifies such insurance as i. s afforded"by the jyrovi6ons. of Policy #2611-0-044.1-81PO relating to the following, I. 'nib City of Sahta.Ana, 20 Civic Center Plaza,, Satita'Afte. Califknia:927.01 its officers, employees, agents, volimteers and repregehtatiVes 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 perf6nned by or on behalf ofthernamedinsured, s policy stich.lnstitonceasisaftofd'edb.yt'hi is primary and is not, additiorial'to or contributing wjEb any other insurance carried 6 iot;fdf the benefit of the additional insureds; 3. OFERTO CGO001 kORTION OF THE POLICY; ATTACHED. 4. Withr&speft to'Ahe. additional insureds, this insurance shall not be cancelled; or mate tiallY reduced ,iricoverageor:lilnits except. 4fleT, irty7(30..d ays,wn i entofice Ws .l em given to the City. of Santa Ana, .2.0,Civie Centerl']aza,:5anta Ana, Galifomia 92.7 -(11 *EXCEPT 1.0 DAB'S FOR INON-PAYME NYOF PUtMIUM (Com. pletion.of the, fbllqwirig, inoluding'..countersigna tur c , d to make thistn'dorseinrmt is, rt qilfr e effective,) Effective. 70112012 this endorse m nt fo rrn as apart of Policy 4 102-0.04417NP_O Issued to COININIVNITY ACTIONPARVNFWiffif. OF ORANGE C OUNITY Named ured Countersi gned by Aut Tori . rizedRepiYsentative 19F-221 POLICY Nl1' tBEF: 2,-jl i- GQ4 %,q -I , _ COMMERCIAL GENERAL LIAgILM{ THIS ENDORSEMENT CHANGES THE POLICY. PLEASE CG 20260704 CAREFULLY. READ IT ADDITIONAL INSURED DESIGNATED PERSON OR ORGA NIZATION Tl?.rs GrlU0r52;71er!I rnr }difi . es ins lraJ_CC4 PrOvided under the Following- COMMERCIAL GENERAL LrABILITY COVERAGE PART SCHEDULE Narna Of Additional Insured Person(s) Or Org.arlization(s) Any person additional ""'t ou are re aired to add as an insures! on this oiic CUrrelltiV fn effect, or becorr';ing effe.cti,,e durinc}rttlerterrrlrrpf�thiso of Cct or agreement insured status will not I)e afforded with respect to iiabifit p The addifiona Your activities as a real estate manac #er for that y arisinc0 out of or related to person or organization. fnfa, ~ma €ion reotrir� to con;nlete this ScI_ edu(e�;(no- shO W-1 abovr? vin ho Dt�ciarations. Section li -Who Is An Insured is aMendeG to include as ar, . }ciditional insured the bocHy (s) or 0r �an[zation {s) sllo4vrl in tl,0 Schedule, but onfy v�;ith respect to liability for "hodily injury, "property damage" or °persan�a! an In part; by your a- qr On11S8aGn5 Or the aCtS r r � �d JC.rtlSln ; Ini"TY" Cr3used, if1 LNI1QiE or oriissions of tftose acting on your bel -Ialf: A. In itle perf0rMance of voi}r ongoirg operatic;ns. or B. l!) connection vdith your premises mvned by or rej7ted to you. CG 2C 26 07 04 C) ISO Properties. Inc., 2004 19F -222 Wage 1 of 9 g'Ca"� Rte" rl y L Ctity P55`Stan{ rf j ('3 1;,qounmllw ct — -- WORK MAY PROCEED UNTIL INSURANCE EXPIRES UL`ERK OF COUNCIL DATE: A-2012.115 Memorandum of Understanding ASIAN AMERICAN SENIOR CITIZENS SERVICE CENTER 19F-223 Memorandum of Understanding (MOU) Pursuant to the Workforce Investment Act of 1998 (WIA) 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), and several agencies (having signed Attachment "A ", "One -Stop Partner Commitment" and, if physically located at the One -Stop location, Attachment "B ", "Resource Sharing Agreement" and Attachment "C ", "Memorandum of Operation" if applicable functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana W /O /R/K Center), 2. PURPOSE: The Santa Ana W /O /RJK Center, through its central location at the Santa Ana Regional Transportation Center, 1000 E. Santa Ana Blvd., and its satellite facilities, shall provide and /or coordinate workforce investment services to individuals, providing them with the necessary skills to participate in building a world -class workforce in Santa Ana. Services and referrals provided at the Santa Ana W /O /R/K Center may include, but are not limited to, the following: b Eligibility determination o Outreach, intake and orientation to services available • Initial assessment of skills, aptitudes, abilities and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market inforniation • Provision of performance information • Employment referral • Provision of support and follow -up services • Identification of skills required to be competitive in the local labor market • Filing for Unemployment Insurance claims a Access to CaIJOBS for Labor Exchange services Help in establishing eligibility for CalWORKS and financial aid • Occupational skills training • On -the job training ® Workplace learning with classroom training Skills upgrading and retraining = Entrepreneurial training Job readiness training • Adult education and literacy • Services for persons with disabilities 2 19F -224 Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages Customized training for employment with specific employer Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of law, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his /her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the timeframes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4, MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the WIB, Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and /or resources utilized may include some or all of the following: cross - training of staff, in -house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 7. CONFIDENTIALITY: The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application 19F -225 for or receipt of services shall be confidential information subject to the provisions of 34 CFR 361.38. The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. 8. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the future as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Committee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 10. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 1.2. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. a 19F -226 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. kL Miguel A. Pulido, Mayor, City of Santa Ana Name and Title 20 Civic Center Plaza Santa Ana CA 92701 Address FOR THE CITY OF SANTA ANA v..f Date ATTEST: CITY SANTA ANA ��t�U�.�. ,c7 • /fir � .� Maria D. Huizar, Cleric of, Ac Council Paul Walters, friterim City Manager ASIAN AMERICAN SENIOR CITIZENS SERVICES (ONE -STOP PARTNER) "a, Si ature Donna Lin, Executive Director Name and Title 850 N. Bush St. , Santa Ana, CA 92701 Address Approved as to Form: JOSEPH STRAKA, Interim City Attorney By:f -e. Lisa E. Storck, Assistant City Attorney Al 1©i-z. Date 19F -227 13. SIGNAGr & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage. listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on forms and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. The WIB and the One - Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center will assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act, 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty /crime coverages. The City of Santa Ana shall be named as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City. 16. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 5 19F -228 Attachment "A" One -Stop Partner Commitment 3. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WI13), the Asian American Senior Citizens Service Center and other agencies (identified in the "One -Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the Asian American Senior Citizens Service Center commits to the following: • The Asian American Senior Citizens Service Center will refer clients to the Santa Ana WORK Center for placement assistance when it is mutually beneficial for the clients and agencies involved. • The Asian American Senior Citizens Service Center staff will familiarize themselves with the WORK Center in order to facilitate the referral process. • The Asian American Senior Citizens Service Center will collaborate as required by their mutual funding sources. Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O /R/K Center: N/A Hours /days per week Agency Staff Assigned to Santa Ana W /O /R/K Center; N/A PERFORMANCE GOALS; Customer Service All on -site, One -Stop Partners shall commit to the following goals for the W /O/R/K Center: 1. To conform to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate in a task force empowered to oversee, measure and respond to customer service data. 19F -229 Attachment "A ", Page 2 (quantifiable Service Outcomes The Asian American Senior Citizens Service Center will track the outcomes of the clients it refers to the WORK Center in order to evaluate the effectiveness of these collaborative efforts. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOR THE Asian American Senior Citizens Service Center (Legal Name of Partner Agency) S Si nature Date -. Donna Lin, Executive Director Name and Title 850 N. Bush St.. Santa Ana, CA 42701 Address MOU Partner rev 2 -I2 19F -230 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR THE ASIAN AMERICAN SENIOR CITIZENS SERVICE CENTER 1 Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -231 Employment and Training activities under Title I of the Workforce Programs Represented Investment Act, In -take Orientation ♦ Screening and eligibility determination for Asian American Senior Citizens Service Center d Identification and referral of individuals qualifying for assistance or in Services Provided need of employment and training services o Coordination of the Asian American Senior Citizens Service Center ` employment and training programs with those offered through the One- j Stop ♦ Other programs and services appropriate through Asian American Senior Citizens Service Center funding. ❑ Co- location of staff Method of Service ' ❑ Co- location of services Delivery 0 Cross training of staff ❑ On -line • In person • By phone Referral Method Z Referral form ❑ Uniine Contribution to One -Stop © Customer Satisfaction] System 1 Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -231 Attachment B t, SHARING ATTACHMENT. to 19F -232 INSURANCE ON FISE WORK MAY PROCEED UNTIL INSURANCE EXPIRE CLERK OF COUNCIL QATE: JUL 2 4 2012 A- 2012 -123 Memorandum of Understanding For SOUTHERN CALIFORNIA INDIAN CENTER, INC. 19F -233 Memorandum of Understanding (MOU) Pursuant to the Workforce Investment Act of 1998 (WIA) L. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), and several agencies (having signed Attachment "A ", "One -Stop Partner Commitment" and, if physically located at the One -Stop Iocation, Attachment "B ", "Resource Sharing Agreement" and Attachment "C ", "Memorandum of Operation" if applicable functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana W /O /R/K. Center). 2. PURPOSE: The Santa Ana W /O/R/K Center, through its central location at the Santa Ana Regional Transportation Center, 1000 L. Santa Ana Blvd., and its satellite facilities, shall provide and/or coordinate workforce investment services to individuals, providing them with the necessary skills to participate in building a world -class workforce in Santa Ana. Services and referrals provided at the Santa Ana W /O /RIK Center may include, but are not limited to, the following: • Eligibility determination • Outreach, intake and orientation to services available • Initial assessment of skills, aptitudes, abilities and supportive services • Job search and placement assistance, career counseling • Provision of employment data and labor market information • Provision of performance information • Employment referral • Provision of support and follow -up services • Identification of skills required to be competitive in the local labor market • Filing for Unemployment Insurance claims • Access to Ca1JOBS for Labor Exchange services • Help in establishing eligibility for CaIWORKS and financial aid • Occupational skills training • On -the -job training • Workplace learning with classroom training • Skills upgrading and retraining • Entrepreneurial training • Job readiness training • Adult education and literacy • Services for persons with disabilities 19F -234 Serve mature workers by operating as a specialized recruitment arm for One -Stop Partners working collaboratively to connect mature workers to employers with labor shortages Customized training for employment with specific employer Employer services, including: job listing; job matching; candidate screening and testing; outplacement services; job analysis; and, information on available tax credits, business development planning and labor market trends. 3. DURATION: (a) This MOU shall remain in effect until (i) terminated by the repeal of the Workforce Investment Act or otherwise by action of Iaw, or (ii) with respect to the One -Stop Partner, the date on which such One -Stop partner withdraws from the MOU pursuant to Section 3 (c) hereof. Should any One -Stop Partner withdraw, this MOU shall remain in effect with respect to other remaining One -Stop Partners. (b) This MOU is of no force or effect until signed by authorized representatives of the participating agencies, and approved by the Chief Local Elected Official or his /her designee. The MOU, once signed, becomes part of the local WIA Plan. (c) Any party may withdraw from this MOU by giving written notice of intent to withdraw at least 30 calendar days in advance of the effective withdrawal date. If agreed to by all parties, the timeframes for notice may be reduced or extended. Notice of withdrawal shall be given to the WIB at the address listed in the signed attachments of this MOU, and to the contact person so listed, considering any information updates received by the parties pursuant to Section 1. Courtesy notification shall be made to all parties of this MOU in a timely manner. 4. MODIFICATION AND ASSIGNMENT: This MOU may be modified at any time by written agreement of the parties. Assignment of responsibilities under this MOU by any of the parties shall be effective upon written notice to the W1B. Any assignee shall also commit in writing to the terms of this MOU. 5. ONE -STOP SYSTEM DESCRIPTION: The one -stop system description in the local WIA plan, including modifications thereto, is incorporated into this MOU by reference. 6. CROSS REFERRALS: The One -Stop Partners will adopt common intake /cross referral arrangements, which include, by reference, those listed in the local WIA plan, including modifications thereto. The methods and/or resources utilized may include some or all. of the following: cross - training of staff in -house staff, electronic case management systems, co- enrollments, appointments, e -mail and phone call. 19F -235 7. CONFIDENTIALITY: The WIB agrees that when any individual applies for or receives services from and the partner agency through the One -Stop Center, all information regarding such application for or receipt of services shall be confidential information subject to the provisions of 34 CPR 361.38. The parties agree to honor the confidentiality provisions as described in the local WIA plan, including modifications thereto, and incorporated into this MOU by reference. Exchanged information shall remain private and confidential in accordance with the most restrictive confidentiality requirements of any of the parties collecting, receiving or sharing information. 8. RESOURCE SHARING: The parties agree to share resources in accordance with the attached Resource Sharing Agreement. It is expressly understood that this MOU does not constitute a binding financial commitment, but rather an intent to commit specific resources in the future as the parties' allocations and budgets are known and the one -stop system evolves. The one -stop system is a work in progress and its costs and the partners' resource contributions will not remain static from month to month or from year to year. The Resource Sharing Agreement is meant to be reviewed yearly and may be modified as needed by any partner as long as it is identified as a revision, and it is signed and dated by the agency Administrator. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Chair of the WIB, who shall place the dispute upon the agenda of its next regular or special meeting of the Board's Executive Committee. The Executive Committee shall attempt to mediate and resolve the dispute. Finally, if the Executive Committee's resolution efforts fail, any party may .file a grievance in accordance with the State of California's WIA grievance procedures. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 14. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 11. JURISDICTION: Jurisdiction over any disputes under this MOU shall reside in Orange County, California. 12. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees in the performance of this MOU. 19F -236 13. SIGNAGE & COMMUNICATION OF PARTICIPATION: The Santa Ana WORK Center shall provide wall signage listing the names of current participating partners. Where practical, the Santa Ana WORK Center will list partner agencies on fortes and marketing materials distributed to the public. 14. ACCESSIBILITY ASSURANCES AND CERTIFICATIONS: The parties agree to abide by all applicable non - discrimination federal and state laws. 'The WIB and the One - Stop partners will ensure that policies and procedures established by the WIB and the One -Stop partners are in compliance with the Americans with Disabilities Act (ADA). The Santa Ana WORK Center will assure its services and premises are accessible to persons with disabilities under the requirements of the Americans with Disabilities Act. 15. INSURANCE: The One -Stop Partners agree that their current in force insurance or self - insurance coverage programs shall apply to their operations performed under the Workforce Investment Act and at the WORK Center, including commercial general liability, property damage liability, business personal property, workers' compensation and employee dishonesty /crime coverages. The City of Santa Ana shall be named. as additional insured for such insurance and the coverage shall be primary and non- contributory with regard to the City. 16. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments, which are incorporated herein by reference, have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 19F -237 THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. FORT AL ELE Cpq OFFICIAL rlure Mieuel A. Pulido. Mavor. Citv of Santa Ana Name and Title 20 Civic Center Plaza, Santa Ana, CA 92701 Address FOR THE CITY OF SANTA ANA ATTEST: Maria D. Huizar, Clerk o e Council JVL 2 4 2012 Date CITY OF SANTA ANA Paul Walters, Interim City Manager SOUTHERN CALIFORNI INDIAN CENTER, INC. (ONE -STOP PARTNER) Signature Date Paula Starr Executive Director Name and Title 10175 Slater Avenue 4105, Fountain_ Valley. CA 92708 Address Approved as to Form: Sonia R. Carvalho, City Attorney Lisa E. Storck, Assistant City Attorney THIS MEMORANDUM OF UNDERSTANDING is hereby signed and agreed to on the date first written above. 19F -238 Attachment "A" One -Stop Partner Commitment 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are the Mayor and City Council of the City of Santa Ana, the Santa Ana Workforce Investment Board (WIB), the Southern California Indian Center Inc. and other agencies (identified in the "One -Stop Partner Commitment ", Attachments "A" and "B: to this MOU) functioning as "One -Stop Partners" within the Santa Ana One -Stop System (hereinafter referred to as the Santa Ana WORK Center). In addition to accepting the provisions contained in the MOU, the Southern California Indian Center, Inc. commits to the following: The Southern California Indian Center will refer clients to the Santa Ana WORK Center for placement assistance when it is mutually beneficial for the clients and agencies involved. • The Southern California Indian Center staff will familiarize themselves with the WORK Center in order to facilitate the referral process. • The Southern California Indian Center will collaborate as required by their mutual funding sources. Full -time equivalents (FTEs) of Agency Staff Assigned to Santa Ana W /O/R/K Center: N/A Hours /days per week Agency Staff Assigned to Santa Ana W /O /R/K Center: N/A PERFORMANCE GOALS: Customer Service All on -site, One -Stop Partners shall commit to the following goals for the W /O/R/K Center: I. To conform to a uniform policy of customer service; 2. To develop customer service principles all One -Stop Partners must implement; 3. To implement an on -going system for measuring customer service levels; and, 4. To participate in a task force empowered to oversee, measure and respond to customer service data. 7 19F -239 Attachment "A ", Page 2 Quantifiable Service Outcomes The Southern California Indian Center, Inc. will track outcomes of the clients it refers to the Santa Ana WORK Center in order to evaluate the effectiveness of these collaborative efforts. AUTHORITY AND SIGNATURES: The individuals signing this MOU and its attachments which are incorporated therein have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. FOR THE The Southern California Indian Center Inc. (Legal Name of Partner Agency) Signature Date Paula Starr Executive Director Name and Title 10175 Slater Avenue 9105, Fountain Valley, CA 92708 Address MOU Partner rev 2.12 19F -240 CITY OF SANTA ANA WORKFORCE INVESTMENT BOARD ONE STOP PARTNER MEMORANDUM OF UNDERSTANDING SERVICES MATRIX FOR SOUTHERN CALIFORNIA INDIAN CENTER, INC. ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -241 s Employment and Training activities under Title I of the Workforce Programs Represented Investment Act. ♦ In -take Orientation ♦ Screening and eligibility determination for Southern California Indian Center programs o Identification and referral of individuals qualifying for assistance or in Services Provided need of employment and training services ♦ Coordination of the Southern. California Indian Center employment and training programs with those offered through the One -Stop ♦ Other programs and services appropriate through Southern California ' Indian Center funding_ ❑ Co- location of staff ❑ Co- location of services Method of Service ® Cross training of staff Delivery ❑ On -line M On site — Southern California Indian Center office ❑ In person E By phone Referral Method ❑ On line ® Refer direct to the SAWC ® Customer Satisfaction Contribution to One -Stop ❑ Provide Coordination and Services for Southern California Indian Center System programs ' Criteria to be determined by the State of California and the Santa Ana Workforce Investment Board 19F -241 Attachment B SANTA ANA ONE =STO P PARTNERS MOU RESOURCE SHARING ATTACHMENT NOTE: THIS PARTNER IS NOT HOUSED AT THE ONE -STOP AND DOES NOT HAVE A RESOURCE SHARING ATTACHMENT. m 19F -242 0 cn CD 0 1 m r 0 E3 U) c o' cD -o. 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Stagy " ig committees and ad hoc committees shall meet on a bi- monthly basis, or as deemed necessary by the Committee Chairperson to conduct the business of the committee. Section 3, The Chairperson of each standing committee or ad hoc committee shall be a member of the WIB, and be appointed by the WIB Chairperson or elected by the members of the individual committee. The Executive Committee shall oversee seating of all members of standing and ad hoc committees toward a goal of a mix of public and private members and avoidance of a real or perceived conflict of interest. Section 4. The Committee Chairperson shall select a Vice - Chairperson from among the WIB members assigned to the committee. The Committee Chairperson and Vice - Chairperson shall each be members of the Executive Committee. The Vice - Chairperson shall chair the committee, and perform other duties as necessary, in the absence of the Chairperson. Section 5. Every member of the WIB shall actively participate as a member of at least one (1) standing committee. WIB members may select committee participation, or are assigned by the Executive Committee. Non -WIB members may actively participate on standing committees at the invitation of the Committee Chairperson, including voting privileges at committee level, but shall have no voting privileges on WIB. Section 6. Other ad -hoc committees may be created by the WIB for such particular purposes as may be deemed necessary or desirable to enhance or assist the WIB in carrying out its functions and furthering the purposes of WIB. Article VIII. Meeting Procedures a. The WIB shall provide for its regular, adjourned regular, and special meetings provided however, it shall hold at least four regular meetings each fiscal year. The dates upon which and the hour and place at which any regular meeting shall be held shall be set annually and a copy of the yearly meeting schedule shall be filed with the City. b. All meetings of the WIB including without limitation, regular, adjourned regular, and special meetings shall be called, noticed, held and conducted in accordance with the Ralph M. Brown Act, Chapter 9, Division 3, Title 5 of the California Government Code commencing with Section 54950. 19F -252 Santa Ana Workforce Investment Board Bylaws Page 8 C. Chairperson of the WIB shall cause to be kept minutes of the regular, adjourned regular and special meetings excepting closed sessions and once minutes are approved cause a copy of the minutes to be posted on the website and made available to any interested party making a special request therefore. d. The majority of the WIB members shall constitute a quorum for the transaction of business. e. Special meetings of the WIB may be called by the Chairperson or by the signed petition of one -third of the members of the WIB. The WIB will conduct its meetings according to Robert's Rules of Order, except where Robert's Rules of Order conflict with these Bylaws, in which case these Bylaws shall apply. Section 2. Voting Privileges a. Each member shall be entitled to cast one vote. b. The presiding Chairperson shall cast a vote only if it is required to resolve a tied vote. C. No member of the WIB or Youth Council appointed by the Board, shall cast a vote on any matter in which it has direct bearing on services to be provided by that member or any organization, which such member represents or that would provide direct financial benefit to such member or the immediate family of such member. d. WIB members and Youth Council members appointed by the Board shall comply with all requirements of State and Federal Law representing conflict of interest and financial disclosure, as applicable and as specified in the State Plan. Article IX. Removal of Members WIB members shall be removed by the City Council for cause upon the initiative of the City Council or upon consideration of removal recommendations from the WIB: a. For the member's violation of the Conflict of Interest Code or laws or failure to complete or declare applicable financial disclosure. 19F -253 Santa Ana Workforce Investment Board Bylaws Page 9 When the member ceases to be representative of the category for which appointment was made. For the member's failure to meet attendance requirements (Article IV., Sec. 7). d. For the member's refusal to report to or consult with the member's appointing authority. Article X. Reimbursement WIB members shall be reimbursed for their necessary and actual expenses incurred in the performance of their duties connected with the activities or responsibilities under the Act, State of California implementing legislation and/or Executive Orders in accordance with the approved travel and expense policy of the Workforce Investment System. Article XI. WIB Bylaw Adoption and Amendments to Bylaws According to Robert's Rules of Order, the Bylaws may be amended as follows: a) Previous notice, then a 2/3 vote of approval by those present and voting at the meeting; or b) If no previous notice, then a majority of the entire membership. "Previous notice" means that notice of the proposal to be brought up, at least briefly describing its substance, must be announced at the preceding meeting or must be included in the agenda that is distributed to all members of the organization a reasonable time in advance of the meeting. Article XII. Severabilitv Should any part, term, portion or provision of these Bylaws be decided to be in conflict with any law or otherwise unenforceable or ineffectual, the remaining parts, terms, portions or provisions shall be deemed severable and their validity shall not be affected thereby, provided such remaining portions or provisions can be construed in substance to constitute the provisions that the members intended to enact in the first instance. 19F -254 Santa Ana Workforce Investment Board Bylaws Page 10 Article XI 11. General Provision Nothing in these Bylaws shall be construed to take precedence over Federal, State or local laws or regulations or to constrain the rights or obligations of the City. Modified by W IB — March 12, 2010 (WIB BYLAWS 3 -10 revised by WIB) 19F -255 N_ H Z W 2 U I�- Q T 1 M T N N L CD E L O L a. 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C 'O C O +J C4 "= U O U Q = C 0 O 0 O U) -0 N C E O U E U .a) > N O E C j _0 m O co O m N N � O t O c'- O m m C C N O N cD >L co rn UCU U O >, C Q E (n Q C C C N U 'O O Y C M E > - N _ C O orn C C Q nf0 aO� C L Cl) cLL'O 0 co C O 3 L C O E '= cn �Y� >, c C: oE DoE O32 j dj 0 E [ U N �mLo .c C C O. E O O d a• a. N` ca C O N O) W CU m +_- f4 N n� [L -o Q 19F -265 M Ln 0 C) _ a> m co d Y N .0 m 0 C a) O c W cn m c 0 cn ca a) ca cn E O r a Ul)i of U*)l c cn N !I � � !! N L ° E -0 0 0 co 0 O U O cu C U O O 0— C >+ _ cu O cn ". >. L -0 W C U (A — N N a) " L O II ? 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C6 :3,— o cn (II a) U C a) (A m > > c N C . • > "_ a) L O _O CL yr C O to 0 w L CL 2 a) C cu L N L O Q� 0 (0 (4 Ca s J -0 U cu 4- L - t0 O CD �0 O-0 E O N N 7 L U O ._ gym° a)c f0 E N .S? •—E H Z H cl c 19F- r- 0 a� f0 a Y N_ A ATTACHMENT 13 WIA Local Plan Program Years 2013 -17 Program Administration Designee and Plan Signatures This local plan represents the Santa Ana Local Workforce Investment Board's efforts to maximize and coordinate resources available under Title I of the Workforce Investment Act (WIA) of 1998. This local plan is submitted for the period of July 1, 2013 through June 30, 2017 in accordance with the provisions of the WIA. Local Workforce Investment Board Chair Chief Local Elected Official Signature Lee McMurtray Name Chair, Santa Ana WIB Title August 6, 2013 Date Signature Miguel A. Pulido Name Mayor Title August 6, 2013 Date FWSD12 -14L Page 1 of 1 5113 19F -267 ATTACHMENT 14 WIA Local Plan Program Years 2013 -17 Public Comments Received that Disagree with the Local Plan Section 118(c) of the Workforce Investment Act requires Local Workforce Investment Boards (local boards) to publish their local plans for public comment. Local boards should include with their local plan submittal: • All comments that have been received that disagree with the local plan. • How the local board considered that input and its impact on the local plan. Please provide these comments in the following format: Public Comment (include section of plan commented on) 1. Local Board Response: 2. Local Board Response: 3. Local Board Response: FWSD12 -14M Page 1 of 1 5/13 G •l .•Ze-] Santa Ana Workforce Investment Board Results of the Phase III Return on Investment (R01): Calendar Year 2008 SOCIAL Sr INC,E RESEARCH CENTER S.SRC, APPLIED RESEAI'.CH IN THE UBLIC INTERET COLLEGE OF HUMANITIES AND SOCIAL ZIE ICES 19F -269 ML LI 4 1 VAN WORKFORCE VNIVESTMEAT BOARD Pa 0 l ��LI Table of Contents List of Tables and Figures............................................................................... ..............................3 List of Acronyms.............................................................................................. ..............................3 Acknowledgements .......................................................................................... ..............................4 Note ................................................................................................................... ..............................4 Executive Summary......................................................................................... ..............................5 1 Introduction........................................................................ ............................... .................6 1.1 Phase 1 ROI................................................................................ ..............................6 1.2 Phase 11 ROI............................................................................... ..............................6 1.3 Phase III ROI ............................................................................. ..............................7 2 Method .................................................................................................. ..............................8 2.1 Telephone Surveys ..................................................................... ..............................8 2.1.1 Baseline Survey, ......................................................................... ....... ......... 8 2.1.2 Follow -Up Survey .......................................................... ..............................9 2.2 Estimating Return on Investment .............................................. .............................10 2.2.1 Qualifying Cases from Survey Data for Use in ROI Analysis ...................10 2.2.2 Description of Benefits.................................................. .............................11 2.2.3 Estimation of Benefits................................................... .............................12 2.2.4 Cost Information ........................................................... .............................12 3 Results .................................................................................................. .............................13 3.1 Telephone Survey Respondent Demographics ......................... .............................13 3.1.1 Age and Gender............................................................. .............................13 3.1.2 Race/Ethnicity ............................................................... .........................•...14 3.1.3 Education.................................................... ............................... 19F -271 4 ............. .... 15 3.2 Patterns of Service Utilization .................................................. .............................16 3.2.1 During Quarter of Enrollment....................................... .............................14 3.2.2 Between End of Quarter of Registration and December 31 .......................15 3.3 Satisfaction with Services Received ......................................... .............................22 3.3.1 During Quarter of Enrollment ....................................... .............................20 3.3.2 Value Placed on WORK Center Services During Quarter of Registration..................................... .............................21 3.3.3 Between End of Quarter of Registration and December 31 .......................22 3.4 Return on Investment................................................................ .............................22 3.5 Returns Not Estimated .............................................................. .............................22 3.5.1 Receipt of Government Assistance at Baseline............. .............................23 3.5.2 Receipt of Government Assistance at Follow - Up...................................... 25 3.5.3 Physical and Mental Health Indicators at Baseline....... .............................26 3.5.4 Physical and Mental Health Indicators at Follow -Up ... .............................27 Conclusion ........................................................................................... .............................28 19F -272 Appendix A Technical Approach to Telephone Survey Data Collection .............................31 Appendix B Baseline Survey Instrument................................................... .............................34 Appendix C Follow -up Survey Instrument ................................................ .............................49 Appendix D Detail ofROI Calculations ..................................................... .............................64 19F -273 List of Tables and Figures Table 3 -1 Race/ Ethnicity of Survey Sample .................................................... .............................14 Table 3 -2 Comparison of all Santa Ana WORK Center Clients and rd Ur Survey Respondents for 3 and 4 Quarters .................................... .............................15 Table 3 -3 Educational Attainment of Survey Sample ...................................... .............................15 Figure 3 -1 Pattern of WORK Center Usage Across Quarters .......................... .............................16 Table 3 -4 Santa Ana WORK Center Service Utilization and Rating ............... .............................17 Table 3 -5 Santa Ana WORK Center Most Useful Services Rating .................. .............................18 Table 3 -6 Santa Ana WORK Center Service Utilization and Rating ............... .............................19 Table 3 -7 Santa Ana WORK Most Useful Services Rating ............................. .............................20 Figure 3 -2 Willingness to pay for WORK Center Services by Level of Satisfaction With Services................................................................................................ .............................21 Table 3 -8 Success in Finding Employment during 2008 Calendar Year ......... .............................22 Table 3 -9 Return on Investment ...................................................................... .............................23 Table 3 -10 Count of Baseline Respondents Receiving Public Support/ Assistance During Quarter of Enrollment .............................................................. .............................24 Table 3 -11 Count and Proportion of Baseline Respondents Receiving at Least One Form of Public Support/ Assistance During Quarter of Employment by Employment Status .......25 Table 3 -12 Count of Follow -Up Respondents Receiving Public Support Assistance Between Last Day of Quarter of Enrollment and End of the 2008 Calendar Year ..........................25 Figure 3 -13 Count and Proportion of Follow -Up Respondents Receiving at Least one Form Of Public Support/ Assistance During the Quarter of Enrollment by Employment Status ....26 Table 3 -14 Ratings of Physical and Mental Health Among Baseline Survey Respondents .......... 27 Table 3 -15 Ratings of Physical and Mental Health Among Follow -Up Survey Respondents ...... 28 19F -274 List of Acronyms AAPOR American Association of Public Opinion Research RR3 Rate Calculation Method 3 CATI Computer Assisted Telephone Interviewing ROI Return on Investment SSRC Social Science Research Center WIA Workforce Investment Act WIB Workforce Investment Board 19F -275 Acknowledgements We wish to thank Mr. Lee McMurtray, Chair of Santa Ana Workforce Investment Board for his continued support during the completion of this project and Ms. Stacey Sanchez, Chair of the Oversight and Data Committee for providing her guidance and insightful feedback on various drafts of the survey instruments and final report. A special thanks to the Mr. Dietz, former Chair of the Santa Ana Workforce Investment Board for his vision and guidance in the critical first stages of this study. This study would not have been possible without the diligent contributions of Ms. Fran Jutzi, WIB administrator who assisted the authors at every stage of the process. Finally, we would also like to thank Jaime Lopez and the members of the Santa Ana Workforce Investment Board, especially Rob Claudio, Orange County Deputy Division Chief for the California Employment Development Department (EDD) Workforce Services Branch and Dr. Erlinda Martinez, President of Santa Ana College for their input to the development of the survey questionnaire, their thoughtful comments on earlier drafts of this report. Note Ms. Laura Gil - Trejo, acting Director of the Social Science Research Center, is the principal investigator. Dr. Adrian R. Fleissig2 performed the ROI analysis. Dr. Gregory Robinson, former Director of the Social Science Research Center (SSRC), Cal State University Fullerton is responsible for developing the research design utilized to collect that data on which this report is based. Ms. Shelley N. Osborn, former acting Associate Director of the SSRC contributed to the development of the original survey questionnaire. Ms. Emily Otis, SSRC CATI project manager, oversaw data collection and assisted with data analysis. Ms. Gil -Trejo contributed to later versions of the telephone survey instrument, provided overall project supervision, and performed supplementary data analysis. Halfway through the completion of this study, the Santa Ana WORK Center transitioned from a "Universal Access model," where clients not enrolled in Workforce Investment Act programs (adults and dislocated workers) could avail themselves of the various services provided at their own discretion, to an "Integrated Model." The Integrated Model dictates that everyone who enrolls at the Santa Ana WORK Center participates in an assessment to determine their needs and receives individualized services tailored to meet those needs. Contact Information- lgil- trejo @fullerton.edu' Contact Information _. afleissig @fullerton.edu ' Contact Information —eotis @fullerton.edu 19F -276 Executive Summary The Return on Investment (ROI) for services provided by the Santa Ana WORK Center during the calendar year 2008 is estimated to be 147 %. This represents a significant ROT given the severe economic recession and increased costs incurred by the WORK Center. Specifically, in the Santa Ana- Anaheim - Irvine metropolitan division, the unemployment rate increased to 5.3% which is the highest since 1994 while non -farm employment declined by 2.0 %, the largest decline since 1991. Given the relatively high local. unemployment rate and decline in employment in year 2008, the ROI remains high even though it is lower than prior estimates. Additionally, the cost of providing services to WORK Center clients increased during the 2008 calendar year as a result of transitioning from a "Universal Access" model to an "Integrated" model halfway through the calendar year. The Integrated Model requires that everyone who enrolls at the WORK Center, participates in an assessment to determine their needs and receives individualized services tailored to meet those needs. This process is more costly than the "Universal Access" model where clients utilized services at their own discretion. The ROI was calculated from estimated benefits and costs for providing the integrated services. The estimated costs of providing services to Santa Ana WORK Center clients and operating the Center were provided by the WORK Center staff. The costs include personnel costs, operating expenses, overhead costs, fixed costs and other costs including sending participants to vocational schools for training. The estimated benefits are based upon data collected through a Telephone Survey conducted by the Social Science Research Center (SSRC) at CSU Fullerton. The Santa Ana Work Center furnished the SSRC with a database including contact information for 5,843 individuals who first registered as Santa Ana WORK Center clients during the 2008 calendar year. The SSRC administered the first of two telephone surveys at the end of each quarter to 400 clients randomly selected from this database. Individuals who registered to use the WORK Center during the first three quarters were surveyed again at the conclusion of the 2008 calendar year. Some important benefits from the WORK Center services provided to clients include (1) additional tax revenue from individuals who get a new job, (2) additional tax revenue from the businesses (and their owners and employees) patronized by these individuals, and (3) a reduction in public support received by WORK Center clients. The ROI estimate is conservative because there was insufficient data to estimate the third benefit of a reduction in public support because few survey respondents provided useable data and the amount was relatively small compared to all other benefits. 19F -277 I Introduction The City of Santa Ana was approved by the State of California as a Local Workforce Investment Area (LWIA) in 2000. The Santa Ana Workforce Investment Board (WIB) was appointed by the Santa Ana City Council. It consists of 35 members, the majority of whom are local, private sector business leaders. Members of the Board oversee Workforce Investment Act funds. The Santa Ana WORK Center was funded to operate as its comprehensive One -Stop center. In 2008, the Santa Ana WORK Center and its partners served between 1,463 and 1,500 clients every quarter, and over 5,900 new clients register to use its resources. To evaluate the benefits of the WORK Center from 2003 through 2008, three ROI studies were performed. L I Phase I ROI In 2003, members of the Santa Ana WIB expressed keen interest in evaluating the efficacy and benefit of WORK Center services, and in March 2004, the WIB procured and funded its first ROI study. This analysis focused solely on clients enrolled in Workforce Investment Act programs (adults and dislocated workers) during program year (PY) 2002- 2003. This clients group comprised only five percent of the Santa Ana WORK Center clients. The first ROI was restricted to this clients group because they were case - managed by the WORK Center and the funds expended to serve them were easily documented. Additionally, the Santa Ana WIB had access to their pre- and post -WIA participation employment status. This first ROI study (henceforth referred to as the Phase I ROI study) was conducted by Dr. Thomas Turk and Dr. Cristina M. Giannoantonio of the Argyros School of Business and Economics at Chapman University. The results of this study were very encouraging. The ROI for services provided by the WORK Center to Universal Access Clients during the PY 02 -03 is estimated to be between 272 % - 329 %. 1.2 Phase II ROI Impressed and encouraged by these results, the Santa Ana WIB sought next to conduct an ROI study focusing upon the other 95% of the persons utilizing the Santa Ana WORK Center. In August 2005, the board authorized a Phase II ROI study to investigate the return to the government on its investment in serving Universal Access clients for PY 03 -04. A competitive request for proposals was released, and a contract was subsequently awarded to the Social Science Research Center (SSRC) at California State University, Fullerton. In contrast to the Phase I ROT study, employment and wage data for this study was to be provided directly by the clients. After executing a confidentiality agreement, the Santa Ana WORK Center provided a database consisting of the names, addresses, and telephone numbers of 4,834 Universal Access clients who used the Santa Ana WORK Center during PY 03 -04. 19F -278 Turk, T. and Giannantonio, C. M., "Return on Investment Report. Program Year 2002 - 2003." June 2004. 19F -279 These data comprise the sample frame from which the SSRC selected a random sample to The ROI for services provided by the Santa Ana WORK. Center to Universal Access Clients during PY 03 -04 is estimated to be 473 %5. conduct the present ROY. 1.3 Phase III ROI In 2007, the Santa Ana WIB contracted with the Social Science Research Center to conduct it's third ROI study for the 2008 Calendar Year. The phase III ROI study differed f -om the Phase II ROI in three important aspects. The first was in the research methodology employed. In the Phase II ROI, the telephone survey was administered to a sample of Universal Access clients at the conclusion of the project year, regardless of when they enrolled for services. Utilizing this design, the period of recall for respondents who enrolled at the Santa Ana WORK Center on the first day of the fiscal year would be a little more than 12 months. In other words, these individuals were being asked to recall their work history for an entire year, possibly reducing the accuracy of the data obtained. In order to reduce the bias inherent when utilizing a 12 month period of recall, a sample of Sana Ana WORK Center clients were surveyed on a quarterly basis for the ROI III. At the conclusion of each quarter, the Santa Ana WIB furnished the SSRC with a list of unique enrollees, which then constituted the sample frame from which a random sample was contacted for baseline survey completion. Utilizing this design, the period of recall was reduced to four months, which was assumed would yield more accurate data. In order to obtain employment outcomes for the entire 2008 Calendar Year, respondents who enrolled at the Santa Ana WORK Center in the first through third quarters were re- contacted in January of 2009 for a follow -up survey. The follow -up survey assessed employment outcomes from the time the first survey was completed until x December 31 , 2008. Because the sample of fourth quarter enrollees completed the baseline survey in December of 2008, there was no need for them to be recontacted for follow -up. The second difference is in the way the period under investigation is defined. In contrast to the Phase II ROI where the period under investigation was the PY 2003 -2004 (From July 1�. 2003 to June 30 ", 2004); the Phase III ROI examines the 2008 Calendar Year (January IM 2008 to December 31 , 2008). The last difference is in the way services were delivered during the 2008 Calendar Year. Halfway through the 2008 Calendar Year, the Santa Ana WORK Center trarsitioned i om a "Universal Access model," where clients not enrolled in Workforce Investment Act programs (adults and dislocated workers) could avail themselves of the various services provided at their own discretion, to an "Integrated Services Model." The Integrated Model dictates that everyone who enrolls at the Santa Ana WORK Center participates in an assessment to determine their The confidence interval for this estimate is ±5.72 %. This means that within the constraints of the procedures utilized to calculate the ROI in Phase II. We are 95% confident that the actual ROI (the results one would obtain if all 4,834 Universal Access clients were surveyed) falls between 446% and 500 %. 19F -281 needs and receives individualized services tailored to meet those needs. The costs associated with an "Integrated Model" are undoubtedly higher than those associated with the "Universal Access Model." Phase III of the ROI was conducted by Dr. Adrian R. Fleissig of the College of Business and Economics at California State University, Fullerton. The Phase III of the ROI covers the calendar year 2008 when the U.S. economy was in a severe economic recession. In addition, the costs of delivering services to Santa Ana WORK Center increased as a result of transitioning to an "Integrated Services Model." There was also a severe economic slowdown in California resulting in higher unemployment, significantly fewer jobs available, considerable layoffs and lower paying jobs. Given that there were generally fewer jobs available and many jobs paid lower wages, the tax revenue benefits from the Santa Ana WORK Center was expected to decline, while the costs of providing services increased. In addition, the economic multiplier was set to a lower value of 1.3 compared the 1.6 value used in calculating the Phase 1I ROI. During the calendar year 2008, the estimated ROI was 147 %. The ROI for services provided by the Santa Ana WORK Center to clients during the calendar year 2008 is estimated to be 147 %. 2 Method 2.1 Telephone Surveys 2. 1.1 Baseline Sun the first and second quarter baseline telephone surveys, the sample frame was obtained by accessing the user profiles on the www.santaanaworkeenter.org website. The sample frame for the first quarter included contact and demographic information for all 1,615 individuals who registered at the Santa Ana WORK Center between January 1 and March 31, 2008. From the 1,615 registered individuals, 245 (15.2 %) were randomly chosen to be contacted for survey completion. The second quarter sample frame included the same information for the 1,347 Santa Ana WORK Center clients that registered between April 1 and June 30, 2008, of which 239 (17.7 %) were randomly chosen to be contacted for survey completion. The sample frame for the third and fourth quarter baseline telephone surveys was provided directly to the SSRC by the Santa Ana'WORK Center, and 'included contact and demographic information for all Santa Ana WORK Center clients who registered during that time period. The third quarter sample frame consisted of the 1,531 people who registered at the Santa Ana WORK Center between July 1 and September 30, 2008, of which181 (12.3 %) were randomly chosen for inclusion in the study. For the fourth quarter, 197 of the 1,350 people who registered to use the Santa Ana WORK Center between October 1 and December 31, 2008 19F -282 (14.6 %) were randomly chosen to be contacted for participation in the survey. 19F -283 Interviews were conducted between 4:00 pm and 9:00 pm local time Monday through Thursday, and between 11:00 am and 7:00 pm local time Saturday and Sunday. A total of 3,915 individual dial. attempts were made to 862 randomly selected telephone numbers to complete 400 interviews. Within households, interviewers asked to speak with the listed contact person that had visited the Santa Ana WORK Center during the quarter of reference. Once on the phone, interviewers elicited informed consent to participate in the research, then administered the questionnaire or scheduled a call -back. A detailed explanation of the technical approach to data collection is provided in Appendix A. The largest proportion of baseline interviews were completed on the first call attempt (n= 154, 38.5 %). Ninety -one surveys (22.8 %) were completed on the second attempt, 50 (12.5 %) on the third, 3 7 (9.3 %) on the fourth, and 20 (5.0 %) on the fifth attempt. Another 48 (12.0 %) records required six or more attempts, with as many as 17 attempts being made before a survey was completed. The response rate for the baseline survey, calculated using the American Association of Public Opinion Research (AAPOR) RR3 formula, is 72.2 %. This is an excellent outcome for a study of this nature, promoting confidence in the generalizeability of sample results to the entire population of Santa Ana WORK Center clients that visited the Center during the calendar year. Utilizing the listed sample frame described above, the SSRC completed 400 telephone interviews with Santa Ana WORK Center clients, 237 (59.3 %) in English and 163 (40.8 %) in Spanish. The baseline survey instrument was constructed by the principal investigators in collaboration with Santa Ana Workforce Investment Board, WIB Oversight and Data Committee members, and WIB and Santa Ana WORK Center staff, and is reproduced in Appendix B. 2.1.2 Follow -Up Survey The sample frame for the follow -up survey consisted of all 300 Santa Ana WORK Center clients who had completed a baseline telephone survey for the first, second, or third quarter of 2008. The purpose of the follow -up survey was to assess whether respondents' work status had changed between the end of the quarter in which they registered and the end of 2008. As such, fourth quarter respondents were not included in the follow -up survey, since their experiences during this through December 31, 2008 were already recorded in their baseline surveys. A total of 2,071 dial attempts were made to these 300 phone numbers to complete 192 surveys, 112 of which were conducted in English (58.3 %), and 80 of which were conducted in Spanish (41.7 %). The protocol for data collection was the same as described for the baseline survey. The follow -up survey instrument, wliicli varied slightly from the baseline survey, was also constructed by the principal investigators in collaboration with Santa Ana Workforce Investment Board, WIB Oversight and Data Committee members, and WIB and Santa Ana WORK Center staff, and is reproduced in Appendix C. 19F -284 More than one -third of the follow -up surveys were completed on the first attempt (n= 66, 34.4 %), 38 (19.8 %) were completed on the second attempt, 17 (8.9 %) on the third, 15 (7.8 %) on the fourth, and 7 (3.6 %) on the fifth attempt. Another 49 (25.5 %) required between six and 33 attempts to obtain a completed survey. In total, follow -up surveys were completed with 192 of the 300 (64.0 %) respondents sampled during the first three quarters. The fact that only 62% of previously surveyed respondents participated in the follow -up survey is indicative of the transitory residential situation characteristic of Santa Ana WORK Center clients. A significant proportion of Santa Ana WORK Center clients who completed the baseline telephone survey had changed residences at follow -up. 2.2 Estimating Return. on Investment The Return on Investment (ROI) is usually calculated as the ratio of the benefits of the service to the costs of providing the service (Benefits /Costs). In this study, the ROI for the Santa Ana WORK Center was estimated on the basis of benefits and costs associated with the sample of clients that completed telephone surveys. The `Benefits' in this calculation are taken to be economic benefits derived by the government as a result of the services provided by the Santa Ana WORK Center from January 1, 2008 through December 31, 2008. There are three such benefits: Total additional tax revenue from individuals who got a new job 2 Total additional tax revenue from the businesses (and their owners and employees) patronized by these individuals as their income, and consequently their spending increased 3 Total reduction in public support received by Santa Ana WORK Center clients who got a job or a new job. Because it is possible that an individual's income from a new job may have been less than their previous job, the total benefit in each of the three categories above is net of the total positives and total negatives per category. The `Costs' in the calculation are costs incurred by the Santa Ana WORK Center during the period of January 1, 2008 through December 31, 2008 for providing services to clients. Estimation of benefits and costs is detailed in the sub - sections below. 2.2.1 Qualifying Cases from Survey Data for Use in ROI Analysis The following information collected during the telephone -survey was used in the ROI calculations: 1 Whether the respondent was employed on January 1, 2008. 2 Whether the respondent became employed or found another job during calendar year 19F -285 2008. 3 The earnings of a respondent who found a new job. 4 The difference between a respondent's income from taking a new job compared to the previous job. 5 The start date of a new job of the respondent. 6 The length of time that the respondent worked at the new job. Data from the sample of the 400 respondents were used to estimate any information for which an individual failed to provide sufficient information. 2.2.2 Description of Benefits We now discuss the three benefits listed in section 2.2.1. Additional Tax Revenue from Santa Ana WORK Center Clients — When a Santa Ana WORK Center client got a new job during the study period, their income changed. For survey respondents who were previously unemployed and find a job, there is an increase in income. For respondents who previously had a job and then moved to a new job, their income may have increased, decreased, or stayed the same. An increase in income leads to an increase in taxes paid. However, when the new job pays less than the previous job, the individual's income decreases which causes a decline in tax revenue. The total additional tax revenue collected by the government is the overall net increase or decrease in taxes paid due to a change in income. Additional Tax Revenue from the Community — Finding a new job can increase, decrease or leave income unchanged. When a respondent's income increases (or decreases), they spend more (less) on purchasing taxable goods and services. These purchases provide increased (reduced) income to the community providing those goods and services. This change in the total income of the community results in a change in the taxes paid to the government by the community. The total additional tax revenue collected by the government is the overall net increase in the taxes paid by the community due to a change in the income of Santa Ana WORK Center clients based on the telephone survey. Reduction in Government Support — Finding a new job can also lead to a reduction in government support received by respondents whose income increases due to a new job. This reduction in support may be due to an individual no longer requiring a form of government assistance or a change in eligibility status. In contrast, a decrease in income could lead to an increase in government support provided. The overall net decrease in aid provided by the govermnent is a benefit to the government. Survey results describing reductions in government support associated with utilization of Santa Work Center services are provided in Section 3.4 Returns not Estimated. 19F -287 2.2.3 Estimation of Benefits A conservative approach was used to estimate benefits. For respondents who failed to provide sufficient information, the data used from the sample of respondents is unlikely to result in an overestimate of benefits. In keeping with this conservative approach, reduction in government support was not included in the calculation of overall benefits because the information provided by respondents on this topic was scant. Each of the remaining two benefits was calculated individually for each qualified case (survey respondent). The benefits were then summed across all qualified cases to calculate the total benefits. The general procedure for calculating each of the benefits (excluding the benefit from reduction in public support) from the sample of Santa Ana WORK Center clients is discussed below and the detailed calculation procedure is provided in Appendix D. Additional Tax Revenue from Santa Ana WORK Center Clients — This tax revenue comes from four sources: • Payroll Tax • Federal Income Tax • State Income Tax • Sales Tax The tax rate data provided in the Phase I and Phase II ROI studies was utilized here. Sales tax was applied to the fraction of the annual income estimated as spent on taxable goods and services. Additional tax revenue was calculated by subtracting the tax revenue from income from the previous job (zero for those respondents who were unemployed) from tax revenue from income from new job. Additional Tax Revenue from the Community — The change in the income of the community due to change in income of Santa Ana WORK Center clients was estimated using an income multiplier. The Phase I ROI study estimated the value of the income multiplier to lie between 1.6 and 2.0. For the Phase II RO1, the lower bound of 1.6 was used. This means that the change in the income of the community was 60% of the amount of change in Santa Ana WORK Center clients' incomes. Ilowever, since the U.S. economy has been in a severe economic recession since December 2007, many firms have laid off workers resulting in higher unemployment. In addition, there are significantly fewer jobs available. As a result, consumer spending has fallen significantly so that the income multipliers used in the previous ROI studies are no longer valid and would provide an overestimate of the income of the community. Consequently, for the Phase III ROI, the income multiplier was set to 1.3. The G •l NO-19.] additional tax revenue from the community was then calculated using the same four tax revenue sources previously mentioned. l�'J�ep] The income tax rates applied to the community differ compared to the income tax rates used for clients. Tax rate data was also carried forward from the Phase I and Phase II ROI studies. 2.2.4 Costs Information The Santa Ana WORK Center is a comprehensive One -Stop center that operates in conjunction with its partners to provide a variety of services to its clients. The Santa Ana WORK Center partners that contribute funds to serve clients are: • City of Santa Ana/ WIA funded programs • Employment Development Department • Social Service Agency • Goodwill Industry • Santa Ana College Only a portion of the funds contributed by each partner is used to provide Santa Ana 6 WORK Center services. Using standard guidelines, the Santa Ana WORK Center staff isolated each partner's fair share of allocable costs that were incurred to provide services during calendar year 2008. These costs were then prorated to the size of the survey sample before inclusion in the analysis. 3 Results 3.1 Telephone Survey Respondent Demographics 3. 1.1 Age and Gender The age of the random sample of 400 Santa Ana WORK Center clients responding to the baseline telephone survey ranges from 18 years (n= 9, 2.3 %) to 76 years (n= 1, 0.3 %). The average age is 41.36 years and the median age (the point in the distribution above which and below which half the scores fall) is 43 years of age. Sixteen respondents (4.0 %) declined to state their age. Respondent age at baseline is not related to the quarter in which they enrolled. Two hundred and thirty-four baseline respondents are male (58.5 %) and 164 (41.0 %) female. The gender of three respondents could not be determined by name and voice alone (0.5 %). Respondent gender is not related to the quarter in which they enrolled. 6 The WORK Center Staff used the following guidelines to estimate costs: 19F -290 • Federal Register, 66 (105), May 31, 2001. US Department of Labor, Employment and Training Administration. • "One -Stop Comprehensive Management Technical flssistance Guide," US Department of Labor, Employment and Training Administration, October 2001. 19F -291 Among the 300 1 through 3 quarter enrollees who completed a baseline survey, those who completed a follow -up survey did not differ from those who did not with regard to age and gender. 3.1.2 Race /Ethnicity As depicted in Table 3 -1, nearly three - quarters of baseline respondents (n= 290, 74.2 %) are Hispanic/ Latino. Eight respondents (2.0 %) report their race or ethnicity as "other," and of these, five described themselves as being of mixed race, two as "Middle Eastern," and one individual as "Cherokee." Nine respondents refused to provide information regarding their race or ethnicity and are omitted from the total. A significantly larger proportion of survey th respondents in the 4 quarter self - identify as Caucasian/ White (n= 26; 26.5 %) than those in the lri(n= 11; 11.5 %), 2 "d (n= 13; 13.3°/x), and 3RD (n= 12; 12.1 %) quarters; X (12, N= 39 1) _ 24.5,p <.05. n rd Among the 300 1 through 3 quarter enrollees who completed a baseline survey, those who completed a follow -up survey did not differ from those who did not with regard to race/ ethnicity. Center during the third and fourth quarters of 2008 with the race /ethnicity of survey completers for those quarters. Hispanic/Latino Santa Ana WORK Center clients are more heavily represented among survey completers than among the total population of users, while African Americans and individuals of "Other" racial/ethnic groups are underrepresented among survey completers. Racial/ethnic data is currently unavailable for Santa Ana WORK Center clients who registered during the first and second quarters, therefore no comparison can be made. 19F -292 purvey Sam le» Raee/ Ethnici Count Peireenta, Latino/ Hispanic 290 74.2% Table 3 -2 Caucasian/ White 62 15.9% compares the Asian/ Pacific Islander 21 5.4% race /ethnicity Black/ African American 10 2.6% of all Santa Other 8 2.0% Ana WORK Center clients Total 391 100.0% a. Results from the random sample of 400 respondents b. Nine who individuals refused to provide race/ethnicity information. registered at the Santa Ana WORK Center during the third and fourth quarters of 2008 with the race /ethnicity of survey completers for those quarters. Hispanic/Latino Santa Ana WORK Center clients are more heavily represented among survey completers than among the total population of users, while African Americans and individuals of "Other" racial/ethnic groups are underrepresented among survey completers. Racial/ethnic data is currently unavailable for Santa Ana WORK Center clients who registered during the first and second quarters, therefore no comparison can be made. 19F -292 Table 3 -2 Comparison of all Santa Ana WORK Center Clients and Survey rd th Respondents for 3 and 4 Quarters Caucasian or White 618 21.5% 38 19.3% Asian or Pacific Islander 191 J 6.6% 10 5.1% Black or African American 163 5.7% 2 1.0% Other 56 2.0% 1 0.5% Total 2,880 100.0% 197 100.0% a. Results from sample frame of all 2,880 Santa Ana WORK Center clients who registered during the third or fourth quarters. b. Three individuals refused to provide race /ethnicity information. 16.7% (n= 66) completed a degree or certificate program after high school. Educational attainment did not differ significantly between quarters. Among the 300 1 through 3 quarter enrollees who completed a baseline survey, those who completed a follow -up survey did not differ from those who did not with regard to educational attainment. Table 3 -3 Educational Attainment of Survey Sample Cate o Coun# ` Percent Less than 8th Grade 76 19.2 %° Between 8d, and 11th Grade 66 16.7% High School Education or GED 91 23.0% Some College, No Degree 96 24.3% AA or Trade School Degree or Certificate 40 10.1% Bachelor's Degree 17 4.3% Graduate or Professional De ree 9 2.3% Total 395 100.0 a. Results from the random sample of 400 respondents. Five individuals refused to provide educational attainment information. 19F -293 3.2 Patterns of Service Utilization 3.2.1 Patterns of Service Utilization During Quarter of Registration The majority of Santa Ana WORK Center clients who provided a response characterize their pattern of attendance during the quarter in which they registered to use the WORK. Center as "concentrated within a short period of time" (n= 228; 58.9 %) and 159 (41.1 %) indicated that their visits were, "scattered throughout the three -month period." Thirteen individuals declined to provide a response. While the majority proportion of respondents report utilizing Santa Ana WORK Center services within a concentrated period of time, this is not true of ti respondents who enrolled during the 3 quarter. As can be seen in Figure 3 -1, the proportion of respondents in the third quarter who report using Santa Ana WORK Center services "Scattered throughout the three month period" and "Concentrated within a short period of time" is roughly equivalent. 0 19F -294 19F -295 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter Scattered Throughout Three Month Period AConcentrated Within a Short Period of Time Baseline survey respondents report visiting the Santa Ana WORK Center between one and 60 times during the quarter they were enrolled. The mean number of visits made to the Santa Ana WORK Center during the quarter of enrollment is 4.76 times, and the median is 3.00. The mean SSRC, CSUFtrllerton 16 Figure 3 -1 Pattern of WORK Center Usage Aceross Quarters 68.0% { 62.4% 51.0% 56.6% 1 37.6% 49.0% 43.4% 19F -296 number of times that clients visited the center during the quarter differed significantly depending upon their quarter of registration. Clients who registered during the first and second quarters visited the Santa Ana WORK Center an average of 3.79 and 3.37 times respectively during the quarter, whereas clients who registered during the third quarter visited an average of 6.28 times during the quarter, and fourth quarter registrants visited 5.53 times during the quarter, on average; F(3, 393) = 4.99, p < .01. To determine which services were utilized by Santa Ana WORK Center clients, and to assess the frequency of service utilization, nine specific services were listed by interviewers, and respondents were asked whether they had, "Never used this service," used it, "Only once or twice," "Three or four times," or "Five or more times." The number of respondents who reported using each service at least once at the time of the baseline survey is reported in Table 3 4. To calculate a conservative estimate of the number of times each service was utilized by respondents in the survey sample, the number of respondents endorsing "Only once or twice" was multiplied by 1.5, the number reporting "Three or four times" by 3.5, and the number of clients saying they'd used a service "Five or more times" was multiplied by six. These sums are reported in the "Projected Number of Uses" column in Table 3 -4. As can be seen in Table 3 -4 one -on -one assistance preparing a resume is the most frequently used service at the Santa Ana WORK Center during the 2008 calendar year, with the largest proportion of survey respondents utilizing this service at least one and the largest number of projected uses. Integrated Services Number of Clients Projected Number of Vt es Coun# Percent Count' Received one -on -one help preparing a resume 304 76.2% 1,269 Used computers to search for jobs on the internet 294 73.5% 1,062 Review job postings on the Job Order Board 278 70.2% 1,121 Received one -on -one counseling 262 64.7% 299 Used telephones or office equipment 185 46.3% 894 Attended a Job Search Workshop 158 39.8% 921 Used computers to send or check emails 156 39.2% 774 Attended on -site job interviews or job fairs 144 36.0% 902 Received assistance with an unemployment insurance claim 1.1.3 28.5% 839 "Other" 165 41.7% 620 a. Results from the random sample of 400 baseline respondents. Individuals who did not recall whether they had used a service are not included in the percentage calculation. Table 3 -4 Santa Ana WORK Center Service Utilization and Rating 19F -297 CATI was programmed to display the list of services each respondent had used, and after reading this list, interviewers asked, "Which of the services you used during that time period were most helpful ?" Survey respondents endorsed one (n =240, 67.2 %), two (n =84, 23.5 %), or three or more services (n =33, 9.2 %), as "Most helpful." Another forty -three respondents did not name the service that they found to be most helpful. Table 3 -5 depicts the ratio of respondents who indicate that each service was "Most helpful" to the total number who also used it and provided a response. "Using the Internet to search for jobs" and "One -on -one help preparing a resume" were rated as the most helpful services by the highest proportions of survey respondents. Santa Ana WORK Center between the end of the quarter during which they registered and December 31, 2008 as "Scattered throughout the period," while 54 (29.7 %) indicate that their visits were "Concentrated within a short period of time." Fifty -eight (31.8 %) did not visit the Santa Ana WORK Center during that time. This distribution in the pattern of services utilized did not differ by quarter of enrollment. Ten individuals declined to give a response to this item. Follow -up survey respondents used the Santa Ana WORK Center from one (n= 22, to 90 times between the end of the quarter of their registration and the end of the year, with a mean number of visits of 7.46 times and a median of three. Those who registered during the G •l 4.qq,] Nu�er iDf.Ctieis" Ri kd ll teg�- d.9 5er as LTaed service Per+eent MQSt ' Hel ful . Used co§Nmd &' mitcjobs atthm erpohdents charact ize th@7 battern 6f attelighnce at the55.7% Received one -on -one help preparing a resume 272 131 48.2% Received one -on -one counseling 155 50 32.3% Used computers to send or check emails 143 44 30.8% Attended a Job Search Workshop 145 1 26 17.9% Review job postings on the Job Order Board 258 40 Used telephones or office equipment 174 20 11.5% Received assistance with an unemployment insurance claim 103 10 9.7% Attended on -site job interviews or job fairs 135 10 7.4% "Other" 20 6 30.0% a. Results from the random sample of 400 baseline respondents. Forty -three respondents did not name a "most helpful" service, and are not included in this table. Santa Ana WORK Center between the end of the quarter during which they registered and December 31, 2008 as "Scattered throughout the period," while 54 (29.7 %) indicate that their visits were "Concentrated within a short period of time." Fifty -eight (31.8 %) did not visit the Santa Ana WORK Center during that time. This distribution in the pattern of services utilized did not differ by quarter of enrollment. Ten individuals declined to give a response to this item. Follow -up survey respondents used the Santa Ana WORK Center from one (n= 22, to 90 times between the end of the quarter of their registration and the end of the year, with a mean number of visits of 7.46 times and a median of three. Those who registered during the G •l 4.qq,] third quarter averaged the most visits (M— 8.20) during this time, second quarter clients logged fewer visits (M -- 7.49), and first quarter clients the fewest of all (M= 4.19). However, these differences are not statistically significant. 19F -299 Table 3 -6 presents the number of follow -up survey respondents who visited the Santa Ana WORK Center between the end of their quarter of registration and December 31, 2008, and reported using each service at least once, along with the projected number of uses among these individuals for each service. Consistent with the findings observed at baseline, one -on- one help preparing a resume is the service utilized by the majority of Santa Ana WORK Center Clients who were surveyed. Table 3 -6 Santa Ana WORK Center Service Utilization and Rating Follow -up survey respondents were also asked which of the services they utilized between the end of their quarter of registration and December 31 they found to be "most helpful." Respondents named one (n =69, 56.6 %), two (n =28, 23.0%), or three or more services (n =25, 20.5 %), as "Most helpful." Another twenty -four respondents who used the Santa Ana WORK Center during this time period did not name the service that they found to be most helpful. Table 3 -5 depicts the ratio of respondents who indicate that each service was "Most helpful" to the total number who used it and provided a response. "Using the Internet to search for jobs" and "oneon -one help preparing a resume" were rated as the most helpful services by the highest proportion of survey respondents. Projected Number of Clients Nu»nber In #egrnted Services 4f Uses Count Percent Count Received one -on -one help preparing a resume 119 82.1 % 232 Used computers to search for jobs on the internet 155 80.4% 421 Review job postings on the Job Order Board 107 73.8% 379 Used telephones or office equipment 82 56.6% 268 Used computers to send or check emails 68 47.2% 253 Attended on -site job interviews or job fairs 61 42.4% 152 Received assistance with an unemployment insurance claim 60 41.4% 107 Received one -on -one counseling 53 36.8% 104 Attended a Job Search Workshop 53 36.6% 136 "Other" 12 8.3% 44 a. Results from 146 follow -up respondents who reported using at least one service. Individuals who did not recall whether they had used a service are not included in the percentage calculations. Center during this time period did not name the service that they found to be most helpful. Table 3 -5 depicts the ratio of respondents who indicate that each service was "Most helpful" to the total number who used it and provided a response. "Using the Internet to search for jobs" and "oneon -one help preparing a resume" were rated as the most helpful services by the highest proportion of survey respondents. Table 3 -7 Santa Ana WORK Center Most Useful Service Rating Received one -on -one help preparing a resume 103 61 59.2% Used computers to search for jobs on the internet 105 56 53.3% Used computers to send or check emails 64 21 32.8% Received one -on -one counseling 49 16 32.7% Used telephones or office equipment 74 22 29.7% Received assistance with an unemployment insurance claim 53 12 22.6% Review job postings on the Job Order Board 93 18 19.4% Attended on -site job interviews or job fairs 54 8 14.$% Attended a Job Search Workshop 46 3 6.5% "Other" 12 3 25.0% a. Results from 192 follow -up survey respondents. 3.3 Satisfaction with Services Received 3.3.1 Satisfaction with Services Received During Quarter of Registration Telephone respondents rated their level of satisfaction with the services they received at the WORK Center during the quarter that they enrolled on a scale from one to four where 1= "Not at all satisfied" to 4= "Very satisfied." The majority of Santa Ana WORK Center clients who provided a response indicate that they were "Very satisfied" with the services they received at the WORK Center during the quarter in which they registered (n= 226; 58.0 %). Another 31.6% (n= 125) report being "Somewhat satisfied" with these services. Nearly 10% report being either "Somewhat dissatisfied" (n= 21; 5.3 %) or "Not at all satisfied" (n= 20; 5.1 %). Five survey respondents declined to provide an answer to this item. Treating this item as a continuous variable, the mean satisfaction rating is a 3.43, less than halfway between "Very satisfied" and "Somewhat satisfied." Respondent level of satisfaction is not related to quarter of enrollment, the pattern of service utilization, or the mean number of times the WORK Center was visited. 19F -301 3.3.2 Value Placed on WORK Center Services During Quarter of Registration In order to assess the monetary value WORK Center clients place on the services they received, an item on the baseline survey inquired "We want to ensure you that the Santa Ana WORK Center will continue to provide their services free of charge. Had there been a charge for the services, though, would you have paid for them ?" Slightly more than four in ten survey respondents (n= 158; 40.6 %) indicate that they would be willing to pay for services provided by the WORK Center. Willingness to pay for WORK Center services was unrelated to quarter of enrollment, the pattern of service utilization, or the mean number of times the WORK Center was visited. Willingness to pay for services was, however, positively related to level of satisfaction with the services received. As illustrated in Figure 3 -2, more than half of survey respondents who were "Very satisfied" with the services received at the WORK center, would be willing to pay for services (n= 114; 51.4 %). In stark contrast, only 5% of those who report being "Not at all satisfied" would do the same. This relationship is 2 statistically significant; x (3, N= 384) 31.4,p <.001. Figure 3 -2. Willingness to pay for WORK Center Services by Level of Satisfaction wit] 60% Services 50% 51.4% 40% 31.4 % 30% 14.3% 20% 5.0% 10% 0% Not at all Satisfied Somewhat Unsatisfied Somewhat Satisfied Very Satisfied Of the 158 WORK Center clients who indicated they would have paid for the services they received, 111 (70 %) provided information on how much they would have paid. Thirty -five 19F -302 respondents specified an hourly rate they would be willing to pay for WORK Center services that ranged from $1.00 per hour to $30.00 per hour, with a mean rate of $8.90 per hour. Sixty -nine survey respondents specified a fixed fee they would be willing to pay for Center services that ranged from $1.00 to $250.00, with a mean of $26.42. Seven survey respondents reported what percent of their annual salary they would be willing to pay for WORK Center services. One of these seven respondents reports that they would be willing to pay 1% of their annual salary; four indicate they would be willing to pay 5 %, and one indicates the willingness to pay 10% of their annual salary for WORK Center services 19F -303 3.3.3 Satisfaction with Services Received Between End of Quarter of Registration and December 31 Recall that 124 of WORK Center clients who had enrolled at the Santa Ana WORK Center during the first, second, or third quarter of 2008 had visited the Center again at Ieast once between the last day of the quarter they enrolled and December 31 2008. More than half of these respondents report being "Very satisfied" with the services they received (n= 62; 51.2 %) and another 43.8% (n =53) indicate being "Somewhat satisfied." Five percent indicate either being "Somewhat dissatisfied" (n = 4; 3.3 %) or "Very dissatisfied" (n= 2; 1.7 %). Three individuals declined to rate their level of satisfaction with the services received and the WORK Center. Again, treating this item as a continuous variable, the mean satisfaction rating is a 3.45, less than halfway between "Very satisfied" and "Somewhat satisfied." Consistent with baseline findings, respondent level of satisfaction is not related to quarter of enrollment, the pattern of service utilization, or the mean number of times the WORK Center was visited. Survey respondents were not asked to indicate whether and how much they would be willing to pay for WORK Center services during the follow -up survey. 3.4 Return on Investment Table 3 -8 shows how the random sample of 400 Santa Ana Santa Ana WORK Center clients that used Santa Ana WORK Center services during calendar year 2008 and answered questions on employment. Table 3 -8 Success in Finding Employment in Calendar Year 2008 19F -304 Found Not Find Don't Refused Total Job;' Job Know Employed as of the 5113% 8120% 00% 00% 13233% First Day of the Quarter Enrolled Not Employed as of 9724% 16842% 21% 10% 26867% the First Day of the Quarter Enrolled Don't Know -- -- -- -- -- Refused to Answer -- -- -- -- -- Total 1 14837% 25062% 21% 10% 400100% 19F -304 The total number of respondents that found employment or another job during calendar year 2008 is 148 which is 37% of the sample. There were 250 (62 %) respondents who did not find a job during the calendar year 2008. Two people did not know if they were employed and one person refused to answer. Our analysis estimates that the Santa Ana WORK Center integrated services provided an ROI of 146.7 %. The breakdown of estimated benefits and costs for the survey sample of 400 is provided in Table 3 -9. Table 3 -9 Return on Investment A Benefits (for survey sample of 400) Additional Tax Revenue from Santa Ana WORK Center Clients (Found Employment) $170,830 Additional Tax Revenue from Santa Ana WORK Center Clients (Found Another Job) $11,436 Additional Tax Revenue from the Community $83,049 Total Benefits $265,315 Costs of Providing Service (prorated for survey sample of 400) Total Costs $180,843 Retarnion Investment 146.7 %" a Tax revenue data are estimated from the sample of 400 respondents. Costs were provided by Santa Ana Workforce Investment Board staff. 3.5 Returns not Estimated 3.5.1 Receipt of Government Assistance at Baseline Baseline survey respondents indicated whether they had received support from each of nine public assistance programs listed in Table 3 -10 during the quarter in which they had enrolled. One hundred and eighty eight (47.6 %) respondents indicate not having received support from any of the nine public assistance programs, 156 (39.5 %) report receiving support from one, 35 (8.9 %) from two, and 16 (4.1 %) from three or more public assistance programs listed in Table 3 10. As can be seen in Table 3 -10, among those who report receiving at least one form of aid during the quarter they were enrolled (n =207), the largest proportion were receiving unemployment insurance (76.8 %). 19F -305 Table 3 -10 Count of Baseline Respondents Receiving Public Support/ Assistance during the Quarter of Enrollment In 1'ablic support Program . a ugents ` Con�t } ..... .......... Unemployment Insurance 159 Food Stamps 35 Medi -Cal (Cal Optima) 31 WIC Program 22 i Ca1WORKS or Welfare to Work 18 a Medicare 7 Section 8 or HUD Housing/ Military housing 3 Child care Assistance 3 Disabilitv Insurance 1 a. Results from 207 baseline respondents who report receiving at least one form of public assistance b. Because 51 respondents report receiving more than one form of public assistance, the sum of the percentages in this Table exceeds 100, and are not at the beginning of the quarter, and found another job, 2) Employed at the beginning of the quarter, but did not find a new job, 3) Unemployed at the beginning of the quarter, but became employed, and 4) Unemployed at the beginning of the quarter and did not find a job. As can be seen in Table 3 -11, a significantly higher proportion of respondents who were unemployed on the first day of the quarter in which they enrolled and remained so on the last day of that 2 quarter report receiving public assistance during the quarter; x (3, N= 393) 17.39,p <.01, compared to the respondents classified as being in the remaining three categories. Looking at this another way, 61.5% of respondents who were unemployed at the end of the quarter they enrolled report receiving at least one form of public assistance during this time period, while only 42.6% of those who were employed at the end of the quarter they enrolled report the same. mel allI1 Table 3 -11 Baseline Clients Receiving at least one Form of Public Support/Assistance During the Quarter of Enrollment by Employment Status t Emplfly�nen Category at the End of the Quarter of Number of Clients ; I Number +af Clients Enrollment 72 Court Percept Employed, Found Another Job 17 11 39.3% Employed, Did Not Find Another Job 7 49 48.5% Unemployed, Found a Job 4 20 33.9% Unemployed, Did Not Find a Job 126 61.2% a. Results from 393 baseline respondents who provided a response to this item b. Seven respondents who declined to provide a response are not include here At follow -up, respondents who enrolled at the Santa Ana WORK Center during the first through third quarter of the 2008 calendar year (n =192) were asked to indicate whether they had received public assistance from each of the same nine sources listed in Table 3 -10 between the last day of the quarter they were enrolled and December 31 (the last day of the calendar year). Ninety -seven (51.1 %) respondents indicate not having received support from any of the nine public assistance programs, 68(35.8 %) report receiving support from one, 14 (7.4 %) from two, and 11 (5.8 %) from three or more public assistance programs. As can be seen in Table 3 -12, among those who report receiving at least one form of aid during the specified period (n= 93), the largest proportion (77.4 %) receives unemployment insurance. Table 3 -12 Follow -Up Clients Receiving Public Support/ Assistance Between Last Day of Quarter of Enrollment to December 2008 Public Support Program Number of Clients ; I .Count '> Unemployment Insurance 72 Food Stamps 17 Medi -Cal (Cal Optima) 17 WIC Program I l Child care Assistance 7 Ca1WORKS or Welfare to Work 6 Medicare 4 Section 8 or HUD Housing/ Military housing 2 a. Results from 93 follow -up respondents who report receiving at least one form of public assistance b. Because 25 respondents report receiving more than one form of public assistance, the sum of the percentages in this Table exceeds 100, and are not reported. 19F -307 In order to assess to examine the relationship between employment status and the receipt of public assistance at follow -up, survey respondents were classified into two categories (1) Employed at the end of the calendar year, and (2) Unemployed at the end of the calendar year. As can be seen in Table 3 -13, a significantly higher proportion of respondents who were unemployed on at the end of the 2008 calendar year report receiving public assistance z during the quarter than those who were employed; x (1, N= 186) 17.23,p <.001. Table 3 -13 Follow -Up Clients Receiving at least one Form of Public Support/ Assistance During the Quarter of Enrollment by Employment Status largest proportions rate their physical health as being `Excellent" or "Very good." Treating this item as a continuous variable, the mean rating of physical health is 3.37, less than half way between "Good" and "Very good. As also shown in Table 3 -14, the largest proportion of survey respondent's rate their mental health as being "Excellent" followed by the next largest proportion who rate it as being "Good" and "Very Good. Again, treating this item as a continuous variable, the mean rating of mental health is 3.84, slightly higher than the mean rating for physical health. Mean rating of physical health is positively related to mean rating of mental health, meaning that respondents who rate their physical health highly, rate their mental health highly as well; this relationship is statistically significant; r =.443, p <.01. Interestingly, ratings of physical and mental health are not related to respondent employment status at the end of the quarter in which they enrolled. Table 3 -14 Ratings of Physical and Mental Health Baseline Survey Respondents who days that their mental health was "Not good" (M= 3.69) than those who were employed (M = 2.20), a difference that does not quite reach statistical significance; F (1, 388) = 3.70, p = .055. 3.5.3 Physical and Mental Health Indicators at Follow -Up At follow -up, respondents who enrolled at the Santa Ana WORK Center during the first through third quarter of the 2008 calendar year rated their physical and mental health on the same scale that was utilized in the baseline survey. As can be seen in Table 3 -15, the largest proportion of survey respondents rate their physical health as being "Good." The next largest proportions rate their physical health as being "Very good" or "Excellent." Treating this item as a continuous variable, the mean rating of physical health is 3.27, ten points less than what was observed at baseline. As also shown in Table 3- 15,the largest proportion of survey respondent's rate their mental health as being "Good" followed by the next largest proportion who rate it as being "Excellent" and "Very Good. Again, treating this item as a continuous variable, the mean rating of mental health is 3.80, higher than the mean rating for physical health. Consistent with baseline findings ratings of physical health are positively related to ratings of mental health, meaning that respondents who rate their physical health highly, rate their mental health highly as well, vice versa; this relationship is statistically significant; r =.487, p <.01. mel allk] While respondents employed at the end of the 2008 calendar year rate their physical health and mental health as better as indicated by mean ratings (M 3.43 for physical health and M= 3.90 for mental health) than those who were unemployed, (M= 3.18 and 3.77, respectively) this difference is not statistically significant. Table 3 -15 Ratings of Physical and Mental Health Among Follow -Up Survey Respondents Rating Physical Health 1Vleutal Tiealth Count Percent Conk 1Percent Poor 14 7.4% 5 2.6% Fair 25 13.2% 11 5.8% Good 78 41.3% 61 32.3% Veg Good 40 21.2% 52 27.5% Excellent 32 16.9% 60 31.7% a. Results from 189 baseline respondents who rated their physical and mental health. b. Three respondents who declined to provide a response are not include here One hundred and eighty seven follow -up survey respondents also indicated how many days "During the past 30 days" their physical health was "Not good." Responses ranged from zero days (n = 131; 70.1 %) to 30 (n = 13; 4.3 %), with a mean of 3.39 days, higher than that observed at baseline (M= 2.47 days). Respondents who were employed at the end of the calendar year report a lower number of days that their physical health was "Not good" (Af = 2.76), than those who were unemployed (M = 3.63); a difference that is not statistically significant, however. Respondents also provided information on the number of days "During the past 30 days" their mental health was "Not good." Responses ranged from zero days (n = 127; 69.4 %) to 30 days (n = 7; 3.8 %), with a mean number of 3.08, slightly higher than that observed at baseline (2.95 days). Respondents who were unemployed at the end of the calendar year report a higher number of days that their mental health was "Not good" (M= 3.12) than those who were employed (M= 2.71), a difference that is not statistically significant. Conclusion The Return on Investment for services provided by Santa Ana WORK Center during the calendar year 2008 is estimated to be 147 %. This represents a significant ROI given the severe economic recession and increased costs incurred by the WORK Center from the transition an "Integrated" model halfway through the calendar year. During the recession, Santa Ana - Anaheim -Irvine metropolitan division unemployment has dramatically increased while non -farm payroll significantly declined. The increased costs of operating the Integrated model occurred because WORK Center participates now receive individualized 19F -310 services. 19F -311 The ROI was calculated from estimated benefits and costs for providing the integrated services. The WORK Center staff provided the estimated costs for providing the WORK Center services and includes personnel costs, operating expenses, overhead costs, fixed costs and other costs including sending participants to vocational schools for training. The estimated benefits are based upon data collected through a Telephone Survey conducted by the Social Science Research Center (SSRC) at CSU Fullerton. Each quarter, the SSRC administered telephone surveys to 400 clients randomly selected from the 5,843 individuals who first registered as Santa Ana WORK Center during calendar year 2008. The response rate was excellent at 72.2 %. The estimated benefits include additional tax revenue from individuals who get a new job and additional tax revenue from the businesses (and their owners and employees) patronized by these individuals. The ROI estimate is conservative because there was insufficient data to estimate a reduction in public support received by WORK Center clients. 19F -312 APPENDICES 19F -313 Appendix A Technical Approach to Telephone Survey Data Collection The SSRC implements Computer Assisted Telephone Interviewing (CATI) through WinCATIS software to facilitate control of the sample, track scheduled call- backs, and monitor progress regarding the completion of sample design quotas. Programming is carried out using the CI3 scripting language which allows for the randomization of questions and question sets within a survey to eliminate response -order biases, response range limits to reduce recording errors, and complex interview navigation commands to ensure the proper administration of survey items. Survey questions and response options appear on a computer screen while the interviewer is speaking to the respondent. Data are entered directly into the system so coding or keying errors are reduced. SSRC supervisors are present during all interviewing and "random check" call- monitoring is routinely performed to verify the accuracy of the data. Each of our supervisors previously worked as an interviewer, and each has been trained in telephone interviewing techniques and methodological considerations. The CATI system includes a sophisticated call tracking and call -back scheduling procedure. This system assigns sample records to interviewing stations based on user configurable rules which include a randomization element, and also consider call history, and interviewer capability /training. An attempt history is maintained for each sample record which can be used to calculate productivity and other process related statistics. If no contact is made, the call record will note the time of day and the interviewer who attempted the call. The call will then be automatically reassigned at a later time based upon an algorithm that reduces the probability that the call will come up again on the same day and time. When a contact is made, but the interview is not completed, call information is recorded that includes whether a call -back has been scheduled, who the interviewer spoke with, who they should talk to if the eligible respondent is not at home, and the current disposition of the call (for example, immediate refusal, answering machine, mid- interview termination, etc.). In addition, the time of each call, the number of times the record has been called, and any interviewer - generated notes are recorded. If, during any contact attempt, a determination can be made regarding the language spoken within the household of a particular sample record, a language flag is set which ensures future attempts will be assigned only to interviewers with the appropriate language skill. The CATI system allows the researcher to set the number of times a sample record is to be called before it is retired. SSRC standard operating procedure dictates 21 attempts at contact. If contact is not established after 21 calls, the number is transferred to a holding queue. Our policy regarding immediate refusals is to call back at random intervals not less than 48 hours after the initial refusal. Experience shows that about 30% of initial refusals can be converted simply by contacting another resident at the same number. Our procedure for converting refusals by respondents whose eligibility has been established involves two steps. After the first refusal, we call back at a different time. We ask for the eligible respondent, beginning by apologizing for bothering them again, and subsequently attempting to explain the scientific reason for our interest in speaking with them. This procedure converts about 20% of refusals who are known to be eligible for the survey. If this results in a second refusal, we will try one additional time using a "please help" approach. This generally yields a 19F -314 conversion rate of 10 %. After three refusals, the telephone number is retired and classified accordingly. This procedure is a modification of Dillman's (1978) Total Design Method. 19F -315 Each interview reflected a survey instrument/ questionnaire consisting of approximately 46 items. All respondents were asked approximately 31 questions to collect basic demographic information and address opinions concerning their experience with the Santa Ana WORK Center and their employment both before and after visiting the Center. The length of time to complete each telephone interview ranged from three to twenty -three minutes. The average survey completion time was eight minutes. A.1 Response Rate The SSRC's estimated response rate for this telephone survey is 71.20 %. This response rate is calculated using the American Association of Public Onion Researchers' (AAPOR) Response Rate Calculation Method 3 (RR3), which includes an estimate of eligibility among unscreened sample records based on the eligibility rate among respondents for whom a final determination could be made: N 1:m= (C +I) +(R +N) +eU Where C = complete interviews, I = incomplete interviews, R = eligible refusals, N = other eligible non - complete records, e = estimate of eligibility, and U = records with unknown eligibility. In this equation, eligible respondents include all individuals who responded at least to the initial screening questions, regardless of the result. The response rate should not be confused with the completion rate. Completion rates are generally considered as the number of completed interviews over the total sample size, including all potential respondents, eligible or not. The difference between response rates and completion rates is determined by the difference between the number of eligible and ineligible respondents. A total of 9,647 individual attempts were made to 2,477 telephone numbers to complete 415 interviews for the Santa Ana WORK Center. The last disposition of all sample records used is detailed in Table 1. Of the 9,647 telephone numbers attempted, 719 (29 %) numbers were ineligible because they were disconnected, temporarily out of service, determined to be fax machines or businesses. Another 508 (21.0°/x) numbers were ineligible because they did not meet the requirements to participate in the study, the contact could no longer be reached at that number, there was no eligible respondent, the quota was filled for that specific criteria or some other reason. Eligibility for participation it the study was unclear for 773 (31.2 %) numbers. These numbers were dispositioned a language problem, busy signal, no answer, answering machine, call blocking, incoherent, unqualified refusal and unqualified callback. 19F -316 Twenty -two percent of the completed interviews were completed on the first attempt, 21 % on the second attempt, IS % were completed on the third attempt, 12% on the fourth attempt, 9% on the fifth attempt, and 21 % were completed on the sixth attempt and higher. Up to twenty - two calls were made to reach eligible respondents to complete the interview. Table A -1 Final Disposition of Attempted Telephone Numbers in the Listed Survey Sample Final Dls ;psition > Coanit Completed Interview 400 Incomplete/Break-off 20 Telephone Answering Device 126 No Answer 19 Busy 7 Call Blocked/ Technological Barrier 7 Unqualified Callback 48 Phone Disconnect/Out of Service 97 Number Changed 76 Not a Residence 20 FAX Machine /Data Device 7 Ineligible 39 Final Unqualified Refusal 3 Total 869 19F -317 Appendix B Phase III ROI Study Baseline Questionnaire SHELLO Hello, this is , calling from the Social Science Research Center at California State University, Fullerton. Have I reached [READ PHONE NUMBER]? SCOiNTACT May I please speak with [PARTICIPANT'S NAME]? 1. YES [SKIPTO SINTRO] NO [SKIPTO CALLBKI] 3. NOT AVAILABLE AT THIS NUMBER [CONTINUE] QTRACKI We are calling on behalf of the California Employment Development Department (EDD), the Santa Ana Workforce Investment Board and the Santa Ana WORK Center, located upstairs at the Santa Ana Train Station. We would appreciate your help in contacting [PARTICIPANT'S NAME] to ask her/ him a few questions concerning his/her experiences with the Santa Ana WORK Center. Any information that [PARTICIPANT'S NAME] provides will remain strictly confidential. Do you have a phone number for [PARTICIPANT'S NAME]? PHONE NUMBER> 999- 999 -9999. REFUSED CALLBKI When may we call back to reach [PARTICIPANT'S NAME]? SINTRO We are calling on behalf of the California Employment Development Department (EDD ), the Santa Ana Workforce Investment Board and the Santa Ana WORK Center, located upstairs at the Santa Ana Train Station. Our records indicate you first visited the WORK Center on [INSERT DATE]. We would like to ask a few questions concerning your experience with the Santa Ana WORK Center and your employment before visiting the Center and now. This survey will take less than ten minutes to complete. You are not required to answer any question you do not wish to answer, and your responses will remain confidential to the extent permitted by law. 19F -318 SINTRO2 I should mention that this call may be monitored by my supervisor for quality control purposes only. If it is all right with you, I'll ask the survey questions now. 1. YES [SKIP TO TRANS I ] 2. NO CALLBK2 When may we call you back? TRANSI First, we'd like to ask some questions about your use of the services at the Santa Ana WORK Center. We are interested in your experiences between January 1 st and March 31 st, 2008. Q1 Which of the following best describes your pattern of attendance at the WORK Center between January 1 st and March 31st, 2008? Would you say your visits were... 1. Scattered throughout this three -month period, or 2. Concentrated within a short period of time? 7. DONT KNOW 9. REFUSED Q2 Between January 1st and March 31st, 2008, approximately how many times did you visit the Santa Ana WORK Center, located upstairs at the train station? SPECIFY NUMBER OF TIMES > 77. DON'T KNOW 99. REFUSED 19F -319 Q3 I'd like to read a list of services and facilities available at the Santa Ana WORK Center. Please tell me how many times you used each service. a. Reviewed job postings on the Job Order Board b. Attended a Job Search Workshop c. Received one -on -one help preparing your resume d. Attended on -site job interviews or job fairs e. Used computers to search for jobs on the Inteniet f. Used computers to send or check emails g. Used telephones or used office equipment (or had help using office equipment), to make copies or send or receive faxes h. Received assistance with an unemployment insurance claim i. Received one -on -one counseling j. Please tell us about any other service or facility you may have used ... (SPECIFY)> Never used this service — Once or twice --- Three or four times Five or more times 7. DON'T KNOW 9. REFUSED Q4 Overall, how satisfied were you with the services you used at the WORK Center between January 1 st and March 31st, 2008? Not at all satisfied Somewhat unsatisfied Somewhat satisfied 4 Very satisfied 7. DON'T KNOW 9. REFUSED 19F -320 Q5 Which of the services you used during that time period were most helpful? [SHOW ONLY Q3 ITEMS GT 1; SELECT ALL THAT APPLY] JOB POSTINGS (JOB ORDER BOARD) JOB SEARCH WORKSHOP ONE -ON -ONE HELP PREPARING YOUR RESUME ON -SITE JOB INTERVIEWS OR JOB FAIRS INTERNET TO SEARCH FOR JOBS INTERNET TO SEND OR CHECK EMAILS USE OF FAX, TELEPHONES, OR OTHER OFFICE EQUIPMENT ASSISTANCE WITH A UI (UNEMPLOYMENT INSURANCE) CLAIM ONE -ON -ONE COUNSELING OTHER SERVICE DON'T KNOW/ NO RESPONSE REFUSED Q6 We want to assure you that the Santa Ana WORK Center will continue to provide these services free of charge. Had there been a charge for these services, though, would you have paid for them? 1. YES [CONTINUE] 2. NO [SKIP TO TRANS2] 7. DON'T KNOW 9. REFUSED Q6A How much would you have paid for the services? You can answer by providing a rate per hour, specifying a fixed fee, or a percentage of your first year's salary from a job you obtained by using the services. 1. PER HOUR > 2. FIXED FEE > 3. PERCENT OF ANNUAL SALARY > 7. DON'T KNOW 9. REFUSED TRANS2 Now I'd like to ask some questions about your job experiences between January 1 st and March 31 st, 2008. Q8 Were you employed as of January 1 st, 2008? YES [SKIP TO Q1.1] 2. NO [CONTINUE] 7. DON'T KNOW 19F -321 9. REFUSED 19F -322 Q9 Between January 1st and March 31st, 2008, did you receive assistance or support in the form of cash or non -cash aid from.... a. Ca1WORKs or Welfare to Work b. Section 8 or HUD housing support or military housing c. Food stamps d. Medi -Cal (Cal Optima) e. Medicare f. WIC Program (Woman, Infants and Children) g. Child Care Assistance h. Unemployment insurance i. Disability insurance YES NO 7. DONT KNOW 9. REFUSED [REPEAT Q9A THROUGH Q9D FOR EACH `YES' RESPONSE TO Q9a THROUGH Q9j] Q9A What is the value of the [INSERT TYPE OF ASSISTANCE] you are or were receiving each month? 1. AMOUNT > 7. DON'T KNOW 9. REFUSED Q9B For how many months have you received [INSERT TYPE OF ASSISTANCE]? 1. NUMBER OF MONTHS > 7. DON'T KNOW 9. REFUSED Q9C Are you still receiving [INSERT TYPE OF ASSISTANCE]? 1. YES [SKIP TO Q 10] 2. NO [CONTINUE] 7. DON'T KNOW 9. REFUSED 19F -323 Q9D What is the primary reason you stopped receiving [INSERT TYPE OF ASSISTANCE]? 1. Change in health condition 2. Change of marital status 3. Increased income due to employment 4. Problems with forms or paperwork 5. Program time limits 6. Change in residence 7. Partner/ Spouse's income was counted S. OTHER (SPECIFY) 77. DON'T KNOW 99. REFUSED Q10 Did you find a job between January 1st and March 31st, 2008? 1. YES [SKIP TO TRANS3] 2. NO [SKIP TO TRANS4] 7. DON'T KNOW 9. REFUSED [IF EMPLOYED, FROM Q8] Q I How much money were you earning at that time? 1 HOURLY WAGE > [CONTINUE] 2 MONTHLY SALARY > [SKIP TO Q12] 3 YEARLY SALARY > [SKIP TO Q12] 77. DON'T KNOW 99. REFUSED Q I IA. Approximately how many hours were you working, either per week, or per month? 1. HOURS PER WEEK> 2. HOURS PER MONTH> 7. DON'T KNOW 9. REFUSED Q12 Between January 1 st and March 31st, 2008, did you receive assistance or support in the form of cash or non -cash aid from.... 19F -324 a. CalWORKS b. Section 8 or HUD housing support or military housing c. Food stamps d. Medi -Cal (Cal Optima) e. Medicare f Woman, Infants and Children g. Child Care Subsidy h. Alternative Child Care Payment i. Unemployment insurance j. Disability insurance YES NO 7. DON'T KNOW 9. REFUSED [REPEAT Q12A THROUGH Q12D FOR EACH `YES' RESPONSE TO Q12a THROUGH QI2j] Q12A What is the value of the [INSERT TYPE OF ASSISTANCE] you are or were receiving each month? 1. AMOUNT > 7. DON'T KNOW 9. REFUSED Q12B For how many months have you received [INSERT TYPE OF ASSISTANCE]? 2. NUMBER OF MONTHS > 7. DON'T KNOW 9. REFUSED Q12C Are you still receiving [INSERT TYPE OF ASSISTANCE]? I. YES [SKIP TO Q13] 2. NO [CONTINUE] 7. DON'T KNOW 9. REFUSED 19F -325 Q12D What is the primary reason you stopped receiving [INSERT TYPE OF ASSISTANCE]? 1. Change in health condition 2. Change of marital status 3. Increased income due to employment 4. Problems with forms or paperwork 5. Program time limits 6. Change in residence 7. Partner/ Spouse's income was counted 8. OTHER (SPECIFY) 77. DON'T KNOW 99. REFUSED Q13 Did you find another job between January 1st and March 31st, 2008? I . YES [SKIP TO Q15] 2. NO [CONTINUE] 7. DON'T KNOW 9. REFUSED Q 14 How much money were you earning as of March 31 st, 2008? 1. REPORTED AS HOURLY WAGE > 2. REPORTED AS MONTHLY SALARY > 3. REPORTED AS YEARLY SALARY > 0. NO INCOME 77. DON'T KNOW 99. REFUSED Q 14A. Approximately how many hours did you work, either per week or per month? 1. HOURS PER LN'EEK> TALL SKIP T O TRANS4] 2. HOURS PER MONTH> 7. DON'T KNOW 9. REFUSED 19F -326 Q15 How much money were you earning just before you were hired at your new job? HOURLY WAGE > [CONTINUE] 2. MONTHLY SALARY > [SKIP TO TRANS31 YEARLY SALARY > [SKIP TO TRANS3] 77. DON'T KNOW 99. REFUSED 19F -327 Q 15A. Approximately how many hours were you working, either per week or per month? 1. HOURS PER. WEEK> 2. HOURS PER MONTH> 7. DON'T KNOW 9. REFUSED [ASK IF FOUND A JOB OR FOUND ANOTHER JOB BETWEEN JANUARY 1st AND MARCH 31st, 2008; TRANS3 Please tell us a little bit about that new job. Q16 What industry was that job in? 1. Construction 2. Manufacturing 3. Retail Trade 4. Finance 5. Food Processing 6. Services 7. Aerospace 8. Technology 9. Electronics 10. Transportation/ Distribution 11. OTHER ( SPECIFY)> 77. DON'T KNOW 99. REFUSED Q17 When did you begin your employment at that job? 1. SPECIFY MONTH > 2. SPECIFY DAY > 3. SPECIFY YEAR > 7. DON'T KNOW 19F -328 9. REFUSED 19F -329 Q 18 How much money were you earning when you were first hired? 1. REPORTED AS HOURLY WAGE > [CONTINUE] 2. REPORTED AS MONTHLY SALARY> [SKIP TO Q19] 3. REPORTED AS YEARLY SALARY > [SKIP TO Q19] 0. NO INCOME 77. DON'T KNOW 99. REFUSED Q18A. Approximately how many hours did you work, either per week or per month? 1. HOURS PER WEEK> 2. HOURS PER MONTH> 7. DON'T KNOW 9. REFUSED Q19 For how long did you have that job? 1. DAYS > 2. WEEKS > 3. MONTHS > 4. YEARS > 5. STILL HAVE JOB 7. DON'T KNOW 9. REFUSED TRANS4 Next I'd like to ask a few questions about your health, personal habits, and quality of life. I'd like to remind you that all of your responses will remain completely confidential and will be combined with those of other survey participants for reporting purposes. Q20 Would you say, in general, that your physical health is poor, fair, good, very good, or excellent? 1. Poor 2. Fair 3. Good 4. Very good 5. Excellent 19F -330 7. DON'T KNOW/ NO RESPONSE 9.REFUSED 19F -331 Q21 Thinking about your physical health, which includes physical illness and injury, for how many days during the past 30 days was your physical health not good? Enter number of days. 77. DON'T KNOW/ NO RESPONSE 99. REFUSED Q22 Would you say, in general, that your mental health is poor, fair, good, very good, or excellent? i . Poor 2. Fair 3. Good 4. Very good 5. Excellent 7. DON'T KNOW/ NO RESPONSE 9. REFUSED Q23 Thinking about your mental health, which includes stress, depression, and problems with emotions, for how many days during the past 30 days was your mental health not good? Enter number of days 77. DON'T KNOW/ NO RESPONSE 99. REFUSED Q24a Would you say, in general, that the quality of your relationships with family members is poor, fair, good, very good, or excellent? 1. Poor 2. Fair 3. Good 4. Very good 5. Excellent 6. DO NOT HAVE RELATIONSHIPS WITH FAMILY MEMBERS 7. DON'T KNOW/ NO RESPONSE 9. REFUSED 19F -332 Q24b Has the quality of your relationships with family members become worse, stayed the same, or improved in the past three months? 1. BECOME WORSE 2. STAYED THE SAME 3. IMPROVED 7. DON'T KNOW/ NO RESPONSE 9. REFUSED Q24c Would you say, in general, that the quality of your relationships with friends and acquaintances is poor, fair, good, very good, or excellent? 1. Poor 2. Fair 3. Good 4. Very good 5. Excellent 6. DO NOT HAVE RELATIONSHIPS WITH FAMILY MEMBERS 7. DON'T KNOW/ NO RESPONSE 9. REFUSED Q24d Has the quality of your relationships with friends and acquaintances become worse, stayed the same, or improved in the past three months? 1. BECOME WORSE 2. STAYED THE SAME 3. IMPROVED 7. DON'T KNOW/ NO RESPONSE 9. REFUSED Q25 During the past month, how many days per week on average did you drink any alcoholic beverages? Enter nurnber of days. 77. DON'T KNOW/ NO RESPONSE 99. REFUSED [SKIP IF Q25 =0] 19F -333 Q26 A drink is 1 can or bottle of beer, 1 glass of wine, 1 can or bottle of wine cooler, 1 cocktail, or 1 shot of liquor. On the days when you drank, about how many drinks did you drink on the average? Enter number of drinks 77. DON'T KNOW/ NO RESPONSE 99. REFUSED Q27 During the past month, approximately how many days did you use drugs like marijuana, cocaine, or ecstasy, or pharmaceutical drugs that were not prescribed to you? Enter number of days. 77. DON'T KNOW/ NO RESPONSE 99, REFUSED Q28 In the past three months how frequently have you had contact with law enforcement, including the police, sheriff or CHP, for example, times the police were called to your home, times you were pulled over for a traffic stop, and times you were arrested? 1. Never 2. Once or twice <SPECIFY IF Q >2> 3. Three or four times 4. Five or more times 7. DON'T KNOW/ NO RESPONSE 9. REFUSED Q29 Would you say, in general, that your present quality of life is: Excellent, Very good, Good, Fair, or Poor? 1. Poor 2. Fair 3. Good 4. Very good 5. Excellent 7. DON'T KNOW/ NO RESPONSE 9. REFUSED 19F -334 Q34 Has your quality of life improved, stayed the same, or become worse in the past three months? 1. BECOME WORSE 2. STAYED THE SAME 3. IMPROVED 7. DON'T KNOW/ NO RESPONSE 9. REFUSED TRANS5 We have just a few more questions for statistical purposes only. AGE First, what is your age? AGE> 77. DK/NR 99. REFUSED RACE Which of the following best describes your racial or ethnic background? 1. Asian or Pacific Islander 2. Black or African American 3. Latino or Hispanic 4. Caucasian or White 5. Other 7. DON'T KNOW 9. REFUSED EDUC Which of the following best describes the amount of formal education you have received? 1. N Less than 8 grade 2. is u. Between 8 and 11 grade 3. High school education or GED 4. Some college, no degree 5. AA or trade school education 19F -335 6. Four -year degree such as a BA or BS 7. Graduate or Professional degree 77. DON'T KNOW 99. REFUSED TRANS6 We have just a few more questions. 19F -336 COMM Do you have any other continents about your experiences with the Santa Ana WORK Center you would like to share or recommendations to improve their services? 1. YES, SPECIFY> 2. NO FG Would you be willing to be contacted for an in -depth interview? YES [GET STANDARD CONTACT INFO] 2. NO [END SURVEY] CONCLUD That concludes our survey. Thank you very much for your participation. 19F -337 Appendix C Phase III ROI Study Follow -Up Questionnaire SHELLO Hello, this is , calling from the Social Science Research Center at California State University, Fullerton. Have I reached [READ PHONE NUMBER]? SCONTACT May I please speak with [PARTICIPANT'S NAME]? YES [SKIPTO SINTRO] NO [SKIPTO CALLBKI] NOT AVAILABLE AT THIS NUMBER [CONTINUE] QTRACKI We are calling on behalf of the California Employment Development Department (EDD), the Santa Ana Workforce Investment Board and the Santa Ana WORK Center, located upstairs at the Santa Ana Train Station. We would appreciate your help in contacting [PARTICIPANT'S NAME] to ask her / him a few questions concerning his/her experiences with the Santa Ana WORK Center. Any information that [PARTICIPANT'S NAME] provides will remain strictly confidential. Do you have a phone number for [PARTICIPANT'S NAME]? PHONE NUMBER> 999 -999 - 10000. REFUSED CALLBKI When may we call back to reach [PARTICIPANT'S NAME]? SINTRO We are calling on behalf of the California Employment Development Department (EDD), the Santa Ana Workforce Investment Board and the Santa Ana WORK Center, located upstairs at the Santa Ana Train Station. Our records indicate you first visited the WORK Center on [INSERT DATE]. We would like to ask a few questions concerning your experience with the Santa Ana WORK Center and your employment before visiting the Center and now. This survey will take less than ten minutes to complete. You are not required to answer any question you do not wish to answer, and your responses will remain confidential to the extent permitted by law. SIN TR02 I should mention that this call may be monitored by my supervisor for quality control purposes only. G Lei 1cZe] If it is all right with you, I'll ask the survey questions now. YES [SKIP TO TRANS 1 ] ME CALLBK2 When may we call you back? TRANSI First, we'd like to ask some questions about your use of the services at the Santa Ana WORK Center. We are interested in your experiences between October 1 st and December 31 st, 2008. Q1 Which of the following best describes your pattern of attendance at the WORK Center between October 1 st and December 31 st, 2008? Would you say your visits were... Scattered throughout this three -month period, or Concentrated within a short period of time? 8. DON'T KNOW 10. REFUSED Q2 Between October I st and December 31 st, 2008, approximately how many times did you visit the Santa Ana WORK Center, located upstairs at the train station? SPECIFY NUMBER OF TIMES > 78. DON'T KNOW 99. REFUSED Q3 I'd like to read a list of services and facilities available at the Santa Ana WORK Center. Please tell me how many times you used each service. k. Reviewed job postings on the Job Order Board 1. Attended a Job Search Workshop m. Received one -on -one help preparing your resume n. Attended on -site job interviews or job fairs o. Used computers to search for jobs on the Internet p. Used computers to send or check emaiis q. Used telephones or used office equipment (or had help using office equipment), to make copies or send or receive faxes r. Received assistance with an unemployment insurance claim s. Received one -on -one counseling t. Please tell us about any other service or facility you may have used... ( SPECIFY)> 19F -339 19F -340 1. Never used this service 2. Once or twice 3. Three or four times 4. Five or more times 7. DON'T KNOW 9. REFUSED Q4 Overall, how satisfied were you with the services you used at the WORK Center between October 1 st and December 31 st, 2008? I. Not at all satisfied 2. Somewhat unsatisfied 3. Somewhat satisfied 4. Very satisfied 7. DON'T KNOW 9. REFUSED Q5 Which of the services you used during that time period were most helpful? [SHOW ONLY Q3 ITEMS GT 1; SELECT ALL THAT APPLY] JOB POSTINGS (JOB ORDER BOARD) JOB SEARCH WORKSHOP ONE -ON -ONE HELP PREPARING YOUR RESUME ON -SITE JOB INTERVIEWS OR JOB FAIRS INTERNET TO SEARCH FOR JOBS INTERNET TO SEND OR CHECK EMAILS USE OF FAX, TELEPHONES, OR OTHER OFFICE EQUIPMENT ASSISTANCE WITH A UI (UNEMPLOYMENT INSURANCE) CLAIM ONE -ON -ONE COUNSELING OTHER SERVICE DON'T KNOW / NO RESPONSE REFUSED Q6 We want to assure you that the Santa Ana WORK Center will continue to provide these services free of charge. Had there been a charge for these services, though, would you have paid for them? 1. YES [CONTINUE] 2. NO [SKIP TO TRANS2] 19F -341 DON'T KNOW REFUSED 19F -342 Q6A How much would you have paid for the services? You can answer by providing a rate per hour, specifying a fixed fee, or a percentage of your first year's salary from a job you obtained by using the services. 1. PER HOUR > 2. FIXED FEE > 3. PERCENT OF ANNUAL SALARY > 7. DON'T KNOW 9. REFUSED Q7 When you came to the WORK Center, in what kind of industry did you want to find work? Would you say... [CHECK ALL THAT APPLY.] 1. Construction 2. Finance 3. Food processing 4. Electronics 5. Manufacturing 6. Retail/ Trade 7. Service 8. Technology 9. Transportation 10. OTHER> SPECIFIED 11. NO PARTICULAR INDUSTRY 77. DON'T KNOW/ NO RESPONSE 99. REFUSED TRANS2 Now I'd like to ask some questions about your job experiences between October 1st and December 31st, 2008. Q8 Were you employed as of October 1 st, 2008? I . YES [SKIP TO Q11 J 2. NO [CONTINUA,] 7. DON'T KNOW 19F -343 9. REFUSED Q9 Between October 1 st and December 31 st, 2008, did you receive assistance or support in the form of cash or non -cash aid from.... 19F -344 a. CalWORKs or Welfare to Work b. Section 8 or HUD housing support or military housing c. Food stamps d. Medi -Cal (Cal Optima) e. Medicare f. WIC Program (Woman, Infants and Children) g. Child Care Assistance h. Unemployment insurance L Disability insurance YES NO 7. DON'T KNOW 9. REFUSED [REPEAT Q9A THROUGH Q91) FOR EACH `YES' RESPONSE TO Q9a THROUGH Q9j] Q9A What is the value of the [INSERT TYPE OF ASSISTANCE] you are or were receiving each month? 1. AMOUNT > 7. DON'T KNOW 9.REFUSED Q9B For how many months have you received [INSERT TYPE OF ASSISTANCE]? 3. NUMBER OF MONTHS > 7. DON'T KNOW 9. REFUSED Q9C Are you still receiving [INSERT TYPE OF ASSISTANCE]? 1. YES [SKIP TO Q1.0] 2. NO [CONTINUE] 7. DON'T KNOW 9. REFUSED 19F -345 Q9D What is the primary reason you stopped receiving [INSERT TYPE OF ASSISTANCE]? 1. Change in health condition 2. Change of marital status 3. Increased income due to employment 4. Problems with forms or paperwork 5. Program time limits 6. Change in residence 7. Partner/ Spouse's income was counted 8. OTHER {SPECIFY} 77. DON'T KNOW 99. REFUSED Q10 Did you find a job between October 1st and December 31st, 2008? 1. YES [SKIP TO TRANS31 2. NO [SKIP TO TRANS4] 7. DON'T KNOW 9. REFUSED [IF EMPLOYED, FROM Q8] Q11 How much money were you earning at that time? 4 HOURLY WAGE > [CONTINUE] 5 MONTHLY SALARY > [SKIP TO Q12] 6 YEARLY SALARY > [SKIP TO Q121 78. DON'T KNOW 99. REFUSED Q IA. Approximately how many hours were you working, either per week, or per month? 1. HOURS PER WEEK> 2. HOURS PER MONTH> 7. DON'T KNOW 9. REFUSED 19F -346 Q12 Between October I stand December 31st, 2008, did you receive assistance or support in the form of cash or non -cash aid from.... k. CalWORKS 1. Section 8 or HUD housing support or military housing m. Food stamps n. Medi -Cal (Cal Optima) o. Medicare p. Woman, Infants and Children q. Child Care Subsidy r. Unemployment insurance s. Disability insurance YES NO 7. DON'T KNOW 9. REFUSED [REPEAT Q12A THROUGH Q1 2D FOR EACH `YES' RESPONSE TO Q12a THROUGH Q12j] Q 12A What is the value of the [INSERT TYPE OF ASSISTANCE] you are or were receiving each month? 1. AMOUNT > 7. DON'T KNOW 9. REFUSED Q12B For how many months have you received [INSERT TYPE OF ASSISTANCE]? 4. NUMBER OF MONTHS > 7. DON'T KNOW 9. REFUSED Q 12 Are you still receiving [INSERT TYPE OF ASSISTANCE]? 1. YES [SKIP TO Q13] 2. NO [CONTINUE] 7. DON'T KNOW 9. REFUSED 19F -347 Q12D What is the primary reason you stopped receiving [INSERT TYPE OF ASSISTANCE]? 1. Change in health condition 2. Change of marital status 3. Increased income due to employment 4. Problems with forms or paperwork 5. Program time limits 6. Change in residence 7. Partner/ Spouse's income was counted 8. OTHER (SPECIFY) 77. DON'T KNOW 99. REFUSED Q13 Did you find another job between October 1st and December 31st, 2008? 1. YES [SKIP TO Q15] 2. NO [CONTINUE] 7. DON'T KNOW 9. REFUSED Q14 How much money were you earning as of December 31st, 2008? 1. REPORTED AS HOURLY WAGE > 2. REPORTED AS MONTHLY SALARY > 3. REPORTED AS YEARLY SALARY > 0. NO INCOME 77. DON'T KNOW 99. REFUSED Q14A. Approximately how many hours did you work, either per week or per month? 1. HOURS PER WEEK> [ALL SKIP TO TRANS41 2. HOURS PER MONTH> �i &]He -] 7. DON'T KNOW 9. REFUSED 19F -349 Q 15 How much money were you earning just before you were hired at your new job? 1. HOURLY WAGE > [CONTINUE] 2. MONTHLY SALARY > [SKIP TO TRANS3] 3. YEARLY SALARY > [SKIP TO TRANS3] 77. DON'T KNOW 100. REFUSED Q I5A. Approximately how many hours were you working, either per week or per month? 1. HOURS PER WEEK> 2. HOURS PER. MONTH> 7. DON'T KNOW 9. REFUSED [ASK IF FOUND A JOB OR FOUND ANOTHER JOB BETWEEN OCTOBER 1 st AND DECEMBER 31st, 2008] TRANS3 Please tell us a little bit about that new job. Q16 What industry was that job in? 1. Construction 2. Manufacturing 3. Retail Trade 4. Finance 5. Food Processing 6. Services 7. Aerospace 8. Technology 9. Electronics 10. Transportation/ Distribution 11. OTHER (SPECIFY)> 19F -350 78. DON'T KNOW 99. REFUSED 19F -351 Q17 When did you begin your employment at that job? 1. SPECIFY MONTH > 2. SPECIFY DAY > 3. SPECIFY YEAR > 1. DON'T KNOW 2. REFUSED Q18 How much money were you earning when you were first hired? 1. REPORTED AS HOURLY WAGE > [CONTINUE] 2. REPORTED AS MONTHLY SALARY > [SKIP TO Q19] 3. REPORTED AS YEARLY SALARY > [SKIP TO Q19] 0. NO INCOME 77. DON'T KNOW 99. REFUSED Q 18A. Approximately how many hours did you work, either per week or per month? 1. HOURS PER WEEK> 2. HOURS PER MONTH> 7. DON'T KNOW 9. REFUSED Q19 For how long did you have that job? 1. DAYS > 2. WEEKS > 3. MONTHS > 4. YEARS > 5. STILL HAVE JOB I. DON'T KNOW 2. REFUSED TRANS4 Next I'd like to ask a few questions about your health, personal habits, and quality of life. I'd like to remind you that all of your responses will remain 19F -352 completely confidential and will be combined with those of other survey participants for reporting purposes. 19F -353 Q20 Would you say, in general, that your physical health is poor, fair, good, very good, or excellent? 1. Poor 2. Fair 3. Good 4. Very good 5. Excellent 7. DON'T KNOW/ NO RESPONSE 9. REFUSED Q21 Thinking about your physical health, which includes physical illness and injury, for how many days during the past 30 days was your physical health not good? Enter number of days. 77. DON'T KNOW/ NO RESPONSE 99. REFUSED Q22 Would you say, in general, that your mental health is poor, fair, good, very good, or excellent? 1. Poor 2. Fair 3. Good 4. Very good S. Excellent 7. DON'T KNOW/ NO RESPONSE 9. REFUSED Q23 Thinking about your mental health, which includes stress, depression, and problems with emotions, for how many days during the past 30 days was your mental health not good? Enter number of days 77. DON'T KNOW/ NO RESPONSE 99. REFUSED 19F -354 Q24a Would you say, in general, that the quality of your relationships with family members is poor, fair, good, very good, or excellent? 1. Poor 2. Fair 3. Good 4. Very good 5. Excellent 6. DO NOT HAVE RELATIONSHIPS WITH FAMILY MEMBERS 7. DON'T KNOW/ NO RESPONSE 9.REFUSED Q24b Has the quality of your relationships with family members become worse, stayed the same, or improved in the past three months? 1. BECOME WORSE 2. STAYED THE SAME 3, IMPROVED 4. DON'T KNOW/ NO RESPONSE 9. REFUSED Q24c Would you say, in general, that the quality of your relationships with friends and acquaintances is poor, fair, good, very good, or excellent? 1. Poor 2. Fair 3. Good 4. Very good 5. Excellent 6. DO NOT HAVE RELATIONSHIPS WITH FAMILY MEMBERS 7. DON'T KNOW/ NO RESPONSE 9. REFUSED Q24d Has the quality of your relationships with friends and acquaintances become worse, stayed the sarne, or improved in the past three months? 19F -355 1. BECOME WORSE 2. STAYED THE SAME 3. IMPROVED 4. DON'T KNOW/ NO RESPONSE 9. REFUSED 19F -356 Q25 During the past month, how many days per week on average did you drink any alcoholic beverages? Enter number of days. 77. DON'T KNOW/ NO RESPONSE 99. REFUSED [SKIP I.F Q25 =0] Q26 A drink is 1 can or bottle of beer, I glass of wine, I can or bottle of wine cooler, 1 cocktail, or 1 shot of liquor. On the days when you drank, about how many drinks did you drink on the average? Enter number of drinks 77. DON'T KNOW/ NO RESPONSE 99. REFUSED Q27 During the past month, approximately how many days did you use drugs like marijuana, cocaine, or ecstasy, or pharmaceutical drugs that were not prescribed to you? Enter number of days. 77. DON'T KNOW/ NO RESPONSE 99. REFUSED Q28 In the past three months how frequently have you had contact with law enforcement, including the police, sheriff or CHP, for example, times the police were called to your home, times you were pulled over for a traffic stop, and times you were arrested? 1. Never 2. Once or twice <SPECIFY IF Q >2> 3. Three or four times 4. Five or more times 7. DON'T KNTOW/ NO RESPONSE 9. REFUSED Q29 Would you say, in general, that your present quality of life is: Excellent, Very good, Good, Fair, or Poor? 1. Poor 2. Fair 3. Good 4. Very good 19F -357 Excellent 7. DON'T KNOW/ NO RESPONSE 9. REFUSED 19F -358 Q30 Has your quality of life improved, stayed the same, or become worse in the past three months? 1. BECOME WORSE 2. STAYED THE SAME 3. IMPROVED 4. DON'T KNOW/ NO RESPONSE 9. REFUSED TRANS5 We have just a few more questions for statistical purposes only. AGE First, what is your age? AGE> 77. DK/NR 99. REFUSED RACE Which of the following best describes your racial or ethnic background? 1. Asian or Pacific Islander 2. Black or African American 3. Latino or Hispanic 4. Caucasian or White 5. Other 7. DON'T KNOW 9. REFUSED EDUC Which of the following best describes the amount of formal education you have received? w I . Less than 8 grade 2. Between 8 and 11 grade 3. High school education or GED 19F -359 4. Some college, no degree AA or trade school education 6. Four -year degree such as a BA or BS 7. Graduate or Professional degree 78. DON'T KNOW 99. REFUSED TRANS6 We have just a few more questions. mel a][%] COMM Do you have any other comments about your experiences with the Santa Ana WORK Center you would like to share or recommendations to improve their services? 1. YES, SPECIFY> 2. NO FG Would you be willing to be contacted for an in -depth interview? 1. YES [GET STANDARD CONTACT INFO] 2. NO [END SURVEY] CONCLUD That concludes our survey. Thank you very much for your participation. 19F -361 Appendix D Detail of ROT Calculations The total benefits to the government come from two sources (excluding benefits derived from reduction in government support provided, which was omitted for the reasons described in section 2.2.3): Additional tax revenue from Santa Ana WORK Center clients Additional tax revenue from the community The procedure for estimating each of the above benefits is described in detail below. D.1 Additional Tax Revenue from Santa Ana WORK Center Clients The additional tax revenue for the government from Santa Ana WORK Center clients is the change in taxes paid by the clients resulting from finding a new job. Furthermore, these additional taxes have to be considered for the entire period of the new job found during calendar year 2008. To calculate the total additional tax revenue from survey respondents, the tax revenue for 8 each qualified respondent was first calculated. These individual tax revenues were then summed. The steps involved in calculating additional tax revenue from a single Santa Ana WORK Center survey respondent are depicted below. (a) Annualize the income information Income information is collected as one of the following: Annual Income Monthly Income Hourly Wage with number of hours worked per week or per month This data was annualized according to the table below. Reported Income Annualized Income Annual Income Same Monthly Income (Monthly Income) x 12 Hourly Wage with Hours Per Week (Hours Wage) x Hours Per Week x 50.4 Weeks Hourly Wage with Hours Per Month (Hourly Wage) x Hours Per Month) x 12 Months Table D -1 Procedure for Annualizing Income IThe benefits of finding a job during calendar year 2008 are accrued to the government over 19F -362 the entire period that that job is held.' See section 2.2.1 for criteria for qualifying cases. 19F -363 (b) Calculate change in annual income There are two types of clients that contribute to additional tax benefits: • Those that dad not have a job at the start of the calendar year (January 1, 2008) and found a job, and • Those that had a job at the start of the calendar year (January 1, 2008) and found anotherjob. The information pertaining to this calculation collected from the respondents who indicated that they found a job during calendar year 2008 includes the following: Earnings just before hired Earnings when first hired at new job For respondents that failed to provide information, the earnings were estimated from the sample of respondents who provided the information. The above earnings data was annualized as described in step (a) above, and the change in annual income for each qualified respondent was calculated as follows: Earnings When First Hired — Earnings Just Before Hired For clients who did not have a job as of January 1, 2008 `Earning Just Before Hired' was zero. (c) Calculate time at new job To facilitate respondent reporting, this information was collected as one of the following: • Days • Weeks • Months • Years • Still Have Job These data were standardized by converting to years. Estimates from the sample were used for respondents that indicated invalid responses (such as time at new job is more than three years). Assumption: For those respondents that indicated that they were still at the new job, it was assumed that their last day at the job was the day of the phone survey. This is a conservative assumption; it is very likely that these respondents would have continued to be employed at their new job beyond the date of the survey. 19F -364 The time at the new job was calculated as follows: The Table D -2 Procedure for Calculating Time at Data Provided As ! Time at New Job Years)` Days Days / 365 Weeks Weeks / 52 Months Months / 12 Years Same Still Have Job I (Survey Date --- Start Date at New Job) / 365 New Job information on start date at the new job in the above table was requested in the survey as month, day, and year. Many of the respondents that indicated that they found a job during calendar year 2008 did not provided one or more pieces of this information. In these cases, the midpoint of the quarter were used to estimate the start date of the job. (d) Calculate cumulative additional income earned The benefits of finding a job during calendar year 2008 are accrued to the government over the entire period that that job is held. The cumulative additional income taxed is calculated as: (Change in Annual Income) x (Time at New Job) Assumption: The underlying assumption here is that for those respondents who had a previous job and moved to a new one during calendar year 2008, had they not received the new job, they would have continued in their old job. This is a conservative assumption because not knowing how they long they would have continued in their old job this assumption gives the lowest value for cumulative income. Note: The above formula for calculating cumulative additional does not use any discounting of tax revenue earned over multiple years. This is a reasonable assumption given that the average time at new job is about one year and two months. (e) Calculate additional taxes paid Additional taxes paid are calculated by applying the tax rates to the above - calculated cumulative additional income. Sales tax paid was calculated by first estimating the amount of income spent on taxable goods and services, and then applying the sales tax rate to this spending. Thus, the various taxes were calculated as follows: 19F -365 Table D -3 Procedure for Calculating Taxes Tax Tax Paid Payroll Tax (Change in Annual Income) x (Payroll Tax Rate) Federal Income Tax (Change in Annual Income ) x (Federal Income Tax Rate) State Income Tax (Change in Annual Income) x (State Income Tax Rate) Sales Tax (Change in Annual Income) x (Fraction Spent on Taxable Goods) x (Sale Tax Rate) The values for various tax rates and parameters, applicable to Santa Ana WORK Center 9 clients, in Table F -4 were taken from the Phase I and Phase H ROI study and are as follows: Table D.2 As in from Parameter Rate Payroll Tax 15.3 Additional Tax Revenue-from the Co m ni Federal Income Tax 7.4% State Income Tax the case for Santa Ana WORK Cente • tell respondents, for calculating the total ddiT4�al Sales Tax the community, the additional tax re enul'ofrom )ondents survey ix revenue he wrrie � ity l�gc. c ' �d it vice income ed by each qualified respon enof as irs c cu a e ese in ivi ua ax revenues wile then summed. The steps involved in calculating additional tax revenue from the community due to a single respondent are given below. (a) Annualize the income information This calculation is the same as that described in step (a) in section F.1. (b) Calculate change in annual income This calculation is the same as that described in step (b) in section F.1. (c) Calculate time at new job This calculation is the same as that described in step (c) in section F.1. (d) Calculate cumulative additional income earned This calculation is the same as that described in step (d) in section F.1. (e) Calculate cumulative additional income earned by the community As discussed previously in sections 2.2.2 and 2.2.3, because clients spend their income within their communities, a change in income among clients leads to a change in income of the providers of the various taxable goods and services that the clients purchase. This change in income of the community then leads to a change in taxes paid by the community to the government, and [U is estimated using an income multiplier. 9 It is assumed that the tax rates and the fractional spending on taxable goods and services remain constant. l�'i01•1•J The cumulative additional income earned by the community due to a single respondent is calculated as: (Income Multiplier — 1) x (Cumulative Additional Income Earned by a Client) (f)Calculate additional taxes paid by the community,The community pays the same four taxes that the clients pay, the only difference being that the income tax rates for the community are different. Therefore, the calculation procedure for these taxes is the same as that described in step (e) for additional tax revenue from clients. The values of the various tax rates and parameters for the community were taken from the Phase I and Phase II ROI study, and are given below: Table D -5 Tax Rates and Taxable Spending — Community . It is assumed that the income multiplier remains constant. » It is assumed that the tax rates and the fractional spe Parameter Rate Payroll Tax 15.3% Federal Income Tax 13.2% State Income Tax 3.7% Sales Tax 7.75% Fraction of Income Spent on Taxable Goods & Services 19F -367 i pi ; ST1961 mola••] 19F -370 19F -371 810b m J ;MN' woll"A' Aiu tsra: 4ctc< 'Ie'rkv 9,00 yovlq, min, u.0-i at a. akillt ti-.,y need tt, 'Cor-"wr %rA part mlik ia imu, �n - t... - "'. . t Y c, A t I g&d 1, And sp,�gD ef tIA t4MPlctC rM klqj pttn'lic 557 ;,"t ilhcm c"r flur ) atll 41 to" 14�� YOU14 plrU ri-, 1 t Ad Ul dl* SAD U Ar.Z ymt"s or-,noyem b., Orns:�Ipc fl,,r mcurt tL;l r !4 1; la YIY ys? niiicizlL u 0 'k . ...A„Cr,. b i 19F-372 19F -373 1� alypI A. J. -1-4 T-i sg ttll ILL - prcl s u c ce eoa. 1" a hot SANTA ANk 50STO Bl""11D, Rll"Mll SY'll"IS-KNU SE-170% LAC "amQ00m, r."m %..0 0�y d AT 1�. Lult4v'% hit b4,-j Y"t Pon unsmosm wm?." mccc urns f"Yat md ir syfO *f4xe R'XVAriaW;0a JS�03 Wlal V14 40,;6' Wor k Cc�t�'cv om, "mcwtv the't 49'00'S K&O K rn W pa ktlm r ca'.liv"s ;lr vjila3 t nmv:60r. -Ale gan 'Al Men dubewd Wwrs f0d WvA own" hmj� ".e tor idcMd'y wltb I -,i% rwm.am. rate ;1*3 ayd vangos, "" now upw! FYMMZ m mp"Mmh Awa)'&-d vAul—l-mbipm fa 325 p614117110 for srzpj-�Orl tileb, imloss- &N 1,416W; 1: to anven P*—h 55b W" aTa bra !t>" I—I 6-- 8 --- 1. 19F-374 TIN, In 19F -375 19F -376 19F -377 19F -378 19F -379 tt?174t- VITU LINFM41.' CRO"'HT'I'll GROWTH L71 Ar, 14. A, 0 fnr. cr'ad f4T7'rt-- tic, ee-.' I M--liuW3 r ;mr. lemr," CstUW - wiLAY r' as in, 1--,, t tifnA -AlLr'-'4 r--srT lw� �dnxfx<' e S!, Wi g, c-c-apWa.�'Wsi. imo� r"Ic'm -saw -nom, JF asq, sroulal, ji' itl'a v.a: °m iotr fn: omzo=f- US' K Ir' N' ESS Hlu, and lar?,-!P4 Owi ulcr,!Und with C"'Qg gar Vst lyuriLtiq& W�� v-, gaugf. dhaiu- 1, nw� ?S'as"Vu iLni irxr:pr'-"4� Z"f*rok Twd CO-7'.' r"' 1,:K T S.' E NVITE A LOCAL FOCUS, smf��.; -Sgtita Ara f"F �'- w,; a J tmanirues mm'-Oud -V Cvw 41'-." 4, lF'a+ r—sq iz. t-'Fc-'&s i P] 0196111 AlkArd tw"I'm*s C�.swu"Crm t� put 'opm:t�ne vm-kz V -stcd. kt jr..' Mn 46M .C4,4 for • rm'-w 19F -381 -AA V slu,-c lilt empLW-48mriali diol"4don-la a nAr; mar,', 14"i*7'a =;nwWli md to - .l vi `i� mvftA7 - -, "air b—o r. t t., 0 -us i ir. ta n1pport t eivir-,� A anngm Sw-,lm A-;52 241. tm", 19F-382 G Lei Ze-IC7 "Ira WORKFORCE on ifo MV; B00% &tnatn6ab tnal Prnlrmz for b0L6r4 a compemiqc- ilt A, rL 1% w I *D CIMTER umnsitirr" ic a pc—,kive fil fy-luez I I on, b�y �-rc a *rg 1--d $;It izfnir4 pinirm-zlUps vzit I ' d c C'jto'.. v o i4 c fq�,. -,, u r=ti,; i I ,{reos uaF, 1) ia eo mm �l 1�i iyli fmpa 6V 0 1 r. p.*F, a, z % deve I,-,. V?n e itf " iLd q 0 c 4 t g f3 r r., c di sr. Ea: rvi ic':te-,,n yy:wl if: to vjr Abnuk the !", ---nta P`xrm wtr cone "'r gt-d b-,t �-vov;.dirLZ on&-s-op, cont"fizrd 6cc—,—,ja tc, -- *,r. ,:r 4r, WV,� u tbAt ompl.-;7 th's.m. ",-v o �-r, C2.,_. ')m t, Rf"l c- ^s N �rm4trnwnl v�,-t ct, mz Ad awk) p %.-, ��d cnd, rfowsi nt Cv rml Isw t� n i P-1 0196VA Workforce Investment Board Member Roster Member Alegre, Ignacio (Public Sector) Beasley, Brent (Public Sector) Carter, Patricia (Public Sector) Claudio, Robert (Public Sector) Davila, Gilbert (Public Sector) de la Riva, Carlos (Public Sector) de Leon, Lee (Public Sector) Didion, John (Public Sector) Edmonds, Willia (Public Sector) Elliott, David (Private Sector) Everett, Nilco (Private Sector) Fischer, Bob (Private Sector) Gebre, Tefere (Public Sector) Business Dept of Rehabilitation Roofers & Waterproofers Local 220 Santa Ana Unified School District EDD UFCW Local 324 Santa Ana WORK Center Templo Calvario Rancho Santiago Community College District Goodwill Industries Santa Ana Chamber of Commerce Career College of California Accurate Performance Machining, Inc OC AFL -Cl0 Address 2002 E McFadden #100 Santa Ana, CA 92705 283 Rampart St #F Orange, CA 92868 1.801 S Greenville Santa Ana, CA 92704 2450 E Lincoln Ave #200 Anaheim, CA 92806 8530 Stanton Ave Buena Park, CA 90622 1000 E Santa Ana Blvd Santa Ana, CA 92701 2617 W 5th St Santa Ana, CA 92703 2323 N Broadway Santa Ana, CA 92706 1000 E Santa Ana Blvd Santa Ana, CA 92701 2020 N Broadway #200 Santa Ana, CA 92706 201 E 4th St #201 Santa Ana, CA 92701 2086 S Grand Ave Santa Ana, CA 92705 309 N Rampart St #A Orange, CA 92868 19F -385 Phone 714- 662 -6042 714 - 939 -0220 714 -241 -6597 714- 518 -2370 714 - 920 -3417 714- 565 -2629 714- 543 -3711 714- 480 -7489 714 - 565 -2614 714 - 541 -5353 x121 714-243 -no613 714 - 434 -7811 714- 385 -1534 x225 Gonzalez, Beatriz (Private Sector) Jimenez -Hami, Ana (Public Sector) Knitter, Marjorie (Private Sector) Korthuis, Patrick (Private Sector) Home Depot 3500 MacArthur Blvd 714 -552 -1076 Santa Ana, CA 92704 OC Children's 2215 N Broadway, 1,t F1 714 -547 -5468 Therapeutic Center Santa Ana, CA 92706 The Moote Group 1516 Brookhollow Dr 714 -751 -5557 Santa Ana, CA 92705 Sir Speedy Printing 1540 S Lyon St 714 -547 -5674 Santa Ana, CA 92705 l Lei Ze-l•J Member Lewis, Gregory (Private Sector) Maldonado, Georgina (Private Sector) Martinez, Erlinda (Public Sector) McMurtray, Lee (Chair) (Private Sector) Nazeri, Maryam (Private Sector) Nishimoto, Nathan (Public Sector) Piwnica, Steve (Private Sector) Ray, Buddy (Public Sector) Ruiz, Robert (Public Sector) Sanchez, Stacey (Private Sector) SoIkamans, Daniel (Private Sector) Su, Daniel (Private Sector) Tucker, Bob (Public Sector) Wadhera, Andy (Private Sector) Business Elliott, Lewis, Lieber & Stumpf, Inc. Genesis Consultants Santa Ana College Bank of America Merrill Lynch Orange Coast Dental OC Social Services Agency Royalty Carpet Mills Community Action Partnership of OC Laborers Local 652 Southern California Reinvestment CDFI Pure Health Lifestyle Farmacia Santa Ana California School Employees Association CALTRENDS Automotive Products Address 1611 E 4th St #200 Santa Ana, CA 92701 3743 S Bristol St #104 Santa Ana, CA 92704 1530 W 17th St Santa Ana, CA 92706 3200 Park Ctr Dr #1200 Costa Mesa, CA 92626 1717 Old Tustin Ave #B Santa Ana, CA 92705 888 N Main St Santa Ana, CA 92701 17111 Red Hill Ave Irvine, CA 92614 11870 Monarch St Garden Grove, CA 92841 1532 E Chestnut Ave Santa Ana, CA 92701 2390 E Orangewood Ave #560, Anaheim, CA 92806 2323 N Tustin Ave #D Santa Ana, CA 92705 510 N Main St Santa Ana, CA 92701 326 W Katella Ave #E Orange, CA 92867 2121 S Anne St Santa Ana, CA 92704 19F -387 Phone 714 - 569 -1000 714 -272 -9356 714- 564 -6975 949 - 722 -2684 714 - 835 -9188 714 -541 -7810 949 - 474 -4000 x2295 714 -897 -6670 x3112 714 - 542 -7203 714 -918 -0886 714 - 953 -5533 714 - 542 -5444 714 - 532 -7128 714 - 708 -5115 City of Santa Ana Workforce Investment Board E Our Board E Committees & Members Page 1 of 2 Our Board ( Cou nnittees Welcome to the Committees page} The Santa Ana Worldorce Investnent Board (WIB) established various committees for the purpose of ensuring the flow of the Win strategic plan. F lbvAng is more irr€arnration on each of the committees and their responsibilities. Executive Committee The Executive Committee it comprned of the Chairperson; Vice- Chairperson, the immediate past- Chairperson, if a cwent WIS member; and the Chairpersons and VK&Chairper o of the standing committees. This committee meets every other month opposite from the WIB. The purpose of the Executive Committee: !. Provide recoxmnendations regard'atg regular agenda items of the WIB as deemed nec ry by the Executive Committee or WIB 2. Formulate policy recommendations concerning all aspects of the Boards responsibilities and the Workforce Investment System's operation for consideration arc$ action by the WIB 3.. Complete activities contained in the WIB Strategic Work Plan 4. Act as a clearinghouse for all of the committees of the WIB by reviewing and making recommendations on all items to be presented to the full WIB S. Develop a communication plan to provide continuous communication with local, state and federal elected officials and the pass to promote successes and encourage WIB members to communicate regularly with local elected officials 5. Whenever appropriate, due to firm constraints or oth-- factors, the eceautive Cemrrdttee shall have dedsioxrnrakii authority on behalf of the WIB.. Marketing Committee Develop t#re vaiden marketing plan for lire WIB to promote services funded with WIA funds. Convene task forces, focus groups and conducts telephone surveys to determine incentives and obstacles for businesses to use the One -Stop Center's services. Review, evaluate and make recommendations on the current marketing materials being used by the One -Strap Center and the WIB. Develop a written plan to recruit and retain members on the WIB. Bring potential new board members to the WIB for their consideration. Function as ttre nominating committee for WIB officers each year. http:fhvww,.santumwib.comlotrr board comnaittees.html dt?212`013 lLiZaZa� City of Santa Ana Workforce Investment Board I Our Board ( Committees & Members Fade 2 of 2 Prepare and distribute a quarterly newsletter that com"onicates the needs of residents and employers. Employer and Customer Service Committee %* the disparity between business expectations and the services offered by the One Stop Center. Develop a plan to resolve issues of meeting the expectations of the business community, federal mandated perfonyonce requirements, and the use of limited funds to accomplish these goals. Identify areas where federal and business expectations are met and where they are lacking. Define business service training from the business perspective. Define bask skills from the One - Stop's perspective. Develop policy or position papers on what training and services should be offered by the One -Stop Center. Iden* gaps between the One -Stop and business services and determine what programs could be funded Im fig those gaps. Oversight and data Committee Identify data necessary for effective WM oversight of the One -Stop Canter. Develop categories of data required to collect for this evaluation including costs perforrnance, programs/services, and return on investment. Conduct global issues gap analysis based on V`Q.B priorities and available research resources. Youth Council Membership on the Youth Council shall include members of the WIB with a special interest or expertise in youth policy, representatives of youth services agencies including juvenile justice and local law enforcement, representatives of local public housing authority as appropriate, parrs of local youth seeking: assistance under WIA, former participants, representatives of organizations that have experience relating to youth activities, representatives of the Job Corps as appropriate, and other individuals who are deemed appropriate by WIB Chair in cooperation with the chief local elected official. Performs all the functions mandated by the Act including planning, procurement, presenting recomi-nendations to the Mon funding youth programs and oversight of the programs approved for funding. The Youth Council also markets, coordinates and collaborates with Youth Council members` organizations and other community agencies whose primary function is to serve local youth. Develops and treaties an advocacy plant to promote early workforce preparation of Santa Ana youth. cD Santa Ana Workforce Investment Board 2007 -2008 http ;i'fwtvR_santaanau-ib.comlour board committees_html 4/2212013 Prepare and © Santa Ana Workforce Investment Board 2007 -2008 i Lei mol o 'I1] REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES (APRIL 2013 — JUNE 2013) 'AGER RECOMMENDED ACTION Receive and file. CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting on July 16, 2013, by a vote of 7:0 the Community Redevelopment and Housing Commission recommended that the City Council receive and file. DISCUSSION This status report for the quarter ending on June 30, 2013, affordable housing activities of the City and the Community divided into three sections: Loan Activity, Loan Portfolio Development Projects. Loan Activity Applications 19G -1 provides statistics for the day -to -day Development Agency. The report is Management and Monitoring, and Chart 1: Applications Mailed During the Quarter Single Family Mobile Home Homebuyer Rehab Hardship Assistance 35 The Housing Division offers several 30 different programs including homebuyer down payment assistance and z5 rehabilitation loans for historic single- 20 family, single - family and mobile homes. Mobile home loans are offered as 15 forgivable grants and are used to cover 10 the cost of essential repairs. Applications are mailed out and received 5 for these programs on a continuing basis. 0 19G -1 provides statistics for the day -to -day Development Agency. The report is Management and Monitoring, and Chart 1: Applications Mailed During the Quarter Single Family Mobile Home Homebuyer Rehab Hardship Assistance Quarterly Report for Housing Division Projects and Programs August 5, 2013 Page 2 Chart 1 shows the number of applications sent out by type for the fourth quarter. Of the applications sent, three have been returned and are being processed. Loan Underwritinq and Approval Process In this process, staff reviews applicant eligibility, verifies income and assets, and oversees underwriting to determine eligibility per program guidelines. In addition, staff conducts an inspection of the unit, prepares a work write up to determine rehabilitation work to be performed, and develops a budget for the work. Due to the complex funding requirements, applicants may be in underwriting several months. The length of time in underwriting is largely determined by the applicant's timely submittal of the necessary paperwork. Once approved, staff prepares all necessary loan documents, makes arrangements for execution, and reserves the required loan funds. There were no loans approved during this quarter; however there are seven rehabilitation applications and 2 homebuyer applications in underwriting process for eligibility. Construction Process During this phase, homeowners receiving rehabilitation loans are guided through an open selection of contractors to complete the work on their homes. Each homeowner is given a list of contractors that have been screened by staff for license and insurance requirements. However, homeowners are allowed to select any contractor that meets these same requirements. Staff assists the homeowners in selection of a contractor, monitors the construction work, approves payments to contractors, and tracks expenditures to ensure they do not exceed available funds. At the end of this quarter there were two homeowner rehab projects out to bid and two under construction. Loan Portfolio Management and Monitoring The Housing Division is responsible for ensuring the integrity of the residential loan portfolio. As of the end of this quarter, the principal balance was $107,207,478. This is comprised of 490 loans of which 440 are deferred or residual receipt payment loans. As shown in Table 2, the loan portfolio generated $685,478 in payments of principal and interest during the quarter: Table 2: Portfolio Revenue 19G -2 4th Quarter FY 12 -13 Loan Payoffs $253,012 $293,441 Residual Receipts Payments $389,110 $649,434 Amortized Loan Payments $43,356 $164,698 Total $685,478 1,107,573 19G -2 Quarterly Report for Housing Division Projects and Programs August 5, 2013 Page 3 As part of the requirements for these funds, staff must monitor the owner - occupancy for single family homes that have received loans, and the code compliance of units in rental projects with long -term affordability covenants. During this quarter, staff received and processed 83 owner - occupancy recertification letters. Ten second - request letters were mailed to homeowners that were non - responsive. During this quarter, staff also conducted code compliance inspections for 39 units in two projects. Regulations require that only a sample be selected for inspection. Staff also inspects the grounds and common areas such as laundry rooms to insure they also meet City code requirements. The majority of the inspected units as well as the grounds and common areas were found to be in compliance at the time of initial inspection. Some of the units had minor deficiencies including loose toilets, inoperative burners, faulty GFCI outlets, inoperative smoke alarms and carbon monoxide detectors. All of the deficiencies were repaired and the units were found to be in compliance at the time of the subsequent re- inspection. Subordinations Due to the historic drop in mortgage interest rates, the City experienced a significant increase in requests for subordination. During the fiscal year there were a total of 28 requests for subordination received and approved of which 14 were in the fourth quarter. The subordinations were reviewed for conformance with City policy and granted to homeowners that were refinancing their existing first mortgage to a more favorable interest rate. Per the subordination policy, no cash is allowed to be taken. Development Projects Neighborhood Stabilization Program 2 (NSP 2) The City's second award (NSP 2) for $10 million was received through a highly competitive process in which only 15 local government agencies were successful. Most awards were made to nonprofit consortiums. Under the terms of this award, there is no obligation deadline to meet; however, there is an expenditure deadline. In the first quarter, HUD approved a technical amendment to allow the City to close the DPAP activity and move the remaining $336,860 to the Single - Family Acquisition - Rehabilitation activity. There were no properties sold during the fourth quarter; eight properties were sold during the fiscal year. Neighborhood Stabilization Program 3 (NSP 3) The U.S. Department of Housing and Urban Development (HUD) has allocated the amount of $1,464,113 in NSP 3 funds to the City of Santa Ana. To receive these funds the City adopted a substantial amendment to its Annual Action Plan, and submitted it to HUD on February 28, 2011. The amendment was approved, and the City signed a grant agreement with HUD on March 10, 2011. The grant activities are: 19G -3 Quarterly Report for Housing Division Projects and Programs August 5, 2013 Page 4 Acquisition /Rehab /Resale -50 Percent of Area Median Income Acquisition /Rehab /Resale -120 Percent of Area Median Income Administration The City's intermediary ANR has been actively seeking foreclosed properties in the NSP 3 target area. During this quarter, one property located at 1223 Baker Street was acquired, rehabilitated and is currently in escrow for sale to a qualified homebuyer. In -Fill Development Projects The construction of Vista Del Rio, a 41 -unit handicapped - accessible affordable rental housing project located at 1600 Memory Lane, is nearly complete and expected to be finalized in July 2013. During this quarter, Habitat for Humanity of Orange County completed the construction of a single - family dwelling located at 1029 McLean Drive. A single - family dwelling located at 4809 W. Edinger was sold to a low- income homebuyer. Three additional single - family dwellings at 160 E. McFadden Avenue, 1114 S. Cypress and 1121 S. Cypress Avenue are currently under construction and expected to be completed in July 2013. FISCAL IMPACT There is no fiscal impact associated with this action. (71 C Sandra D. Gottlieb Acting Executive Director Community Development Agency SDG /SLB /kg Prepared by: Ray Lirette 19G -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: REQUEST FOR QUALIFICATIONS FOR DEVELOPMENT OF THE THIRD STREET AND BROADWAY PARKING STRUCTURE - 201 W. THIRD STREET �V±j CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: •:• 75 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the Community Development Agency to release a Request for Qualifications inviting qualified developers to submit Statements of Qualifications to develop an innovative, high quality project at the Third Street and Broadway parking structure site, designed to complement and enhance the unique characteristics of Downtown Santa Ana. DEVELOPMENT AND TRANSPORTATION COMMITTEE REVIEW The Development and Transportation Committee reviewed this matter at its meeting on June 4, 2013. The Committee suggested that the City solicit a broad array of concepts for this property, though it noted that certain uses, such as a hotel, could be desirable. The Committee has reviewed the RFQ and recommends that the City Council authorize staff to circulate it to interested parties. DISCUSSION The Third Street and Broadway parking structure is centrally located in Downtown Santa Ana, which is situated in the heart of Orange County (Exhibit 1). Downtown is a unique and vibrant area characterized by a mix of retail, restaurants, entertainment venues, artist lofts, and other uses catering to a broad customer base. Given the site's development potential and that the parking structure's design is now functionally obsolete, the property is being considered for redevelopment. The subject Request for Qualifications (RFQ) envisions replacing the parking structure with an innovative high quality project that reconnects Third and Fourth Streets, activates the ground floor space, incorporates public areas and art, and replaces the existing 440 parking spaces along with providing adequate parking for the new development. Potential uses for this site include: retail, restaurant, residential, hotel and /or office /commercial use. The RFQ is 19H -1 RFQ 3rd and Broadway Parking Structure August 5, 2013 Page 2 designed to encourage creativity by developers in proposing the optimum development scenario best suited to the Downtown and reflective of the needs of the community. The Third Street and Broadway parking structure was constructed in 1982 on a 62,243 square foot lot. The building area is approximately 146,055 square feet and consists of three levels that service both daily and monthly parking. The structure has reached a point of functional obsolescence due to its lack of vehicle and pedestrian mobility between Third and Fourth Streets, and lack of street level activity along its outer edges. Additionally, there are several items in need of repair or resolution including structural shoring, poor circulation, drainage issues, and obsolete parking equipment. Based on an initial evaluation conducted by City engineers, it is estimated that it would cost the City approximately $8.6 million to perform the necessary electrical, mechanical, drainage, and structural improvements along with parking control upgrades installation of security upgrades and wayfinding just to bring the parking structure to a baseline level of service. At the City Council Development (Land Use) and Transportation Committee meeting, staff presented the options of either making the estimated $8.6 million of repairs to the parking structure necessary to bring it to the baseline standard, or demolishing the structure and developing a project that includes replacement parking. The Committee members and staff agreed that the long -term benefits associated with demolition and redevelopment is the preferred option. The Committee members also concurred with staff that the development would need to incorporate adequate parking to replace the existing 440 spaces as well as any additional capacity necessary to support any new uses generated by the project. However, it was agreed that shared (reduced) parking could be considered if justified by a parking study. The recommended action authorizes the release of an RFQ for the development of the Third Street and Broadway parking structure site (Exhibit 2). The process will involve two steps: this issuance of the RFQ to identify qualified developers followed by the issuance of a Request for Proposals (RFP) to a short list of the top RFQ respondents. This process is designed to limit the initial costs and time burden on respondents in order to attract the interest and participation of the highest number of qualified developers as possible. The shortlisted developers would then be requested to submit full proposals to the City for an evaluation and selection process. This approach will ensure that the City and development community can most efficiently deliver the optimum development scenario for the site. Based on the anticipated schedule, qualifications will be due September 9, 2013, with the review process commencing immediately. Following the review of qualifications, recommendations will be made by staff and the Committee to the City Council regarding top candidates to invite to participate in submitting a full proposal. It is anticipated this list of top candidates will be brought to the Council for its consideration at its November 4, 2013 meeting. Depending upon the number of qualification packages received, the time frame may be adjusted. Attached is the RFQ distribution list which includes entities who have expressed interest in development in the City over the years, in addition to other organizations that can assist in outreach to their members (Exhibit 3). The RFQ will also be posted on the City's website. It is anticipated that the RFQ will be issued on August 6, 2013, subject to City Council approval. 19H -2 RFQ 3`d and Broadway Parking Structure August 5, 2013 Page 3 FISCAL IMPACT There is no fiscal impact associated with this action. Sandra D. Gottlieb Acting Executive Director Community Development Agency SDG /GPUkg (-�L J2 Trevino Executive Director Planning and Building Agency Exhibit: 1. Map 2. Request for Qualifications 3. Distribution List 19H -3 19H -4 I -77:777777=� �17 Ire I -77:777777=� �17 19H -6 EXHIBIT 2 Request for Qualifications Third Street and Broadway Parking Structure DRAFT 19H -7 TABLE OF CONTENT Introduction..................................................................................................... ..............................1 SantaAna and its Downtown ............................................................................ ..............................1 OpportunitySite — 3rd and Broadway Parking Structure ..................................... ..............................7 ProjectObjectives ............................................................................................. ..............................8 MandatoryPre - Submittal Conference ............................................................... ..............................9 SubmittalRequirements .................................................................................. .............................10 SubmissionProcedures .................................................................................... .............................13 SelectionProcess ............................................................................................. .............................14 SelectionCriteria .......................................................................................... ............................... 14 TentativeTimeline ........................................................................................... .............................15 Disclaimers...................................................................................................... .............................15 Exhibits............................................................................................................ .............................16 19H -8 INTRODUCTION The City of Santa Ana (the "City ") invites responses to this Request for Qualifications (RFQ) by qualified developers to build a high quality mixed -use development designed to complement and enhance Downtown Santa Ana. The site is located at 3rd Street and Broadway in the heart of the City's downtown. The site is currently improved with a 440 space City -owned parking structure that is functionally obsolete and has several physical limitations. The purpose of this RFQ is to offer the opportunity for qualified developers to present a creative mixed -use project which may include, but not limited to: retail, office, hotel, and /or residential use with the understanding that the development must include 440 replacement parking spaces in addition to the parking requirements associated with the proposed development unless a parking study supports a reduced parking scenario. The site is located within the boundaries of the Transit Zoning Code. Recognizing that the downtown is essentially built -out and a development opportunity of this importance and magnitude (1.43 acre site near the center of downtown) will not likely be available in the foreseeable future, the City is determined to find a suitable mixed -use project which is innovatively designed and will complement other developments and historic buildings in the downtown. The project must also comply with the recently adopted development standards outlined in the Transit Zoning Code. The City envisions a two -step process for selecting a qualified developer to redevelop the 3rd Street and Broadway parking structure site. The first step involves issuance of an RFQ to identify a group of qualified developers and the second step involves the issuance of an RFP to a short list of the top respondents to the RFQ. This process will ensure that the City and development community can deliver the best project for the property. SANTA ANA AND ITS DOWNTOWN Founded in 1869, Santa Ana is located between two major freeways in central Orange County and shares its boundaries with the cities of Orange, Tustin, Costa Mesa, Fountain Valley and Garden Grove. It serves as the county seat of Orange County, and is home to many federal, state and county facilities, including the Ronald Reagan Federal Courthouse. A diverse population of over 350,000 call Santa Ana home. Residents and businesses alike are attracted to the City's distinctive housing choices along with Santa Ana's abundance of entertainment and shopping venues throughout, such as the notable Discovery Science Center, Bowers Museum and MainPlace shopping mall. DOWNTOWN Santa Ana's downtown has a district listed in the National Register of Historic Places. This area is roughly bounded by Civic Center Drive, First Street, Ross Street, and Spurgeon Street. In recent years, the downtown area has undergone several changes which have resulted in IPu��e 19H -9 competing parking needs. Today, this historic city serves as Orange County's downtown rich with a mix of shops, artist enclaves, restaurants, entertainment venues and loft housing. In addition to the changing uses, the hours of operation for the downtown span over a wider period of the day, from coffee shops which open early to retail businesses that are opened during the day to restaurant and entertainment venues that are open into the evening hours. The increased activity requires preserving the current level of parking availability to accommodate all the surrounding uses. For over three decades, the City of Santa Ana, private investors, business owners, various organizations, and community residents have worked together to revitalize and promote urban renewal in the downtown area while maintaining the historic and cultural traditions of the area. Santa Ana's downtown area is becoming widely known as a dynamic urban center acclaimed for the arts, theaters, galleries, and restaurants in the Artists Village, live /work housing accommodations, and shopping along 4 1 Street. The downtown area also boasts numerous art deco style historical buildings that are listed in the National Register of Historic Places. TRANSIT ZONING CODE In 2010, the City adopted Specific Development 84 (Transit Zoning Code), a comprehensive land use plan that incorporates approximately 450 acres extending from Grand Avenue to the City's downtown core. The completed document can be viewed in its entirety at: http: / /www.ci.santa- ana.org /pba /planning /Transit Zoning Code.asp. The Transit Zoning Code envisions the Santa Ana Regional Transportation Center as an important transit center between Los Angeles and San Diego, offering Amtrak and Metrolink service connecting to local light rail and bus service, all supported by housing, office, and focused commercial development. 21Page 19H -10 The Transit Zoning Code (TZC) is designed to provide the zoning necessary to support the long- term development of a successful transit program, as well as several properties owned by the City and Successor Agency of the former Redevelopment Agency (Agency). The TZC provides new zoning for properties contained within its boundary, while at the same time it preserves the existing Light Industrial (M1) and Heavy Industrial (M2) zones through new Industrial Overlay Zones. The Transit Zoning Code encourages the development of transit - oriented development containing a mix of residential, commercial, and professional uses to achieve the City's and the region's goals of establishing housing adjacent to transit. The Transit Zoning Code area is primed for increased growth given its proximity to major transit systems and its adjacency to existing residential communities, creating amenity- enriched connections between the government center and rail station, and improving area -wide walkability. FIXED GUIDEWAY PROJECT The cities of Santa Ana and Garden Grove in cooperation with the Orange County Transportation Authority (OCTA) are proposing to build a fixed guideway /streetcar transportation system between the Santa Ana Regional Transportation Center (SARTC) and a new transportation center in Garden Grove. The system would provide transit services for commuters travelling from the train station to employment and activity centers in the heart of Orange County and for residents and visitors alike travelling to destinations throughout the area. The proposed streetcar would service the Santa Ana's historic downtown area. One of the proposed routes for the fixed guideway /streetcar transportation system would travel eastbound on 4th Street from Ross Street to Mortimer and westbound on Santa Ana Boulevard providing an alternate mode of transportation in and out of the downtown and Civic Center area. This proposed route would be located one block north of the 3rd and Broadway parking structure and could also potentially decrease the on- street parking supply. The alternate route would operate primarily along Santa Ana Boulevard and the Pacific Electric Right -of -Way (PEROW.) In the downtown /Civic Center area, it would operate westbound only on Civic Center Drive between Bush and Flower and eastbound only on Fifth Street between Ross and Minter. It would provide easy access to both the Civic Center and Downtown Santa Ana. A decision has yet to be made regarding the route selection for the Fixed Guideway. More information regarding the Fixed Guideway and Santa Ana's Transit Vision can be located at http : / /santaanatransitvision.com. 31Paee 19H -11 SANTA ANA REGIONAL TRANSPORTATION CENTER The existing train station is marked by a beautiful building with historic inspirations. However, the building isn't able to effectively serve the higher level of demand expected in the future. Across from the existing site on the east side of the tracks is county -owned land offering the possibility to expand the station and its services, with the objective to blend existing and new uses as part of the SARTC Master Plan. The SARTC Master Plan improves access to the station, updates the station's facilities, and creates convenient linkages among Metrolink and Amtrak rail services, buses, and the proposed streetcar. It also improves access for cars, pedestrians, bicyclists, and creatively incorporates the planned Santa Ana Boulevard grade separation into a multi -modal corridor. For more information regarding the SARTC Master Plan please visit http://santaanatransitvision.com/SARTC_master—plan. Adjacent to the Downtown, is a 94 -acre area designated as the "Station District." On June 7, 2010 after an extensive public outreach process, the City Council /former Community Redevelopment Agency STATION DISTRICT 19H -12 41Pa_c approved several actions to facilitate the development of an affordable housing project, located in the Station District, which would enhance the Lacy Neighborhood and support the transit vision for the area. Related California /Griffin Realty Corporation (Santa Ana Station District, LLC) was the master developer and responsible for the rental homes, while City Ventures is the developer of the for -sale housing component. The project includes 114 rental units in apartment and townhome building types; all but two (manager units) will be available to persons at or below 50% of the adjusted median income (AMI). The for -sale component includes 24 units; five of the units will be designated for moderate income households. Both the rental and for -sale units are located on a total of approximately six acres of land. year with a waiting list already underway. The rental homes called Triada at the Station District located mainly in the area of Santa Ana Boulevard and Lacy Street, a few blocks east of the downtown area includes 74 podium apartment units (including retail and child care components), twenty -five new construction units and approximately 10 rehabilitated structures containing 15 units. A grand opening was recently held and all units have been leased. The 24 unit for -sale project is anticipated to commence construction later this ARTISTS VILLAGE LOFTS 51Pa,c 19H -13 square feet. Each of the phases incorporated distinctly have different exterior elevations. Although, the skeletal make -up of the project blocks incorporated has common floor layouts, the exterior materials and finishes have different exteriors. The Main Street Studios provide an art deco type design continuing the established design of Old City Hall. The East Village Studios reflect a simple modern design relative to the buildings in the immediate area. The Sycamore Street Lofts embody a "brownstone" design reflective of the Downtown Historic District. SANTIAGO STREET LOFTS The award - winning Santiago Street Lofts project was completed with the final phase in 2010, consisting of 108 loft -style units that allow residents to both live and work in the same space, and are conveniently located across the street from the Santa Ana Regional Transportation Center. Constructed by Lennar Homes through a public /private partnership with the former Redevelopment Agency, this for -sale project incorporates outstanding architectural design and artwork. The units range in size from 1,554 square feet with 1.5 baths to 2,292 square feet and 2.5 baths. 6 I P a g e 19H -14 OPPORTUNITY SITE - 3rd and Broadway Parking Structure [201 West 3`d Streetl The Site The site is a 62,243 square foot (approximately 1.43 acres) rectangular parcel on the North side of 3`d Street betw Location Located on the Northeast corner of Broadway and 3`d Street. Current Uses The site is currently occupied by a 146,055 square foot (3- level) parking structure containing 440 parking spaces. The structure services both transient and monthly parking. Monthly parking een Broadway and Main Street t rowel $r r - + i W N � rr.ao snaffr o o ` : at s passes are sold on a first come first serve basis with a maximum of 300 passes sold a month. The City has a long term lease agreement with the California State University, Fullerton Foundation for 30 parking spaces. • Term: Effective January 1, 1999 - January 1, 2029 with option to extend. (Concurrent with term of Lease Agreement between the Foundation and the City for lease of the building, commonly known as "Grand Central Building ") • Restricts the use of 30 parking spaces on the first floor between the hours of 8:00 p.m. and 12:00 a.m. every day during the term of the agreement. • Cost of monthly parking passes will remain $40 during the term of the agreement. • On -site security must be provided between the hours of 7:00 a.m. and 12:00 a.m. In addition, there is a verbal agreement to accommodate juror parking for the Ronald Reagan Federal Courthouse. All other monthly parking accommodations are on a first come first serve basis. After the site was constructed, a catwalk and bridges on both the east and west side were constructed providing property owners to the north direct pedestrian 71Pa-c 19H -15 access into the parking structure. Should the catwalk be removed, coordination with adjacent property owners will be necessary. Zoning /GP Downtown (DT) Zone The property is located within Specific Development 84 commonly known as the Transit Zoning Code, specifically within the downtown (DT) subzone. This zone is applied to the historical shopping district of Santa Ana, a vital pedestrian oriented area that is defined by multi -story urban building types accommodating a mixture of retail, office, light service, and residential uses. The permitted uses and standards in this zone are intended to reinforce this form and character while allowing for new context - sensitive infill development. The Transit Zoning Code is form -based code meaning that the development standards vary based on the building type proposed. The complete Transit Zoning document including permitted uses and development standards is available online at: http: / /www.santa- ana.org /pba /planning /Transit Zoning Code.asp. The General Plan land use designation for the property is District Center (DC) additional information is available at http://www.ci.santa- ana.ca.us /generalplan /documents /LandUse.pdf Surrounding Surrounding land uses include a mix of office, retail and restaurant uses to the Land Uses North, South, East and West. Ownership The property is currently debt free and fully owned by the City of Santa Ana. History The 3 -level parking structure was constructed in 1982. Minor repairs and improvements have been made including: 0 1989 — Repair damaged wall 0 1994 - Wrought iron fence added between parking structure and existing building 0 2004 - "Artists Village Parking' sign added 2009 - Meter upgrade Additional Information: A presentation was given to the City Council Committee on Development and Transportation on June 4, 2013. The presentation can be located at http://www.ci.santa-ana.ca.us/cda/. PROJECT OBJECTIVES In order to inspire creativity and imagination, this RFQ intentionally does not identify the specific uses or building type that the City would like developed at this site. However, to convey the City's goals and expectations for the development of the site, without being overly prescriptive on design and exact use, the following project objectives and potential uses should be considered: 81Page 19H -16 1. The 440 existing parking spaces must be replaced. However, the City will consider innovative parking strategies that provide for shared use between the public parking and the parking required for the mixed -use development if they are supported by a professionally prepared parking study. 2. Any proposed development must present a creative solution to achieving connectivity and pedestrian activity and flow between 3rd Street and 4`h Street. 3. The development must exemplify exceptional architecture and sustainable design and construction, generate street -level activity, and provide visual interest. 4. Potential uses identified by the Council Committee include: a. Retail b. Restaurant c. Residential d. Hotel e. Office /Commercial uses 5. The ground floor muse be activated with uses such as retail, office, and hotel and /or residential. 6. The development must meet the concepts and standards identified in the Transit Zoning Code. 7. The proposed development should present creative incorporation of public art/public space(s). 8. The City is open to considering a variety of conveyance structures such as a sale of the fee interest in the land, an installment sale, and a long -term ground lease. The RFQ response should identify the type of conveyance anticipated to be proposed by the respondent. MANDATORY PRE - SUBMITTAL CONFERENCE All developers must attend a mandatory pre - submission conference. The conference is scheduled as follows: Date: August 19 , 2013 Time: 09:OOAM Location: City Hall 20 Civic Center Plaza 2nd Floor Large Conference Room 229 Santa Ana, CA 92701 NOM 2! F"V efTop _ E - nln sl. nln $I. cnrH, .i. 0-1-1 tx. 4in si. ♦vnl'a Any Wed. IJ iCI K f 91Pu -C 19H -17 Parking is available in front of City Hall and in the parking structure on Civic Center Plaza Dr. between the County Courthouse and City of Santa Ana Library. Visit the website for more parking information at http: / /www.santa- ana.org/ documents /CivicCenterTempDirectory.pdf To confirm attendance respondents may call Ms. Leticia Lopez at (714) 647 -6974 or e-mail at Ilopez5 Santa- ana.ore referencing 3rd and Broadway RFQ Pre - Submission Conference in the subject line. SUBMITTAL REQUIREMENTS All submissions shall include information in the format described below. Please submit information in appropriate detail to allow adequate review and evaluation of your qualifications. The SCQ must be organized in the following order and consist of the following elements and information: A. Development Team 1. Letter of Introduction — Include a summary of the respondent's basic qualifications, experience, past projects of similar nature and size, and reasons for interest in this opportunity. The letter signed by a principal or authorized officer who may make legally binding commitments for the entity. 2. Team Members — Identify members of the development team and provide a brief description of each team members including the following: • Principals involved in the project • Resumes of key team members • Describe team members proposed role and relevant experience with projects of similar nature and size • Team members' experience in and familiarity with development in Santa Ana • An organizational chart of the firm(s) • The name of the person authorized to negotiate on behalf of the developer • Identify the lead contact for the team • The developer should indicate past experience in working with his team B. Development Team Qualifications Successful development of the site will require a team of professionals that demonstrates the following qualifications: 101Pag': 19H -18 1. Demonstrated relevant development experience in high - quality construction and management of mixed -use developments consisting of a variety of uses which collectively include hotels, office, residential, dining, pedestrian- oriented ground floor retail, and restaurant uses. 2. Demonstrated experience with one or more development projects previously completed or under construction of at least $50 million in value. 3. Development experience with development of public and private parking, as well as innovative parking solutions. 4. Inclusion of strong and creative architects on the team who have demonstrated innovative approaches to mixed -use, urban infill development. 5. Experience and ability to assemble a team with the appropriate specialties for construction, market analysis, tenant recruitment, and marketing. 6. Demonstrated ability to secure funding for complex, mixed -use development. 7. Excellent references regarding development experience. 8. Demonstrated record of success in implementing sustainable development and building practices. 9. Demonstrated success with public - private partnerships of a similar scale. 10. Demonstrated commitment to community participation and experience working with community groups. C. Experience and References Provide relevant development experience, particularly in developing mixed -use developments with public agencies. Each comparable development should detail the following information listed below. Provide information on at least three projects and no more than five. Please utilize the Project Summary form (Exhibit B) for each project. 1. Location and name of project. 2. Total development scope and size (including residential uses, commercial component uses, and infrastructure improvements, if applicable). 3. Development schedule including explicit identification of time allotted for public processes and entitlements. ll['ac� 19H -19 4. Land acquisition cost and project construction costs. 5. The amounts of debt and equity funds used to finance the project. Please provide contact information for the lender and equity providers for the project. 6. Any local, state and /or federal funding sources used to fund project costs. Please provide contact information for a representative of each assistance source. 7. An overview of the investment return thresholds that were established during the predevelopment process and the returns that were actually achieved, including an identification of the point in time that the project achieved a breakeven cash flow. 8. Description of the roles played by the development entity and unique challenges of the development. 9. Involvement of public agencies, their specific roles and contact information for a representative of the jurisdiction or agency in which the project was constructed. 10. Description of community outreach and participation process. D. Proposed Proiect Description The City does not expect a final development or design solution as a response to the RFQ. At a minimum, the response should include a brief narrative description of the preliminary development concept for the site and description of land use mixes, how your team approaches development of this type, including public /private working relationships, public outreach, integrated public private land uses, design process, and other elements you feel would be relevant. Additional supportive documents and illustrative concepts that help to communicate the team's vision are welcome, but not required. E. Financial Capacity For confidentiality purposes, please send any financial information your team would like to remain confidential under a separate cover (Below see Submission Procedures ). Provide evidence of sufficient financial strength to undertake and successfully complete a project of this scale: 121Pa-,t 19H -20 1. Provide evidence of sufficient financial strength to undertake and successfully complete a project of this scale including. The desired evidence is recent financial statements for the company with an accompanying letter from a certified public account verifying that the financial statements were prepared in accordance with Generally Accepted Accounting Principles. The City, at its sole discretion, may consider alternative evidence of sufficient capacity to undertake a development of the proposed scope. Any alternative evidence must be approved by the City prior to the submission of a response to the RFQ. 2. A statement identifying the debt /equity and financial return threshold anticipated by the project. Please note, this information will be kept confidential. 3. Identification of any projects /financing that the team collectivity or individually has defaulted on. The Financial capacity information should be submitted directly to the City Attorney. To the extent legally possible this information will be kept confidential. F. Conceptual Financing Approach Provide a description of how your team typically structures financing for projects of this type. G. Development Schedule Include a conceptual development schedule which includes key dates for actions such as preparation of the site development plan and accompanying documentation, community outreach, Disposition and Development Agreement negotiation period, entitlements, financing, and start and completion of construction. SUBMISSION PROCEDURES In order to be considered responsive to this RFQ, developer- design teams shall submit six (6) copies of the following information in bound document form and an electronic version (in Word Document or PDF) of the entire response on CD to the following: Ms. Sandra D. Gottlieb Assistant Director Community Development Agency 20 Civic Center Plaza, M -25 Sixth Floor Santa Ana, CA 92701 131Pi e 19H -21 Please send any proprietary financial information you wish to remain confidential under separate cover to: Ms. Lisa Storck Assistant City Attorney 20 Civic Center Plaza, M -29 Seventh Floor Santa Ana, CA 92701 Faxed submittals WILL NOT be accepted. Components of the RFQ response package received after the date and time specified in this RFQ will be rejected by the City as non - responsive. Questions regarding this RFQ or the submission requirements should be submitted in writing by regular mail, e-mail or fax to: Ms. Gabriela P. Lomeli Redevelopment Project Manager 1 20 Civic Center Plaza, M -25 Santa Ana, CA 92701 Fax: (714) 647 -6549 E -mail: RFQDowntownDevelopment @santa - ana.org SELECTION PROCESS The City will create a selection committee, which will review and analyze responses, contact references, and complete interviews as necessary. The Selection Criteria identified in the following section of this RFQ will be used to determine which respondents will be invited to participate in a Request for Proposals (RFP). Following City Council approval of a preferred Development Team through the RFP process, the parties are expected to enter into an exclusive negotiating agreement during which time a detailed development program will be developed and business terms will be negotiated. SELECTION CRITERIA The following criteria shall be used in analyzing all submissions and in recommending them for further consideration: 1. The team's qualifications and experience in successfully completing comparable developments. 2. The Developer's current financial capacity. 141Page 19H -22 3. Demonstrated understanding of and ability to comply with the Project Objectives and Submission Requirements as stated in this RFQ. TENTATIVE TIMELINE* The following is a conceptual timeline for the RFQ/P process: August 6, 2013 August 19, 2013 September 9, 2013 September 23 -26, 2013 September — October 2013 November 4, 2013 TBD TBD TBD TBD *Note: All dates subject to change. DISCLAIMERS Issuance of RFQ (Council approves release on 8/5/13 — action due 7/15) Bidders Conference Submission deadline by 4:00 p.m. Anticipated interviews for top qualified developers Review of submittals staff /Committee /City Council Issuance of the Request for Proposals (RFP) to the short list of qualified developers Deadline for RFP submittals Developer presentations of their proposals. Review and selection of the preferred developer Start exclusive negotiation period All facts and opinions stated in this RFQ are based on available information and are believed to be accurate. However, no representation or warranty is made with respect thereto. The selected developer will be required to comply with all applicable laws, including labor laws as codified in Labor Code Section 1720. Those submitting responses to the RFQ assume all financial costs and risks associated with the submission. No reimbursement or remuneration will be made by the City to cover the costs of any submittal, whether or not such submittal is selected or utilized. 151Pagc 19H -23 The City reserves the right to reject any or all submittals at its sole and absolute discretion and accepts no responsibility for any financial loss by such action. Any agreements which may be entered into between the developer(s) and the City, including, but not limited to an Exclusive Negotiation Agreement and /or Disposition and Development Agreement, are subject to approval by the City Council. The City reserves the right to waive irregularities or informalities in any submittal in the exercise of its sole and absolute discretion. The City of Santa Ana is an affirmative action, equal opportunity employer. It encourages minority and women owned firms to respond to this and all other solicitations. EXHIBITS • ExhibitA — AerialMap • Exhibit B — Project Summary Form 161Page 19H -24 Exhibits 17IPas,c 19H -25 • r� R W a N I M M rt O O Q W O 0) Q O Oq N r�r C r1 r+ C I M I N O N G O N .-r --I 3 =s' Q N r+ (D rD rt Project Summary Form To be completed for asell comparable project Chad In the proposal as relevant experience Name OfResponding Company Date Project Nam; Location Development dales (consmreFan start) Pirxt opening Project Descriptun Number of phases/ descri ticn of uses in each phase W het was the proposer "s rota in project? Did the development team include other members? if so, name Role Desaire uniqua challenges of the Development (Please attach detailed huonnaticn action tely as needed,) —� Total Development Scope and Sizes: Site Area Total development size (sf, fQ Rota if (sq. ft,) Service (sq, ft.) Office (sq. it.) Dtlmr (Oct. hJ Rosteurant (sq. h,) Hotel (# of rocmu/franchivc) Arts /Cukcualuses (describe) Euenaimnentuses (describe) AnwMr tenants (mhtil, office, ern): (list) Other land uses (describe) —' Parking (# of SpacesRype of Stricture) _ lnirasur clan hillaovereeaas (describe) Public Participation In: (Please attach detailed information separately as needed,) Public Asstltanee Land Writedown __—Gran Loan Fee Waiver --Tax Waiver —Expedited Processing __Special Entitlements herolvemont of Public Agendas and their Spcelfic Roles: Describe community outreach and porticipalion processes: Etunate time allated to public procowcn and antitWnnenls: Funding slid Costs: (Please atttdt detailed inforawden separately ON needed.) Land acquisition cost Project construction costs Amount of Debt Financing Equity Contribution Local. Shale, and/or Federal funding sources Threshold Return on Total'nveshment Actual Return on Total lavestment Attach uafarmation on any Weal, stale avdror federal fimding smsccs user) to Ford the project coals. Include contact information for the lender and equity providers for the project, Exhibit B 19H -27 Osmershtp: Nunes of orlgdml avmr Origins I ownorsltp percentage of resptudent Currcntowncr (if d'e7emlrt) Current owturshp pomenlego ofrcepondent References: Private Ponies Prcpony Mmagm=t camtmcfim lendor Portruent lemlcr LowVStaw/Feriaral fund'utg source Other Odwr Otter Other Other Public Sector Partners Function or relk6onnhi Exhibit B 19H -28 EXHIBIT 3 19H -29 1 1 PACIFIC CAPITAL Sam Nam 2 kE Consultants Information Network Hawkins 3 ABM Realty & Investm_ents Abdul M_oz enI 4 Abode Communities Robin & CEO 5 Affirmed Housing _Hughes, ,President Jeff Edg_ren 6= _ _ Affirmed Housing Group Yvonne DeCarlo 7 ___ Affordable Housing DeveloprrierItporp Austin Herzog 8 Alison Morales 9 'AMCAL Housing Mark Ruff Acquisition Director 10 Amcal Multi - Housing Inc. Mario Turner 11 'American Communities Mark Walther 12 Anchor Point Development Miguel Vasquez 13 ANR Industries, Inc. Agustin Rodriguez 14 Archstone _ _ Jeff Sofferman, Sr. VP_ 15 Armstro9g- But90er Pr eves LLC Gregory_L_Butcher 16 Barry A. Cottle, Real Estate Dev. & Inv. Barry Cottle 17 Beazer Homes USA Inc. Jerry Gates 18 Bill Burk Bill Burk 19 Bisno Development Co. Robert Bisno 20 Bonanni Development - - Ed Bonanni 21 Bosa Development - - - -' Eric Martin 22 Brandywine. Development Corp. James Bansic 23 BRIDGE HOUSING Philp B. Williams _ 24 ;Bridge Urban Infill Land Development Lydia Tan 25 Brookfield Homes - Southland Business Group Nicole Burdette, Land Asition Manager cqui 26 Bryson, LLC Brent Neben 27 C & C Development Barry Cottle-,,Principal__ 28 California Pacific Homes Inc. Cary Bran 29 California Property S eaahsts, Inc_ L — Cindy Gomez 30 Capital Pacific Holdings Inc _ Hadi Makarechian 31 (Caribou Industries Mike Harrah 32 Centex Homes Richard Douglass 33 Champion Development Ronald Stockdale 34 Chapman University is Tom Wilson 35 Chelsea Investment Corporation _ James J. 36 Chris Taylor Chris Taylor 37 Christopher Homes Inc. Christopher Gibbs 38 Church of Scientology Donald Krotee, AIA 39 CIM Group Shaul Kuba 40 Citation Homes Scott Allen 41 City Ventures Mark Buckland 42 CIVIC CENTER BARRIO HOUSING CORP Helen Brown 43 Coldwell Banker Real Estate Winston Covington 44 Collins Commercial Rudy Licerio 45 Contractors General Services, Inc. Dan Kalili 46 County of Orange OC Archives Jean 0. Pasco 47 Creative Housing Associates Michael Dieden, Principal 48 CWI Development Kevin Weeda 49 D.R. Horton Inc. Steve Firzpatrick 50 DEVELOPMENT COMMUNITY PARTNERSHIP Seimone Jurjis 51 Development, Planning & Financial Group John Foreman 52 Downtown Inc. Ryan Chase 53 Downtown Restaurant Association Jeff Hall 54 Dynamic Builders, Inc. Ken Jackson 55 'Fairfield Residential LLC Deborah Ruane 56 Far West Industries Albert Lissoy 19H -29 EXHIBIT 3 57 FBA Engineering Angela Belew 58 Ferrini Corporation Jonathan Ferrini 59 Fieldstone Communities Inc. David Greminger, President 60 Fiesta Marketplace Partners Ltd. Iry Chase /Ryan Chase 61 ! Fiesta Riviera Ent. Norman Shanahan 62 Ga Development Frank Gangi 63 _gi GDC M. Dangelo 64 Gensler Architecture, Design & Planning _Jack Darla Callahan 65 :Gilmore Associates Tom Gilmore 66 'GKK Corp. Praful Kulkami 67 Grand Central Art Center John yak 68 Greubel Company Jerry_Greubel 69 _ Greystone Homes, Inc. Ana Woods 70 'GRIFFIN INDUSTRIES John Terando 71 Gri fn Realty Corp. Roger Torriero 72 _ Habitat for Humanity of Orange County _ _ Mark Korando 73 Haunted History WalkinaTours Ernie Alonzo 74 !Hawkeye Development Corp Eric Johnston 75 Hearthside Homes Inc. Raymond Pacini 76 Helping Families Today Stacey Araceh 77 Henry Nicholas Foundation / Broadcom Bob Magnuson/Tony Guanci 78 Heritage Community Housing, Inc. Cesar Delgado 79 Heritage Housing_ Partners 'Fighridge Charles Loveman 80 Costa Housing Partners Tara Barauskas 81 Homeless Christian Fellowship of Santa Ana - -- Armando Felix Cardenas -- - - 82 HOT HOT Homes Donovan Huennekens 83 IHP Capital Partners Greg Fink 84 Integral Communities Douglas Stowell 85 'Iranica Institute Kamron Jabbari 86 Irvine Housing Opportunities Patricia Whitaker 87 J.F. Shea Co. Bob Yoder 88 'Jamboree Housing With Heart Inc. Laura Archuleta, President 89 Jason's Catering Jason Kordes 90 _ _ John Laing Homes 91 K. Hovnanian Companies of California Inc. Nicholas Pappas 92 KB Homes Coastal Inca Judy Woolen 93 KDF Communities, LLC Mark E Hyatt, Principal, Managing Member 94 'KellerCMS, Inc. Bill Marsh 95 Kevin Cabrera Kevin Cabrera 96 Kishimoto Architects, Inc Kaz Ishimoto 97 LDA Daniel Singh /Phil Reyes_ 98 Lennar Homes California Inc. Jonathan Jaffe 99 Lincoln Property Company David Pinto 100 Los Angeles Community Design Center Lisa Luboff 101 'Los Angeles Housing Partnership, Inc. Hugh Martinez _ 102 Magis Realty Brian Hendricks 103 Marcus & Millichap Real Estate Sean Mills 104 Mayans Development Stephen Romero 105 MBK Homes Ltd. Timothy Kane 106 McCormack Baron Salazar Tony M. Salazar 107 Mercy House Lawrence G. Haynes, Jr. 108 Meta Housing Corp Sean Clark 109 Mike Rovner Construction Sterling Lund 110 Mod Habitat Mike Embry 111 Mogavero Notestine Associates Russell Rocker 112 MVE & Partners Ernie Vasquez/Fernando Niebla 19H -30 EXHIBIT 3 113 National Community Renaissance John Seymour 114 Ne�hborhood Housing Services _ Glenn Hayes 115 NRI, Inc Robert E. Hardwick 116 OC Youth Commission Mike Hoover /Rosie Avila 117'O'NEAL DEVELOPMENT Andre O'Neal Sr. 118 - - es_.tC or_p_ Paul Marshall -- 1 1- Orange Count Community Housing Corporation , Allen P Baldwin 120 _-OpusW___ Orange County High_School of the Arts Ralph Opacic 121 Orange County Hispanic Chamber of Commerce Reuben Franco 122 Orange Housing Development Corporation Eunice Bobert Chief Executive Officer — - -.. 123 PALM DESERT DEVELOPMENT COMPANY Corryn Mc_Givern 124 Pardee Homes Serrano Development Group, Inc. 125'Paul Hill Siertina Development, LLC 126'PAYNE DEVELOPMENT, LLC Ned Heiman 127 PM_C Internal Service Provider Ashley Grey 1 28 Portrait Homes, Inc Avi Shah 129 Pulte Home Corp. Igor None 9-a 130'Quest Home Preservation Kevin Merrett 131 Rainbow Building & Development Ray Fernandez 132 RC Hobbs Company _ Roger C. Hobbs _ 133 Real Estate Development James R. Gnset 134 Real Estate Development Rentals & Investment Bryan Klawitter 135 Real Property Finance & Dev. Company Gregory Bright 136 Regent Properties Bill Korek 137 Rajis Homes Bill Albert 138 Related Companies of CA Bill Witte 139 Rennaissance Community Fund Larry Kosmont 140 ReyLerm Properties LLC David Todd 141 Richmond American Homes Liesel Cooker 142'' Rider Levett Bucknall Ltd Andrew Field 143 ,RRM Design Group Annie Wesseis, Proposal Coordinator 144'RSI MCFADDEN, LLC Ron Simon 145 RTC Morttgage Corp. Ana Mana Silberman 146 _ SA Historical Preservation Society Ben Grabiel 147 Santa Ana Business Council Sara Escalante 148 SEALI DEVELOPMENT Alex Barroso 149 Serrano Development Group, Inc. Marcus Long or Jason Tolleson 150 Siertina Development, LLC J. Fernando Niebla 151 Simpson Housing Solutions LLC Pete Harispuru 152 Singleton Urquhart LLP Mark Stacey 153 South Santa Ana Merchants Association Sharon Barlow 154 Southland Companies Michael Keele 155 Squier Properties Gary Squier 156 St. Joseph's Chris Leo 157 Standard Pacific Corp. Kenneth Campbell III 158 Standard Pacific Corp. Kenneth Campbell III 159 Steve Brahs 160'Stockstill Communities Mike Stockstill 161 Stratus Development David S. Wood, Principal 162 Taller San Jose Shawna E. Smith 163 Taylor Morrison Inc. Mike Forsum 164 Telacu Alex Hernandez 165 Terravest Inc. Tim Mulrenan 166 The Betty Hill Historical Foundation Sheila Warner 167 The Black Chamber of Commerce Bobby McDonald 168 The California Endowment Virginia Mosqueda 19H -31 EXHIBIT 3 169-fhw—Ckamb-'er-of Commerce David Elliot 170 The Claremont Club Mike Alpert, PresidenUCEO p � ---— - -- TeGIobalPremierDevelopment,Inc. DarrenBerbenan ------- _ 172 The Olson Co Stephen Olson 1 Group LLC - - Darrell S - tamps M P , A Managing - ... - Partner . , _1 - _ 174 .The Related Companies of California Bill Witte w5 : The Vietnamese American Chamber of Commerce Tam Nen The W rmirIgton Group Timothy Hogan 177"fierra West Advisors 1 Mike Garcia 178 to FIBrother-s- Inc. Jim Boyd in -T-na-d-em—ar-k --- Develop- m nent Company Dan Akins ,--- - 180 Urban-Habitat James E.-Thompson 181 Urban Housing Communities John Bigley 182 Urban Studios John Kaliski 183'Urban West David DiRienzo Urban West Strategies and Stellaturn, Inc. David DiRienzo Kai Hansen 185 Urbanus, LLC R. Matthew Shannon 166 Vetnans First Deane Tate W Voit Gil Ma me ro oInte Development Cos. Garrett Ca-l-a-1-c1 c i 189 Wester Commu n ity Housing, Inc. Scott Ga ye r 1,90 William Lyon Homes Inc. William Lyon 191 William Sparey Burk, Inc. William Burk 1N Windstar Communities LLC Eric Heffner 193 Woodbridge Homes Tod 11 d I Cunningham - I I 11 194 YMCA of Orange County Michael Ba'tiato 195 \/Vaiter-Ch-a- 19H-32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: REQUEST FOR QUALIFICATIONS FOR RENOVATION AND REUSE OF THE Y.M.C.A. PROPERTY LOCATED AT 203 -205 W. CIVIC CENTER DRIVE 11 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F-11 :I 061TJ2[ ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the Community Development Agency to release a Request for Qualifications inviting qualified developers to submit Statements of Qualifications for the renovation and adaptive reuse of the Y.M.C.A. property, incorporating the building's historic and iconic architecture. DEVELOPMENT AND TRANSPORTATION COMMITTEE REVIEW The Development and Transportation Committee reviewed this matter at its meeting on June 4, 2013. The Committee suggested that the City solicit a broad array of concepts for this property, especially including those that would preserve the historic character of the building. The Committee has reviewed the RFQ and recommends that the City Council authorize staff to circulate it to interested parties. DISCUSSION The Y.M.C.A.'s location, iconic architecture, and condition present a unique opportunity to return this underutilized building to its former prominence. The site is located directly adjacent to the Civic Center complex that includes city, county, state and federal offices (Exhibit 1). The purpose of this RFQ is to offer the opportunity for developers to submit their qualifications for renovation and reuse of the Y.M.C.A. building. Potential reuses of the building identified by the Development and Transportation Council Committee at its June 4, 2013 meeting include but are not limited to retail, office, hotel, residential, and entertainment uses. All proposals must incorporate public areas and art, and meet the Secretary of the Interior's standards for Historic Preservation as the Y.M.C.A. building is listed on both the Santa Ana and National Register of Historic Places. The City purchased the property in 1992 from the Y.M.C.A. who at that time was vacating the site and wanted to sell the property. The building has been vacant and is in serious disrepair due to age and vandalism. Over the years, the City has made several attempts to market or entertain 191 -1 RFQ -YMCA August 5, 2013 Page 2 proposals for the site, but the substantial amount of City subsidy required to renovate the structure had been a deterrent. Given the building's advantageous location and iconic architecture, and a renewed interest in the property with a change in market conditions, the City is presented with a unique opportunity for the right development team to revitalize this building and activate a key entry point to the City's Civic Center, incorporating the building's historic architecture into a new and innovative use. The recommended action authorizes release of the Request for Qualifications (RFQ) for the renovation and reuse of the vacant Y.M.C.A. building (Exhibit 2). The RFQ is designed to afford the opportunity for developers to propose a use that would be compatible with the surrounding area, while restoring this unique building in a manner consistent with its National Register of Historic Places and the Santa Ana Register of Historical Properties designations. The process will involve two steps: this issuance of the RFQ to identify qualified developers followed by the issuance of a Request for Proposals (RFP) to a short list of the top RFQ respondents. This process is designed to limit the initial costs and time burden on respondents in order to attract the interest and participation of the highest number of qualified developers as possible. The shortlisted developers would then be requested to submit full proposals to the City for an evaluation and selection process. This approach will ensure that the City and development community can most efficiently deliver the optimum development scenario for the site. Based on the anticipated schedule, qualifications will be due September 9, 2013, with the review process commencing immediately. Following the review of qualifications, recommendations will be made by staff and the Committee to the City Council regarding top candidates to invite to participate in submitting a full proposal. It is anticipated this list of top candidates will be presented to the Council for its consideration at its November 4, 2013 meeting. Depending upon the number of qualification packages received, the time frame may be adjusted. Attached is the RFQ distribution list which includes entities who have expressed interest in development in the City over the years, in addition to other organizations that can assist in outreach to their members (Exhibit 3). The RFQ will also be posted on the City's website. It is anticipated that the RFQ will be issued on August 6, 2013, subject to City Council approval. FISCAL IMPACT There is no fiscal impact associated with this action. Sandra D. Gottlieb Interim Executive Director Community Development Agency SDG /JT /GPL /MF /kg 191 -2 a Trevino Executive Director Planning and Building Agency RFQ -YMCA August 5, 2013 Page 3 Exhibit: 1. Map 2. Request for Qualifications 3. Distribution List 191 -3 191 -4 191 -6 EXHIBIT 2 Request for Qualifications The YMCA Building a� w DRAFT 191 -7 ,� jt // It TABLE OF CONTENT Introduction............................................................................................... ..............................1 Santa Ana and its Downtown .................................................................. ..............................1 Opportunity Site — Y.M.C.A. (203 -205 West Civic Center Drive) ........... ..............................7 Vision......................................................................................................... ..............................9 ProjectObjectives .................................................................................... ..............................9 Mandatory Pre - Submittal Conference ................................................... .............................10 SubmittalRequirements ......................................................................... .............................11 SubmissionProcedures ......................................................................... .............................14 SelectionProcess .................................................................................... .............................15 SelectionCriteria .................................................................................. ............................... 15 TentativeTimeline ................................................................................... .............................15 Disclaimers.............................................................................................. .............................16 Exhibits.................................................................................................... .............................16 191 -8 INTRODUCTION The City of Santa Ana (the "City ") invites responses to this Request for Qualifications (RFQ) by qualified developers to develop the best available option for the renovation and reuse of the historic YMCA building. The YMCA's location and its iconic architecture presents a unique opportunity to return this underutilized building to its former prominence. The City is determined to find a suitable project which will incorporate the buildings historic architecture into a new and innovative use. The site is located directly adjacent to the Civic Center Complex that includes City, County, State and federal offices, and close proximity to the City's dynamic downtown. The purpose of this RFQ is to offer the opportunity for qualified developers to present creative ideas for restoring this unique building in a manner consistent with its National Register of Historic Places designation and the Santa Ana Register of Historical Properties. Possible uses may include, but not be limited to retail, office, hotel, residential, and entertainment. The City envisions a two -step process for selecting a qualified developer. The first step involves issuance of an RFQ to identify a group of qualified developers, and the second step involves the issuance of a Request for Proposals (RFP) to a short list of the top respondents to the RFQ. This process will ensure that the City and development community can most efficiently deliver the best project for the property. SANTA ANA AND ITS DOWNTOWN Founded in 1869, Santa Ana is located between two major freeways in central Orange County and shares its boundaries with the cities of Orange, Tustin, Costa Mesa, Fountain Valley and Garden Grove. It serves as the county seat of Orange County, and is home to many federal, state and county facilities, including the Ronald Reagan Federal Courthouse. Today, this historic city serves as Orange County's downtown. A diverse population of over 350,000 call Santa Ana home. Residents and businesses alike are attracted to the City's distinctive housing choices along with Santa Ana's abundance of entertainment and shopping venues, such as the notable Discovery Science Center, Bowers Museum and MainPlace shopping mall. DOWNTOWN Santa Ana's downtown has a district listed in the National Register of Historic Places. This area is roughly bounded by Civic Center Drive, First Street, Ross Street, and Spurgeon Street. This historic city serves as Orange County's downtown rich with a mix of shops, artist enclaves, restaurants, entertainment venues and loft housing. In addition to the changing uses, the hours of operation for the downtown span over a wider period of the day, from coffee shops that open early to retail businesses that are opened during the day to restaurant and entertainment venues that are open into the evening hours. The increased activity requires preserving the current level of parking availability to accommodate all the surrounding uses. I I P a ,, C 191 -9 For over three decades, the City of Santa Ana, private investors, business owners, various organizations, and community residents have worked together to revitalize and promote urban renewal in the downtown area while maintaining the historic and cultural traditions of the area. Santa Ana's Downtown area is becoming widely known as a dynamic urban center acclaimed for the arts, theaters, galleries, restaurants in the Artists Village, shopping along 4th Street, and live /work housing accommodations. The downtown area also boasts numerous art deco style historical buildings that are listed in the National Register of Historic Places. TRANSIT ZONING CODE Though the YMCA site is not in the boundaries of the Transit Zoning Code, it is adjacent to the boundaries where the code impacts future development of the Downtown. In 2010, the City adopted Specific Development 84 (Transit Zoning Code), a comprehensive land use plan that incorporates approximately 450 acres extending from Grand Avenue to the City's downtown core. The Transit Zoning Code (TZC) is designed to provide the zoning necessary to support the long -term development of a successful transit program. The completed document can be viewed in its entirety at: http: / /www.ci.santa- ana.org /pba /planning /Transit Zoning Code.asp. The Transit Zoning Code encourages the development of transit- oriented development containing a mix of residential, commercial, and professional uses to achieve the City's and the region's goals of establishing housing adjacent to transit. The Transit Zoning Code area is primed for increased growth given its proximity to major transit systems and its adjacency to existing residential communities, creating amenity- enriched connections between the government center and rail station, and improving area -wide walkability. 2 I P a g Q 191 -10 FIXED GUIDEWAY PROJECT The cities of Santa Ana and Garden Grove in cooperation with the Orange County Transportation Authority (OCTA) are proposing to build a fixed guideway /streetcar transportation system between the Santa Ana Regional Transportation Center (SARTC) and a new transportation center in Garden Grove. The system would provide transit services for commuters travelling from the train station to employment and activity centers in the heart of Orange County and for residents and visitors alike travelling to destinations throughout the area. The streetcar would provide the YMCA site with easy access to both the Civic Center and downtown. One of the proposed routes for the fixed guideway /streetcar transportation system would travel westbound only on Civic Center Drive between Bush and Flower and eastbound only on Fifth Street between Ross and Minter. Another proposed route is eastbound on 4`" Street from Ross Street to Mortimer and westbound on Santa Ana Boulevard providing an alternate mode of transportation in and out of the downtown and Civic Center area. A decision has yet to be made regarding the route selection for the Fixed Guideway. More information regarding the Fixed Guideway and Santa Ana's Transit Vision can be located at http://santaanatransitvision.com. SANTA ANA REGIONAL TRANSPORTATION CENTER The existing train station is marked by a beautiful building with historic inspirations. However, the building isn't able to effectively serve the higher level of demand expected in the future. Across from the existing site on the east side of the tracks is County -owned land offering the 31Pas,e 191 -11 possibility to expand the station and its services, with the objective to blend existing and new uses as part of the SARTC Master Plan. The SARTC Master Plan improves access to the station, updates the station's facilities and creates convenient linkages among Metrolink and Amtrak rail services, buses, and the proposed streetcar. It also improves access for cars, pedestrians, bicyclists, and creatively incorporates the planned Santa Ana Boulevard grade separation into a multi -modal corridor. For more information regarding the SARTC Master Plan please visit http: // santaanatransitvision .com /SARTC_master_plan. STATION DISTRICT Adjacent to the Downtown, is a 94 -acre area designated as the "Station District." On June 7, k $ 2010, after an extensive public outreach process, the City Council /former Community Redevelopment Agency approved several actions to • facilitate the development of an affordable housing project, located in the Station District, which would enhance the Lacy Neighborhood and support the transit vision for the area. Related California /Griffin Realty Corporation (Santa Ana Station District, LLC) was the master developer and responsible for the rental homes, while City Ventures is the developer of the for -sale housing component. The project includes 114 rental units in apartment and townhome building types; all, but two (manager units) will be available to persons at or below 50% of the adjusted median income (AMI). The for sale component includes 24 units; five of the units will be designated for �t moderate income households. Both the rental and for sale units are located on a total of approximately six acres of land. The rental homes called Triada at the Station District, located mainly in the area of Santa Ana Boulevard and Lacy Street and just a few blocks east of the � downtown area includes 74 podium apartment units (including retail and child care components), twenty -five new construction 41PaLe 191 -12 units and approximately 10 rehabilitated structures, containing 15 units. A grand opening was recently held and all units have been leased. The 24 unit for -sale project is anticipated to commence construction later this year, with a waiting list already underway. ARTISTS VILLAGE LOFTS The Artists Village Lofts encompasses three blocks within the heart of the downtown area and consists of 86 live -work studios in three phases: Main Street Studios, East Village Studios and Santa Ana Lofts. Although, both the Main Street Studios and East Village Studios are located east of Main Street, they are still in close proximity and walking distance to the 3`d and Broadway parking structure. The Santa Ana Lofts which were completed in 2011 are located at the southeast corner of 3`d Street and Sycamore Street directly across the street from the 3`d and Broadway parking structure. The overall design concept for this development involved live /work units configured as two -story townhomes on the first and second levels and single floor "flat' units on the third level. The units range from approximately 1,500 to 2,800 square feet. Each of the phases incorporated distinctly have different exterior elevations. Although, the skeletal make -up of the project blocks incorporated common floor layouts, the exterior materials and finishes have different exteriors. The Main Street Studios provide an art deco type design continuing the established design of Old City Hall. The East Village Studios reflect a simple modern design relative to the buildings in the immediate area. The Sycamore Street Lofts embody a "brownstone" design reflective of the Downtown Historic District. 51Page 191 -13 SANTIAGO STREET LOFTS The award - winning Santiago Street Lofts project was completed with the final phase in 2010, consisting of 108 loft -style units that allow residents to both live and work in the same space, and are conveniently located across the street from the Santa Ana Regional Transportation Center. Constructed by Lennar Homes through a public /private partnership with the former Redevelopment Agency, this for -sale project incorporates outstanding architectural design and artwork. The units range in size from 1,554 square feet with 1.5 baths to 2,292 square feet and 2.5 baths. 61Pa��e 191 -14 OPPORTUNITY SITE - YMCA [203 -205 West Civic Center Drive The Site The site is a 27,331 square foot (approximately 0.63 acres) rectangular parcel on the North side of Civic Center Drive between Broadway and Sycamore Street (Assessor's map below). Location Located at 203 W. Civic Center Drive, on the Northwest corner of Civic Center Drive and Sycamore Street just north of the Civic Center Complex that includes City, County, State, and Federal offices and the historic Old Orange County Courthouse. The Site is walking distance to Santa Ana's downtown shops, restaurants and the Civic Center. Current Uses The site is currently occupied by a vacant 44,468 square foot, 3 -story plus basement building and a 1,250 square foot secondary building. Zoning /GP The property is located within the Midtown Specific Plan (SP -3), specifically the Civic /Professional District. The General Plan Land Use designation for the property is Professional /Administrative Office (PAO). The Civic /Professional District's goals are to promote the linkage between the Civic Center and the related professional offices associated with government use including law offices, financial institutions, and non - profit organizations. The District plays a multi- faceted role in Midtown and is ideally suited to provide office and other space to public and semi - public agencies that are not in the Civic Center, but must locate close to it. The Civic /Professional District also serves the downtown area with office space, business services, technical schools, and other organizations that can benefit from a location adjacent to Downtown Santa Ana and its significant public transportation facilities. Finally, the Civic /Professional 7 1 P a g r 191 -15 >: 0.666 AC. a s D R O "_ Y 0 C A A _ x— - -- tf. LINE G M W ALLTAC ROSS ROSS rj I { R A SPgRG5; E A 5 :. v �,I T E i Lcl CIVIC CENTER DRIVE below). Location Located at 203 W. Civic Center Drive, on the Northwest corner of Civic Center Drive and Sycamore Street just north of the Civic Center Complex that includes City, County, State, and Federal offices and the historic Old Orange County Courthouse. The Site is walking distance to Santa Ana's downtown shops, restaurants and the Civic Center. Current Uses The site is currently occupied by a vacant 44,468 square foot, 3 -story plus basement building and a 1,250 square foot secondary building. Zoning /GP The property is located within the Midtown Specific Plan (SP -3), specifically the Civic /Professional District. The General Plan Land Use designation for the property is Professional /Administrative Office (PAO). The Civic /Professional District's goals are to promote the linkage between the Civic Center and the related professional offices associated with government use including law offices, financial institutions, and non - profit organizations. The District plays a multi- faceted role in Midtown and is ideally suited to provide office and other space to public and semi - public agencies that are not in the Civic Center, but must locate close to it. The Civic /Professional District also serves the downtown area with office space, business services, technical schools, and other organizations that can benefit from a location adjacent to Downtown Santa Ana and its significant public transportation facilities. Finally, the Civic /Professional 7 1 P a g r 191 -15 District serves as a corridor linking downtown and the Civic Center with the Main Street Financial District and the Downtown District. Surrounding Surrounding land uses include a mix of office, educational and health uses Land Uses including Taller San Jose, the UCI Family Health Center, and the Old Orange County Courthouse. Ownership The property was purchased by the City of Santa Ana in 1992. Parking There is no on -site parking provided. Parking is currently available in an adjacent structure north of the property. At this time, 150 parking spaces are leased in this structure at a rate of $15,000 per month. The lease is assignable and there are approximately 15 -years remaining on a 25 -year lease with two 10 -year extension options. History The building was constructed in 1923 and was operated as a YMCA until its closing in 1989. The building was added to the National Register of Historic Places in 1993 and to the Santa Ana Register of Historic Properties in 2001 (Landmark designation). Historic Features of the YMCA which should be preserved include, but are not Requirements limited to: • Building configuration • Building massing • Roofshape • Primary and secondary exterior materials including Terracotta and wrought iron • Symmetrical design • Original public entries and fenestration • Significant interior spaces and materials where existing (mantle, pool, etc.). If not fully retained, the pool may be covered and utilized as floor space, but not removed to allow for future restoration. Building The building has not been occupied since 1989 and over the last 24 -years Improvements has significantly deteriorated. A preliminary analysis has identified that the following minimum building improvements will be required: • Asbestos /Lead abatement • Seismic Retrofit • Ingress /Egress Requirements (handrails, stairwells, etc.) 81PagC 191 -16 • Accessibility (elevators, ramps, stairwells, landings, doorway widths, restrooms) • Ventilation (HVAC, ducting, mechanical equipment) • Fire Suppression (sprinklers, fire rated walls, fire exit hardware) • Electrical /Plumbing up to current code requirements • Structural Improvements (shoring, flooring, roofing) • Change in occupancy classification requirements depending on the proposed use Additional Information: A presentation was given to the City Council Committee on Development and Transportation on June 4, 2013. The presentation can be located at http://www.ci.santa-ana.ca.us/cda/. VISION The buildings advantageous location and iconic architecture present a unique opportunity to return this currently underutilized building to its former prominence. The City is determined to find a suitable project which will incorporate the buildings historic architecture into a new and innovative use. PROJECT OBJECTIVES In order to inspire creativity and imagination this RFQ intentionally does not identify specific land -use and development standards. However to convey the City's goals and expectations for the development of the site, without being overly prescriptive on design and exact use(s), the City is supportive of the following project objectives /uses: 1. Retain and enhance as much of the exterior of the building as possible in compliance with the historic preservation requirements specified above and the Secretary of the Interior's Standards for Rehabilitation. 2. Provide high quality architecture that highlights the historic status of the YMCA building while also activating this portion of Civic Center Drive with a new and innovative use. 3. Potential uses identified by the City include: a. Residential b. Hotel c. Office /Commercial uses d. Health /Fitness Center 191 -17 91Pat;e 4. Creative incorporation of public art /spaces(s) 5. The City is open to considering a variety of conveyance structures such as a sale of the fee interest in the land, an installment sale, and a long -term ground lease. The RFQ response should identify the type of conveyance anticipated to be proposed by the respondent. MANDATORY PRE - SUBMITTAL CONFERENCE All developers must attend a mandatory pre- submission conference including a tour of the YMCA building. The conference is scheduled as follows: Date: August 19, 2013 Time: 2:OO13M Location: YMCA Building 203 W. Civic Center Drive Santa Ana, CA 92701 Metered parking is available on Sycamore Street. In addition, parking is available in the structure located at 812 N. Sycamore (directly behind the YMCA building). YMCA Rio - Prr Submitml Conforence Parkin¢ _) sacamo�e Srcueuro — a L� L l/ v, 1 - i� F � ` To confirm attendance respondents may call Ms. Rosa Barela at (714) 667 -2705 or email at rbarela@santa- ana.org referencing YMCA RFQ Pre - Submission Conference in the subject line. Please wear comfortable clothes and shoes as we will be providing a group tour of the building. 101Pagc 191 -18 SUBMITTAL REQUIREMENTS All submissions in response to this RFQ shall include information in the format described below. Please submit information in appropriate detail in each of the sections to allow adequate review and evaluation of your qualifications. The RFQ response must be organized in the following order and consist of the following elements and information: A. Development Team 1. Letter of Introduction — Include a summary of the respondent's basic qualifications, experience, past projects of similar nature and size, and reasons for interest in this opportunity. The letter must be signed by a principal or authorized officer who may make legally binding commitments for the entity. 2. Team Members — Identify members of the development team and provide a brief description of each team member including the following: • Principals involved in the project • Resumes of key team members • Team members' experience in and familiarity with development in Santa Ana • An organizational chart of the firm(s) • The developer should indicate past experience in working with this team B. Development Team Qualifications Successful development of the site will require a team of professionals that demonstrates the following qualifications: 1. Demonstrated relevant development experience in the renovation and reuse of existing structures, preferably historic structures and adaptive reuse including uses such as are being proposed. 2. Demonstrated experience completing one or more renovation and reuse projects similar to the development being requested in this RFQ with a construction cost of at least $10 million. 3. Demonstrated experience with public and private partnership projects with renovation and reuse components. 4. Inclusion of strong and creative architects on the team who have used innovative and iconic approaches to renovation and reuse of a historic building, as well as the application of the State Historic Building Code. 11IPage 191 -19 5. Experience and ability to assemble a team with the comparable specialties for construction, market analysis, tenant recruitment, and marketing. 6. Demonstrated ability to secure funding for this type of renovation and reuse project. 7. Excellent references regarding development experience. 8. Demonstrated record of success in implementing sustainable development and building practices. 9. Demonstrated success with public - private partnerships of a similar scale. 10. Demonstrated commitment to community participation and experience working with community groups. C. Experience and References Provide relevant development experience, particularly in renovation and reuse projects with public agencies. Each comparable development should detail the following information listed below. Provide information on at least three projects and no more than five. Please utilize the Project Summary Form (Exhibit B) for each project. 1. Location and name of project. 2. Total development scope and size (including new uses, infrastructure improvements, seismic retrofit, asbestos /lead abatement, accessibility improvements, if applicable). 3. Development schedule including explicit identification of time allotted for public processes and entitlements. 4. Property acquisition cost and project construction /renovation costs. 5. The amounts of debt and equity funds used to finance the project. Please provide contact information for the lender and equity providers for the project. 6. Any local, state and /or federal funding sources used to fund project costs. Please provide contact information for a representative of each assistance source. 121Paigc 191 -20 7. An overview of the investment return thresholds that were established during the predevelopment process and the returns that were actually achieved, including an identification of the point in time that the project achieved a breakeven cash flow. 8. Description of the roles of the development entity and unique challenges of the renovation and reuse. 9. Involvement of public agencies, their specific roles and contact information for a representative of the jurisdiction or agency in which the project was constructed /renovated. D. Proposed Proiect Description The City does not expect a final development or design solution as a response to the RFQ. At a minimum, the response should include a brief narrative description of the preliminary development concept for the renovation and reuse of the YMCA building, a description of the types of uses proposed to be included in the project, how your team approaches development of this type, including public /private working relationships, public outreach, design process, and other elements you feel would be relevant. Additional supportive documents and illustrative concepts that help to communicate the team's vision are welcome but not required. E. Financial Capacity For confidentiality purposes, please send any financial information your team would like to remain confidential under a separate cover (Below see Submission Procedures). 1. Provide evidence of sufficient financial strength to undertake and successfully complete a project of this scale. The desired evidence is recent financial statements for the company with an accompanying letter from a certified public accountant verifying that the financial statements were prepared in accordance with Generally Accepted Accounting Principles. The City, at its sole discretion, may consider alternative evidence of sufficient capacity to undertake a development of the proposed scope: (Any alternative evidence must be approved by the City prior to the submission of a response to the RFQ.) 2. A statement identifying the debt /equity and financial return threshold anticipated by the project. Please note that this information will be kept confidential. 3. Identification of any projects /financing that the team collectivity or individually has defaulted on. 131Pa c 191 -21 The Financial Capacity information should be submitted directly to the City Attorney. To the extent legally possible, this information will be kept confidential. Conceptual Financing Approach Provide a description of how your team typically structures financing for projects of this type. G. Development Schedule Include a conceptual development schedule which includes key dates for actions such as preparation of the site development plan and accompanying documentation, community outreach, Disposition and Development Agreement negotiation period, entitlements, financing, and start and completion of construction. SUBMISSION PROCEDURES In order to be considered responsive to this RFQ, developer- design teams shall submit six (6) copies of the following information in bound document form and an electronic version (in Word Document or PDF) of the entire response on CD. Ms. Sandra D. Gottlieb Assistant Director Community Development Agency 20 Civic Center Plaza, M -25 Sixth Floor Santa Ana, CA 92701 Please send any proprietary financial information you wish to remain confidential under separate cover to: Ms. Lisa Storck Assistant City Attorney 20 Civic Center Plaza, M -29 Seventh Floor Santa Ana, CA 92701 Faxed submittals WILL NOT be accepted. Components of the RFQ response package received after the date and time specified in this RFQ will be rejected by the City as non - responsive. Questions regarding this RFQ or the submission requirements of the RFQ should be submitted in writing by regular mail, e-mail or fax to: 141Page 191 -22 Ms. Gabriela P. Lomeli Redevelopment Project Manager 1 20 Civic Center Plaza, M -25 Santa Ana, CA 92701 Fax: (714) 647 -6549 Email: RFQDowntownDevelopment @santa- ana.ore SELECTION PROCESS The City will create a selection committee, which will review and analyze responses, contact references, and complete interviews as necessary. The "Selection Criteria" identified in the following section of this RFQ will be used to determine which respondents will be invited to participate in a Request for Proposals (RFP). Following City Council approval of a preferred Development Team, through the RFP process, the parties are expected to enter into an exclusive negotiating agreement during which time a detailed development program will be developed and business terms will be negotiated. SELECTION CRITERIA The following criteria shall be used in analyzing all submissions and in recommending them for further consideration. 1. The Team's qualifications and experience in successfully completing comparable developments. 2. The Developer's current financial capacity. 3. Demonstrated understanding of and ability to comply with the Project Objectives and Submission Requirements as stated in this RFQ. TENTATIVE TIMELINE The following is a conceptual timeline for the RFQ/P process: August 6, 2013 Issuance of RFQ August 19, 2013 Bidders Conference September 9, 2013 Submission deadline by 4:00 p.m. September 23 -26, 2013 Anticipated interviews for top qualified developers September — October 2013 Review of submittals staff /Committee /City Council 1511'age 191 -23 November 4, 2013 Issuance of the Request for Proposals (RFP) to the short list of qualified developers TBD Deadline for RFP submittals TBD Developer presentations of their proposals. TBD Review and selection of the preferred developer TBD Start exclusive negotiation period Note: All dates subject to change. DISCLAIMERS All facts and opinions stated in this RFQ are based on available information and are believed to be accurate. However, no representation or warranty is made with respect thereto. The selected developer will be required to comply with all applicable laws, including labor laws as codified in Labor Code Section 1720. Those submitting responses to this RFQ assume all financial costs and risks associated with the submission. No reimbursement or remuneration will be made by the City to cover the costs of any submittal, whether or not such submittal is selected or utilized. The City reserves the right to reject any or all submittals at its sole and absolute discretion and accepts no responsibility for any financial loss by such action. Any agreements which may be entered into between the developer(s) and the City, including, but not limited to, an Exclusive Negotiation Agreement and /or Disposition and Development Agreement, are subject to approval by the City Council. The City reserves the right to waive irregularities or informalities in any submittal in the exercise of its sole and absolute discretion. The City of Santa Ana is an affirmative action, equal opportunity employer. It encourages minority and women owned firms to respond to this and all other solicitations. EXHIBITS • ExhibitA — AerialMap • Exhibit B — Project Summary Form • Exhibit C— Historic Photos 161Pa,�e 191 -24 Exhibits 171 P a 191 -25 Exhibit A 191 -26 Z n D I N O W N O Ch (D r+ n n' Cl rD r+ rD rD Project Summary Form To be completed for each comparable Project cited In the proposal as relevant experience Nance ol'Responding Company Date ProkatNatmtr Location Development dates (omstctwtion start) First Opening Project Deacrlption Number of phases/ description of uses In eee'I plate What was the proposer's role in projcet7 Did the dovelapnenl team include other members? If so, name Role Describe unique challenges Vill Development (Pleas, Ohara detailed'anforrnathn separately as necdod.) Total Development Scope and Size s: Ste Area Total development size (if. ft.) Retail (sq. ft.) _ Service (sq, R) DI{tce (sq. fQ Other (sq. ft.) �- Restaurant (sq. ft.) Hotel ($ ofmonw /franchise) Ads/ Culhaal uses (describe) Entertainment twos (describe) Anchm' towards (retail, effete, eno): (Ist) _ Other land twes (in scribo) Parking (N OF Spac carrype of Structure) W'tasa'nclme Irnprovem,nrs (describe) Public Partletpation 1n: (Pleas a attach detailed htformntlon separately as needed.) Public Assistance Lard Writedown Grand Loan Fee Waiver Tax Waiver Expedited Processing Special Mftiaomenls Involvement of Publk A&Tnciet and their Sp,clfc Roles: Describe community outreach and pamcipalion prooessoe: &timeW'.ine allated to public processes slid entilletmnts: Ftmditgl and Cos hit (Please attach detailed ]nfanuntion separately as needed.) Land acquisition cost _ Projeat conialiction costs Amouml of Ocbt Financing Fill ly CtOnhibution Local, State, and/or Federal Funding sources Threshold Return on Tmalinvestment Acmal Return ou Tetat hrvestment Attach information on any local, state and/or federal funding sugroes used to fund the project costs. li,andc contact hrfoenatirm for de lender unit equity providers fur the project. Exhibit B 191 -27 ChmeroMP: Name of original Owner Origmx I ownership percentage of respatdent Current awoer (if &Tferon0 Current om rshp porcomsgo of rospocdent Pdvale Pvtles Pmm* Manegelvat Construction lender Pommunt lender Lea %SOM/Faiorat fun&g source Other Other Other Other Other Public Sector Portion Function or relationnh'r Nnmo Tice Plxwo Exhibit B 191 -28 Original Courtyard /Atrium Front Elevation Exhibit C 191 -29 I } y 54' S2a %�.YI IPI"1p� �X w MI� 191 -32 EXHIBIT 3 9 pin ti Mark Ruff, Acquisition Director Contact 1 1 PACIFIC CAPITAL Sam Nam 2 A/E Consultants Information Network April Hawkins 3 ABCO Realty &Investments Abdul Mozayem 4 Abode Communities Robin Hughes, President & CEO 5 Affirmed Housing --_ Jeff Edgren 6 .Affirmed Housing Group Yvonne DeCarlo 7-Affordable Housing Development Corp Austin Herzog 9 - - -- AMCAL Housing Mark Ruff, Acquisition Director 10 Amcal Multi- Housing Inc. Mario Turner 11 American Communities Mark Walther 12 Anchor Point Development Miguel Vasquez 13 'ANR Indus- ndustries, Inc. _ Agustin Rodriguez 14 'Archstone Jeff Sofferman, Sr. VP 15 Armstrong Butcher Properies LLC L. Butcher 16 *Barry A. Cottle, Real Estate Dev. & Inv. Barry Cottle 17 Beazer Homes USA Inc. Jerry Gates 18 (Bill Burk Bill Burk 19 ; Bisno Development Co, Robert Bisno 20 Bonanni Development Ed Bonanni 21 _ Bosa Development Eric Martin 22 Brandyw.ne Development Corp. James Barisic 23 BRIDGE HOUSING Philip B. Williams 24 !Bridge Urban Infill Land Development Lydia Tan 25 Brookfield Homes - Southland Business Group Nicole Burdette, Land Acquisition Manager 26 Bryson, LLC Brent Neben 27 C & C Development Barry Cottle, Principal 28 iCalifornia Pacific Homes Inc. Cary Bren 29 California Property Specialists, Inc Cindy Gomez 30 Capital Pacific Holdings Inc. Hadi Makarechian 31 ,Caribou Industries Mike Harrah 32 Centex Homes Richard Douglass 33 Champion Development Ronald Stockdale 34 Chapman University Tom Wilson 35 _ _Chelsea Investment Corporation James J. Schmid 36 ,Chris Taylor Chris Taylor 37 Christopher Homes Inc. Christopher Gibbs 38 Church of Scientology_ Donald Krotee, AIA 39 CIM Group Shaul Kuba 40 Citation Homes Scott Allen 41 City Ventures Mark Buckland 42 CIVIC CENTER BARRIO HOUSING CORP Helen Brown 43 Coldwell Banker Real Estate Winston Covington 44 Collins Commercial Rudy Licerio 45 Contractors General Services, Inc. Dan Kalili 46 County of Orange OC Archives Jean 0. Pasco 47 Creative Housing Associates Michael Dieden, Principal 48 CWI Development Kevin Weeda 49 D.R. Horton Inc. Steve Firzpatrick 50 DEVELOPMENT COMMUNITY PARTNERSHIP Seimone Jurjis 51 Development, Planning & Financial Group John Foreman 52 Downtown Inc. Ryan Chase 53 Downtown Restaurant Association Jeff Hall 54 Dynamic Builders, Inc. Ken Jackson 55 Fairfield Residential LLC Deborah Ruane 56 Far West Industries Albert Lissoy 191 -33 EXHIBIT 3 57 'FBA Engineering Angela Belew - 58 Ferrini Corporation Jonathan Ferrini 59 Fieldstone Communities Inc. avi Greminger, President d David-d- 60 -- _..._ Fiesta Marketplace Partners Ltd. _ _ _ _ Iry Chase /Ryan Chase 61 _._ _ Fiesta Riviera Ent. Norman Shanahan 62 Ga�i Development 11 Frank Gangi 63 GDC Jack M. D elo 64 - - - — Gensler Architecture, Design &Planning - - — - Darla Callahan 65 !Gilmore Associates Tom Gilmore 66 'GKK Cam. Praful Kulkami 67 Grand Central Art Center John Spialk 68 Greubel Company _ . .. Jerry Greubel 69 iGreystone Homes, Inc. Ana Woods 70 GRIFFIN INDUSTRIES John Terand-o 71 Gnffin RealtYCorp. RogerTorriero 72 _ _ _. Habitat for Human> of Crange County _ Mark Korando 73 Haunted History Walking Tours Ernie Alonzo 74 Hawkeye Development Corp Eric Johnston 75 44earthside Homes Inc. Raymond Pacini 76 HelpingFamiliesToday Stacey Araceli 77 Henry Nicholas Foundation / Broadcom Bob Magnuson/Tony Guand 78 Heritage Community Housing, Inc. Cesar Delgado 79 Heritage Housing Partners Charles Loveman 80 Highridge Costa Housing Partners Tara Barauskas 81 Homeless Christian Fellowship of Santa Ana Armando Felix Cardenas 82 HQT Homes Donovan Huennekens 83 IHP Capital Partners Greg Fink 84 Integral Communities_ -anica Douglas Stowell 85 r Institute Kamron Jabbari 86 ,Irvine Housing Opportunities Patricia Whitaker 87 J.F. Shea Co. Bob Yoder 88 Jamboree Housing With Heart Inc. Laura Archuleta, President 89 Jason's Catering Jason Kordes 90 John Laing Homes 91 K. Hovnanian Companies of California Inc. Nicholas Pappas 92 KB Homes Coastal Inc. Judy Woolen 93 KDF Communities, LLC Mark E Hyatt, Principal, Managing Member 94 ! Keller CMS, Inc. Bill Marsh 95 Kevin Cabrera Kevin Cabrera 96 Kishimoto Architects, Inc Kaz lshimoto 97 LDA Daniel Singh /Phil Reyes 98 Lennar Homes California Inc. Jonathan Jaffe 99 Lincoln Property Company David Pinto 100 Los Angeles Community Design Center Lisa Luboff 101 Los Angeles Housing Partnership, Inc. Hugh Martinez 102 Magis Realty Brian Hendricks 103 Marcus & Millichap Real Estate Sean Mills 104 Mayans Development Stephen Romero 105 MBK Homes Ltd. Timothy Kane 106 McCormack Baron Salazar Tony M. Salazar 107 Mercy House Lawrence G. Haynes, Jr. 108 Meta Housing Corp Sean Clark 109 Mike Rovner Construction Sterling Lund 110 Mod Habitat Mike Embry 111 Mogavero Notestine Associates Russell Rocker 112 MVE & Partners Ernie Vasquez/Fernando Niebla 191 -34 EXHIBIT 3 113'National Community Renaissance John Seymour 1 14 Neighborhood Housing Services Glenn Hayes 115'NRI, Inc. Robert E. Hardwick 116'OC Youth Commission Mike Hoover /Rosie Avila 1 if NEAL DEVELOPMENT Andre O'Neal Sr. 118 Opus West Corp Paul Marshall 119' Orange County Community Housing Corporation O Allen P Baldwin 12D, __. County High School of the Arts Ralph Opacic 121 Orange County Hispanic Chamber of Commerce Reuben Franco 122LLOra�e HousingDevelop me nt Corporation Eunice Bobert, Chief Executive Officer 123 – PALM DESERT DEVELOPMENT COMPANY — - -- – Corrlyn McGivern 124 Pardee Homes U5 -Paul Hill 126 PAYNE DEVELOPMENT, LLC Ned Heiman 127 PMC Internal Service Provider Ashley Grey 128 'Portrait Homes, lnc Avi Shah 129 Pulte Home Corp. Igor Noriega 130 Quest Home Preservation Kevin Merrett 131 Rainbow Building & Development Ray Fernandez 132 RC Hobbs Company Roger C. Hobbs 1eal 33 R Estate Development James R. Griset 134 Real Estate Development Rentals & Investment Bryan Klawitter 135 Real Property Finance & bey. Company Gregory Bright 136'Regent Properties Bill Korek 137 Regis Homes Bill Albert 138 Related Companies of CA Bill Witte 139 Rennaissance Community Fund Larry Kosmont 140 ReyLenn Properties LLC David Todd 141 Richmond American Homes Liesel Cooper 142 Rider Levett Bucknall Ltd Andrew Field 143,RRM Design Group Annie Wesseis, Proposal Coordinator 144 RSI MCFADDEN, LLC Ron Simon 145 RTC Mortgage Corp. Ana Maria Silberman 146 SA Historical Preservation Society Ben Grabiel 147 (Santa Ana Business Council Sara Escalante 148 SEALI DEVELOPMENT Alex Barroso 149 Serrano Development Group, Inc. Marcus Long or Jason Tolleson 150 Siertina Development, LLC J. Fernando Niebla 151 Simpson Housing Solutions, LLC Pete Harispuru 152 Singleton Urquhart LLP Mark Stacey 153' South Santa Ana Merchants Association Sharon Barlow 154 Southland Companies Michael Keele 155 Squier Properties Gary Squier 156 St Joseph's Chris Leo 157 Standard Pacific Corp. Kenneth Campbell III 158 Standard Pacific Corp. Kenneth Campbell Ill 159 Steve Brahs 160 Stockstill Communities Mike Stockstill 161 Stratus Development David S. Wood, Principal 162 Taller San Jose Shawna E. Smith 163 Taylor Morrison Inc. Mike Forsum 164'Telacu Alex Hernandez 165'Terravest Inc. Tim Mulrenan 166 The Betty Hill Historical Foundation Sheila Warner 167 The Black Chamber of Commerce Bobby McDonald 168 The California Endowment Virginia Mosqueda 191 -35 EXHIBIT 16—mt- I Contact 169 The Chamber of Commerce David Elliot 170'The Claremont Club Alpert, F�res� Mike Ailpe ideritICED0_ i7i -'T1he-GIo-baI'P'remier Development, Inc. Darren Berberian 172 'The Olson Co. Ste hen Olson #y i n The aqse Group LLC Darrell Stamps MPA - Managing Parinr e- -174 'The Related Companies of California Witt - e - - 175-- The ­V-ietnamese American Chamber of Commerce - be Nguyen Tam guyen I 1Y611- - The m ar mi nqton Group Timothy Hogan 177 Tierra West Advisors Mike Garcia liffoll-Brothers Inc. Jim Boyd 179 Trademark Development Company -160 ' ban Akins Urban Habitat James E. Thompson_ Urban Housing Communities John Bigley ,181 1192 Urban Studios John Kaliski 183 Urban West David DiR-ienzo 164 Urban West Strategies and Stellaturn, Inc. David - - DiRienzo / Kai Hansen fK'Urbanus, LLC R. Matthew Shannon 166 vetrans First Deane Tate 187 Voit Gil Marrero 1 88 Wa f po n evelopment Cos. e r i te D Garrett Calacci 1,69 Western Community Housing, Inc. Scott Gayner 190 William Lyon Homes Inc. William Lyon 191 \(Villiam_Sparey Burk, Inc. William Bu - rk Ilk Windstar Communities LLC Eric Heffner 193 Woodbridge Homes Todd Cunningham 1 - 94 YMCA of Orange County Michael Batiato 195 Walter Cha 191-36 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 05, 2013 TITLE: CONTRACT RENEWAL WITH REPIPE CALIFORNIA, INC. FOR ON -CALL SANITARY SEWER LINING SERVICES (SPEC. NO. 09 -010) ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on1"Reading ❑ Ordinance on 2'd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Renew the contract with RePipe California, Inc. for on -call sanitary sewer lining services for a one - year period, in an annual amount not to exceed $500,000. DISCUSSION The City of Santa Ana owns and maintains a sanitary sewer system consisting of 390 miles of pipelines and 8,000 manholes. Closed circuit television (CCTV) technology is utilized to assess the condition of sewer mains and identify system deficiencies. Through this process staff has identified numerous deficiencies in both the sewer mains and sewer manholes that require repair. The recommended action will prevent structural failure while extending the life of existing sewer system assets for a fraction of the cost of their replacement. On April 6, 2009 the City awarded RePipe California, Inc. a contract for on -call sanitary sewer lining services for a one -year period, with provisions for three one -year renewals. Due to key vacancies in the Public Works Agency, the Water Resources Division has been unable to conduct a highly technical and labor intensive competitive bid process. However, staff has conducted an informal market survey and estimates that contract prices would increase by 20% if a formal bid process is performed. The higher cost equates to 4,200 linear feet less of sewer mains that the City could rehabilitate per year. The vendor has agreed to renew the contract without an increase in pricing for one year. Staff recommends the renewal of the contract in order to provide interim staff time to complete the formal bidding process, execute a new agreement and take advantage of cost savings. Staff anticipates preparing a formal bid for these services by spring of 2014. 22A -1 Contract Renewal for On -call Sewer Sanitary Sewer Lining Services August 05, 2013 Page 2 FISCAL IMPACT Funds are available in the Sanitary Sewer Services account (no. 05617640 66220). Edwin "William" Galvez, P.E. Acting Executive Director Public Works Agency Sp APPROVED AS TO FUNDS AND ACCOUNTS Francisco Gutierrez Executive Director Finance & Management Services Agency 22A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AWARD A CONTRACT TO COBRA POWER SYSTEMS, INC. FOR DIESEL STANDBY GENERATORS (SPEC. NO. 13 -029) CL1 CITY MANAGOR e RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Award a contract to Cobra Power Systems, Inc. for two emergency diesel standby generators in an amount not to exceed $235,000. DISCUSSION The Public Works Water Resources Division operates 20 water wells and seven water pumping stations which supply the City's drinking water. These facilities require uninterrupted electrical power in order to operate. When power from Southern California Edison fails at a pump station, it is essential to have a backup source of power onsite to ensure continuous operation of the facility. The emergency diesel standby generators will supply power thereby ensuring residents do not experience a loss of service due to power failure. The notice inviting bids was advertised May 30, 2013, and bids were solicited to determine the number of generators the Public Works Agency could procure given its budgeted funds. A summary of the bid invitations and bids received is as follows: 5 Requests For Bid mailed 2 Bid received Bids were received, opened on June 18, 2013, and evaluated (Exhibit 1). The bid results were posted on the City's website on June 25 which resulted in Cobra Power Systems, Inc. as the lowest responsive bidder meeting all specifications and City's requirements. On July 1, the City received a letter from Quinn Power Systems protesting the selection of the generator equipment being supplied by Cobra Power Systems as not conforming to the California Fire Code. Upon 22B -1 Contract Award for Emergency Diesel Generator August 5, 2013 Page 2 receipt, the Public Works Agency in coordination with Purchasing and Facilities Maintenance staff did a recheck and verified that the generator was in compliance with the State fire code. On July 11, 2013 a letter was provided to Quinn Power Systems outlining that all aspects of the bid process were reviewed and followed. Subsequently the City Attorney's Office conducted a review and validated the City's position as well. As such, staff continues to support the selection of Quinn Power Systems as the lowest responsive bidder. FISCAL IMPACT Funds are available in the Public Works Water Production & Supply account (no. 06017640- 66400). Edwin "William ez, P.E. Acting Executive Director Public Works Agency Exhibits: 1. Project Location Map 2. Cost Analysis RG /NS /RR /sp APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 7_W1 228 -2 ABSTRACT OF BIDS DIESEL STANDBY GENERATORS (13 -029) Bidder Cobra Power Systems, Inc. Location Spotswood, NJ Diesel Generator $217,300.00 One year on -site maintenance $0.00 Delivery $0.00 Sales Tax $17,384.00 Grand Total $234,684.00 EXHIBIT 1 22B -3 Quinn Power Systems City Of Industry $273,040.00 $8,390.00 $0.00 $22,514.40 $303,944.40 22B -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AWARD A CONTRACT TO VARIABLE SPEED SOLUTIONS INC. FOR THE PURCHASE AND INSTALLATION OF HVAC VARIABLE FREQUENCY DRIVES (SPEC. NO. 13 -031) WS RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Variable Speed Solutions Inc to replace eighteen HVAC variable frequency drives in an amount not to exceed $55,866. The City of Santa Ana Police Administration and Holding Facility began operations in 1996. The facility operates heating, ventilation and air conditioning (HVAC) systems with variable frequency drive electronic controllers on a 24 -hour, 7 day week basis. These electronic controllers aid the HVAC equipment by varying the motors speed when the system is not running at peak levels, thus saving energy and cost. Additionally, the accuracy of speed variances provides optimum temperature control throughout the facility. Variable frequency drives have a reasonable life expectancy of approximately 12 years. The recommended action will allow for the replacement of eighteen variable frequency drives that are past their life expectancy and no longer energy efficient and cost effective. The notice inviting bids was advertised June 25, 2013, and bids were solicited. A summary of the bid invitations and bids received is as follows: 11 Invitations for or Bid mailed 2 Invitations for or Bid mailed to Santa Ana vendors 6 Bid received 1 Bid received from a Santa Ana vendor Bids were received, opened on July 10, 2013, and evaluated (Exhibit 1). The bid from Variable Speed Solutions Inc is responsive to the specifications and meets the City's requirements. 22C -1 Contract Award for HVAC Variable Frequency Drives August 5, 2013 Page 2 FISCAL IMPACT Funds are available in Police Maintenance Other Contractual Services account (no. 01114403- 62300). APPROVED AS TO FUNDS AND ACCOUNTS: 6, Carlos Rojas Francisco Gutierrez Acting Chief of Police Executive Director Police Department Finance & Mgmt. Services Agency JA/sp 22C Contract Award for HVAC Variable Frequency Drives August 5, 2013 Page 3 ABSTRACT OF BIDS HVAC VFD REPLACEMENT AND COMMISSIONING (13 -031) Variable Speed Gilmore Bidder Solutions, Inc. Refrigeration, Inc Huntington Location Beach Glendora Terms Net 30 Net 30 Bid Total $55,866.00 $57,790.00 Industrial Power & Bidder Automation Bino Construction Location Temecula Chatsworth Terms Net 30 Net 30 Bid Total $60,083.00 $62,470.00 Bidder Williams & Maher F.M. Thomas Air Location Santa Ana Brea Terms Net 30 Net 30 Bid Total $74,450.00 $90,162.00 EXHIBIT 1 22C -3 22C -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: CONTRACT AWARD FOR MCFADDEN AVENUE REHABILITATION FROM WEST CITY LIMIT TO EUCLID (PROJECT 13 -6784) AND FROM EUCLID TO NEWHOPE (PROJECT 12 -6776) /C MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Award a contract to the lowest responsible bidder, All American Asphalt, Inc., in accordance with the Base Bid totaling $995,243, for the construction of the McFadden Avenue Rehabilitation from West City Limit to Euclid (Project 13 -6784) and from Euclid to Newhope (Project 12- 6776). 2. Approve the Cost Analysis for a total estimated project delivery cost of $ $1,293,632. DISCUSSION The recommended action will allow the City to proceed with construction of the McFadden Avenue Rehabilitation from West City Limit to Newhope Street. The project has received budget and funding approval, and is part of the City's Capital Improvement Program. Project design is complete and bid procedures have been followed, as established by the City's Municipal Code and in adherence to the Public Contracts Code. The City's Pavement Management System identified McFadden Avenue from West City Limit to Newhope Street (Exhibit 1) as a high priority for rehabilitation. The pavement has deteriorated due to weather, age, heavy usage, and poor drainage. Portions of the adjacent curb and gutter, driveway approaches, curb ramps, and sidewalks are either missing or in disrepair and require replacement. Improvements include reconstructing the pavement, and replacing damaged concrete curb and gutter, driveway approaches, and sidewalk. Once completed, these improvements will extend the life of the pavement and enhance the ride quality, surface drainage, and appearance of the street. The Notice Inviting Bids was advertised on June 7 & 8, 2013, and bids were opened on June 27, 2013. A summary of the bid invitations mailed, bids received, and bid results are as follows: 23A -1 Contract Award for McFadden Rehabilitation from West City Limit to Euclid (Pr. 13 -6784) and from Euclid to Newhope (Pr. 12 -6776) August 5, 2013 Page 2 Contractor Participation Data Santa Ana contractors receiving notices: 12 Contractors requesting bidding documents: 12 Bids received: 4 Bids received from Santa Ana contractors: 1 Bid Results Summary Rank Bidder's Name Location Base Bid 1 All American Asphalt, Inc. Corona $995,243.00 2 Hardy & Harper, Inc. Santa Ana $1,202,000.00 3 Excel Paving Company Long Beach $1,231,161.00 4 R.J. Noble Orange $1,241,630.60 A total of four bids were received and all were deemed responsive. The lowest bid was submitted by All American Asphalt, Inc., in the amount of $995,243. Their bid is 6.5 percent above the Engineer's Estimate of $934,000, but is within a reasonable margin. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, this project is exempt from further review. Categorical Exemption ER- 2012 -79 was filed for this project on December 5, 2012. FISCAL IMPACT The Project Cost Analysis, as shown in Exhibit 2, determined that the total funds needed to deliver the project are $1,293,632, which includes the construction contract, construction administration, inspection, testing, survey, and contingencies. Funding for McFadden Avenue from West City Limit to Euclid is available in the Traffic Congestion Relief HUT 2013 Fund (Account 05917663- 66220). Funding for McFadden Avenue from Euclid to Newhope is available in the Proposition 113- State Local Partnership Program (SLPP) Fund (Account 03017660 - 66220) and in the Measure M2 Local Fairshare Fund (Account 03217662 - 66220). c -._ '� /E'r'g Edwin "William�G7tGez, P.E Acting Executive Director Public Works Agency Exhibits: 1. Project Location Map 2. Cost Analysis APPROVED AS TO FUNDS AND ACCOUNTS: Francisco GutierrezF'� Executive Director Finance & Management Services Agency 23A -2 11 - kVW MY Lyf SAL ST = MAXINE ST EUCLID ST ./t` SANTA ^ANA ■ P W A f� Te r 999 ➢ ➢➢ / i AU0Mr M 2013 L[ L4 PEWFbPE Sl EXHIBIT 1 \ �N ORAMO A c0 G WNFTRACT AWARD FOR MCFADE" WHASA fiATM FROM WET CRY LUT TO NE WHM BiFEE OROECT NM D-67M AND 12 -6778) 23A -3 23A -4 COST ANALYSIS PROJECT NOS. 13 -6784 & 12 -6776 MCFADDEN AVENUE REHABILITATION FROM WEST CITY LIMIT TO EUCLID (PROJECT NO. 13 -6784) AND EUCLID TO NEWHOPE (PROJECT NO. 12 -6776) Construction Contract $995,243 Contract Administration $31,175 Inspection and Testing $96,718 Survey Staking $20,972 Contingencies $149,524 TOTAL ESTIMATED PROJECT DELIVERY COST $1,293,632 EXHIBIT 2 23A -5 23A -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: CONTRACT AWARD FOR BROADWAY REHABILITATION FROM CIVIC CENTER TO SANTA CLARA (PROJECT 11 -6743) AND BROADWAY AND WASHINGTON AVENUE WATER MAIN IMPROVEMENTS (PROJECT 11 -6415) k� CITY NONAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Award a contract to the lowest responsible bidder, Christensen Brothers General Engineering, Inc., in accordance with the Base Bid totaling $4,302,858.65 for the construction of the Broadway Rehabilitation and Broadway and Washington Avenue Water Main Improvements. 2. Approve the Cost Analysis for a total estimated project delivery cost of $5,163,430.65. DISCUSSION This project has received Council budget and funding approval as part of the City's Capital Improvement Program. Project design is complete and the next step is to construct the improvements. Procurement procedures have been followed as established by the City's Municipal Code and in adherence to the Public Contracts Code. The project was advertised for solicitation of bids, and the recommended action will allow construction to proceed. The City's Pavement Management System identified Broadway from Civic Center Drive to Santa Clara Avenue (Exhibit 1) as a high priority for rehabilitation. The pavement has deteriorated due to weather, age, heavy usage, and poor drainage. Portions of the adjacent curb and gutter, driveway approaches, curb ramps, and sidewalks are either missing or in disrepair and require replacement. Improvements include reconstructing the roadway pavement; replacing damaged concrete curb and gutter, driveway approaches, sidewalk; and constructing new cross gutters. Once completed, these improvements will extend the life of the pavement and enhance the ride quality, surface drainage, and appearance of the street. Other project improvements include replacing deteriorated and undersized water mains on Broadway and Washington Avenue. This work involves installing new water mains, fire hydrants, main gate valves, and water services. Once this project is completed, breaks and leaks 23B -1 Contract Award for Broadway Rehabilitation (Pr. 11 -6743) and Broadway and Washington Water Main Improvements (Pr. 11 -6415) August 5, 2013 Page 2 associated with the older and deteriorated water mains will be eliminated, and water service capacity and fire protection will be enhanced. The Notice Inviting Bids was advertised on June 10 & 11, 2013, and bids were opened on July 8, 2013. A summary of the bid invitations mailed, bids received, and bid results are as follows: Contractor Participation Data Santa Ana Contractors receiving notices: 15 Contractors requesting bidding documents: 14 Bids received: 6 Bids received from Santa Ana Contractors: 0 Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 Christensen Brothers General Engineering, Inc. Apple Valley $4,302,858.65 2 Lonerock, Inc. Irvine $4,569,883.00 3 Sally - Miller Contracting, Inc. Brea $4,771,000.00 4 All American Asphalt Corona $5,030,974.00 5 Los Angeles Engineering, Inc. Covina $5,214,016.00 6 Excel Paving Company Long Beach $5,329,910.40 A total of six bids were received and all were deemed responsive, with Christensen Brothers General Engineering, Inc. submitting the lowest responsive bid. Their $4,302,858.65 bid is 9.5 percent higher than the $3,930,100 Engineer's Estimate. A subsequent review of the Engineer's Estimate concluded that night work, which may be required due to the potential impact on traffic, was not accounted for and resulted in a lower estimate. Staff has also begun to notice construction costs trending up associated with greater construction activity. Nonetheless, staff is confident that the current bids are very competitive and that the low bid represents a very good price. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, this project is exempt from further review. Categorical Exemptions Environmental Review No. 2012 -24 was filed for this project. FISCAL IMPACT The Project Cost Analysis (Exhibit 2) determined that the total funds needed to deliver the project are $5,163,430.65. The total cost includes construction administration, testing, and contingencies. 23B -2 Contract Award for Broadway Rehabilitation (Pr. 11 -6743) and Broadway and Washington Water Main Improvements (Pr. 11 -6415) August 5, 2013 Page 3 Funding for the Broadway Rehabilitation (Pr. 11 -6743) is available in the Proposition 1B — State Local Partnership Program (SLPP) Fund (Account 03017660 - 66220), Measure M2 Local Fairshare Fund (Account 03217662 - 66220) and Traffic Congestion Relief HUT Fund (Account 05917663 - 66220). Funding for the Broadway and Washington Water Main Improvements (Project 11 -6415) is available in the Water Utility Capital Projects Fund (Account 06617647- 66301). Edwin "William" Gai ; P.E. Acting Executive iD ror Public Works Agency RG /CC Exhibit 1: Project Location Map 2: Cost Analysis APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 23B -3 23B -4 I BUFFALO AVE WASFmNaTON ST EXHIBIT 1 AVE SANTA A N n PROJECT NO. *W43 BROADWAY ORATION CRY COL14CL FROM CIVIC CENTER DR TO SANTA CLARA AVENUE P 'vTV �+. AOEi1DA DATE: PROJECT NO. *4415 BROADWAY AND WAS1000TON ALXXW 05, 2013 AVENA= WATER MAN LPOV RBMEM8 K. WASHIMMON LPROVEIWENTS FROM SYCAMORE TO MAN STREET 23B -5 / N GRAN Ao N� `eC �O a4/ IIIliL \1t 23B -6 COST ANALYSIS PROJECT NO. 116743 AND 116415 BROADWAY REHABILITATION AND BROADWAY AND WASHINGTON AVENUE WATER MAIN IMPROVEMENTS Construction Contract $4,302,858.65 Contract Administration $172,114 Inspection and Testing $129,086 Survey $129,086 Contingencies $430,286 TOTAL ESTIMATED PROJECT DELIVERY COSTS $5.163.430.65 EXHIBIT 2 23B -7 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: CONTRACT AWARD FOR THE FLOWER STREET BIKE TRAIL FROM MACARTHUR BLVD. TO SUNFLOWER AVE. (PROJECT 12 -2620) lr'�e; CIT AGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to the lowest responsible bidder, Green Giant Landscape, Inc., in accordance with the Base Bid plus Bid Item Nos. 47 and 49 of Add Alternate 1, totaling $968,500 for the construction of Flower Street Bike Trail from MacArthur Blvd. to Sunflower Ave. 2. Approve the Cost Analysis for a total estimated project delivery cost of $1,259,050. DISCUSSION The recommended action will allow the City to proceed with construction of the Flower Street Bike Trail from MacArthur Blvd. to Sunflower Ave. The project has received budget and funding approval, and is part of the City's Capital Improvement Program. Project design is complete and bid procedures have been followed, as established by the City's Municipal Code and in adherence to the Public Contracts Code. The Flower Street Bike Trail is part of the Golden Loop Recreational Trail, a 24 -mile regional trail that meanders through the city and is part of the OCTA Commuter Bikeways Strategic Plan, providing facilities for biking, jogging, and walking. The Flower Street Bike trail is adjacent to local elementary, intermediate, and high schools; South Coast Metro Arts and Entertainment District; South Coast Plaza; and Metro Pointe Shopping Center. On June 21, 2010, the City Council authorized the application for project funding through the Transportation Enhancement (TE) Program administered by the Orange County Transportation Authority (OCTA). OCTA authorized TE federal funding for up to $500,000 for this project. Additionally, the State Recreation Trail Program approved funding in the amount of $550,000. Both of these grants are designated for transportation projects to integrate various modes of transportation facilities into our community. 23C -1 Contract Award for the Flower Street Bike Trail from MacArthur Blvd. to Sunflower Ave. August 5, 2013 Page 2 The Flower Street Bike Trail from MacArthur Blvd. to Sunflower Ave. project consists of installing a 10- foot -wide asphalt bicycle trail, irrigation, and landscaping along the flood channel that runs parallel to Flower Street, as shown in Exhibit 1. The proposed project will accomplish the following objectives: 1) Provide regional commuter linkages within (and beyond) the city limits and expand commuter opportunities on a regional level by connecting the Sunflower bike lane to the Flower Street bike trail. 2) Expand recreational opportunities on a regional level, as the Golden Loop trail provides linkages to extensive trail systems throughout Santa Ana and Costa Mesa that connect to other neighboring cities in Orange County; 3) Improve safety of walkers, joggers, cyclists, skaters, and equestrian users, and allow full trail accessibility for persons with disabilities; and 4) Address neighborhood concerns regarding the appearance of this section of Flower Street. The Notice Inviting Bids was advertised on June 7 & 8, 2013, and bids were opened on June 27, 2013. A summary of the bid invitations mailed, bids received, and bid results are as follows: Contractor Participation Data Santa Ana Contractors receiving notices: 16 Contractors requesting bidding documents: 18 Bids received: 9 Bids received from Santa Ana Contractors: 0 Bid Results Summary RANK BIDDER NAMES LOCATION BASE BID 1 Green Giant Landscape, Inc La Habra $874,500.00 2 Diversified Landscape Management, Inc. Corona $916,088.47 3 CS Legacy Construction, Inc. Chino $924,784.00 4 Two Brothers Construction Company Buena Park $930,329.43 5 GMC Engineering, Inc. Tustin $934,000.00 6 KASA Construction, Inc. Ontario $967,540.00 7 YAKAR San Dimas $1,059,190.00 8 Minako America Corporation dba Minco Construction Gardena $1,259,340.78 9 PUB Construction, Inc. Diamond Bar $1,349,016.74 23C -2 Contract Award for the Flower Street Bike Trail from MacArthur Blvd. to Sunflower Ave. August 5, 2013 Page 3 A total of nine bids were received and deemed responsive. The bid results and the lowest responsive bid by Green Giant, Inc., in the amount of $874,500, compares favorably with the Engineer's Estimate of $1,028,100. Due to the favorable bid pricing, staff recommends inclusion of Bid Item Nos. 47 and 49 of Add Alternate 1 as part of this award, which provides security lighting and an 8 -foot wrought iron fence in the amount of $94,000. The inclusion these additional items bring the contract total to $968,500. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, this project is exempt from further review. Categorical Exemption Environmental Review No. 2006 -197 was filed for this project. In addition, a Certification of Categorical Exemption and a Statutory Worksheet have been prepared in accordance with the National Environmental Policy Act. FISCAL IMPACT The Project Cost Analysis, as shown in Exhibit 2, determined that the total funds needed to deliver the project are $1,259,050. The total cost includes construction, construction administration, testing, and contingencies. Funding to cover costs is available in the Parks Acquisition and Development Fund (Account 31313260- 66220), Transportation Enhancement Fund (Account 05917660 - 66220), and the Recreational Trail Program Fund (Account 17213240- 66220). 'Edwin "William "`Galvec; P.E. Acting Executive Director Public Works Agency Gerardo Mouet f Executive Director Parks, Recreation, and RG /ET Exhibit 1: Project Location Map 2: Cost Analysis APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Services Agency 23C -3 23C -4 Description: Flower Street Bike Trail from MacArthur Blvd. to Sunflower Ave. - Construction of a 10 -foot wide by one -half mile long asphalt bicycle trail, including landscaping, irrigation, security lighting, wrought iron fencing and trailhead plaza. 0 MACARTHUR SUNFLOWER ST EXHIBIT 1 SANTA ANA ��PWA1� cre A 6AT PROJECT RPSTPLE; 50&9 (493) 12 -2620 FLOWER AUGU6r 5.2m FROM MACARRHUR BLVD. TO SUNFLOWER AVE. PAGE t OF 7 EXHIBIT 1 23C -5 23C -6 COST ANALYSIS PROJECT NO. 12 -2620 CONTRACT AWARD FOR FLOWER STREET BIKE TRAIL FROM MACARTHUR BLVD. TO SUNFLOWER AVE. Construction Contract $968,500 Contract Administration $96,850 Inspection and Testing $29,055 Survey $19,370 Contingencies $145,275 TOTAL ESTIMATED CONSTRUCTION COSTS $12L9 050 EXHIBIT 2 23C -7 23C -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2013 -01 FOR THE PROPERTY LOCATED AT 2418 NORTH POINSETTIA RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Jeffrey Dresser and Sandra Meza, property owners, for the structure located at 2418 North Poinsettia Street, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION Recommended that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Jeffrey Dresser and Sandra Meza, property owners, for the structure located at 2418 North Poinsettia Street, subject to non - substantive changes approved by the City Manager and City Attorney at its July 11, 2013 meeting by a vote of 5:0 (Bustamante and Schaefer absent). DISCUSSION After the public hearing on July 11, 2013, the Historic Resources Commission reviewed the proposed Historic Property Preservation Agreement (Mills Act Contract) and concluded that the resulting potential property tax savings would encourage the owner to reinvest the tax savings in the maintenance of their historic property, and would benefit both the owner and the community (Exhibit A). Additionally, the agreement prevents inappropriate alterations. FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $66.85 to $344.27 annually, for a period of not less than ten years. Trevino Exe utive Director Planning & Building Agency HS:rb hs \historic info \mills act agreements \2418N Poi nsettia \hppa13 -01.cc Exhibit: A. Historic Resources Commission Staff Report 25A -1 25A -2 REQUEST FOR Historic Resources Commission Action 4 HISTORIC RESOURCESCONMSSION NEEnW DATE: JULY 11, 2013 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2013 -01 FOR THE PROPERTY LOCATED AT 2418 NORTH POINSETTIA STREET Prepared by Hally Soboleske Executive Director RECOMMENDED ACTION HISTORIC RESOURCES COMM" SECRETARY APPROVED • As Recommended • As Amended ❑ Set Public Hearing For CONTINUED TO % AA. Planning Manage Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Jeffrey Dresser and Sandra Meza, property owners, for the structure located at 2418 North Poinsettia Street subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Jeffrey Dresser and Sandra Meza, request the approval of Historic Property Preservation Agreement No. 2013 -01 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property includes a Spanish Colonial Revival styled residence located at 2418 North Poinsettia Street and is within the Park Santiago neighborhood. Surrounding land uses include single family residential within 500 feet (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as the Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange to the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT A 25A -3 HPPA No. 2013 -01 July 11, 2013 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Stanley House and categorized as Contributive in March of this year by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: Reduced property tax to allow reinvestment for the long term preservation of the property. Allows for a mechanism to provide for property rehabilitation. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. CEQA Compliance In accordance with the California Environmental from further review under General Rule Section action is exempt from further review. Hally Sobo ske Associate Planner HS:jm Whistoric infoVnills act agreementet2418NPoJnsetUalhppai3- Ol.hre Quality Act, the recommended action is exempt 15061(b)(3), and therefore, the recommended Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -4 J. 20 F V! 1510 JS76 Jsv x sn s29 2sr1 15Ja y 6 517 2S26 � �$3 7570 TS16 LL S19 2 3 '...2518 19 19 ya IS76 1514 sls IS20p 2514 y y J5f0 509 a °lf. t-1 YL�t .2578 �m 2518 2SO6 SOS . , x 1516 ::,.. �. woa d. 156KtT 2SI0. 2501 2S02.', ��:.. 250? EOQEWppp RO n 2x10 , 2126 2426 NM 2424 u5 41,4a..: 2122 2472 " I124t 2418 IS 1414 2416 2416` t 2173 1 $ N17 11 k 2410 146�d $ .. .2412 2404 ;3 a 24 40 .: 240 1744 „d 2m6 `" r t w YiL 231i� 79 1740 ., k 1 2336: M2 � 2410 2 2332:. yw t,r , � 2342 .. p /. 2770 1 7724 32e ,y2 w v 2319`'' a ., w 1326 g 322 sa 376 292t 2 T777 p7 es" 2312 2178 2720 J19 JJ20 319 2318 2 719 11.1 .... "M 2 500' RADIUS HPPA- 2013 -1 2418 North Poinsettia Street PLANNING AND BUILDING AGENCY EXJ gA! 5 M n A Y ri EXECUTIVE SUMMARY STANLEY HOUSE 2418 North Poinsettia Street Santa Ana, CA 92706 NAME Stanley House REF. NO. ADDRESS 2418 North Poinsettia Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1925 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT I N/A NEIGHBORHOOD Park Santiago CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 3S Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY /CONCLUSION: The Stanley House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1for its representation of the distinguishing characteristics of the Craftsman style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of the Park Santiago neighborhood, and, as a Craftsman bungalow, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. 5S3: Appears to be individually eligible for local listing or designation through survey evaluation EXHIBIT 2 �ageof 9� State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI A_ PRIMARY RECORD Trinomh NRHP Status Other Listings Review Code Revlewer e name(s) or number (assigned by recorder) S P1. Other Identifier: '132. Location: ONot for Publication ■Unrestricted 'a. County Orange County 'b. USGS 7.5' Quad TCA 1725 Date: 'c. Address 2418 Nodh Poinsetlia Street City Santa Ana Zip 92706 'e. Other Locational Data: Assessors Parcel Number 003 - 082 -15 '133a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) This Spanish Colonial Revival styled home is eastern facing on Poinsettia Street. The structure is topped by a flat roof with a parapet of various heights and a front facing gable over the porch. The porch is capped with dads red clay barrel tiles and has symmetric openings on either side of the porch entryway that both have rounded tops and stucco surrounds. Similar openings are on either side of the porch. Two stuccoed chimneys are on the house, one to the front area on the north side of the house, and the other on the south side. Symmetrical windows are on either side of the porch, but with small surrounds, but do not appear to be original window styles. A single story garage in a snatching architectural style sits to the rear of the property. A decorate wrought iron gate spans the ribbon drive. 'P3b. Resource Attributes: (list attributes and codes) HP2. Single - /artily Property 'P4. Resources Present: ■Building OSlructure OObjecl OSite ODislrict ■Element of District OOlher 61311. Report Citation: (Cite survey report and other sources, or enter 'none") None P5b. Photo: (view and date) East lacing elevation 2012 'P6. Date Constructed /Age and Sources: nhistoric May 20, 1925 W. Owner and Address: Jeffrey Dresser & Sandra Maze 2418 N. Poinsettia Drive Santa Ana, CA 92706 'P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 'P9. Date Recorded: Febnrary 20, 2013 'P10. Survey Type: Intensive Survey Update 'Attachments: []None OLocation Map OSketch Map ■Continuation Sheet ■Building, Structure, and Object Record OArchaeological Record ❑District Record OLinear Feature Record Willing Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record O Other (list) DPR 523A (1195) 25A14 7 'Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 "NRHP Status Code 5S3 "Resource Name or #: Endede House B1. Historic Name: Stanley House B2. Common Name: Same B3. Original Use: Single - family Residence 84. Present Use: Single- family Residence "B5. Architectural Style: Spanish Colonial Revival "B6. Construction History: (Construction dale, alterations, and date of alterations): Constructed 1925 May 20, 1925. Residence and garage. $4,000 December31, 1937. Reroof. November 21, 1947. Termite work. January 24, 1949. Addition to garage. July 16, 1964. 20x30 garage and workshop $1,200. July 16, 1990 Open lattice patio cover "B7. Moved7 ■No OYes ❑Unknown Date: Original Location: "B8. Related Features: None, B9a. Architect: Unknown b. Builder: Unknown '810. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single - family Residence Applicable Criteria: NR: BC; CR: 2,3 (Discuss Importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address Integrity) The residence was building by English contractor George Styring as a speculative venture. The first owners of the residence were E. Neil and Dorothy Stanley. Mr. Stanley was a repodor for the Anaheim Gazette working his way to to Managing Editor. Mrs. Stanley worked fora Floral Shop in Santa Ana. Originally, when first married, the Stanley's lived on Orange Street in Santa Ana, but moved into this homeonce constructed. Theirson John was bom in 1928. They lived in the home until at least 1960. The home had several owners after this time. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) "812. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) Sketch Map Stanley House 813. Remarks: 2418 North Poinsettia Street "814. Evaluator: Hally Soboleske *Date of Evaluation: February 2013 (This space reserved for official comments.) DPR 5238 (1196) 2 5A26 1 of 4 raeaw nv. C9 p F1 (D 0 'Required Information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name or # (Assigned by recorder) House 'Recorded by Holly Soboleske *Date February 20, 2013 ® Continuation ❑ Update '810, Significance (continued): The Stanley House Is located in the Park Santiago neighborhood, near the present norlhem city limits of Santa Ana and substantially north of the original city core. The neighborhood is bounded by Santiago Creek and Park on the north, East Seventeenth Street on the south, North Lincoln Avenue on the east, North Main Street on the west, and the 1 -5 freeway on the southwest. In large part these boundaries reflect the transportation lines that were constructed towards the end of the nineteenth century and at the beginning of the twentieth century, when the Pacific Electric interurban railroad ran up Main Street; the Atchison, Topeka, and Santa Fe tracks followed Lincoln; and the Southern Pacific Railroad right -of -way mirrored the freeway route. This area remained primarily agricultural well into the 1920s. As of 1905, the city directories listed around twenty households on East Santa Clara, Twentieth Street, "C Street" (now North Santiago Street), North Bush Street and North Main Avenue, the only streets in the area at the lime. The vast majority of the residents were ranchers. By 1911, the number of households had increased to about thirty, and Edgewood Road and Valencia Street had been partially laid out but most residents continued to list "rancher" or "unit grower' as their occupation in the city directories. This pattern of land use was evident on the 1912 plat map of the City, which illustrated two small, Craftsman era subdivisions along Bush north of Santa Clam and on Valencia and Poinsettia south of Twentieth Street, with the remaining area divided into larger, agricultural parcels held by approximately forty landowners. While the area east of Santiago Street was not subdivided until alter the mid- 1920s, most of the present day streets west of Santiago had been laid out when the City was mapped in 1923. Ranching continued to be the most prevalent occupation in the neighborhood, but increasing numbers of professionals, small business owners, merchants, and people in service professions such as painters, electricians, and carpenters made their homes in the western half of the neighborhood during the 1920s and 1930s. The area also attracted several city and county officials, including the City Attorney (Z. B. West, Jr., 321 East Santa Clara Avenue), County Supervisor, First District (C. H. Chapman, 2315 North Santiago Street), County Surveyor (E. H. Irvin, 2407 North Santiago Street), and County Auditor (William C. Jerome, 2422 Poinsettia Street), By April 1942 when the Sanborn Company first mapped the western half of the area, most of the lots had been improved with single - family homes, many in the revival styles popular during the 1920s and 1930s. Subsequent development of the eastern hall of the neighborhood and infill construction in the western half displayed the simplified ranch style that emerged following World War 11. The Stanley House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, for its representation of the distinguishing characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive "because it is a" good example of period architecture ". Character defining features Include exterior materials, original windows, proch configuration. 'B12. References (continued): Hands, Cyril M. American Architecture An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form. "Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. " Sacramento: March 1995. WhiHen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lando Holiday Horne Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Endede Center." Orange County Geneolooical Society Quarterly December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. DPR 523L 215A29 MILLSACTAGREEMENT 2418 North Poinsettia Street Santa Ana, CA 92706 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement ") is made and entered into this August 5, 2013 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 of the State of California (hereinafter referred to as "City "), and Jeffrey E. Dresser and Sandra E. Meza, (hereinafter referred to as "Owners "), owner of real property located at 2418 North Poinsettia Street, Santa Ana, California, 92706 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity, B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 2418 North Poinsettia Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. EXHIBIT 3 -I- 25A -10 MILLS ACTA GALE, MENT 1418 North Pohiseftla Street Santa Ana, CA 91706 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter I, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on August 5, 2013, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: 2 &A -11 MILLSACT AGREEh1F,NT 1418 North PobrsetBn Sheet Santa Ann, CA 92706 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owner shalt continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character - defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or umepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owner shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner' compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. 28A -12 MILLSACTAGREEMENT 2418 North Pohisettla Street Santa Ana, CA 92706 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Govermnent Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 %x) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shalt be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and /or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. hr the event of a default, tinder the provisions to cancel the Agreement by the Owner, the City shall give written notice to the Owner by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owner), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by 26A -13 MILLSACTAGREEMENT 2418 North Poinsettia Street Santa Ana, CA 92706 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owner hereby subject the Historic Property, located at 2418 North Poinsettia Street, Assessor Parcel Number, 003 - 082 -03, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner' successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owner shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owner: Jeffrey E. Dresser and Sandra E. Meza 2418 North Poinsettia Street Santa Ana, CA 92706 2 6A -14 MILLS ACT AGREEMENT 2418 North Polesettla Street Santa Ann, CA 92706 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of anyjoint enterprise. b. The Owner agrees to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner' activities in connection with the Historic Property. C. This hold harness provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any mariner whatsoever. C. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. 25fA -15 DULLS ACT AGREENIENT 2418 North Poinsettia Street Santa Ann, CA 92706 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: Date: APPROVED AS TO FORM: By: Sonya R. Carvalho City Attorney CITY OF SANTA ANA Kevin O'Rourke Interim City Manager C 28A -16 Jeffrey E. Dresser Sandra E. Meza JUILLS ACT AGREEMENT 1418 North Pohisefda Street SaufuAao, CA 91706 Exhibit A N TR 359 BLK B LOT 3 Assessor's Parcel Number: 003 - 082 -03 26A -17 MILLSACTAGREEMENT 2418 North Poinsettia Street Santa Ana, CA 92706 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: I. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, stricture or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, stricture, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with 26A -18 MILLSACTAGREEMENT 2418 North Polnselda Street SaalaAaa,CA 92706 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. 25A -19 AULL.SACTAGREEMENT 2418 Nordo Polneellla Street Santa Ana, CA 92706 Exhibit C (photographs attached) ZtA -20 2418 NORTH POINSETTIA STREET PHOTO LOCATION MAP POINSETTIA STREET 53.00 O � I 152.5 I NORTH 25A -21 25A -22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2013 -02 FOR THE PROPERTY LOCATED AT 1225 NORTH FRENCH STREET MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with James J. Tellier and Rebecca Ralph, property owners, for the structure located at 1225 North French Street, subject to non - substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION Recommended that the City Council authorize the the attached agreement with James J. Tellier and located at 1225 North French Street, subject tc Manager and City Attorney at its July 11, 2013 m absent). DISCUSSION After the public hearing on July 11, 201 3 Historic Property Preservation Agree potential property tax savings would maintenance of their historic property, a A). Additionally, the agreement prevent FISCAL IMPACT City Manager and Clerk of the Council to execute Rebecca Ralph, property owners, for the structure non - substantive changes approved by the City aeting by a vote of 5:0 (Bustamante and Schaefer , the Historic Resources Commission reviewed the proposed ment (Mills Act Contract) and concluded that the resulting encourage the owner to reinvest the tax savings in the nd would benefit both the owner and the community (Exhibit s inappropriate alterations. The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $16.26 to $81.32 annually, for a period of not less than ten years. � A� Ja . Trevino Executive Director Planning & Building Agency HS:rb hs \historic info \mills act agreements \1225_N_French \ hppal3 -02.cc Exhibit: A. Historic Resources Commission Staff Report 25B -1 25B -2 - • 4� Historic • Commission Acton JULY 11, 2013 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2013 -02 FOR THE PROPERTY LOCATED AT1225 NORTH FRENCH STREET Prepared by Hally Soboleske HISTORIC RESOURCES C(MVIISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For CONTINUED TO Executive Director Planning Manag RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with James J. Tellier and Rebecca Ralph, property owners, for the structure located at 1225 North French Street subject to non - substantive changes approved by the City Manager and City Attorney, DISCUSSION Request of Applicant The applicants, James J. Tellier and Rebecca Ralph, request the approval of Historic Property Preservation Agreement No. 2013 -02 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property includes a Prairie styled residence and two story garage located at 1225 North French Street and is within the French Park National Register District. Surrounding land uses include single family residential, with multi - family residential within 500 feet to the north, and a medical center within 500 feet to the east (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as the Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange to the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT A 25B -3 HPPA No. 2013 -02 July 11, 2013 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Davis Hoy House and categorized as Contributive in November 2002 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended action is exempt from further review under General Rule Section 15061(b)(3), and therefore, the recommended action is exempt from further review. Hally So ske Associate fanner HS:jm halhlsloric inro4nih act agreemenlat1225 _N_FreneftppaI3- 02.hrc Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25B -4 N = 015 uoT tas ua �..ww lJZ6 fFt . F 4. !lIWWW q� 1k 19 ,w ,. ih `s`ke 'b N H N W� K LL 10TH ST 9JT ■ PO 500' RADIUS 3 7 9 ti 904 J J 39 9�t O3 6 35 i bj3 t .o H PPA- 2013 -2 1225 North French Street PLANNING AND BUILDING AGENCY EXHIBIT 1 25B -5 EXECUTIVE SUMMARY DAVIS -HOY HOUSE 1225 North French Street Santa Ana, CA 92701 NAME Davis -Hoy House REF. NO. ADDRESS 1225 North French Street CITY Santa Ana ZIP 92 701 ORANGE COUNTY YEAR BUILT 1905 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT French Park NEIGHBORHOOD I French Park NATIONAL REGISTER CRITERIA FOR EVALUATION C NATIONAL REGISTER STATUS CODE ID Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Prairie Style (American Foursquare variant) The Prairie School refers to a group of architects centered in Chicago at the beginning of the twentieth century. Primary amongst them was Frank Lloyd Wright, under whom Prairie School designs reached their apex. Echoing the uninterrupted horizontal lines of the American prairie, Prairie style homes —it was largely a domestic movement —are usually characterized by broadly pitched hipped roofs with deep overhangs; two stories in height, often with one story wings; front porches with massive porch roof supports; and detailing which emphasizes the horizontal. A common, vernacular interpretation of the type, sometimes referred to as the Prairie Box or the American Foursquare, is box -like in massing and plan, with hipped or gabled dormers, porches across all or a portion of the fagade, and detailing culled from the vocabularies of a variety of styles, including Mission Revival, Colonial Revival, and Craftsman. SUMMARY /CONCLUSION: The Davis -Hoy House was listed in the National Register of Historic Places in 1999 as a contributor to the French Park Historic District. Under the regulations implementing the California Register of Historical Resources, the building is also listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Property under Criterion I as a representative example of the American Foursquare variant of the Prairie Style common in the first decade of the twentieth century, and under Criterion 4b, for its association with two prominent early citizens, Samuel Davis and William Hoy. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of French Park through its historic associations and its style and type, is a "good example" of the American Foursquare variant of the Prairie Style, and "has not been substantially altered (Municipal Code Section 30- 2.2)." EXPLANATION OF CODES: • National Reeister Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources, Office of Historic Preservation) C: that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction. National Register Status Code: (From Appendix 2 of Instructions for Recording Historical Resources, Office of Historic Preservation) 1D: Contributor to a listed district. EXHIBIT 2 25 Bp9 1 of 5 State of California —The Resources Agency Piin DEPARTMENT OF PARKS AND RECREATION HRI PRIMARY RECORD T.In 1 of Other Listings Review Code or NRHP Status P1. Other Identifier, 'P2. Location: ONot for Publication mUnrestricted 'a. County Orange County 'b. USOS 7.5' Quad TCA 1725 Date: 'c. Address 1225 North French Street City Santa Ana Zip 92701 'e. OdierLocatlonal Data: Assessors Parcel Number: 398-028-04; BotelersAdd Block: B Lot: 10 'P3a. Description: (Describe resource and its ma /or elements. Include design, materiels, condition, alterations, size, selling, and boundaries.) Located on the east side of North French Street, this two -story house is indicative of the American Foursquare variant of the Prairie Style, with detailing influenced by the Colonial Revival and Craftsman styles. A medium- pitched, bellcast hipped roof with exposed, carved rakers beneath deep eaves caps the house. Hipped dormers with paired vents are centered over each elevation. Roughly textured stucco covers the second floor exterior and the walls of the first floor entry porch. Narrow clapboard sheathes the remaining lower story surfaces, flaring out slightly at the base. Second floor windows are one -over- one, wood - framed, double -hung sash with classical surrounds. A wide belt course bands the house between stories. Flower boxes supported by brackets on the upper west elevation were perhaps added at the same time as the squared bay with faux rooftop balcony that projects from the lower south half of the facade. Sanborn maps reveal that a porch was recessed across the entire fagade in 1906 and had been modified into its current configuration by 1949. Now (2002) occupying the north half of the fagade, the recessed porch features paneled posts, a flattened arch, and clapboard -sided rails. A concrete path leads (See Continuation Sheet 3 of 4.) 'P3b. ResourceAttrlbutes: (fist attributes and codes) HP2. Single - family Property '174. Resources Present: AtBuflding L7Struchuo OObject L7S#e 17DisMct NElemenl of District QOther P5a. Photo i ,' 7P,...... a: ;s P5b. Photo: (view and date) West elevation May 2002 'P6. Date Constructed7Age and Sources: ihistoric 1905 /Source: Marsh, 1998. 'P7. Owner and Address: Wayne Curl 3314 S. Towner Santa Aria, CA 92707 'P8. Recorded by. Leslie J. Heumann, Peter C. Moruzzi SAIC 35 S. Raymond Ave. # 204 Pasadena, CA 91105 'P9. Dale Recorded: August 28, 2002 'P10. Survey Type: Intensive Survey Update 'P11. Report Citation: (cite survey report and other sources, or enter 'none ) Les, Kathleen. "Historic Resources Inventory French Park District," September 1979. Marsh, Diann. "French Park Historic District." National Register Nomination Form, February 1998. 'Attachments: ONone OLocolion Map OSketch Map &Continuation Sheet NBui/ding, Structure, and Object Record OArchaeological Record ODistrict Record OLinear Feature Record L7M)lling Station Record ORock Ad Record LMdilact Record OPhotograph Record 0Other (list) DPR 523A (1195) 25E =�f 5 *Required Information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HR!# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code I -flesource lvame or n: Davis -HOy House 81. Historic Name: Davis -Hoy House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single-family Residence *B5. Architectural Style: Prairie Style (American Foursquare variant) *B8. Construction History: (Constructlon date, alterations, and date of alterations): Constructed in 1905. October 16, 1931. Reroof. August 5, 1932. Private garage. November 24, 1950. Convert residence into duplex (11 rooms). April 9, 1951. Re -side duplex. August 17, 1984. Rerool'. June 10, 1994. Repairs to under floor supports. *B7. Moved? /No GYes OUnknown Date., Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder. Unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1880 -1948 Property Type: Single- family Residence Applicable Criteria: C (Discuss importance in terms ofhistodeal or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Davis -Hoy House is significant for its association with two prominent early Santa Ana residents. Although altered, the house is also a representative example of the American Foursquare variant of the Prairie Style. Signature features of this design variant Include two -story box -like massing and plan, a hipped roof and dormers, front porch, and detailing culled from the vocabularies of a variety of styles, including the Colonial Revival and Craftsman represented here. The house is also important as a contributor to the French Park Historic District. According to previous research, Samuel Davis, who built this house in 1905, was a district attorney for the County of Orange and a partner with E. E. Keech in a prestigious law firm. Mr. Davis was one of the founders of the Orange County Historical Society, serving as Secretary from 1919 to 1947. Civil Engineer William Hoy and wife Elizabeth owned the home by 1920. Mr. Hoy was an 1895 Cornell University graduate, arriving (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B 13. Remarks: *B14. Evaluator., Leslie J. Neumann *Date of Evaluation: August 28, 2002 (This space reserved for official comments.) DPR 523B (1195) 2591'8 of 5 Sketch Map I npY'r 1_-I C7 Y..Y'. rrnr�r e Davis -Hoy House 1225 N. French Street *Required Information State of California —The Resources Agency Primary 0 DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Davis -Hoy House 'Recorded by Leslie J. Heumann, Peter C. Moruzzi, SAIC 'Date August 28, 2002 ®Continuation OUpdate 'P3a. Description (continued): to wood porch steps and the front door, which is glazed on the top half with three rectangular panels below. On the north elevation, a cant bay has fixed and double -hung sash windows covered by a pent roof. Sanborn maps also indicate that an addition to the rear northeast corner of the house is not original. •B10. Significance (continued): in California in 1913. He was employed by the Orange County highway commission and the county surveyor's office. After serving as City Engineer of Santa Ana from 1919 to 1922, Mr. Hoy went into private practice. He specialized in water resources and irrigation, working for a number of local water companies (Marsh, 1998). Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. in 1877, Spurgeon, along with James McFadden and James Fruit, formed the Western Development Company with the intention of bringing the Southern Pacific Railroad from its then terminus in Anaheim into Santa Ana. Thinking to capitalize on commercial growth around the railroad, the partners purchased 160 acres adjacent to the eastern city boundary at French Street. Although they were successful In luring the Southern Pacific to a new depot on Fruit Street in Santa Ana In 1878, the expected commercial development of "Santa Ana East" never materialized. Early growth and development of the town continued to be centered further west around Fourth and Main Streets, with the result that the legacy of Santa Ana East is an angled street plan whose intersection with the original city is marked by a small, triangular parcel, developed in the 1890s as Flatiron Park, now known as French Park. Santa Ana continued to grow, stimulated by the arrival of the Santa Fe Railroad in 1886. Following its incorporation as a city in 1886, Santa Ana was recognized as one of the leading communities in the area in 1889 when it became the seat of the newly created County of Orange. Beginning in the 1880s and continuing well into the twentieth century, the area around the park began to be developed with many of the finest homes in Santa Ana. Examples of Victorian era, turn of the century, and Craftsman homes were built along the tree -Ilned streets. By the 1920s, most streets in the neighborhood were fully developed, although a few revival styled single family homes and duplexes were built during the 1920s, and a handful of apartments constructed in the 1930s. From the nineteenth century onwards, residents were a "Who's Who' of early Santa Ana, and included bankers, attorneys, doctors, businessmen, ranchers, teachers and others active in the civic and social life of the city. Once known as the "Nob Hill" of Santa Ana, French Park declined in the 1940s and 1960s as some homes were converted into rooming houses and others were allowed to deteriorate. in the 1960s and 1970s some houses were demolished and the properties redeveloped with multi - family housing. However, a grass roots preservation effort begun in the late 1970s led to the establishment of a local historic district in 1984 and the listing of the neighborhood in the National Register of Historic Places in 1999. The Davis -Hoy House was listed in the National Register of Historic Places in 1999 as a contributor to the French Park Historic District. It is therefore listed in the California Register of Historical Resources and is located within the boundaries of the locally designated historic district. It also qualifies for listing in the Santa Ana Register of Historical Property under Criterion 1 as a representative example of the American Foursquare variant of the Prairie Style common in the first decade of the twentieth century and under Criterion 4b, for its association with two prominent early citizens, Samuel Davis and William Hoy. The massing, roof and dormer configuration, and delineation the upper and lower stories are elements associated with the American Foursquare variant of the Prairie Style, while the porch supports and window surrounds suggest the Colonial Revival and the exposed rafters and overhanging eaves reflect the Craftsman style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of French Park through its historic associations and its style and type, is a "good example" of the American Foursquare variant of the Prairie Style, and "has not been substantially altered." Character - defining exterior features of the Davis -Hoy House that should be preserved include, but may not be limited to: materials (wood) and finishes (clapboard); roof configuration and detailing; massing; porch; and architectural details such as carved rakers and the original door. If restored to an earlier appearance, with the original porch configuration and exterior finishes, the Davis -Hoy House could be categorized as "Key." DPR 523L Page 4 of 5 25B -9 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or # (Assigned by recorder) Davis -Hoy House 'Recorded by Leslie J. Neumann, Peter C. Moruzzi, SAIC 'Date August 28, 2002 ®Continuation l7Update 'B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encvclooedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. 'How to Complete the National Register Registration Form.' Washington DC: National Register Branch, National Park Service, US Dept, of the Interior, 1991. Office of Historic Preservation. 'Instructions for Recording Historical Resources.' Sacramento: March 1995. WhiHen, Marcus, American Architecture Since 1780. Cambridge: MIT Press, 1969. DPR 523L 20 -10 MILLS ACT AGREEMENT 1225 North French Street Santa Ana, CA 92706 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement') is made and entered into this August 5, 2013 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 of the State of California (hereinafter referred to as "City "), and James J. Tellier and Rebecca Ralph, (hereinafter referred to as "Owners "), owner of real property located at 1225 North French Street, Santa Ana, California, 92701 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act') to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 1225 N. French Street, Santa Ana, CA, 92701 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property ". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Properly in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Properly and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. EXHIBIT 3 -t- 25B -11 MILLSACTAGREEMENT 1225 North French Street Santa Ann, CA 91706 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on August 5, 2013, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: -2- 256-12 MILLS ACT AGREEMENT 1225 North French Streel Santa Ann, CA 92706 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owner shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character - defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owner shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner' compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. -3- 256-13 MILLSACTAGREEMENT 1225 Nordt French Sheer SauMAna, CA 92706 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 ''/2) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owner, the City shall give written notice to the Owner by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owner), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- 256-14 MILLSACTAGREEMENT 1225 North French Street Santa Ann, CA 91706 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owner hereby subject the Historic Property, located at 1225 North French Street, Assessor Parcel Number, 398 - 028 -04, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement, b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner' successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owner shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owner: James J. Tellier and Rebecca Ralph 1225 North French Street Santa Ana, CA 92701 2513-15 MILLS ACTACREEMENT 1125 North French Street Sooln Aan, CA 92706 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owner agrees to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner' activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of (lie remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. 2vB -16 MILLSACTAGRBEMENT 1225 North French Street Santa Ana, CA 92706 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation, 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: Date: APPROVED AS TO FORM: By: Sonya R. Carvalho City Attorney CITY OF SANTA ANA Kevin O'Rourke Interim City Manager By: James J. Tellier By: Rebecca Ralph 25'B -17 MILLS ACTAGREEMENT 1225 North French Street SnntaAnn, CA 92706 Exhibit A BOTELERS ADD BLK B LOT 10 Assessor's Parcel Number: 398 - 028 -04 2dB -18 MILLSACTAGREEMENT 1225 North rreueG Street Santa Alm, CA 92706 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. S. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with 29B -19 MILLSACTAGREEMENT 1225 North French Street Sunta Ann, CA 92706 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to strictures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. 2813-20 d11LLS ACT AGREEMENT 1225 North French Street Sonar Ano, CA 92706 Exhibit C (photographs attached) 25B -21 1225 NORTH FRENCH STREET PHOTO LOCATION MAP FRENCH STREET • 50.00 O 122.08 ' NORTH � 25© -22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AGREEMENT WITH CIVIC COLLECTIONS, INC. FOR ANIMAL LICENSE FEE COLLECTION PROGRAM CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading El Ordinance on 2n1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an agreement with Civic Collections, Inc. for collection of new and delinquent dog license fees and penalties, for a two year period with an option to renew up to three additional two -year periods, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Finance and Management Services Agency (FMSA) is responsible for the processing of applications and fees for dog licenses. The State Health and Safety Code (Sections 121575- 121710) require local agencies implement a program that provides for the control of rabies. The collection of dog license fees is provided for this effort. Community field inspection and collection efforts are a critical component of the dog licensing program. The field inspections and collections program was previously administered by Santa Ana Police Department Animal Control Unit which was not proven to be effective. As such, the City is reverting to the original structure of FMSA administering the field inspection and collection efforts to achieve a higher rate of revenue recovery. In 2012 the Police Department and FMSA released a request for proposal in which CCI was the sole responder. Staff recommends entering into an agreement with CCI to perform field inspection and collection of dog licenses. The Police Department and FMSA will continue to analyze the feasibility of acquiring said services through the County of Orange. As such, the agreement provides for discontinuation of field inspection and collection services immediately for cause or without cause with 30 days written notice. CCI will be compensated in the amount of fifty percent for each dog license fee collected, fifty cents for each new dog license sold, and fifty cents for each rabies vaccination certificate issued. CCI is projected to generate $200,000 in revenues to the City. 25C -1 Agreement with CCI for Animal License Fee Collections August 5, 2013 Page 2 FISCAL IMPACT Funds for the CCI agreement are to be paid from dog license revenue account (no. 01110002- 51003). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1 Consultant Agreement 25C -2 I Carlos Rojas Acting Chief of Police Police Department CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this day of August, 2013 by and between Civic Collections, Inc., a California corporation (hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of dog license fee collections. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall collect delinquent dog license fees and penalties, and license fees for new dogs. Consultant will also canvas the City of Santa Ana and collect dog license fees at the dog owner's door. The Consultant will encourage the dog owner to pay by check made payable to the "City of Santa Ana ". Consultant will collect dog license fees at rabies clinics if requested by the City. Consultant will verify rabies certificates in connection with the collection of dog license fees. This scope of services is intended to cover all labor, material and standards of workmanship to be employed for in this work plan or reasonably implied by terms of same. Work or materials of a major nature which may not be specifically mentioned, but which may be reasonably assumed as necessary for the completion of this work, shall be provided by the Consultant. 2. CONSULTANT RESPONSIBILITIES Consultant shall hire, train and supervise its employees who will perform services pursuant to this agreement. Consultant shall provide uniforms and I.D. cards for its employees working on the dog license collection project. Consultant shall provide daily remittance reports to the City. Consultant will account for receipt books provided by the City and utilized by its collection employees. At the end of each day, the Consultant will receive all fees collected by its employees. These fees will be deposited each day in an assigned City drop box. 25G -3 Consultant and Consultant's employees will be required to have City of Santa Ana Patches on the uniforms at all times while performing services under this agreement. Such Patches shall be worn in a professional manner and maintained neat in appearance, and easily identifiable. Such Patches will be provided by the City of Santa Ana. The Consultant shall exercise caution at all times for the protection of persons and property. All fines, penalties and/or repair charges resulting from the Consultant actions shall be the sole responsibility of the Consultant. Consultant's service shall be courteous, responsive, timely, equitable and given in the spirit of professionalism and mutual respect. All Consultant personnel are a reflection of the City of Santa Ana and as such are expected to: • Interact with customers and City officials, whether in person or on the phone, in a pleasant, respectful and professional manner. • Give full attention to each customer's needs by asking questions. Provide information, products and service in an accurate, organized and complete manner. Determine that the customer's request has been fulfilled. • Comply with all federal, state, county, and city laws and regulations. • Use adequate equipment that is kept clean and neat at all times. • Train other Contract employees to be polite and courteous during public contact. • Employ truth and accuracy in reporting customer service records. 3. CITY'S RESPONSIBILITIES The City of Santa will provide a listing of homes that have delinquent dog licenses or make available the City's data base (Dog License System) to the consultant as the City may determine is necessary. Monthly, the City's Finance Department will prepare a collection report. This report will include money collected and number of licenses purchased, as reported by the Consultant, and will be utilized to determine the amount of compensation to be paid to the Consultant as described in section 4 of this agreement. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services, the following sum: a. fifty percent (50 %) of all dog license fees collected, b. fifty cents (.50¢) for each new license fee collected from unlicensed dogs, and c. fifty cents (.50¢) for every rabies vaccination certificate collected. Payment by City shall be made within sixty (60) days following receipt of proper invoice, subject to City accounting procedures. In the event funding is not allowed for license collection services during the annual budget approval process, the City shall notify the provider of such occurrence in writing at least 25C -4 thirty (30) days before the end of the current fiscal period, and contract shall terminate on the last day of current fiscal period without penalty or expense to the City. Mons-M, This Agreement shall commence on the date first written above and terminate on June 30, 2015, unless earlier terminated as set forth in Section 14, below. City is granted an option to renew up to three additional two -year periods. Said options shall be exercised in writing at least thirty (30) days prior to the end of the initial term or any extension thereof. 6. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to its employees and shall be responsible for all applicable withholding taxes. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. 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. 25C_5 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. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement in a form approved by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, and employees 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 Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. 9. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of 25C -6 like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. 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: Christine Duarte, Treasury Manager City of Santa Ana 20 Civic Center Plaza (M14) P.O. Box 1968 Santa Ana, CA 92702 -1968 Fax 714 - 647 -5304 Email: cduarteL&santa- ana.oru 25C -7 To Consultant: Civic Collections 1565 Eldertree Drive Diamond Bar, CA 91765 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other 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, 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. 12. 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. 13. 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. 14. TERMINATION This agreement may be terminated immediately for cause, or without cause upon thirty (30) days written notice delivered to the Consultant either personally or by mail. Upon termination City shall pay to Consultant that portion of compensation specified in the Agreement this is earned and unpaid prior to the effective date of termination. 25C -8 In the event Consultant fails or refuses to timely perform any of the provisions of this Agreement in the manner required, or if Consultant violates any provision of this Agreement, Consultant shall be deemed in default. City shall provide written notice of such default to Consultant. Consultant shall cure said default within a period of seven (7) working days. If such cure is not completed in a timely manner, City may terminate the Agreement forthwith by giving written notice to Consultant. City may, in addition to the other remedies provided in this Agreement or authorized by law, terminate this Agreement by giving written notice of termination. Consultant shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during Consultant's default. The Consultant may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require one - hundred and eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, Consultant shall give the City thirty (30) working days to cure the alleged breach. 15. NONDISCRIMINATION AND COMPLIANCE WITH APPLICABLE LAWS Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. Consultant shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. Consultant 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. 16. JURISDICTION - VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be governed 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. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services 25C -9 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. 18. MISCELLANEOUS PROVISIONS Each undersigned represents and warrants by their signature herein below that they have 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Jose Sandoval Chief Assistant City Attorney CITY OF SANTA ANA KEVIN O'ROURKE City Manager RECOMMENDED FOR APPROVAL: CONSULTANT Francisco Gutierrez Executive Director of Finance and Management Services (NAME) Employer ID # or Individual SS # 25C -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AGREEMENT FOR PLANETBIDS E- PROCUREMENT SOLUTION L &nCITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with PlanetBids Inc. and proceed with acquisition of the online support services, training, installation and implementation of PlanetBids eProcurement solutions to provide web based modular procurement services in an amount of $20,000 which includes $4,500 in one -time costs, for a 12- month period to automatically renew for an additional two terms of one year each, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION As part of the Finance & Management Services Agency efforts to identify opportunities to streamline processes and achieve greater transparency, the Purchasing Division began researching opportunities to deliver a more efficient method of procuring goods and services. The current procurement processes is labor intense, time consuming and manual. The Purchasing Division staff interviewed PlanetBids, BidSync and IPT by BidNet for e- procurement services during the fall of 2012 and spring 2013. Subsequently staff also met with FedBid in June 2013 regarding a reverse auction pilot program. As a result, a reverse auction pilot program was also included as a component for final selection. The review of all vendors resulted in the final selection of PlanetBids for having the most robust and intuitive web based bid management modular for procurement services. Through the implementation of the PlanetBids eProcurement solutions, the Purchasing Division will achieve a more effective procurement operation while maintaining a transparent and public - accessible environment. Implementation of the PlanetBids eProcurement solution will streamline the procurement process by using time - saving methods to electronically advertise and post bids as well as automating tabulation. This solution will also greatly increase communication between City Staff and suppliers by employing real -time notifications while promoting a more competitive bidding environment. 25D -1 Agreement for PlanetBids eProcurement Solution August 5, 2013 Page 2 Based on review of the vendors as well as discussions with other public agencies who utilize PlanetBids, staff is recommending the solution outlined below: • Vendor and Bid Management — procurement staff can manage the process of issuing, monitoring, awarding formal and informal bids. Vendors can interactively search, view and respond to bid opportunities securely over the internet. Emergency Operations — enables an organization to date information on vendors that provide goods emergency. Registered vendors can be granted acc( pre - qualified /certified vendors. Additional benefits include: • Vendor registration and profile management • Reporting, analysis, charts and audit trails • Bid document distribution to vendors • Custom e-mail notification to vendors • Free reverse auction pilot program • Public access to bids and results manage, maintain and retrieve up -to- and services in the event of an ss to search and view information on FISCAL IMPACT Funding for the initial outlay and annual service fees in the total amount of $20,000 are available in the Finance & Management Services Purchasing Division Contractual Services account (no. 01110120 - 62300). APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, Executive Director Finance & Management Services Agency 25D -2 Leading e- Procerrement Solutions Connecting Buyers & Suppriers EKicienttyf 8860 Canoga Avenue •Suite 301. Woodland HMIs. CA. 91367. 818- 992 -1771 BIDSONLINEM SUPPORT SERVICES AGREEMENT This SERVICE SUPPORT AGREEMENT, which describes the terms and conditions applicable to your use of the PlanetBids Online Support Services, is made and entered as of into the _ day of August, 2013, by and between PLANETBIDS, INC., a California corporation, ( "PlanetBids ") and the following customer ( "Customer ") for the period from August 15, 2013 to August 14, 2016: Customer Name: Citv of Santa Ana Street Address 20 Civic Center Plaza City, State ZIP Santa Ana, CA 92702 Department: Purchasing Principal Contact: Sandy Perez / Valerie Kellert Title: Buyer/ Purchasing Specialist Method of Payment: Net 30 Days THEREFORE, PlanetBids and the Customer agree as follows: 1. PlanetBids Services. Upon acceptance of this Agreement, PlanetBids shall provide the following Support Services to Customer, subject to the terms and conditions of this Agreement. a) "Services" shall include the following: 1) use of the PlanetBids "BidsOnlineTM" Vendor and Bid management system (a.k.a. PB System TM) for the purpose of vendor registration, posting and tracking Bid Requests and other information on Customer's website or private internet network; 2) up to Four (4) of licensed user access to and use of the BidsOnlineTM system by the Customer Finance /Purchasing Department; 3) the option, at Customer's discretion, to process and distribute Bid Requests to additionally available PlanetBids suppliers within their selected categories at no additional cost and 4) an optional Reverse Auction feature that enables the Customer to solicit bids from Customer and /or PlanetBids registered suppliers selected by Customer in a price only based blind bidding process, which can be activated by giving notice thereof to PlanetBids in writing or by email. b) PlanetBids shall have access and the right to market or otherwise promote its services to any vendor or supplier of Customer that registers with BidsOnlineTM via Customer's website. Planetbids will not sell any Customer data to any third parties without a written consent from Customer. 02000 -2013 PlanetBids, Inc (818) 992 -1771 Confidential & Proprietary, R15914 -10 For Government Review Only. Exempt from Release un(25 d:3 of Information ACr ( "FOIA ") Pursuant to 5 USC 552 (b) (4)" C) Internet related equipment by its nature, is not fault tolerant, but PlanetBids (1)will use reasonable efforts to make the Services available 24 hours per day, 7 days per week, excluding downtime for scheduled and unscheduled maintenance, and (2) will promptly investigate any technical problems that Customer reports. PlanetBids cannot, however, guarantee continuous service, service at any particular time or the integrity of data transmitted via the Internet. Further, PlanetBids shall not be responsible for the inadvertent disclosure, corruption or erasure of data transmitted, received or sorted on the BidsOnlineM system. d) PlanetBids may make improvements and /or amendments to the BidsOnlineTM system at any time, and may provide other optional services, including enhanced versions of standard features or functions, for an additional fee as agreed in advance by the Customer. Any and all relevant portions of these terms and conditions will automatically apply to all improvements, amendments and /or optional services as they appear. PlanetBids does not guarantee that use of the Services will produce any quotes, business opportunities or other information helpful to the business of Customer, nor does it guarantee that any contact provided will be adequate or best suited for any transaction. 2. Fees and Payments. a) Support Fees. Customer agrees to pay PlanetBids a total of $20,000.00 for Year 1, $15,893.75 for Year 2, and $16,299.32 for Year 3. Payment for Year 1 shall be due and payable 30 days from the time of execution of this Agreement. Payments for Year 2 and for Year 3 are payable within 30 days from the invoice date upon renewal each year as outlined below in Table (A): 1) Set -Up Fee. Customer shall pay a one -time set -up fee of $4,500.00 (discounted from $6,500.00) for the installation, customization and testing of the BidsOnlineT"" system link to Customer's website, plus administrator set -up and a one- time user training up to Four (4) users. 2) Service Fee Payment. Customer agrees to pay an annual service fee of $9,250.00 for the initial year of the Agreement for the use of the BidsOnlineT"" system, at a three (3) percent increase upon renewal each year thereafter as outlined in Table (A). 3) Additional Add -on /Module. Customer agrees to pay a service fee of $3,875.00 for Year 1 and as outlined consecutively in Table (A) for Year 2 and Year 3 for the Emergency Operations module to Customer users assigned by Customer, and, $2,375.00 for five (5) Read -Only user licenses for the period of this Agreement. Table (A) MODULE SETUP YEAR 1 20132014 YEAR 2 2014 -2015 YEAR 3 2015 -2016 BidsOnline' Vendor & Bid Management $4,500.00 $ 9,250.00 $ 9,527.50 $ 9,813.33 Emergency Operations n/a $ 3,875.00 $ 3,991.25 $ 4,110.99 Read -Only — 5 user licenses n/a $ 2,375.00 $ 2,375.00 $ 2,375.00 TOTAL $ 20,000.00 $ 15,893.75 $ 16,299.32 4) Reverse Auction. If the customer chooses to activate the Reverse Auction feature and conduct Reverse Auctions through the Services, Customer does not ©2000 -2013 PlanetBids, Inc (818) 992 -1771 Confidential & Proprietary, R15914 -10 "For Government Review Only. Exempt from Release UryjE6y.f¢e =dyn of Information ACr ( "FOIA ") Pursuant to 5 USC 552 (b) (4)" have to purchase an additional license, but is required to pay a transaction fee for each event/solicitation transaction conducted through the Reverse Auction feature. Once activated, the Reverse Auction feature will remain activated for the balance of the term of this Agreement, including any extensions or renewals. The transaction fee for Reverse Auctions shall be 1 % of the total amount of each Reverse Auction transaction, excluding shipping and handling costs; provided that the minimum transaction fee payable for any event/solicitation transaction shall be $25.00. Within 10 days following the end of each calendar quarter, PlanetBids will invoice the Customer for the total amount of fee(s) payable for all event/solicitation transactions completed during such quarter, which amounts shall be due and payable within 30 days of the date of invoice. shall be the responsibility of Customer to collect from the supplier any portion of the transaction fee to be paid by such supplier, and to pay any taxes, duties, imposts or tariffs that are applicable to purchases via the Services. PlanetBids will extend to Customer a pilot program to conduct Reverse Auction events free of any transaction fee(s) within the first year of the term of this agreement. b) Additional Services; Fees. If requested by Customer, PlanetBids will provide any or all of the following additional services: 1) Special customization work -up shall be provided at PlanetBids' current standard rates pursuant to an estimate provided by PlanetBids. 2) Training to Customer's designated users, in addition to that provided pursuant to Section 2(a)(1), is available as of today at the discounted rate of $350.00, for up to 2 hours online, or a rate of $1,200.00 for up to 4 hours onsite per class plus reasonable travel, living and parking expenses of the instructor, as applicable. 3) For its own internal retrieval and restoration purposes, PlanetBids will record and maintain for a limited time a back -up copy of all data appearing on Customer's website on a daily basis. For so long as PlanetBids retains such data, which will be determined by PlanetBids in its sole discretion, Customer may, during the term of this Agreement, access and retrieve data from such back up files, in text delimited Microsoft Excel format, at no cost. Additional Services related to the retrieval or restoration of any of Customer's data from such back -up files are available at PlanetBids current standard rates, which will vary depending on the level of services required, but not less than $125.00 per hour. 3. Use of Services. a) PlanetBids is not responsible for the content and /or transactions on Customer's website. Notwithstanding the foregoing, PlanetBids reserves the right to monitor content that uses the Services and to remove content which PlanetBids determines to be illegal, offensive, harmful or otherwise in violation of its operating policies and terminate this Agreement. 1) PlanetBids shall have the right to impose from time to time reasonable rules and regulations regarding the use of the Services. Customer agrees to comply with all such rules and regulations and with applicable laws, ordinances and regulations related to the use of Services; and not make any unauthorized commercial use of the Services or of the PlanetBids name, marks or logos. Further, Customer agrees to not use the PlanetBids websites to (i) post information anonymously or under a false name; (ii) post any unlawful, threatening, abusive, harassing, libelous, defamatory, obscene, ©2000 -2013 PlanetBids, Inc (818) 992 -1771 Confidential & Proprietary, R15914 -10 "For Government Review Only. Exempt from Release URgeSDeSn of Information ACr ( "FOIA ") pursuant to 5 USC 552 (b) (4)" pornographic, profane or otherwise objectionable information of any kind, such as inducements to conduct that would constitute a criminal offense or give rise to civil or other liability, (iii) post the name of or otherwise identify or reference any service or entity that provides a service competitive to the Services. 2) If Customer uses standard identification codes, PlanetBids shall have the right to request for inspection an original copy of such codes and any necessary authorizations for use. If such identification codes are proprietary codes of third parties, such as NIGP, SIC or CSI, it shall be the responsibility of Customer to obtain the necessary licenses and Customer indemnifies and holds harmless PlanetBids from the unauthorized use or publication of any such identification codes with respect to the Services. 3) Customer represents and warrants (a) the Customer information provided is current, complete and accurate, (b) that the person signing this Agreement is authorized to bind Customer, (c) Customer will update the information (including credit card information, if applicable) as required to keep such information current, complete and accurate. PlanetBids may, in its sole discretion, cancel or terminate this Agreement if Customer has willfully violated its obligations hereunder. 4) In addition, Customer agrees to use information obtained through the Services only as necessary to the transaction of Customer and shall not use the Services for the benefit of any third party. 5) It shall be the responsibility of Customer to collect and pay any taxes, duties, imposts or tariffs that are applicable to sales via the Services. b) It is the responsibility of the Customer to (i) pre - qualify all bidding participants in a Reverse Auction, and (ii) limit access to the Services so that only Customer authorized personnel have the capability of activating the Reverse Auction feature and /or conducting Reverse Auctions. "Open to the Public" Reverse Auctions on Customer's website are not permitted. PlanetBids shall have no obligation or involvement in the conduct of any Reverse Auction or responsibility for verifying that the users are authorized by Customer to conduct such transactions. C) THE SERVICES ARE PROVIDED "AS IS." PLANETBIDS MAKES NO WARRANTIES, EXPRESS OR IMPLIED, INCLUDING WITHOUT LIMITATION, IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, OR NONINFRINGEMENT OF INTELLECTUAL PROPERTY OR OTHER VIOLATION OF RIGHTS, EVEN IF PLANETBIDS HAS BEEN MADE AWARE IN ADVANCE OF SUCH POTENTIAL RISK. FURTHER, PLANETBIDS DOES NOT WARRANT OR MAKE ANY REPRESENTATIONS REGARDING THE ACCURACY, LIKELY RESULTS, OR RELIABILITY OF THE USE OF THE SERVICES OR SITES LINKED THERETO. d) PlanetBids does not at any time come into possession of the products or services acquired through the Services and is not aware of the specific use to which those items will be put. In using the Services, Customer hereby releases, indemnifies, and holds harmless PlanetBids and its agents, employees, and affiliates harmless from all claims, demands, costs and damages (actual and consequential) of every kind and nature arising out of, or in any way connected with, Bid Requests and uncompleted or completed transactions related to the Services. 4 ©2000 -2013 PlanetBids, Inc (818) 992 -1771 Confidential & Proprietary, R15914 -10 "For Government Review Only. Exempt from Release UZWeegn of Information ACT ( "FOIA ") pursuant to 5 USC 552 (b) (4)" 4. Confidentiality. PlanetBids will take reasonable measures not to disclose website communications or information about its Customers, except to the extent that PlanetBids believes in good faith that such action is within the scope of the Services or reasonably necessary to (a) comply with the law or the directives of courts or governmental agencies; (b) enforce this Agreement; (c) respond to claims of any third party; or (d) protect the legitimate interests of PlanetBids or its customers. Notwithstanding the foregoing, all communications directed to PlanetBids via the website such as questions, comments, inquiries, shall be deemed to be not confidential, unless specifically agreed otherwise in advance by PlanetBids. Further, PlanetBids will have the right to use any Customer's name in connection with the advertising or promotion of the Services. 5. Copyright Protection. The BidsOnlineTM system and all materials appearing on the PlanetBids website are protected by worldwide copyright laws and related international treaties. None of the materials may be copied, reproduced, modified, published, uploaded, posted, transmitted, or distributed in any form or by any means other than as described herein. All rights not expressly granted herein are reserved. Any unauthorized use of the materials appearing on PlanetBids website may violate copyright, trademark and other applicable laws and could result in criminal or civil penalties. a) Customer shall not reproduce, duplicate, copy, sell, resell or exploit for any commercial purpose the Services, website content, the BidsOnlineTM system or any other PlanetBids tools. Customer shall not reverse engineer, decompile, or otherwise attempt to derive source code from any software or tools accessible or available through the Services. b) Special use requests should be sent to customerservice(o).PlanetBids com. Permission to use shall be granted in the sole discretion of PlanetBids. 6. Security. (a) The PlanetBids ordering and posting processes are protected by the Secure Sockets Layer (SSL) protocol, which encrypts your information and confirms the identity of the PlanetBids server before allowing a transaction to be completed. Firefox 3.5+ (or better) and Internet Explorer 8.0+ (or better) support the SSL protocol are acceptable, but we recommend that you use the latest browsers to ensure that you are protected by advances in security technology. For more detailed information, please refer to the PlanetBids Privacy Policy. (b) Password - protection techniques will be provided to restrict access under Customer's account to authorized individuals. REGISTRANT ACKNOWLEDGES, HOWEVER, THAT ACCESS RESTRICTIONS, BY THEIR NATURE, ARE CAPABLE OF BYPASS AND PLANETBIDS DOES NOT GUARANTEE THAT THE SERVICES CANNOT BE ACCESSED BY UNAUTHORIZED PERSONS. Customer shall at all times maintain as confidential its user names and passwords. If Customer is a corporation or other business entity, then it may allow employees to use its user name and password, but the Customer shall be responsible for all activity and charges incurred by such employees and any fees resulting from the activation of the Reverse Auction feature. Permitting third parties to use the Services is prohibited and a violation of this Agreement. (c) If a security breach occurs with respect to any account, the Customer must immediately change its password and notify PlanetBids at customerservice (a�PlanetBids.com. Customer shall be liable for any unauthorized use of the Services until PlanetBids is notified of the security breach. ©2000 -2013 PlanetBids, Inc (818) 992 -1771 Confidential & Proprietary, R15914 -10 "For Government Review Only. Exempt from Release Ur26ned of Information ACT ( "FOIA ") Pursuant to 5 USC 552 (b) (4)" Other Provisions. a) Notices. PlanetBids shall provide notice to Customer via email, or (at its discretion) via certified U.S. Mail, to the address provided on the membership registration or such other address provided by Customer to PlanetBids. Customer shall provide notice to PlanetBids via email to customerservice (aPlanetBids.com, with a copy sent via certified U.S. Mail to the address on the membership registration. Notices will be effective 6 hours after sending if sent via email (unless the sender receives a response indicating that the message was undelivered) or 3 business days after the mailing date, whether or not received. b) Assignment. Customer shall not assign this Agreement or any of its rights or obligations without the prior written consent of PlanetBids, and any such attempted assignment will be void. Subject to the above, this Agreement will be binding upon the parties' respective successors and permitted assigns. C) No Waiver. The failure of PlanetBids to exercise or enforce any right or provision under this Agreement will not constitute a waiver of such right or provision. If any provision of this Agreement is found by a court of competent jurisdiction to be invalid, the parties nevertheless agree that the court should endeavor to give effect to the parties' intentions as reflected in the provision, and the other provisions of the these terms and conditions shall remain in full force and effect. d) Governing Law. The interpretation and enforcement of this Agreement shall be governed by laws of the United States of America and the State of California, excluding its choice of law rules and subject to the exclusive jurisdiction of the court located in Los Angeles County, California. e) Force Majeure. PlanetBids will not be liable in any amount for failure to perform any obligation under this Agreement if such failure is caused by Internet outages or delays, unauthorized access (hacking), earthquakes, communications outages, fire, flood, war, an act of God, or the occurrence of any other unforeseen contingency beyond the reasonable control of PlanetBids. AGREED effective as of the date first written above. PLANETBIDS, INC. CUSTOMER: By: By. Alan Zavian, CEO & President (Date) (Name) (Title) (Date) ©2000 -2013 PlanetBids, Inc (818) 992 -1771 Confidential & Proprietary, R15914 -10 "For Government Review Only. Exempt from Release Un�r ry�re dg of Information ACT ( "FOIA ") Pursuant to 5 USC 552 (b) (4)" EXHIBIT "A" STATEMENT OF WORK FOR SETUP, IMPLEMENTATION AND TRAINING 1. BidsOnline Access Services: PlanetBids rate for maintaining the BidsOnline vendor and bid management system is based upon an unlimited number of monthly transactions (Bids) and up to Four (4) registered users. BidsOnline Access Services include the following: • System Administration — PlanetBids will be responsible for system and data back -ups, disaster recovery, system reliability, availability, privacy, and security • Hosting Infrastructure — PlanetBids will be responsible for hosting BidsOnline, maintaining the network, hardware and software infrastructure • Customer Service — "Level 2" customer service is available from 8:00 a.m. to 5:00 p.m. PST, Monday through Friday (see Help Desk definition below) • Account Management — PlanetBids will provide a dedicated Account Manager for post - sales support, BidsOnline system questions. 2. BidsOnline Set -up, Implementation and Training: • PlanetBids will initially load up to Four (4) users, for Customer • PlanetBids will provide a 4 -hour hands -on training on -site for BidsOnline user administration BidsOnline set -up, implementation and training consists of the following: A. Initial Program definition The PlanetBids implementation manager will work with one (1) designated Customer project manager to develop a roadmap for system implementation. The implementation manager will define and present a project management schedule to the Customer project manager. Customer will be required to submit information according with the project management schedule. Upon completion and review of the BidsOnline system by Customer, PlanetBids will train all assigned users on -site at the Customer's training facility. B. System implementation and administration PlanetBids will enter and configure Customer requirements into BidsOnline for up to Four (4) users for Customer. The following implementation services will be provided a. Seamless integration to Customer's procurement web page. b. Online customized vendor registration form and ability to have vendors maintain their profiles. c. Complete management tools access to all users (i.e. buyers, project managers...). d. Customer specific database. 02000 -2013 PlanetBids, Inc (818) 992 -1771 Confidential & Proprietary, R15914 -10 For Government Review Only. Exempt from Release Un 2SM9 of Information ACT ( "FOIA ") Pursuant to 5 USC 552 (b) (4)" e. Complete bid management from bid submission to awarding. f. Electronic bidding - Vendors submit bid quotes /responses online; Buyers analyze bid responses and award. g. Daily backups. h. BidsOnlineTM users and vendor support for the duration of the contract. 3. Professional Services PlanetBids will provide consulting services for custom reports or BidsOnline customizations, specific to Customer, not covered by this Statement of Work at an additional charge. Additional consulting services requested in writing by Customer will be billed at a rate of $125 /hour, billed in 1 hour increments. No work will begin on professional services before a mutually agreed - upon statement of work is completed. All on -site travel expenses will be passed- through to Customer. No travel will be expensed without the prior approval of Customer's management. 4. Help Desk The PlanetBids Help Desk is available for "Level 2" support (as defined below) via our toll -free telephone number from 8:00am to 5:00pm PST, Monday through Friday. Email Support, support@PlanetBids.com as well as on -line help services are also available. Customer will be responsible for all "Level 1" support: • A level 1 support representative will attempt to answer most or all questions, including help to vendors with simple problems (edit profile, etc.) or general "how -to" questions (search functionality, bidding, etc.). More complex, technical questions should be directed to a PlanetBids level 2 support representative. A PlanetBids representative will be responsible for "Level 2" support: • A Level 2 support is more technical in nature. Level 2 questions may, for example, deal with Customer users (i.e. BidsOnline system administrative users including buyers, project administrators, etc.) or with password issues requiring special assistance, or with possible product bugs or failures. In this case, some research and investigation may be required. 5. Additional Modules The Emergency Operations module license is available to all agency users and to be assigned by Customer. ©2000 -2013 PlanetBids, Inc (818) 992 -1771 Confidential & Proprietary, R15914 -10 "For Government Review Only. Exempt from Release Ury�rtY}l�= dypy�j Information ALT ( "FOIA ") Pursuant to 5 USC 552 (b) (4)" REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AMENDMENT TO CONSULTANT AGREEMENT WITH ROSENOW SPEVACEK GROUP, INC. FOR DEVELOPMENT AND PROJECT MANAGEMENT SERVICES CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$1 Reading El Ordinance on Z' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached Amendment to Consultant Agreement with Rosenow Spevacek Group, Inc. to increase the compensation by an additional amount of $50,000, for a total aggregate amount not to exceed $75,000, subject to non - substantive changes approved by the Executive Director and City Attorney. DISCUSSION On March 1, 2011, the City entered into a Consultant Agreement with Rosenow Spevacek Group, Inc. (RSG) having special skills and knowledge in the field of development consulting services and project management for $25,000, per City Manager contracting authority. To date, approximately $15,000 is remaining on the contract. Staff is requesting City Council approval to increase the contract amount to $75,000 to assist with ongoing City projects and programs due to staffing constraints. As the City continues to move forward with its development activities, it is critical that adequate staffing be available to support this effort. With loss of staff with expertise in development/project management over the last two years, there is a need to fill that void at least temporarily with consultant services so the City can continue its momentum in implementing vital projects and programs. RSG has played a valuable role over approximately the last month assisting under an existing contract with such projects as the YMCA and Third and Broadway Garage Request for Proposals. Work on these projects is anticipated to continue with additional support needed for other projects and activities. The amended agreement incorporates changes to the scope, updates to the fee schedule, and an increase in the total contract amount. The Scope of Work is being modified to remove unnecessary services and instead focus on: project advisory services, assistance with implementation of City programs and projects, review of development opportunities, and 25E -1 Amendment to RSG August 5, 2013 Page 2 assistance with the potential development of city -owned properties, in addition to seeking alternative approaches to financing post - redevelopment. It is anticipated that the added funds will provide approximately 10 hours per week of support for 12 months (or 15 hours per week for 9 months) for City projects and activities. RSG staff has the requisite specialized skills and expertise in the area of project/program management and implementation, particularly with respect the unique structure and requirements of municipalities. It is recommended that RSG's contract be amended to provide a means to supplement CDA's efforts to continue creating, pursuing and /or implementing development opportunities and programs. A concurrent request for action for an agreement not to exceed $25,000 is on the Housing Authority agenda for RSG to provide assistance specific to Housing Authority projects as necessary. FISCAL IMPACT Funds are available in the Community Activities Non - Departmental Contract Services - Professional account (no. 01105810 - 62300). Sandra D. Gottlieb Acting Executive Director Community Development Agency SDG /kg Exhibit: 1. Amendment APPROVED AS TO FUNDS AND ACCOUNTS: *nQm �ZA:� Francisco Gutierrez Executive Director Finance & Management Services Agency 25E -2 EXHIBIT 1 FIRST AMENDMENT TO CONSULTANT AGREEMENT THIS FIRST AMENDMENT TO CONSULTANT AGREEMENT, is made and entered into this _ day of August, 2013, by and between Rosenow Spevacek Group, Inc., a California Corporation (hereinafter "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "). RECITALS A. The City entered into a Consultant Agreement with Consultant dated March 1, 2011 (Agreement 4N- 2011 -073) to retain a professional firm having special skill and knowledge in the field of development consulting and project management. B. The parties desire to amend said Agreement to increase the contract amount, revise the fee schedule, and modify the scope of work. 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. Section 1 of the Agreement, "Scope of Services ", shall be amended to modify the Scope of Work as set forth in the amended Scope of Services and Proposal from Consultant dated , 2013, attached hereto as Exhibit A and incorporated herein by this reference. 2. Section 3 of the Agreement, "Compensation ", shall be amended to include an additional Fifty Thousand Dollars ($50,000.00) for a total not to exceed amount of Seventy Five Thousand Dollars ($75,000.00). 3. Section 4 of the Agreement, "Independent Contractor ", shall be amended to add the following clause: "Consultant is aware of and acknowledges the provisions of California Government Code sections 21220 et seq., providing that, subject to certain specified exceptions, any person retired under the California Public Employees' Retirement System (PERS) may not be employed in any capacity by a contracting agency such as the City unless he or she has first been reinstated from retirement pursuant to the provisions of the Government Code. Any employment of Consultant by the City contrary to the provisions of California Government Code sections 21220 et seq. may result in serious financial consequences for both Consultant and City. Should Consultant's services be deemed to violate these provisions, the parties agree that Consultant shall reimburse PERS for payments and charges finally imposed pursuant to Cal. Gov. Code §21220 (b), relating to a retired member's obligations. In such instance, the City shall reimburse PERS for payments and charges imposed pursuant to Cal. Gov. Code §21220 (c), relating to a public employer's obligations." 4. All other terms and conditions included in said Agreement shall have the same force and effect and remain unchanged. 25E -3 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Lisa Storck Assistant City Attorney 25E -4 CITY OF SANTA ANA Kevin O'Rourke Interim City Manager CONSULTANT Kathleen Rosenow Principal Tax ID# 95- 3435849 • INTELLIGENT COMMUNITY DEVELOPMENT July 17, 2013 Mr. Kevin O'Rourke, Interim City Manager CITY OF SANTA ANA Civic Center City Hall Santa Ana, CA 92701 EXHIBIT A ROSENOW SPEVACEK GROUP INC. T 714 541 4565 509 WEST 4TH STREET F 114 5411175 SANTA ANA. CA E INFO u WFBRSG COM 92101-4502 W ERRNG. C OM AMENDMENT TO PROPOSAL FOR CONSULTANT SERVICES Dear Mr. O'Rourke: Via Electronic Mail Rosenow Spevacek Group, Inc. (RSG) is pleased to present an amended proposal to the City of Santa Ana to continue to provide interim development and project management consultant services to the Community Development Agency to accommodate staffing needs. RSG is able to provide general community development services on a time -and materials basis. Consultant scope of services Includes all aspects of project management and implementation and other services directed by staff. Specific assignments may include but are not limited to the following: • Project Advisory Services • Implementation of City Projects and Programs • Review of Development Opportunities • Assistance with Potential of Development City -owned Properties • Alternative Approaches to Financing Post - redevelopment Our Services would be charged on a time - and - materials basis, in accordance with our current fee schedule: Principal /Director Senior Associate Associate Manager /Consultant Senior Analyst Analyst Research Assistant Technician Reimbursable Expenses 25E -5 $195 $160 $140 $125 $110 $90 $70 $60 Cost plus 10% i.OMMUNIfY INVf51MFM E IMPROV(. MEN 0( AL oVV[RNMI 1,11 SVLUtI()N5 IINAMCIAL ANALYSI6 RL Al I -',IAIE n III VI_.OI MINI Mr. Kevin O'Rourke CITY OF SANTA ANA July 17, 2013 Page 2 RSG does not charge clients for mileage, parking, standard telephone/fax expenses, general postage or incidental copies. However, we do charge for messenger services, overnight shipping /express mail costs, teleconferencing services, and third party data if required, such as CoStar Real Estate Reports. We also charge for copies of reports, documents, notices, and support material in excess of five (5) copies. These costs are charged back at the actual expense plus 10% surcharge. RSG issues monthly invoices payable upon receipt, unless otherwise agreed upon in advance. Invoices identify tasks completed to date, hours expended and the hourly rate Thank you for the opportunity to assist the City. If you have any questions, please do not hesitate to contact me. Sincerely, ROSENOW SPEVACEK GROUP, INC Kathy Rosenow Principal 25E -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AGREEMENT AMENDMENT WITH WILLDAN HOMELAND SOLUTIONS FOR GRANT MANAGEMENT SERVICES CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: I_'1JWC101T121W ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on god Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an agreement amendment for on -site grant management services with Willdan Homeland Solutions in an annual amount not to exceed $125,000. The United States Department of Homeland Security (DHS) has developed the Urban Areas Security Initiative (UASI) funding program. UASI provides funds to local emergency first responders to enhance security and overall preparedness to prevent, respond to, and recover from acts of terrorism. The grant specifically provides funding for anti - terror equipment, planning, training, exercises and technical assistance. Under the UASI funding program, the City of Santa Ana has been designated as an Urban Area Core City and serves as the grant recipient responsible for the management and administration of the grant funds for Orange County cities. The City of Santa Ana has also been designated by the California Office of Emergency Services (Cal -OES) to serve as the recipient and fiscal agent for several additional grants including the Public Safety Interoperable Communications (PSIC) grant program in FY2007, and the Interoperable Emergency Communications Grant Program ( IECGP) in FY2008, FY2009 and FY2010. These grant programs have been managed by the Homeland Security Division of the Santa Ana Police Department. Beginning in 2010 as part of the IECGP grant program, grant management services have been provided by Willdan Homeland Solutions. The on -site grant management services provided by Willdan Homeland Solutions include, but are not limited to, assisting with the development of grant applications, ensuring grant finances are processed appropriately and in compliance with established Federal, State, and local policies, as well as maintaining and updating UASI sub - recipient guidelines and policies to include new laws, rules, and requirements issued by DHS and Cal -EMA. The staff member provided by Willdan Homeland Solutions has developed the special skills and knowledge needed to effectively manage the Homeland Security grants awarded to the City of Santa Ana. 25F -1 Agreement with Willdan Homeland Solutions August 5, 2013 Page 2 The Santa Ana Police Department Homeland Security Division is satisfied with the grant management services provided by Willdan Homeland Solutions under the original three -year agreement and recommends exercising the first of two optional one -year extensions. The current contract, which expires August 31, 2013, includes approximately $100,000 for labor, $10,000 for training and transportation, and a $15,000 contingency for unanticipated expenditures, for a total agreement amount of $125,000. Willdan Homeland Solutions requested a 5 percent cost of living adjustment for labor costs. This increase was determined to be reasonable, fair, and well within the range expected for such services. The new agreement includes approximately $106,000 for labor, $10,000 for training and transportation, and a $9,000 contingency, for a total agreement amount of $125,000. FISCAL IMPACT Funds are available in the following UASI Grant Fund accounts (nos. 12514407 -62300 and 12514491- 62300). APPROVED AS TO FUNDS AND ACCOUNTS: A(�bS %l Zbr I �� A_ fY�C _- Carlos Rojas Francisco Gutierrez Acting Chief of Police Executive Director Police Department Finance & Mgt. Services Agency 25F -2 FIRST AMENDMENT TO AGREEMENT THIS FIRST AMENDMENT TO AGREEMENT is entered into on August 5, 2013, by and between Willdan Homeland Solutions, a California corporation ( "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS: A. The parties entered into that certain Agreement A- 2012 -184, dated September 4, 2012, (hereinafter "said Agreement ") by which Consultant has provided grant management services. B. In accordance with the terms and conditions of said Agreement, the parties wish to amend the Compensation to increase the hourly pay rate, increase total compensation to pay for services during the extended term, and exercise the first of two options to extend the term for an additional one -year period. Additionally, the parties wish to amend the required certifications to conform to the Department of Homeland Security funding requirements. 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 First Amendment to Agreement, the parties agree as follows: 1. Section 2.a., COMPENSATION, shall be amended to increase compensation by $125,000.00, to pay for grant management services provided during the one -year term commencing September 1, 2014. The hourly billing rate shall be increased to $53.70, effective February 1, 2013. Section 4, TERM, shall be amended to extend the term one -year, through August 31, 2014. The Agreement may be extended for one additional one -year period on the written agreement of the parties. 3. Section 17, CONSULTANT CERTIFICATIONS, shall be amended to add anew subsection n, to read in full as follows: "n. Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non- exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: (1) the copyright in any work developed through this Agreement; and (2) any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights." 25F -3 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 First Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney CITY OF SANTA ANA KEVIN O'ROURKE Acting City Manager WILLDAN HOMELAND SOLUTIONS (NAME) (Title) 25F -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: SECOND AMENDMENT TO AGREEMENTS FOR ON -CALL WATER AND SEWER EMERGENCY SERVICES CIT AGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a second amendment to agreements with Doty Brothers Construction Company and Paulus Engineering, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, for on -call water and sewer emergency services, in an amount not to exceed $150,000 to each firm. DISCUSSION The City has a need to occasionally require the services of independent contractors to assist in the emergency repair of sewer and water infrastructure. These services may include supplementing City personnel, materials, and equipment in order to take necessary immediate action to prevent a system outage, restore services to normal operating conditions, and maintain services during an emergency. The current agreements with Doty Brothers Construction Company and Paulus Engineering, Inc., for on -call water and sewer emergency repairs were established through a Request for Proposal (RFP) process in 2003. As a result, a contract was awarded on August 4, 2003, for a three -year period with a provision for a two -year renewal. On August 18, 2008, a new set of contracts were awarded to the same contractors for a three -year period with a provision for a two -year renewal. Both contractors have been providing emergency services to Santa Ana since 2003 and have a history of providing these services to other cities. Each contractor has the resources and experience required to assist in an emergency and the rates for their services continue to be competitive. An RFP is being developed to provide transparency and oversight to the process of awarding contracts for City services. A significant amount of staff time will be required to complete the highly technical requirements and specifications for these emergency services. However, with the existing agreements expiring on August 30, 2013, the RFP process will not be completed in time to ensure gap coverage from the termination of existing contracts to the execution of new agreements. If the existing agreements are not extended, there will be a period of time when the City will be operating without these crucial services and will be at risk of being unable to respond to emergency situations. In order to give staff enough time to perform a comprehensive proposal 25G -1 Second Amendment to Agreements for On -Call Water and Sewer Emergency Services August 5, 2013 Page 2 process and execute new agreements, staff recommends a final one -year renewal of existing agreements for a not -to- exceed amount of $150,000 to each contractor. ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Water Systems Maintenance Account (06017641- 62300) and Sanitary Sewer Services Account (05617640- 62300). dwin "William" Galuel, P.E. Acting Executive Director Public Works Agency RG /NS /CB /RR APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director aL '1r Finance & Management Services Agency Exhibits: 1. Second Amendment to Agreement with Doty Brothers Construction Company 2. Second Amendment to Agreement with Paulus Engineering, Inc. 25G -2 AMENDMENT TO AGREEMENT FOR ON -CALL SERVICES THIS AMENDMENT TO AGREEMENT is entered into on August 5, 2013, by and between Doty Brothers Equipment Company dba Doty Brothers Construction Company ( "Contractor "), and the City of Santa Ana ( "City "). RECITALS: A. The parties entered into that certain Agreement A- 2008 -213, dated August 18, 2008, (hereinafter "said Agreement ") by which Contractor has provided on -call emergency water and sewer services. B. Said Agreement has previously been amended to extend the term and revise the fee schedule. C. In accordance with the terms and conditions of said Agreement, the parties wish to extend the term of said Agreement, revise the applicable fee schedule and increase compensation to provide funding for on -call services during the extended term. 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: Section 2.a, TERM OF AGREEMENT, shall be amended to extend the term for an additional one -year period, through August 31, 2014. 2. Section 6.a., COMPENSATION AND PAYMENT, shall be amended to increase compensation to make available a maximum amount of $150,000 to pay for on -call emergency water and sewer services provided during the extended term from September 1, 2013 through August 31, 2014. 3. Pursuant to Section 6.b., COMPENSATION AND PAYMENT, commencing September 1, 2013, City agrees to pay and Contractor shall provide services at the rates and charges set forth in Exhibit B -1, attached hereto. 4. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 1 25G -3 IN WITNESS WHEREOF, the parties hereto have executed this Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lo Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ, P.E. Interim Executive Director Public Works Agency 25G -4 CITY OF SANTA ANA KEVIN O'ROURKE Interim City Manager DOTY BROTHERS EQUIPMENT, INC. M.C. CHRISTY President EXHIBIT B -1 FEESCHEDULE SEPTEMBER 1, 2013 through AUGUST 31, 2014 25G -5 DOTY BROS. Construction Company COST PLUS RATES SOUTHERN CALIFORNIA COST PLUS RATES EFFECTIVE JULY 1, 2013 TO JUNE 30, 2014 PAY SMAIGNT Op£R owi GAF35MAN/CIASS COOS TIME TIM( G. GRPENT£RS General Foeman [Gf 9379 128.]4 16568 opentln6Ftiommn [Of W46 12674 163.02 foreman CFM 86.79 121.23 15568 Iwrneyman OM 8179 113.73 14567 Ningler CSI 8200 114 0, 146.10 Apprentice Bth Perb6(90 %) CAB 7540 1. SA 132.. maim GNT3 General Freeman CMG 9263 129.99 167.35 form CMF 0].62 122,48 15)34 ecurneyman CMI .62 11098 14)34 Apprentice. 8th Imi ad (95 %) CM8 7291 100.42 127.92 CEMENT& M Foreman MFM 84,47 11270 140.93 loumeyman MIM I9, 46 Io5.19 130.97 F&T Machine Operator MTO 71 105.91 131 75 Appnntlu M6.., TWA, hi 74.32 97,47 120.63 .BORERS Operator General Foreman 1OG 1 13240 17543 Operator Foeman .1 9620 13247 16835 General Foreman ITS 8100 103.68 138.36 rem foan 1FM 79.33 107.19 135.03 Group; General lGl 7199 96.17 120.35 Cr nup2 Wrapper o 6" LG2 7291 91 122.18 Grwp 3- PTO /Wrapper LG3 13,83 98.92 12402 Group 4- Pipe layer C&5 IN 1641 10260 129.19 .up 5- elu,er LOS 7200 103.68 13036 Appountre -61h Pound (85%) .1 58.67 1 104.02 E1EC7RANNS 1 INSIDE WIaNN, PAY STRAFGM3 DYER 00041E CRVISAMN/CL485 EOOE "W TIME TWE 01ERAT3W1.1NEERS Group] -2AA TG2 75.21 98.]8 122.35 PRO]ECTMM43GEMENT Group 3 -3Axl¢ TG3 Is Ad 99.13 s12B3 Pmlea ""Pr MPM 111.65 152.]3 does- Working Truck On., TG5 7581 General Foreman, Apptla. A pUF 102% I losto 129.8A Forman, Appev.A OFM was 13569 122.17 Group 1, Amads AA- Oiler OGl 91.30 123,43 15555 Group 2, appCV. A. Oiler OW 92.65 12545 158.25 Group S. Ali A- Unlaersed OGB 96.27 130.. 16549 Gmop 10, 40. A. MaChmiC OGA 91 13119 165.. Group B. Appdv.B COnea]Sion, Go. 96]7 131.63 ISLAS Group 9, Aposix B -Crane 25 Tons 099 97B6 132% 167.06 Apprentice, Ad a, Anxil A - Mop 6(npra) GAS 89.35 12050 151.65 UAMPFFIiEFR3 /W£2OME IxouSnm General Foeman IGF 11546 15].]5 neIS Foreman IFM ]08.37 SIT 29 19680 Ioumeyman. WtakemAitler USA 9770 131.53 165.3] Inludual Wel the IN 47 14169 128.91 Amount - Fire year IAS 26.73 103.90 Sm.es SHORt1IXF (LOG1250) Foreman SFM 165.27 145.66 183.03 loumryman Tomid.r /FitteO Sum 9858 13563 10 is WEber Xelper 'You 0.28 91.21 Sold, UlILIIY Operator Foreman VOf 90.87 131.15 16Ia3 Foreman UFM ..CB IN 96 137N Welder VWD 78.28 1061 INN Iwrneyman /fuser In. 67.48 90..9 11349 Pipe Tradesman ll UP2 51.78 67.12 8246 E1EC7RANNS 1 INSIDE WIaNN, RAMSRRS fRa Flats - he Pnfen lxeuuna amPlayw PASS bugoq General Foreman EGF 112.51 15537 opentorGmeral Foreman TOG 103.9] 141.91 179.86 Foreman l91 EFM IN 6S 143.3] DpPlltol Foreman TOT 10063 ].91 ]]3.19 Iwrneyman 18].1C ElM 96.79 13150 General Foreman TGF 79.98 101 13189 Ansua e. 10th Pi nexa) EAO 84.32 113.89 1..1, 14346 Foreman TFM ]8.31 10343 12855 Group] -2AA TG2 75.21 98.]8 122.35 PRO]ECTMM43GEMENT Group 3 -3Axl¢ TG3 Is Ad 99.13 s12B3 Pmlea ""Pr MPM 111.65 152.]3 does- Working Truck On., TG5 7581 197.24 9968 123.55 Superintendent All 114.19 153.59 Group 6 -4 or More Aid, IN 75. 99.75 12365 Protect Engineer 19837 MPE 7275 11179 Group 9 -W Bed T69 77M li color Safety (irMor SAO 149.83 IN 73 149.23 di WrOlSmentTl Cen TAT 79.18 104.73 13029 Sakry iuperilmr SAS 193.88 9165 133.. SuMMSme: S950x 171.86 TnaNTlm, Customer will be atlnxdilvaval emirs appliable OwrlMeRelax All hours outside regularly tansbNted 1 -1 Nsll In 'me and onehalf SaNrday Is time and onehaH. Sam.1a1d Poor s. 11 be at double mi paid Far Opentln8Eryineera,f ] porfla, ieimiters, Ce mentMaaons,Oeubriludm�firs,bUr(4) unaccepted, regular Shift, andfirricn ere 112) Folsom Saturmurptimeandoneball; addi0onal hours at double Mme inducting holideys. all EnnrgaAW -can outi - Four 141 hour dommum, for labor and moronism. MaM1Up. Matnial, subeontuMT -, aubsisten[e, and oulsberenon, muluding tool oats), will be blllM Coal plus sales tax where applicable, plus mark -up 0115% buntlerM W SoutMm 41110m1a Cyst Plua Rata,: convals o11M1e eleven till [-bond m LOSAlool ,'loo, Mon.. Orange, Pi Illade, SM Norr amino, Imperial, Venlun, Santa Barbara, San Luis Obispo. Kern and In addition: Sid ardson pod, Santa Cruz Island, Arm ppi San Nicholas Island, Catalina bland, San Clemente IAand San Whi island, Santa Barbara bard, Santa Rosa Found, AnaGpe Island, Including the Channel Ixands Mmomenl Pale Scale does ademeude San Diego County. OnaiNOT6:flntliond W en I arcoNan[ewith all aomMapplluPN aigvlary bbangrtemen[ s,e ree nmbleatt o< M1anp wIIAOW mti[e TM1ia CateIMn0ramallIrclualae: Stldltbrul om rvelbMe It npulM.1a2.01 G LL 37M20 11232 L. Firestone Blvd., Nom all CA 90650 Phone: (562) 864 -6566 Fax: (562) 864 -6052 W Ww.dorybrns... CA LIS: 273024 25G -6 Construction Company MASTER EQUIPMENT LIST AND RATES SOUTHERN CALIFORNIA COST PLUS RATES EFFECTIVE JULY 1, 2013 TO JUNE 30, 2014 BGGYWES ll!B IJpp@L9BY 99BRS UTIM., p1 tkIWHBN FWEP $ I SIT 'A WLIY -IXEE PF CL OI.MI U.Mal $ 1I. APPEUMMY - COMPARIW WHEELFKEGVATOR YIIBt $ 40 C0 CABLE.11 THREE REEL (TrIIb[ MOUnlE61 5 3500 Ou MURS, COMPACTWHF EI F /GSEJO Mot $ 3000 FGSHINGARPOWBOMp 5 1200 PfMRURI,Y HYDRAULIC BREAKER /CASE 830 YIIB3 $ Se Be GRADED I AT LEO YRIry] $ 83.63 k[e[[dy- VIgMTORYIUTF NI535 $ EGAD GRINDER / COLD PLANED DITFLU) L4 4R MINI Nl0] $ }3200 Atte[vy -MCP HOE FORKS IE NR MIN.) E]E99e1 $ 259 RUBER-IRIOL ON) $ 3950 CC 23U RICK WHEEL N313 $ ]S. ROLER (WALK BEHIND)' 1 TON VIBRATOR $ 33.50 CAS(500 /1.310 $ ABU ROLLEATHRULEP O CASF590 5 E39} STREETSWEERP PHIL MIHI .3319 $ .3.11 Gi 301 �iRACX MOUNTED NO55 $ I. iHi TMILEP .fiM6 $ 3200 Ui %5- TMCKMOUMED RED]} 5 SN.38 TPENCHEP TRAILER .NN $ 1200 HITACHI OUP, EKGVATOR N1B0 $ 98.13 UTILITY TMILEP .52 $ 12. AT 436 M147 $ 38.83 ZIPPER PAVEMENT GRINDER PFR MYMTE NMM 5 37500 1.110 $ US 03 ASPHATPAVER LEEBOYIW}O .1196 $ 11563 TRENCHER - VERMFFRT]58 -RIM ON N310 $ ]4509 CEMENT. WALAUSSALO "3938 $ 33.50 OU PM WATCH WAGON 11. MY RAID .6271 $ Re. "Raw (ROW H'GROROMMMfR)/STLMPER 5 BEM1InE VIbrYGng YU860 $ 16.50 IS SO 23TON 2- 3TONixtSO TRUCK .L50 $ 1138 MVCKEA7AMPTPw WPFOOLOCOMMI .1800 $ 33.50 SYL,E FIN MOVER BRUC% DUMP /2'SUR UlNXyirv[k $ 21.63 PPDFWTCOMIAROR fiS' .1501 $ 329C BAC[HMMOVERLRN, $ 3163 CEMP Kw /miEllUk [omp,e[[d N330 5 5563 YnMPBEeEnpI'S TRUCK WRAP TRUCK ]O W NEE0,0 5 Co. PRESWP I'S $ 21.. LOUIPMEHTTPAILER 30.Pro LB 5 1263 100 COMPPFSSOP - AIR POTABLE PER MY MTEI 11000 $ 106.00 EWIPMFMiPNLEP- AO.000U $ 1600 WM1 LIFT IUo ::D .M93 $ E263 LpBtl1$ ..; IIAT M1 M4ER /WRAP N391 $ SS fi3 BOOM TRUCK -a. AW] 5 3563 LONGED TRAILER W/ IxW, B ARME pump GURU YNS6 5 .663 BOOM TRUCK -10.11 TON $ 50.63 1.9. ENO DUMP TRAILER VD/ TRACTOR 13418 $ 43.63 BOOM TRUCK IS TON $ N63 PICKUPTRUCKS- MISC TORSHOTINCLWED $ 16.. BOOM PUCK I3 25 TON 133M $ 59.63 PICK- UP- PENi11 NUMBED 41100 $ 16.38 CRANE / 15 IB TON M, e9,PSERS1 5 6163 SERVICE TRUCK- BD TON, LLII. CoMAIEI, Grn,O TWO $ 3263 SERVICFTWCK MIYTMSNOTINCLUDED 5 18.38 ROEl0.S /PIp! -D SERNCEVAN - MRCLATHRO OTINCLVRD $ 1638 WZEPx3450 0018 $ M.69 TESTPUMPTRUCK .3401 $ 063 oUSOC BI Co I6 5 AIS TEST TRVIEPIHp,mMfR l .6H91 BEAR 00 SIOEBNM Co p] .SC63 $ 6169 UneoO VEHICLE Now wo 5 23. LDEBCOM GT 561 ISMS $ 00.69 ACUUMTRUCK - SORDID R. $ 3913 GO $IDfBCOMGTS]2 .5061 $ A. WATER iMIG I..� 2'00BOUNTS.) $ 3563 SaoM 10G$p $ 42W WATLRiWCK- 13,SIYJGALS.1 R. $ 1063 fORKLIFIS WINCH TRUCK N395 5 3063 FORKUST NYSRR30,NOES !1}03 $ 35.82 fONLNT -LON 6.000 L8 IIS. $ 23.82 SCARING MACHINE HYDRAULIC N1521 $ IS. GORES MACHWE TMILEP IN4] $ 1000 SAY TURP ALACLINC CAPPA SHIP 3 "LOU 1IPn -1, j PIT 11 .81. $ 3000 MINI $MOSTEER- DNCHWITCH .1215 $ 3133 IAPMACHINEIWMa MI 1.110 }')IP.RR11 /PE,YEyI .1. 5 LOW LOUNGER -BOBCAT W /BUCKA YIIMB $ 2183 LONG ER�BOBUTW/SWEEPER .1145 $ 3].82 LOAD ER- BOBGTW /GAINOEP .1146 5 5].R 200PARAT MWCKMOUNTED $ RUBBU TIREIW.DER�5N 10 .5086 $ 1)U 200 Rho, SKID VHTmdERNLFR $ I.. 1688 RUBBfR T. LOMLR -.0C .5511 $ RIGREN WEmU�R1G RENTAL NUMBED P]N4 $ 29-08 RVBBFRlIl3f LODGER 930 Gi 15089 $ .9.63 RlUa 0.UBBFRIIRE IMOLR 950GT ISOB] $ SO S3 CUTINGTORCH IACETYMNEI .26 $ 18.00 0.UM[P TIRE LOADED I50 /1 CAT .5099 $ 71.63 RUBBER TIFF LOADER- 966 UT RIG. $ 963 SKIPLOAMP WE SW/ RAF 40E /1445 j 33 fi3 TRUNCATION SHOP A EQUIPMENT .101 $ AD. 11232 E. Firel3one Utvd.- Norwalk, CA 90650 Phone: (562) 864-6566 Fax: (562) 864 -6052 wwwAotybroR.Dom CA Lie. 273024 25G -7 DOTY BROS. Construction Company MASTER EQUIPMENT LIST AND RATES SOUTHERN CALIFORNIA COST PLUS RATES EFFECTIVE JULY 1 2013 TO JUNE 30 2014 11232 E Fwstonc Blvd., Norwalk, CA 90650 Phone: (562) 864 -6566 Fax: (562) 864 -6052 www,dotybros.com CA Lie. 273024 25G -8 N_B 4MY.B,N m,KMINAa!$ M pi,,, YWnIM4WT"aw NMYFw""'I 1MWL W"I 13091 $ SO. GO PIPE MISERY DRUNDREAN HERCULE 11939 $ ..an M XOSF V. A 50' YBID 5 0.00 PE"I's N-. 6',0:10'. I3'. 16 ". M-r"j YI936 $ SD.N Al. SAW 1185] $ SDOB PIPE BOILERS (FOR 3' TO M RAPE) ANN $ 3E.N Al. ..Pa. IB59 $ )5.Go PIEE STANDS (FOR 0' TO 12- PIPE) Fam $ SDO RSPXALT SPREADER BAR .1193 $ 125.OD PIPE SFIM(1'X 6 "% H UMBER) pB3B $ ICD RA RRICAll I. $ 1.50 U1WMn X]b Awnl 1193D $ BEVELING RAND II'�3G' RB)3 5 ]S GO PLASMACUTTER�w PLOGNEF AW $ SSD.m NG. BEVFUM..O I-.. MUSE $ IFoon EVET PLYWEAIF/HDFAUTORQUEWi 199] $ DING BEVELING MN01': R.. $ $O,DO PORTABLE BANYDMU TORQUE WRENCH $ 159.Po BfVELIXG MACXMF IE "30' $ IS Go PORTABLE BAND ING $ ;500 BEVELING MACHINE N "d3" y31 Ran $ IW 00 .ED pGWfq TIRGDFR .,a IB53 5 BS.W BEVELING MACHINE 1 "13' .019 $ 1$50 PRESSURE WASHER TRAILER MOUNT. Y6M1 $ OEM Sd N.NMEDNINE -CASE HYOM nal $ 1...a PUMP - 5100MOUMBENTOXRE .ED. a Iq,W BCRE MOTOR ASS $ 1DoG PUMP - SUBMERSIBLE 1861 5 l)W 60RI NG MAC M INF I -1 /I' &13/1' Mon, MI 811]0 $ )SOD A41D REAL GROWER IIB]8RM% $ 30M BORE XG MACHINE I "8' (PICU -µMhl ECIOD 5 25. RIVET BUSTER/ RIPPING GLW Y069 $ SOLO BORING MACHINE yI /]" WEU MUTE) RI1,, 5 20M RUDER GRILL (11. V.11 IWS $ 35M BUFFER&GRINDER XBIG $ 1S C0 RIXX SFMMTOR I MQILY Ina, $ EGGS BUILDER LEVEL -AC IX NIKON EMS $ $S CG PDIARY HAMMER EFIR, N'Ba ry53 $ Saw CEMENT ROD $ 1300 SANDBWTER UNn IWAFacce-ne5) Bills $ IISW CMIN LINK FENCE PAYEES .U6 5 SN SANNI IB]A $ ISW CHAIN SAW 16" IWCEUMS MAK') FUND $ SON SCISSOR LIFT Tf RFX 11385 5 IISW CHIPPINGGUN (N. SERN) a. $ 3SN SNORING NMBFR 3 "Yl3'.M H1MNKLaa,.e, .5 $ am CGY HAM OANU 1NB INN $ 3SN SNd1ING LUMNR 8 "X8 "XB DOMIIAE- FMCDUL M96 $ 3.00 CLEANING BALL MUDS 5 low SKILLMW (INC11EN5 BLADES) INS $ EO.N IMI A a.. /CHAIN NNE $ 1500 TAPMgCNINF iO.WILWMSpIIVITO3') OUT $ 1N.N COL=FIN"Ell 81833 $ 11500 TAR Poi NN 5 SDCD CPVCRRE VI.. INN $ 9000 TEST PLUG .1 $ ]am CONSTRURIOX 11.1 MN $ Can TEST PUMP aw M, DIED LB. SEAMIER YIMS $ 115W OPERA G PLATE S .B]8 $ TER pUM1 San . LMXERMOEXLED IK9M $ IB].OD CVTOFf /CHOPSAW INCLUDES BIADE51 .810 $ 53.00 ifSi EUMI il, PLNtwe DING $ LIS.Oa OfAD WRWXT TFSTN $ GA.N TEST IUMP FTUKKM Do. IW6&MI]) 5 N,N OEEINEATOM M]9 5 1.50 IESTINGTABEF BUD N $ U'.W ORIEL MONRI /3" M1] $ 3D00 }GROVE WRENCH - HAND- 3 /N "ORME OENXIy ..I $ AGo GRILL MOTOR 3/4 " M1, $ 3SPo TRAFFIC COIFS Nan $ 1.50 DPY ROOOVEN- PORTABLE MI, $ 35W TRA1L$R�IC IETESTOPACE(MOBILE) .6191 $ AN DUCT Ron "IS $ AT Do TRAN50- TNEOLITE .CALL j 3SN EMU WM FOT SEMYFR $ 6DN TMXCNBOX 6'X30' 11910 $ 3a.m iRMLER )MERCURY VA➢OR WMi51 $ IISN TMNC.11 DRIP 11903 $ 130w FILM FLOW LIMA 1&11 5 3SN TMNCH NB]] $ AW FUSION MACHINE IDI' M Y3N6 $ So an LACRISCMW TRENCXIE.CX(RMEER K) M)6 $ 1DW ENE AII"MMehoy iERIU .1095 $2. GO V[PMFN VALE BEHIND .11E $ 11500 GENERATOR GENERATOR USI ) YIE] aGo $ SSN FRINGE 1]SKW 1.'I $ 2500 VIBMTORPUR VIBRATOR .W $ ES.E HGi TRACER H MAT FAVOR $ 3SN WATMEHOSE S 31 M93 $ 9100 $ 1500 NGTfA IBIS RED, $ l5N /2- a WATERNDH 11 /l "X50' M]I $ fi.GO HOLIDAY DSTARC NO3B S 1500 WgTFRH05[31 /5X50' .123 $ )E XYOMUDU STAR CUTTER X069 $ 10000 WgTCIPLMI FITUble $ 55W IMPACT GUN ]" X019 5 350D WgTFP PVMp 3 "PaIiNC OAI2 M831 $ E.N MPAO GVX I/l" all $ ]500 WFEDEATER .116 $ 50.E IMPALE GUN) /N" MI3 $ 30.00 WELDING a.", 56'X LVFMMFI Mal 5 S.E IMPARWRENCX 1" MN 5 35W WET /DRY VACUUM ..1 $ TOE ,LODM M]S $ low WNALEMXYDMUUE 11891 5 3N,w USER LEVEL B S ]S .N WINCH W TON IGRUNCO) N6MI $ NON IGF BUOWI. YNE $ ISN WM AND XAEWT EQUIPMENT LIGHT STAFF, IMa $ 1500 AWAY GAS MONO. p35 MAN HOLE a= N WIT. NMF B' AND j IS00 MULa"EAS KnOM /PTO MI. $ 105E M ANNOLF&%VF R WIM HOSE II" $ SS.W SUPPLIED AIR RFSPEMTOR NET NOT PAVFMEXTBMARER /IACREMI MIS] $ 35W ESCAPE AIR PqG 5 125M PIPE BfNCER S "GREENLfF ISMS $ 1. Go HIS FaI M18 $ 3510 PIPE B[NMR I "GREENLfF NN6 $ 1N.N HADARTSUIT -TYVEK M30 $ 15W IIPE BENMq MACM INF 6 IV IPW3fhce5 /ITnBAL Nr yYI IIN3 5 <N.N NAIWiTMILEP M11 5 8.00 IIPE BFHMRSXOES /IN, BEXMR .1190 $1M5-0OWWLY RFSPOLUM APR- HALF]FEEMAIEDARTAGNINCI.I )NAB Mll $ lON $ PIPE CURER � MWID SOIL .1 5 1500 SCBA- SELECONTAINFD SN ME CURER LINKUP CUM, 16'.36" Mi9 5 a.a. SCMCVIINMR -DID, MI6 $ 55an MFCUREq LINEUP CDMP'I .SSl $ 15.00 NIPODWITNWINCH Ml] $ 551 PIIF LOGiOR YN3 A913 5 IE<A PIPE LOCATOR- MfTROTECH .,all $ 3500 $ 4D.OG N/O WINCH RETRIEVAL BOW. P I O. � M RSMML FLOTATION DEVICE MI19911 Man $ now $ sea FULL BODY HARNESS K1, 5 tan 11232 E Fwstonc Blvd., Norwalk, CA 90650 Phone: (562) 864 -6566 Fax: (562) 864 -6052 www,dotybros.com CA Lie. 273024 25G -8 AMENDMENT TO AGREEMENT FOR ON -CALL SERVICES THIS AMENDMENT TO AGREEMENT is entered into on August 5, 2013, by and between Paulus Engineering, Inc. ( "Contractor "), and the City of Santa Ana ("City")- RECITALS: A. The parties entered into that certain Agreement A- 2008 -214, dated August 18, 2008, (hereinafter "said Agreement') by which Contractor has provided on -call emergency water and sewer services. B. Said Agreement has previously been amended to extend the term and revise the fee schedule. C. In accordance with the terms and conditions of said Agreement, the parties wish to extend the term of said Agreement, revise the applicable fee schedule and increase compensation to provide funding for on -call services during the extended term. 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: Section 2.a, TERM OF AGREEMENT, shall be amended to extend the term for an additional one -year period, through August 31, 2014. 2. Section 6.a., COMPENSATION AND PAYMENT, shall be amended to increase compensation to make available a maximum amount of $150,000 to pay for on -call emergency water and sewer services provided during the extended term from September 1, 2013 through August 31, 2014. 3. Pursuant to Section 6.b., COMPENSATION AND PAYMENT, commencing September 1, 2013, City agrees to pay and Contractor shall provide services at the rates and charges set forth in Exhibit B -1, attached hereto. 4. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. /// /// EXHIBIT 2 25G -9 IN WITNESS WHEREOF, the parties hereto have executed this Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ Interim Executive Director Public Works Agency 25G -10 CITY OF SANTA ANA KEVIN O'ROURKE Interim City Manager PAULUS ENGINEERING, INC. JASON PAULUS President Paulus Engineering, Inc. DMESMATERILL"I'DOMEET TM No Cualmw. qqw, W ANMlue%'. W W. Da roman: OTY LABOR qE0 Ort NN PEG Mid art qEG TOTAL ort TOTAL der 3 f EB.DO S 87 $ - RWeyN loom 3 S 62.00 3 0Do $ $ $ 80.00 3 3'Puraa l re S 77.00 wOD IOB.m low $ Tp N Taarmul Day 12.00 E $ $ s - $ - $ Raanan 3 $ 80.30 E IA 45 120.15 $ - $ S�peMnwntlpM 65M $ $ S &5.00 3 11150 $ - § 150.00 i W. WWI. EmaareN Day E S TMnnAm SONd Day III* U, ad % 13% T,W. eanaadaa Day $ TOTAL $ $ OTT BARE EQUIPMENT AMT. UWT TOTAL Day CN us E.aeyawr NR S 110.00 3 - S C.IDI D.Wl -I MR $ 35 DO 3 3 1500 S Delo()E.- MR E INN $ - Canp Ilon WTeM HR 3 35 DO 3 - UNOWMelLOeUS MR $ 120 DO S - UW Wheel Loader MR $ loom S - L -1Md7r 1d rader MR $ Dow 3 Gd Baftive HR 3 nDo i - iWtl'm WeeM n W W> HR S 25 DO E - GtBWN— Heded�nenb MR 3 155.00 E - BoonTlud HR 3 am $ - SNNrTsaol HR f 7500 S - 6WlaaIDYnpTnck MR i QGO $ - VAMWTn MR E 55.00 $ - Cr Trek wllh T.I. HR $ 38.00 $ - DelilsyTUak HR S DODO $ - VadaPUapTUar HR s 135.00 s - ShinaML4 ,aacM1 Dp $ 1100 3 T.h Raba -WmdI Day 3 12M $ TN"', BIWtl Day S loom 3 Ma*oM Shield Day S 80.00 3 3'Puraa l re NY $ low $ Guwraw Day $ 0000 E 0 Conpraaaa Day 3 125M $ AY Blom Day 3 65M $ Cmflrcd Spare EMAI. Day S 150.00 i W. WWI. EmaareN Day $ 85.00 3 TMnnAm SONd Day $ INN 3 T,W. eanaadaa Day $ 2.00 $ TsR CorcWe0iWelaa Day $ 2.00 E AC RaOY Day S 175DO $ VIA BMW VMlalny Raw NY S III S MNd Small Tads NY 3 1500 S Sugelal $ Mal, up% 15% $ - TOTAL S AYT MATERIAL, WBCONTgACi MISC Unk lY1TAL 3 3 MM1,U, $ .M Up % 15% s a Taut : TOTALWORKBNEET $ EXHIBIT B -1 FEESCHEDULE 25G -11 25G -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AMENDMENT TO AGREEMENT WITH URS CORPORATION FOR ENGINEERING SERVICES CI NAGER RECOMMENDED ACTION CLERK OF COUkIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Second Amendment to the Agreement with URS Corporation, subject to non - substantive changes approved by the City Manager and City Attorney, to provide engineering services for the Santa Ana Delhi Channel Diversion Project in the amount of $340,000 plus a contingency of $25,000, for a total agreement not to exceed $565,000, and to extend the term of the agreement to August 30, 2014. DISCUSSION The City was recently awarded $2.5 million for the construction and construction engineering phases of the Santa Ana Delhi Channel Diversion Project. However, the design engineering phase must be completed by the June 30, 2014, construction contract award deadline. The recommended action will allow URS Corporation to complete the project design so the grant funds may be used to construct the improvements. On August 18, 2008, the City Council awarded a contract to URS Corporation (Exhibit 1) to provide engineering, architectural, and landscaping services on an on -call basis, for an amount not to exceed $200,000. On September 10, 2012, the Public Works Agency (PWA) amended the agreement (Exhibit 2), redirecting $65,000 of the contract amount for the preparation of a feasibility report for the Santa Ana Delhi Channel Diversion Project. The Santa Ana Delhi Channel Diversion Project will address the water quality requirements of urban surface runoff in accordance with the Orange County MS4 Permit and the Total Maximum Daily Load (TMDL) for selenium discharge to the Upper Newport Bay. The primary impetus of developing this diversion system is to address the current Selenium TMDL and also to address potential future TMDLs, including bacteria, trash, toxics, metals, and nutrients. The diversion system has the ability to essentially eliminate discharges to the Upper Newport Bay and, therefore, eliminate the threat of pollutants entering the receiving waters. 25H -1 Amendment to Agreement with URS Corporation for Engineering Services August 5, 2013 Page 2 In order for the City to receive the recently awarded $2.5 million OCTA Measure M2 Environmental Cleanup Program grant for construction, the design engineering phase must be completed, including obtaining environmental and encroachment permits, and the construction contract awarded by June 30, 2014. URS Corporation is ready to complete final construction documents, obtain the necessary permits, and complete all tasks related to the design phase (Exhibit 3). The total project delivery cost is estimated to be $4.2 million; however, at this time, only the design engineering funding is being requested. When the project is ready for construction, City staff will identify the funding sources to fund construction. Staff is seeking additional grant funds to minimize or eliminate the impact on the Federal Clean Water Protection Fund. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Federal Clean Water Protection Fund (Account 05717640 - 62300). APPROVED AS TO FUNDS AND ACCOUNTS: Edwin "William" )5a z, P.E. Francisco Gutierrez Acting Executive Director Executive Director Public Works Agency Finance & Management Services Agency RG /CC Exhibit: 1. Consultant Agreement A- 2008 -217 2. First Amendment to Agreement A- 2008 - 217 -01 3. URS Engineering Services Santa Ana Delhi Channel Diversion Proposal 4. Second Amendment to Agreement 25H -2 INSURANCE ON FILE WORK MAY PROCEED UNTIL INSURANCE EXPIRES 5 1 -cal CLERK OF COUNOII, DATES lo-1 -()G CONSULTANT AGREEMENT A- 2008 -2V PLO i�am;ci �YKa na ,1, THIS AGREEMENT, made and entered into this 18a' day of August, 2008 by and between URS Corporation dba URS Corporation Americas, a Nevada 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 and landscaping services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform engineering and landscape architecture services on an on -call basis, as set forth in its Proposal dated May 22, 2008, attached as Exhibit A to this Agreement, and incorporated by reference. 2. DELIVERY OF WORK PRODUCT - OWNERSHIP Consultant warrants and represents that it has the absolute right to enter into and perform this Agreement and will perform its obligations hereunder in accordance with standards and practices prevailing in the industry. Consultant's contribution to the Project, including works to be produced by Consultant hereunder, will not infringe or misappropriate the proprietary or personal rights of any third person or party. Consultant shall deliver to City any work product which results from the services provided. Said work product shall be submitted in hard copy and produced in a form compatible with City's information systems, as agreed between the Project Manager and Consultant. In regard to all copyrightable material produced as a deliverable under this Agreement, including but not limited to books, reports, plans, photographs, drawings, films, recordings, videotapes, and computer programs, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that (a) other such material may not be copyrighted without prior review from the City, and (b) the authors of all such material, whether Exhibit 1 25H -3 copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Consultant, a royalty-free, nonexclusive, irrevocable license throughout the world for governmental purposes to disclose, publish, translate, reproduce, and use such materials. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000.00 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. 4. TERM This Agreement shall commence on the date first written above and terminate on expenditure of allocated funds, unless terminated earlier in accordance with Section 13, below. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: 25H -4 a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: "single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit C upon execution of this Agreement 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 $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: (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 canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Consultant 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. 25H -5 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from the negligence, recklessness or willful misconduct of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the negligence, recklessness or willful misconduct of Consultant 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. S. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council 25H -6 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 -36) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647 -5635 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 Consultant: URS Corporation 2020 East First Street, Suite 400 Santa Ana, CA 92705 telefacsimile (714) 667 -7174 Attn: Jeff Chapman, P.E. 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. 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 25H -7 the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any parry, or anyone acting on behalf of any party, which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. However, any use of unfinished work product shall be at City's sole risk. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 14. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall he 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 he brought or arise out of, in connection with or by reason of this Agreement. 25H -8 16. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the 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: PATRICIA E. HEAL Clerk of the Council APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Laur heedy Assistant City Attorney CITY OF SANTA ANA ?DAVID N. RE I City Manager URS CORPORATION JEFF WPMAN Principal -in- Charge 25H -9 EXHIBIT A SCOPE OF SERVICES 25H -10 0 May 22, 2008 Souri Amirani Deputy City Engineer City of Santa Ana Public Works Agency 20 Civic Center Plaza - 4th Floor Santa Ana, California 92702 Subject: On-Call Contract to Provide Engineering and Landscaping Design Services Dear Ms. Amirani: URS Corporation (URS) is pleased to present the enclosed proposal to provide on-call engineering and landscaping design services to the City of Santa Ana. Our proposal has been prepared in accordance with your Request for Proposal dated May 06, 2008, URS has extensive experience providing on.call services to titles and other agencies throughout Southern California, including prior experience managing this particular contract on two separate occasions for the City of Santa Ana. We hope to expand on our prior experience with the City over this next contract term As a member of the Santa Ana community for more than 32 years, URS is committed to serving the City and our community by providing timely, hlghquality design services. The aesthetics and safety of the City's transportation infrastructure is a critical element in support of the City's mission and the services it provides to its residents. We recognize that ongoing improvements of the City's infrastructure and creating elements of a live work -play environment throughout the City can be better accomplished if every team member involved is highly experienced and committed to performing to their highest potential. Furthermore, as you know, our Santa Ana office is located only a couple miles from City headquarters; therefore, we are able to respond to casks quickly and effectively, URS has assembled a local team of highly qualified professionals that is not only experienced in the management of on- call contracts, but brings a team that is both available and flexible to respond to any assignment no matter how small or large the task. The URS Team offers the City of Santa Ana the following distinct benefits: ► Project Manager • We offer the City an available and experienced Project Manager for this assignment; Jeff Mills has over 13 years of experience in the management, design and planning of public works improvement projects involving arterial streets, parking facilities, site development, parks and utilities. His prior experience on projects such as the Edinger Avenue street improvements and the Cornerstone Village (Minnie Street) improvements makes him particularly well suited to lead our team. His local presence and familiarity with City of Santa Ana staff and standards will provide the City with the most cost-effective and accessible management for your on-call service needs. URS Corporation 2020 East First Street, Suite 400 Santa Am, CA 92705 Tel: 714.935.6998 �- Fax: 714.667.7147 www.urecorp.corn 25H -11 Souri Amirani City of Santa Ana May 22, 2008 Page 2 ► Locality and Past Performance • As citizens of Santa Ana, we are invested in your success. We understand the sensitivity of neighborhood preservation, particularly downtown and in the surrounding areas. We are thoroughly familiar with the ongoing traffic issues on local streets and roads. We currently have staff working on the Grand Avenue Widening and have worked with you on several other projects recently. As you see, we have a particular sensitivity to community issues such as neighborhood preservation and traffic - related matters and want to see the City grow and succeed. Our location, coupled with our commitment to you, makes us particularly responsive to your needs. ► Work History with Subconsultants • Tatsumi and Partners, located only a few minutes from our offices, will support our efforts with landscaping and park renovation design expertise. Coast Surveying (Coast) is another local firm who will support our efforts with survey and right-of-way expertise, and with whom we also have a longstanding working relationship. Moreover, Coast has provided survey and right-of-way services on several recent projects. ► Cost Efficiency. Based upon our past experience on similar projects and our intimate knowledge of the City s procedures, we can effectively reduce design time and approval processing time, thereby reducing costs. In addition, our vast street improvement, landscaping design and construction experience produces cost effective designs that are buildable. With our ream's knowledge and experience, we have consistently saved the City money by devising cosaeffective approaches that solve problems while staying on schedule, just as we are with the City's Grand Avenue project currently We have included three copies of our Fee Schedule and Attachment "A" in a sealed envelope along with our proposal. In addition, as noted in the RFP, the only person, persons, company or parties interested in the proposal as principals, are named herein; this proposal is made without collusion with any other person, persons, company or parties submitting a proposal; it is in all respects fair and in good faith without collusion or fraud, and the signer of the proposal has full authority to bind the principal proposer. We feel our commitment to Santa Ana is unmatched because as one of the largest professional employers in Santa Ana, we clearly recognize that if you do not succeed, we do not succeed. We are truly invested in your success. The URS team understands the procedures required to manage and complete on call design assignments. We look forward to working with you and your staff. Sincerely, URS Corporation I V J' Jeff Chapman, IF Jeff 4ills, PE Principal in-Charge Project Manager 25H -12 TABLE OF Ll QUALIFICATIONS ~,,~~~~~~~~~~~~,~~---'—^—^.~~~~^^—~^^^^.--~^-~~~~~~~^i |J PAST OxxEBDBvcs ...................................................................................................................................................... l 1.3 SURCONsuLTANr pmumerm ....................................................................................................................................... 4 1.4 REFERENCES ............................................................................................................................................................... 5 2.0 WORK 5 2.1 Muw\sEmsnr PLAN ................................................ ^--^^~^.~-^~~~~~~^^^.—'`—'',.......................... 5 I% UTILITY Cmme^NY RESEARCH AND DATA COLLECTION ............................................................................................ 5 23 FmmS MAPPING ....................................................................................... ............................ 5 2.4 F0Am INVESTIGATIONS ............................................................................................................................ ....... ~~~6 2.5 C*7momTmnvwnTaAppLicAmcaAaoycos8CrryQs»AmnwowTs .......................................................................... 6 2.6 CONCEPTUAL DoniGv/Ra,00vvMEszrvo(s) .............................................................................................................. * %J DRArnFINAL PLANS, 3cmcoICATonmm AND 8ormxsrm/RevmsnMEEoz*m(m) ................................................ ........... 6 %.K CONSTRUCTION Bumom^oAsamxamos ................. .............................................................. ...................................... 7 2.9 CONSTRUCTION ENGINEERING SERVICES ................................................................................................................... 7 2.18 FINAL AS-BUILT DRAWINGS ..................................................... ................................................................................ 7 3.0 STAFFING .~°.°°^°°°^.."°..°°~.. ................................................ ~"���� ........... °...°°°°�,°�°�°�°� 3.1 Omom^uo^TunN CHART ................................................................ . ............................. ............................................ 7 32 Dz*wvBiwnm^aHos ................................................................................................ .................................................. 8 4.0 0UBCONSVL%AyAT0 ............................................................. ^ ....... °. ..................................... ~.°^°,, ...... V3 4.1 COAST SURVEYING ............................. ....... .... ........................................................................................................ l3 LIST OF APPENDICES Appendix A.- Certification of Non-Discrimination by Consultants ���U� *��U���U3 1.0 Organization and Credentials 1.1 Qualifications URS is a member of the Santa Ana business community and wholeheartedly supports the City of Santa Ana's Public Work Department in their efforts to provide quality services and enhance the safety, livability, and prosperity of our community. Clearly, the aesthetics and safety of the transportation infrastructure is one of the most important elements in satisfying this mission. We at URS enjoy the benefits of this objective in our daily commutes to the office and, as such, have a personal stake in maintaining and enhancing the streets and highways of the City. Our presence in Santa Ana since 1973 has demonstrated our commitment to the City and its continued prosperity. As one of the largest engineering firths in the world, employing more than 55,000 employees worldwide, we offer the City the strength and depth of these resources through the 400+ staff in out Santa Ana office. In particular, to address the requirements of this contract, we have the resources to provide ready solutions to all of the City's engineering and landscaping design needs. Our Santa Ana office alone has the capabilities to perform all aspects of the anticipated engineering design services. Projects resulting from the on-call contract will be managed and staffed from this office, just minutes away from the Civic Center. The resources available to the City include individuals dedicated to providing the highest quality of engineering services in a responsive manner. These services include the following engineering and design elements: ► Sheet improvements ► Architectural and landscaping ► Traffic studies and design ► Construction management and inspection ► Utility research and right-of�way engineering ► Structural engineering ► Geotechnical engineering and pavement design ► MechanicaVelectrical engineering ► Environmental planning, compliance and permitting URS provides a full range of consulting services on public works, transportation, airport, marine, residential, commercial and industrial projects throughout southern California. We have successfully managed and executed countless projects involving difficult technical constraints and tight time schedules. For instance, URS is currently working on the CEQA and NEPA compliant documentation for your proposed widening of Grand Avenue between First Street and Fourth Street In this effort, we developed a cost-effective approach that saved you time and money. Our services begin at the conceptual stage and continue through design and construction administration for complete project implementation. Adherence to budget and commitment to schedules are key elements in all our engineering efforts. In addition to URS' qualifications and past experience noted in this section, further information on Coast Surveying and Tatsumi and Partners (both are minority business enterprises) can be found in Section 4.0 Subconsukants. 1.2 Past Experience We have successfully demonstrated high -quality support to the City through your previous on-call engineering and projects. In performance of these contracts, we employed our organizational and procedural policies to ensure quality engineering services. We provide the best service, attention to detail, strict adherence to schedule requirements, and commitment to the City's goals. Out objective on every assignment is to offer the most cost -effective design that meets the project needs within the planned schedule and budget. On-call professional engineering design services require unique capabilities. To be successful, the consultant must have localdesign experience to be thoroughly familiar with required design criteria and processing standards of the City. We know that oncaU services require us to be easily accessible and promptly responsive to a potentially wide range of assignments that may need concurrent management and design work- simultaneous efforts with parallel schedules require carefully planned management approaches. 25H -14 URS has successfully completed many projects within the City of Santa Ana and for the City over the past decades. The projects listed below are examples of the considerable experience we have and highlight our staffs involvement proposed for this contract. Project Manager. Jeff Chapman, PE Geu *lc Area Project Engineer: Jeff Mills, PE; Stephanie Hillebiand, PE 7AsalgrW w1b CRY Staff Between 1993 thro ugh 1995 and 2002 through 2004, URS provided Gl9 Design, Consttidan and Procedures similar des gn services for the Ciry of Santa Ana on an onrall basis. tar „ Projects successfully completed as part of that contract included: by � Pes Cent QA,, "" ► Edinger Avenue Reconstruction/Resurfacingi Santa Ana, CA - URS performed pavement analysis, geotechnical investigation and prepared the plans, specifications and estimates (PS &E) for rehabilitation of Edinger Avenue from Magnolia Avenue to Main Street. Work included topographic survey, pavement reconstruction/resurfacing, replacement/installation of curbs, gutters, sidewalks, driveways, bus pads, wheelchair ramps and traffic detector loops. In addition, utility manholes and valve covers were adjusted to grade and traffic striping plans were prepared. All improvements were incorporated to keep the total construction costs within the limits of available City funds. ► MS4 NPDES Permit Support; Santa Ana, CA - URS developed and prioritized an inventory of industrial and commercial facilities within the City's jurisdiction as required by the City's municipal separate storm sewer system (MS4) NPDFS permit. "Windshield surveys" were conducted for more than 1,000 facilities. Inspections were conducted for more than 640 facilities and reports were prepared to summarize the results. Enforcement documentation was prepared for the City, including 125 notifications to the Santa Ana Regional Water Quality Control Board for facilities that were potentially in violation of the General Permit for Storm Water Discharges provided general storm water program compliance assistance, including review of model compliance programs developed by the County of Orange. ► City of Santa Ann Public Works Agency OtrSite Assignmenq Santa Ana, CA - URS provided a project engineer (Stephanie Hillebrand) to work on -cite in the City's engineering department. Stephanie provided services ranging from engineering/CADD support to cost estimating on various City PS&E projects. Projects included a street widening, pavement rehabilitation and overlay and aesthetic improvements for a period of nearly half a year. In addition, Stephanie provided InRoads (engineering software) support to City design engineers. ► Second Street Reconstruction; Santa Ana, CA - URS prepared PS &E for the complete reconstruction of Second Street in downtown Santa Ana. Work included reprofiling of the street grades, utility relocations, storm drain improvements, sidewalks, curbs, gutters and landscape enhancements. ► Edinger Avenue landscaping[ Santa Ana, CA - The project consisted of median improvements involving planting, irrigation and accent paving along the arterial. The design focused on the preservation of existing trees and the highlighting of neighborhood entries. ► Intersection Signalization Improvement Pojecp Santa Ana, CA - The project consisted of the addition of protected lefttum pockets and signalized intersection improvements throughout the City. Restriping, new signal equipment and carefully planned traffic control were the most important elements of the projects. 25H -15 Project Manager. Jeff Chapman, PE ± - Project Engineer. Jeff Mills, PE URS prepared schematic, preliminary and final design documents for street, r'lw�tothis Gonevue6on landscaping and parking lot rehabilitation in the newly appointed me "Cornerstone Village" community. The project scope included M>eracdon Key Personnel reconfiguration of Minnie Street to one -way, landscaping enhancement, y pavement overlay and reconstruction, and parking lot renovation. Special ect aesthetic considerations were critical components of this improvement project, which included the addition of landscaped islands, entry pergola, community signage /monument, new street lights and enhanced paving throughout the project. This project was a tremendous success for the City and may provide a prototype for future neighborhood enhancement projects throughout the City. The project received the 2002 Project of the Year award from the Southern California Chapter of the American Public Works Association. Both the schematic and design phases involved extensive local resident, property owner and City agency collaboration. Jeff Chapman and Jeff Mills demonstrated their ability to explore and resolve issues that arose on the project; particularly with respect to building consensus among the variety of stakeholders involved in the project by identifying compromises that allowed the project to continue moving forward. Project Engineer: Jeff Chapman, PE ephic Area Xerox Centre, located near the Santa Ana and Costa Mesa freeways, is a high a`rdy with Ciy Desigi, Construction rise office development consisting of office towers and parking structures. Speeikahons and Procedures URS prepared designs for improvements to the local streets, sewer, water, and Frojecti; Pedonned by Key Ps storm drain facilities to accommodate the high density, lbacre development. Assigned ro the Conte In the preliminary phases of the project, URS provided grading, utility and storm drainage studies, an ALTA surrey and a tentative parcel map. Subsequently, street and utility improvement plans, landscaping plans and final parcel maps were prepared. The project included the design of an extension of Cabrillo Park Drive and widening and reconstruction of First and Fourth Streets. Other design elements included storm drain, water and sewer facilities, retaining wall design, landscape and hardscape improvements and traffic signal design and modifications. Construction staging and traffic handling plans and specifications were developed to maintain traffic during construction. URS also assisted during the bidding, contract award and construction phases of the project. Project Manager. Jeff Chapman, PE b Project Pdrtcipd: Jeff Chapman, PE po Project Engineer: Stephanie Hlliebrand, PE WIN Traffic Engineer: Doug Smith, PE, TE ritiiv§ Stakeholder Iniaraction URS is currently providing as-needed engineering design services to the County of Riverside Transportation Department. Jeff Mills is the Project Manager and the following projects represent recent task orders received as part of this effort: ► Clinton Keith Road Wideningi Riverside, CA -Completing the planning, engineering and environmental studies and initiating the PS&E for the widening of a two-mile segment of Clinton Keith Road. The work includes layouts/profiles, intersection design, drainage design, utility design, and traffic/electrical design. 25H -16 ► De portola Road Reconstruction; Riverside, CA - Provided preliminary engineering, environmental studies, and PS &E services for two 2-mile pavement reconstruction projects. The work included highway geometries, preliminary and final design, intersection design, grading, pavement MEOW design, and drainage design. The drainage design included hydrologic g wlh CAy Personnel and hydraulic analysis to size cross culverts. Environmental studies ✓ projects Petloimed by Key Pamorerai . included wetlands delineations and biological surveys. A�Igned to this canttaet xa ► Glenoaks Road Reconstruction; Riverside, CA - Provided preliminary engineering, environmental studies, and PS &E services for a 2.7-mile pavement reconstruction project. The work included highway geometries, preliminary and final design, intersection design, grading, pavement design, and drainage design. URS also performed the field survey and prepared the biological resources report. Traffic Engineer: Noel Cavil, PE The City of Pasadena retained URS to prepare channelization plans to W. tsoreiel improve the segment of South El Molino Avenue between California Boulevard and Oak Knoll Circle to reduce traffic speed and improve lEngtireering hnprommits roadway safety. Key project tasks included the preparation of signing and striping plans to be used in the construction of physical improvements aimed at calming traffic along this street. Additional civil engineering improvements, such as curb and gutter realignment, grading and drainage improvements associated with the final design were also included to match with the required street profile to facilitate the flow of street runoff. Project Manager. Jeff Chapman, PE �°iie gh nhact Project Engineer Jeff Mills, PE Pro)ecis Perfomred by Key Pwomel This on-call civil engineering design contract was completed for the U.S. Asst W to tide Cana -' Navy and involved a wide variety of technical assignments throughout southern California. Over a span of two years, 16 separate projects were completed on schedule and within budget. Due to the volume of work required and the aggressive nature of several project schedules, URS mobilized up to three design teams concurrently to meet the client's needs, Projects completed under this contract included parking lot reconstruction, roadway reconstruction and/or overlay repairs, drainage improvements, design of a native tree park, airfield pavement repairs, sewer system studies, retaining walls, landscaping restoration, landslide repairs, utility improvements and minor structural and architectural improvement projects. 1.3 Subconsultant Projects Coast performed survey research at the City of Santa Ana and the County 7=' `"" of Orange for horizontal and vertical control, centerline ties, right-of-way Performed by Key Pereonnel , maps, record maps, and any other pertinent information. Additionally, Eo Mie n Coast placed aerial photogrammetric control targets on the ground and determined appropriate horizontal and vertical control positions upon them and prepared aerial photogrammetric mapping and performed design surveys. Tatsumi and Partners was the landscape architectural firm on the engineering design team that won an on -call contract with the City of Santa Ana. As part of that on -call contract, Tatsumi and Partners completed two park renovation/upgrade PS &E packages: Santiago Park and Morrison Park. Tatsumi and Partners was the landscape ` architectural subconsultant assigned to design the renovation of the park As part of the new safety regulations 25H -17 and ADA upgrades, new play equipment and site furnishings were added, landscaping was restored and enhanced, and the park's existing irrigation system was reconfigured and rehabilitated. 1.4 References The staff members proposed for this court act have excellent references. We encourage the City to contact the references to get a first hand account of the quality of service URS provides. Project P.E. 744- 2.0 Work Plan Cornerstone Village City of Santa Ana Public Works Agency Souri Amitani 714.647.5640 Riverside County On-Call Transportation Services Transportation Department URS has enjoyed an excellent working relationship with the City and its staff through our prior contracts, including the on-call engineering and landscaping services contract. Through these projects, we have become thoroughly familiar with the City's design and construction specifications and procedures. As such, our work plans are written to be in line with the City's expectations and are based on our considerable engineering experience. This section outlines the steps and progression of tasks anticipated for a typical public works improvement project. This typical work plan would be modified and tailored to each specific assignment. 2.1 Management Plan The first task for any assignment is the development of a project - specific management plan. The management plan consists of a specific scope of work, a detailed project schedule and budget, and a quality control plan. With a solid scope and schedule, the project can be effectively controlled by maintaining the budget and completing the work on, or prior to, required deadlines. Other features of the management plan include project design criteria and constraints; project contact names, addresses, telephone numbers and email addresses; a uniform filing system for the project and a copy of the contract. 2.2 Utility Company Research and Data Collection Thorough data collection early in the project initiation stages saves valuable time throughout the remaining design phases of the project. Typical reference documents to be gathered might include as -built plans, previous studies by the City or others, general plan information, standard plats, and design standards. These are all utilized to lay the groundwork for the base sheets on which the designs are completed. In addition, URS will contact utility agencies to obtain their record drawings of any facilities within the project area. Existing utility information obtained through the record search will be incorporated into the plan as part of a base map developed in Microstation. 2.3 Field Survey/Topographic Mapping Most projects require design surveys to fit the improvements into the existing conditions of a site. Again, up front field surveys can save design time by providing accurate data on which to base geometric calculations and tie -in details at the join points. To minimize toss, it is important to carefully plan what survey information is required to complete the designs prior to sending the survey party into the field; this allows the survey party to focus their time on the critical areas of the site. Any survey /mapping data will be in Microstation format to facilitate is use in the design of the project. 25H -18 2.4 Field Investigations One of the most important steps in the design process is the site investigation or reconnaissance. Most roadway and landscaping rehabilitation or reconstruction projects have a multitude of existing constraints and controls that must be identified and accommodated by the improvement designs. The URS Team makes it a point to visit each project site early and often in the project development process and throughout the project's schedule to maintain a clear understanding of the physical environment into which the new improvements must mesh. Many of the street improvement and paving projects anticipated require careful coordination with the field conditions, where each and every detail can be identified as it actually exists. Field surveys and topographic mapping only give the designer a twodimensional picture of the project site. By walking through the site, observing and meeting the users of the project and interacting with the existing elements, the designer can produce plans and specifications that will be buildable and are not prone to change orders by the contractor due to differing site conditions. Each member of the design team will visit the project sites several times throughout each project. 2.5 Coordination with Applicable Agencies/City Departments Coordination with the reviewing agencies is critical to the success of every project. We will schedule a kick-off meeting with all of the participating City departments and outside agencies with an interest in the project Maintenance staff often have important insight as to what works and what does not in a certain location. Also, each department has its own special interests and design preferences and it is imperative to discuss these items early in the project schedule. This avoids misunderstandings later on in the process that could cause costly delays or develop into fatal flaws. 2.6 Conceptual Design/Review Meeting(s) Even the smallest project will benefit from an initial conceptual design that is reviewed by the project ream. The conceptual design identifies all the critical parameters of the project. Projects that involve a significant paving effort always have several design options available at differing costs. The conceptual study will include valueengineering activities to select the most cost - effective design solutions. A conceptual cost estimate is developed to assist the City with funding and programming of the project's improvements. Impacts of the project can be identified in the conceptual phase. These impacts may require mitigation measures that should be factored into the project's schedule and cost estimates. 2.7 DraltlFinal Plans, Specifications and Estimate/Review Meeting(s) The draft and final plans will be detailed based on the conceptual designs completed in the previous stage. At this point, all of the foul tie ins, derails, calculations and bidding elements are added to the drawings. The specifications CRT Or WITA ANA ruuue Wwu •." Iwo®: are prepared at this stage, completely defining all of the work required. Final estimates are then developed from the plans and specifications. The plans and specifications will be crossrefcrenced to ensure that each item to be bid on the plans has appropriate measurement and payment clauses in the specifications. All drawings will be prepared using the Microstation CADD program and will utilize the City's Microstation Interagency CADD Standards. Approximately 75% of URS' projects are done in Microstation; our vast experience with the program and also with the City's CADD standards will allow us to develop our plans in an expedited manner. Specifications will be prepared utilizing the City's boiler plate specifications and will be in Microsoft Word, 1 25H -19 Prior to submitting PS&Es to the City for review, URS will conduct internal quality control reviews to assure the correctness and quality of our products. An independent quality control review is typically performed by a registered civil engineer that is not specifically involved in the design of the project. URS will coordinate and, if necessary, meet with the various City departments during the review period to clarify any design issues to help facilitate the plan check process. After URS has received and reviewed the comments, we will meet again with the City staff to discuss and verify actions to address the review comments. 2.8 Construction Bidding Assistance To ensure that the project is financially successful, we must do everything possible to receive good bids from contractors. Primarily, this involves producing a complete set of plans and specifications. This may also involve the review and approval of any addenda and/or clarifications to the contract documents. We will also attend any pre, construction meetings with City staff and be available to answer any questions that may arise during the bid period. We will also be available to assist the City with evaluation of bids received to ensure that only responsive and responsible bidders will be considered for award of the construction contract. 2.9 Construction Engineering Services For most projects, we would propose to assist the City with the administration of the construction project. Since we are located so close to most of the projects, we will be immediately available to attend site visits or meetings as required. We will also have the opportunity to periodically observe the construction as it progresses and will report back to the City if any abnormal conditions are identified. 2,10 Final As-Built Drawings After the construction is complete, a final set of as-built drawings will be prepared from redline markups maintained by the contractor during construction. Asbuilt plans will be entered into the Microstation files and saved on a CD for delivery to the City. In addition, a signed set of reproducible, original a&-built drawings (mylars) will be submitted to the City. This allows the City to have a permanent record of the asbuilt conditions, as well as a convenient resource for performing future projects that expand on the constructed improvements. 3.0 Staffing The City is an important client to URS and we are committed to completing all projects on time and within budget. With UPS' and its subconsultants' large staff capabilities, we make the commitment that our team will be responsive and available for the project duration. Additional support staff can easily be made available, as needed, to support activities on this contract. As the Ptincipal -in- Charge, Jeff Chapman has the authority to direct all necessary resources for each assignment and to assure that the work is performed in the beat interest of the City. 3.1 Organization Chart URS has assembled a team of engineering professionals who are both experts in their respective fields and very knowledgeable regarding the City s standards and procedures. Though our Santa Ana office has a very large transportation group, we have selected a core group of individuals to perform work under this contract. All of the personnel shown on our organization chart work out of the Santa Ana office, have performed design and landscaping design services within the city limits, and the majority of them have worked on projects directly for the City. Additionally, all of the personnel is fully available for their role on this on-call contract We believe that the specific knowledge and understanding of Santa Ana that this group brings will streamline design, enhance communications, and strengthen the City's design capabilities. LFi -1`•' 25H -20 The organization chart provided on the following page illustrates this team and the lines of communication for project management. Doug Smith, PE, TE I Noel Casil, PE s Survy'mW of Way Ruel del Castillo, PLS (Coakftiv yiro 3,2 Staff Biographies Project Director ------------- Sourl Amirani, PE Jeff Chapman, PE Jeff Mills, PE Stephanie Hillebrend, PE s David Tatsumi, ASLA (falau�mi 3 PaaMm)) Shannon Willits, PE Bernard Echanow Michael Hynes, PE (iataumi & Pwhara) Geoftaw lEnginaning S&wW &fEngkowing Mike Smith, PE, GE Melad Hoene, PE Professional Civil EngineedCalifomie BS/Civil EnglnewingiUnhwstly of Kansas Jeff Mills is the right choice for Project Manager. He has 13 years of experience In civil engineering and project - management experience, particularly in the area of public works. He is frequently recognized by clients for his responsiveness and commitment. Recently, the City of Murrieta's Project Manager for the I. 215 /1_os Alamos Road PS &E stated, "The City was very please with Jeffs performance. He was responsive to our needs on the project and successfully coordinated interactions among City staff. 1 appreciate his attention to project details and his personal commitment to meeting project-deliverable milestones," Jeffs prior experience on the Cornerstone Village (Minnie Street) and other City projects makes him particularly well suited to lead our team. Some of Jeffs most relevant project experience follows: b. Cornerstone Village (Minnie Street) Improvements, Santa Ana, CA -Jeff was senior project engineer responsible for street improvement plans including: layouts, profiles, typical sections, construction details, parking lot plans and cost estimating. Developed a PS &E for this local street as part of a neighborhood improvement project. 25H -21 ► Clinton Keith Road Widening Project, Riverside County, CA -This project is in progress and consists of preparing the Project Report/Environmental Document (PA/ED) and the plans, PS&E to complete construction of this Riverside County arterial street widening. Jeff is the project manager and is responsible for the report development, including the Preliminary Engineering Report, drainage review, right-of, way /utility review, geotechnical review, specifications and cost estimates. Work was performed for Riverside County Transportation Department (RC,'TD). ► Mid Valley Parkway Improvements, Palm Desert, CA -Jeff was responsible for the development of PS&E for this high-capacity arterial. This project included preparing final construction documents for the roadway and grading improvements, existing channel lining improvements, and a detention basin. This project proposed to construct a fourlane roadway (on a new alignment) extending Mesquite Avenue across the Whitewater River and connecting to the existing Dinah Shore Drive dead end. ► PS&LE for improvement to various California facilities; Southwest Division Naval Facilities Engineering Command, CA - Jeff was responsible for PS &E for improvements to military facilities at various locations. The work included designs for drainage improvements using HEC12 design software, grading, earthwork, pavement reconstruction, oil/water collection system, fire waterline and landfill concrete cap. All designs conformed to Navy standards and guidelines. Profeufonal Civil EnginesriCallfomis BS/Civil FngiiteainglUnivereity of Washington, 11411111111 Jeff Chapman has two decades of civil engineering and project management experience, particularly in the area of public works improvements. In addition to being the project manager on the most recent on-call contract for the City, Jeff's projects have included road and highway planning and design, site design, utility design, grading and drainage and construction services for a wide variety of public works clients. Jeff has successfully managed multidisciplirtary project teams with simultaneous schedules meeting all of his clients' needs. A "han&ore approach to project oversight ensures that he maintains overall control of the entire project (technical quality, budget and schedule) and facilitates open communication with City staff so the work follows a team consensusbuilding approach. The following presents past relevant experience for Jeff: ► Edinger Avenue Reconstruction/Resurfacing, Santa Ana, CA - Project Manager responsible for preliminary and final design documents for the rehabilitation of Edinger Avenue from Magnolia Avenue to Main Street. Services included pavement analysis, geotechnical investigation and preparation of PS&E. Work included a topographic survey, pavement teconstruction/resurfacing, replacement/installation of curbs, gutters, sidewalks, driveways, wheel chair ramps and traffic detector loops. ► Cornerstone Village (Minnie /Standard Street) Improvements, Santa Ana, CA - Project Manager responsible for preliminary and final design documents for street and parking lot improvements, landscaping, fencing and lighting. Services included preliminary and final design for street and parking lot reconfiguration, landscaping, pavement rehabilitation, signing, pavement markings, utility and drainage considerations and special considerations of aesthetics. ► Xerox Centre, Santa Ana, CA - Project Engineer responsible for final engineering and site design for the 15- story office building complex. The project included the design of Cabrillo Park Drive; improvements and widening of First Street; installation of traffic signals; engineering and design of storm drain, water, and sewer facilities; site grading; and retaining wall design. ► Edinger Avenue Landscaping Improvements, Santa Ana, CA - Project Engineer responsible for the coordination of PS &Es for site design and landscaping improvements along Edinger Avenue between Bristol Street and Broadway Street. Improvements included mounded grading, hardscaped medians, turf and pine trees. The work was closely coordinated with City of Santa Ana staff to maintain consistency with surrounding streetscapes. Water points of connection were determined from City as-builts and by inspection in the field. The entire bid package was prepared to allow for the incorporation of a separate adjacent improvement project. 25H -22 Professional Civil EnylnesidCelifomia 11SXivil EnginssdngNniversity of California, IrAne Stephanie Hillebrand has 9 years of engineering experience and has been involved in a variety of roadway design projects where she has gained experience in street improvements, grading, drainage, utilities and the preparation of PS &E packages. She has extensive knowledge of state and the City's design standards through her work at the City's offices, where she performed as an extension of staff. Stephanie is thoroughly knowledgeable in Microstation, SelectCAD /Inroads, StormCAD, HEGRAS and WSP &W. Listed below are examples of past projects relevant w the scope of work anticipated for Stephanie: ► Edinger Avenue Reconstruction/Resurfacing, Santa Ana, CA - Design Engineer for the reconstruction of approximately one mile of a major city arterial. The project involved cold milling and resurfacing of the existing asphalt and affected side streets. Stephanie conducted several field reviews and prepared the layout, typical section and pavement delineation plans for construction, and cost estimates. ► City of Santa Ana Public Works Department, Santa Ana, CA - Provided engineering support in the Design Department on several City of Santa Ana street rehabilitation projects including street widening, pavement rehabilitation and overlay and aesthetic improvements. Duties included field reviews, from which necessary street improvements were determined and complete plans and cost estimates were developed. ► 1.5 Far North PS&E, Buena Park, CA - Design Engineer for widening approximately one mile of the 1.5 freeway. The project involved horizontal and vertical realignment of the existing freeway and ramps, as well as vertical realignment of local street overcrossings. Stephanie's specific involvement included layout sheets, typical sections, intersection details, construction details, quantities and cost estimates. ► Clinton Keith Road Widening Project, Riverside County, CA -This project is in progress and consists of preparing the PANED and the PS &E to complete construction of this Riverside County arterial street widening. Responsible for the preliminary engineering, drainage, grading and cost estimates. Work was performed for RCTD. Prohssional Civil Engineentalifomis meAI1fImnlvmslty of California, Irvine BSlavil EngltteeringlUniveralty of California, Irvine BA1EeonomleeNniversk of California, Irvine Mr. Willits has more than 17 years of experience in street and highway project development and construction. He has managed large scale, complex transportation projects and has successfully delivered these projects on schedule and within budget. He has served as project manager for design teams where he was responsible for preparing conceptual designs, project reports, final design, and specifications. Mr. Willits has led des*Auiki and designbid -build project teams and is well versed with construction interfaces and quality control/assurance processes. Through his experience on numerous planning and design projects involving state and local agencies, he is thoroughly familiar with the procedures for developing Project Approval and PS &E documents. ► Shoemaker Bridge Replacement PSR/PDS, Long Beach, CA - Shannon managed the development of this PSR and oversaw preliminary engineering tasks for the City of Long Beach. He worked closely with Caltrans to ensure that the PSR/PDS was approved within five months. Additionally, Shannon was involved in the development of multiple project documents, including the PEAR, SWDR, and ISA. ► Haven Avenue Grade Separation Project, Rancho Cucamonga, CA - Shannon served as the Project Manager for this $12 million, Metrolink grade separation in Rancho Cucamonga. Responsible for preliminary engineering, preparation of PR/ED, and PS&E. The project entails a rail over a depressed roadway. Key interfaces include the City of Rancho Cucamonga and SCRRA/Metrolink. 25H -23 Professional CW41 EnglneorlCalifomia BS/Civil EnglneerinWThe University of Mdboums, Austrdis Mr. Hynes has worked on a variety of civildesign projects including road design, hydrology studies; meteorological studies; site planning and development and is trained in the use of MicroStation J, luroads/SelectC-AD, and water resource engineering software including, WSPG-Water Surface Pressure Gradient Analysis Program, HEGRAS and SCOTmCAD. ► SR -22 Design Build Project, Orange County, CA - Design Engineer for train drainage facilities for the 11.5 -mile widening of SR -22 for OCTA. Major flood control drainage facilities affecting the freeway were identified and correspondence with local flood control agencies with hydrology analysis and reports were submitted. One major design completed was the Lewis Flood Channel, a 1.5 -mile, 12-ft wide Reinforced concrete box under the freeway. All design was completed with input from the contractor to minimize construction costs during each design phase. Michael also provided oversight for the completion of the project Storm Water Data Report. ► I.5 Gateway PS&E, Buena Park, CA - Lead Design Engineer for the roadway layouts and drainage design for a 2 -mile, lNane freeway for OCTA. Tasks included horizontal and vertical design for the freeway, four ramps and two local street overcrossings to Caltrans and ASHTO standards. Drainage design for these facilities, including a hydrology analysis for a pump, was also completed. Professional Civil EngfneerfCalliomis Professional Traffk Enginser/CalNomia BSlClvil, Environmental EnglneeringfUnivarsity of Rhode Island Doug Smith has 24 years of experience in transportation and traffic engineering including numerous highway and street improvement designs, ITS applications and traffic operations improvements, traffic impact analysis, parking analysis, design of more than 150 traffic signal systems, and the preparation of site plans and parking layouts for residential and commercial developments. He has also participated in the preparation of several conceptual design reports for highway and street improvement projects. Doug has extensive experience in computer applications in traffic and transportation engineering including Highway Capacity Manual Software and the use of TRANSYT 7F and PASSER II for analysis and timing of traffic signal systems. He has also directed the use of impact analysis models in the preparation of traffic impact studies. listed below are examples of past projects relevant to the scope of work anticipated for Doug: ► Valley View Street Feasibility Study, Buena Park, CA - Doug prepared the traffic analysis for arterial and intersection improvement plan along this critical City route including SYNCHRO signal timing analysis ► City of Irvine, Irvine, CA - Project Manager of tasks for the Irvine TMSOS, which included concept design of TMS elements, assistance in preparation of a concept design report, PS&E of CMS locations and preparation of a Signal Coordination Policies and Practices Report. ► City of Santa Ana, I5 /SR-55 Congestion Relief Corridor Project, Santa Ana, CA - Doug analyzed and designed a complete TOS for these arterial corridors including CCTV, CMS, HAR, Video Detection Systems and citywide fiber opric/copper wire communications. ► Brookhurst Street Fiber Trunk, City of Anaheim, CA - Doug was engineer of record on the Srookhurst Street Trunk Closure project in Anaheim. Project consisted of installation of three miles of fiber optic interconnect as part of an SlRfunded project to complete the City fiber optic loop. 25H -24 I1 Profeeakinal Civil Enginew/Celilomia BS/Civil EngineedngNnNersfty of Setgto Tama, Philippines Noel Casil has 22 years of civil and transportation engineering experience. He is actively involved in the field of traffic engineering, highway engineering and transportation planning. He has performed office and field engineering work including surveys, data collection, traffic signal timing utilizing PASSER II and TRANSYT 7 -F, signal timing, fine tuning of 170 controllers, traffic signal/detection system installation, cast estimates, ramp metering installation inspection, and design of freeway surveillance system. In addition, Noel has extensive experience in transportation planning projects including impact studies utilizing TRAFFIX and HCM software. He has also served as lead engineer for several parking demand studies. listed below are examples of past projects relevant to the scope of work anticipated for Noel: No City of Pasadena Traffic Calming Project, Pasadena, CA - Traffic Engineer responsible for preparing channelization plans for a segment of South El Mohno Avenue between California Boulevard and Oak Knoll Circle to reduce traffic speed and improve safety. Design included preparation of signing and striping plans as well as physical improvements m provide traffic calming. ► Caltraus District 11 OreCall Traffic Design, CA - Project Engineer under on -call Contract with Caltrans District 11 to perform traffic design services. URS completed 6 task orders (TOs) that were all on accelerated schedules. The TOs primarily included electrical design plans for roadway projects along state routes involving safety lighting and landscaping, including electrical service for irrigation control. ► Palmdale "On-Call" Signals, Palmdale, CA - Provided "On- Call" traffic engineering support to the City of Palmdale new signals and signal upgrade program. The traffic signal upgrade tasks included inventory of existing signal equipment, assessment of traffic signal operations and recommendations for traffic signal upgrades to mitigate identified traffic operational deficiencies. The new signals tasks included the collection of background traffic and accident data, traffic signal warrant analyses, traffic signal design and the preparation of signals plans and construction costs estimates. ► Multtjurisdtctional Smart Corridor at I5/Muirlands (Caltrans District 12, Cities of Mission Viejo and Lake Forrest), CA - Conducted field survey and assessment of existing traffic signal system along the study corridor. Identified roadway segments and intersection locations that require upgrades to achieve operational performance objectives. Assisted in the development of recommended measures including roadway segment monitoring and intersection advance loop placement and CCTV camera locations. Proheelond Civil EnglrowlCellfomis Professional Geotechnical Enginar/Celifomie MSIQeotahnicel EngineeringNnlverslty of Celifomia, Berkeley 91310vil EnginaringNniversity of Calitomla, Berkeley Mike Smith has 20 years of experience in geotechnical and earthquake engineering. His experience includes a wide range of projects including roadways, highways, pipelines, airports, commercial developments, and municipal buildings. Mike has provided field engineering support during construction and acted as project engineer for a wide range of projects, including roadways, bridges, embankments, reservoirs, basins, dams and canals. Representative experience is described below. ► SR-22 HOV lane Design -Build Project in Orange County, CA - Geotechnical Task Manager for the design - build project that consisted of widening 20 km of the existing SR 22. The addition of HOV and auxiliary lanes required widening or replacing 34 bridges and construction of 85 retaining walls /soundwalls. Geotechnical field work included performing 150 botings and 75 CPTs. Mike was responsible for preparing preliminary foundation reports, foundation reports and a geotechnical design report for the project in accordance with Caltrans standards. Caltrams reviewed all of the work. 12 25H -25 ► Domenigoni Parkway, Riverside County, CA -Project Geotechnical Engineer for preliminary geotechnical investigation for approximately 7 miles of road and two bridges. Mike oversaw drilling and laboratory testing programs and prepared a geotechnical report. Professional Engineer/California PhU/StnwWrsl Meohanics/DynsmkeAlniveralty of Califomis, Irvine MS/Civil Engineering • Structural EmphasislCeiifomte Stele Polytechnic University, Pomona Melad has 27 years of highly successful professional experience in civil and structural engineering on a wide range of transportation infrastructure projects, including highway, heavy rail, light transit, and facilities. His expertise ranges from office operations, engineering manager, project management, hands-on-design, and construction management to computer programming. He has considerable experience with the preparation of PS&Es in accordance with state and federal requirements. His experience includes the design of major and minor structures, including steel trusses, plate girders, precast concrete, and cast-in-place post-tensioned concrete. Melad is an expert in using Finite Elements Method as it applies to linear and non-linear static and dynamic structural analysis of structures. Listed below are relevant projects: ► Shoemaker Bridge Replacement PSR/PDS, City of Long Beach, CA - Melad was responsible for the review of structure maintenance records, review /documentation of seismic retrofit modifications, and preparation of an APS checklist, design memo, structure cost estimate, and APS plan/drawing. The project involved three structures. ► SR -125 South Toil Road Design-Build, San Diego, CA --This $400M project involved a I&mile -long privately funded toll road section of the public private SR-125 South Freeway project. SR-125 South involves the design and construction (design -build delivery method) of a 20.2 km (12.5 miles) limited access highway, which will run from Otay Mesa Road (State Route 905) near the Mexican border to SR-54 near Sweetwater Reservoir. The major elements of the Toll Road consists of approximately 14 Ion of a new four -lane highway, divided controlled access toll way facility, with climbing and auxiliary lanes, one toll plaza, five interchanges, six bridge undercrossings, two bridge overcrossings, a 1,012meter pre -cast segmental bridge over the Otay River, and a number of retaining walls, soundwalls, and mechanically stabilized earth (MSE) walls. ► North Cart Path Pedestrian Overcrossing, Newport Beach, CA - Melad was responsible for the preparation of the PS &E for this pedestrian overcrossing. The overcrossing is two-spans, 60 feet long and I I feet wide. The superstructure is supported by one reinforced concrete pier with the dimensions: 11 feet deep, 18.5 feet wide and 34 feet high. He was also responsible for the design of two open-end concrete abutments. The abutments and pier are supported by spread footings, and the superstructure is a wood structure. 4.0 Subconsultants 4.1 Coast Surveying Coast Surveying was founded in 1981 and brings more than 26 years of surveying, mapping and right-of way engineering experience working for government agencies such as the City of Santa Ana, Caltrans - Districts 5, 6, 7, 8, 9, 11 and 12; OCTA and the counties of Orange and Los Angeles, among others. Coast Surveying is a financially stable company with 18 employees. The firm's Corporate Principal is Ruel del Castillo, PLS; he will lead the surveying effort for this contract. Recent projects completed by Coast in the City of Santa Ana include: ► Three Bridge Rehabilitation Projects in Santa Ana for the City of Santa Ana ► Santiago Park Street Design Surveys ► Wilshire Avenue, Elder Avenue and Borchard Avenue Design Surveys ► Santiago Park Habitat Facility Building Topographic Survey ► Fire Station 4 and Fire Station 8 Design Surveys ► Main Street (Warner Avenue to 8th Street) Aerial Mapping, Design Surveys, and Rightof -Way ► Thornton Park Topographic Survey ► Santa Ana Civic Center Topographic Survey for Drainage Resolution 25H -26 19751Profeesional Land SurvsyodUffomis Certilicateftlik Service AdminlstratbnlSeMa Ana College Ruel del Castillo has 41 years of experience managing both field and office operations for all phascs of surveying and mapping services. He has managed 30 "on-call" contracts directly for, or in support of, many federal, state and local agencies including the counties of Los Angeles and Orange, the U.S. Forest Service, various U.S. Army Corps of Engineer Districts, the U.S. Navy Southwest Division and the Metropolitan Water District of Southern California. Ruel possesses a "hands an" working knowledge of various land surveying services including boundary surveys and analysis, GPS surveys, topographic surveys, utility location surveys, largeacale aerial and geodetic control, and monitoring quantities. For example, while working directly for the County of Orange, he was responsible for all boundary surveys, first order /second order vertical and horizontal control surveys, photogrammetric trapping, control surveys and centerline surveys. Ruel worked on all the projects in the City'of Santa Ana, and listed below are some additional projects: ► S1165/1-5 Freeway Interchange in Santa Ana and Tustin for Caltrans District 12 - Prepared record of survey for static GPS control. Researched and analyzed adjoining maps and centerline ties in various cities and agencies for right of way determination, surveyed existing monumentation, monumented new right-of way lines, and prepared metric Record of Survey. ► SR 57 /SRA1 Freeway Interchange in Orange County for OCTA - Work consisted of cross- sections: across both sides of each freeway; along all eight connector ramps; along all on-off ramps at Orangethorpe Avenue and at State College Boulevard; and on State College Boulevard, Orangethorpe Avenue, Mimloma Avenue and Sunkist Avenue. Also prepared detailed topographic surveys of existing sound walls and proposed sound wall locations, existing overpass bridges and existing utilities. Rightofway base mapping was also prepared for this project. 4.2 Tatsumi and Partners, Inc. Tatsumi and Partners is a landscape architectural and planning firm providing design and consulting services to public sector clients throughout the western U.S. since 1981. The firm is built on a team of individuals recognized as leaders in their respective fields but sharing a common characteristic attention to the clients and their needs. The furs s work includes planning, design, construction documents, construction administration and plan checking for cities, counties, stare agencies, and transportation authorities. URS and Tatsumi and Partners have worked together many times over the past decade and provide a seamless working relationship. Tatsumi and Partners is certified as a minoriryowned, disadvantaged business enterprise (MBE/DBF,/SBE) by Caltrans, the State of California Unified Certification Program, the City of Los Angeles, OCTA, the County of Los Angeles Metropolitan Transportation Authority, and numerous other agencies. American Sod* of Landscape ArehlNchirAlifomin BSILendecepe ArchhechirelCalifornis State University, Pomona David Tatsumi served as Project Manager for several projects involving street or highway enhancements for the City of Santa Ana, City of La Habra, City of Glendale, the Alameda Corridor East Authority, OCTA and Caltrans. In this capacity, he coordinated the overall work for the projects, monitored progress, coordinated all design work, oversaw quality assurance and served as the primary liaison between the firm, the client and Caltrans or city personnel. During the course of these projects, he has modified the firm's standard quality assurance system to meet the specific needs of each client and Caltrans. This system, called QCOP (Quality Control Operations and Procedures) was developed by David and monitors the landscape architectural components of the PS&E packages as well as the CADD standards. IVT ^ 25H -27 14 Listed below are a few additional examples of past projects relevant to the scope of work anticipated for David: ► Santa Ana On-Call Projects, Santa Ana Public Works Agency, Santa Ana, CA ► Pedley/Limonite Streetscape, Riverside County, CA No San Fernando Road Renovation, Glendale, CA ► Euclid Street Improvements, City of Fountain Valley, CA ► County of Los Angeles As- Needed Design Services, Department of Parks and Recreation, Los Angeles County, CA American Society of Lendeeepe ArehitectsfUlfamle BSfr.endscepe Architeeture/Celffamia Stab Unkrersky, Pomona Bernard Echanow brings to the project team over 26 years experience as a licensed landscape architect. He has administered Capital Improvement Project funds and construction budgets and is experienced in transportation enhancements, streetscapes, highways, municipal beautification designs, public works, parks and recreation, right -of. way enhancements, landuse master plans, commercial center development, public rightofway enhancement, and recreational area planning and development. Bernard created the City of Laguna Niguers 'Landscape Design Guidelines Manual for Median Islands" which is used as the design guideline throughout the City. He also obtained a $500,000 Transportation Enhancement Activities grant for the City of Stanton and worked closely with Caltrans in the preparation and submission of the grant application. He has also been responsible for assembling the "ADA Facility Assessment" document for the City of Carson. Representative assignments are highlighted below: ► Fairmont Medians, Yorba Linda, CA ► Esperanza Road Improvements, Yorba Linda, CA ► San Fernando Road Enhancements, Glendale, CA ► Ball Road Beautification Corridor Highway /Landscape Master Plan, Anaheim, CA 25H -28 \. Appendix A Certification of Non - Discrimination by Consultants 25H -29 CERTIFICATION OF NON - DISCRIMINATION BY CONSULTANTS As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that It does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non - discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. WE AGREE SPECIFICALLY: To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM URS Corporation TITLE OF PERSON SIGNING SIGNATURE DATE Jeff Chapman, Vice President Please include any additional information available regarding equal opportunity employment programs now in effect within your company. The company provides equal employment opportunity to all qualified employees and applicants for employment without regard to race, religious creed, color, religion, sex, sexual orientation or preference, national origin, citizenship status, ancestry, age, marital status, medical condition, physical or mental disability, or Vietnam Era veteran's status in all employment decisions, including but not limited to recruitment, hiring, compensation, training and apprenticeship, promotion, upgrading, demotion, downgrading, transfer, termination, and all other terms and conditions of employment. As a government contractor, the Company is committed to complying with its obligations to Affirmative Action. Affirmative Action is a policy of inclusion rather than exclusion, having as its goal to attract and retain qualified individuals of either sex and of all races and ethnickles. We assess our program towards that goal by analyzing how representation of minorities and women at all levels in the organization compares with the sex, ethnic and racial composition of the qualified available worklorce in the appropriate geographical area from which employees are drawn. The Company, in compliance with the requirements of Executive Order 11246, as amended, and Executive Order Section 3C as amended, and the Rehabilitation Act, maintains a written affirmative action program in the local Human Resources Departments, portions of which are available to employees upon request. 25H -30 CERTIFICATION OF NON-DISCRIMINATION BY CONSULTANTS As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that it does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non- discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity In employment. WE AGREE SPECIFICALLY: To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM Tatsumi and Partners Inc. TITLE OF PERSON SIGNING SIGNATURE DATE May 19 2008 Please include any additional information available regarding equal opportunity employment programs now In eRed within your company. It is the policy of Tatsumi and Partners to provide equal Oppnnunily emphrvmenl to all persons and not to discriminate against any employee, or applicant lot employment, because of race, color, religion, (reed, national origin, sex, age, disabilities, disabled veterans and Vietnam era veterans. Such ac lions shall include, but are nut limited to, employment, upgrading, demcsion, transfer, rerruiumeni, or recruitment advertising: laying -off or lemlination; rates of pay or other compensation; and selection for paining, and on -the -job training. Also it is the policy to insure and maintain a working environment free of harassment. intimidation and coercion. Tatsumi and Partners shall also promote the full realization al equal employment opportunity thmugh a positive program of advertising and follow -up and assure compliance with Executive Orders 11246, 11175, 11625, 121 lA, 12432, 12250, Title VII of the Civil Rights Act of 1944 and its subsequent amendments. the (:alifornia fair Employment Practice Act and ( other regoladonsof similar significance t As a Minority - [honed tlusiness Enterprise, Tatsumi and Partners understands that ` cooperation cunt support in Affirmative Action Program efforts are essential to the growth and development of Equal Employment Oppnrtunitic5 within the organization, (, the professiun and the community. 16 L L 25H -31 CERTIFICATION OF NON -DISCRIMINATION BY CONSULTANTS As suppliers of goods or servlces to the City of Santa Ana, the Firm listed below certifies that it does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it Is in compliance with all federal, state and local directives and executive orders regarding non- dlscdn- dnatlon in employment; and that it agrees to demonstrate posltively and aggressively the principle of equal opportunity In employment WE AGREE SPECIFICALLY: 1. To take affirmative steps to hire minority employees with the compaW 2. To astabliah or observe employment policies within affirmative promotion opportunities for minority persons at all Job levels. 3. To communicate this policy to all persons concerned, Including all company employees, outside recruiting servloes, especially arose servicing minority communities, and to the minority communities at large. FIRM CONS"rsu.Rv ma . UG• TITLE OF G PERSON fk 1pe< SIGNING /� T 1�1G7 filer 1 SIGNATURE DATE Plem naxle any addOmM kimmatbn eveiehle reperft aWd upPOrb* *nVb nres PMWMs now nelfedwa,nyaxm+ws - is 25H -32 EXHIBIT B FEESCHEDULE 25H -33 Fee Schedule Professional Hourly Classification Billing Rate Project Management Project Manager $185 Engineering Senior Project Engineer (Managing Registered Engineer) $155 Project Engineer (Registered Engineer) $120 Engineer (Assistant Level Design Engineer) $85 Technician (Draftsperson) $85 Landscaping Design (Tatsuml and Partners) Senior Associate (Project Manager) $151 Associate (Project Designer) $128 Professional Staff (Designer) $89 Technical Staff (TechnicianlAdministrative) $69 Administrative Support Clerical (Typist) $70 Surveying (Coast Surveying) Two-Man Crew $220 Three -Man Crew $486 Note: Hourly rates include raw labor, overhead and profit, and are valid for cost proposals developed through December 31, 2008. 5% escalation will be included for each subsequent year. Direct Expenses: Mileage: 0.505 per mile Reproduction: Actual Cost Overnight Mail: Actual Cost Other: Actual Cost To: City of Santa Ana Public Works Agency m 20 Civic Center Plaza — 4 Floor Santa Ana, CA 92702 (714) 647 -5023 The following items are being sent: O original Plans O Computer Files From: Jeff Mills Letter of Transmittal Date: September 22, 2008 URS Corporation LRe:City id Torkamanha 2020 East First Street, Ste. 400 BD Santa Ana, CA 92705 (714) 835 -6886 ta Ana ontract O Plans O 3peG8oations O Cost Est imate V/ Reports O Review Comments O Copyof Letter 3 I 9122108 , Signed Original (Duplicate) Consultant Agreements Transmittals for reason checked: O Make Corrections Noted O For Approval O Far Your Use ✓ As Requested O Amend and Resubmit O For Review and Comment _ X Remarks: Attached, please find the requested signed documents. We have attached the scope of services (proposal), fee schedule and insurance document in the respective Attachments. Copies: File enclosures are not as noted, kindly notify us at once. Signed Jew Mills P.E. 25H -35 25H -36 NORk J �irRw AT7 FR2ST AMENDMENT TO AGREEMENT V C. In accordance with the terms and conditions of said Agreement, the parties wish to amend the fee schedule to include the services of a Project Scientist which will be required to complete the study. 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 First Amendment to Agreement, the parties agree as follows: Section 3, COMPENSATION, shall be amended to delete Exhibit B, Fee Schedule and replace it with "URS Schedule of Fees and Charges for City of Santa Ana — Urban Discharge Diversion Project, January 1, 2011 ", attached hereto as Exhibit B -1 and incorporated by this reference. The rates and charges set forth in Exhibit B -1 shall be effective from the date of authorization to proceed. The parties agree that the total cost of the Study shall not exceed 565,000, which will reduce the $200,000 available for services by an equal amount. 2. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. Exhibi# 2 25H -37 A- 2008 -217 -01 THIS FIRST AMENDMENT TO AGREEMENT is entered into on September 10, 2012, by and between URS Corporation, a California corporation ( "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and v laws of the State of California ( "City "). 3 RECITALS: 1 A. The parties entered into Agreement #A- 2008 -217, dated August 18, 2008, (hereinafter "said Agreement') by which Consultant has provided engineering and landscape architecture services to the Public Works Agency on an on -call basis. 5 B. By letter dated July 29, 2011, and pursuant to the provisions of said Agreement, Consultant was authorized to proceed with a Non- Stormwater Diversion Concept Study for the Upper Newport Bay Watershed (hereinafter "the Study "). V C. In accordance with the terms and conditions of said Agreement, the parties wish to amend the fee schedule to include the services of a Project Scientist which will be required to complete the study. 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 First Amendment to Agreement, the parties agree as follows: Section 3, COMPENSATION, shall be amended to delete Exhibit B, Fee Schedule and replace it with "URS Schedule of Fees and Charges for City of Santa Ana — Urban Discharge Diversion Project, January 1, 2011 ", attached hereto as Exhibit B -1 and incorporated by this reference. The rates and charges set forth in Exhibit B -1 shall be effective from the date of authorization to proceed. The parties agree that the total cost of the Study shall not exceed 565,000, which will reduce the $200,000 available for services by an equal amount. 2. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. Exhibi# 2 25H -37 A- 2008 -217 -01 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement A- 2008 -217 on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: ' � . .- Lauri Sheerly Assistant City Attorney RECOMMENDED FOR APPROVAL: SUL OODINEZ, I Executive Director Public Works Agency CITY OF SANTA ANA - -- PAUL M. WALTERS City Manager `I SC ORATION President 25H -38 �r►v:u 7Ylte�l URS Schedule of Fees and Charges For City of Santa Ana — Urban Discharge Diversion Project January 1, 2011 25H -39 FEE if RATE SCHEDULE Schedule of Fees and Charges for City of Santa Ana — Urban Discharge Diversion Project January 1, 2011 This Schedule of Fees and Charges dated January 1. 2011 will remain in effect through December 31, 2012 The Schedule of Fees and Charges will be adjusted annually on July 1 of each subsequent year to reflect merit and economic salary increases and changes in the expected level and mode of operations. The basis of adjustment will 5% (five percent). The new Schedule of Fees and Charges will apply to existing and new assignments PERSONNEL CHARGES OTHER PROJECT CHARGES I he dturgc for all time rcyuiied in the performance of the Subcontractors and Equipment Rental Scup" of Sanice, includine office, field and tra%el lime, gill he at file I nit Price liourh rates set Innh below fix I he a%sl of sea ices athcontmded b% I RS to other. and file lahnr ;Inssi lir;n iom indieatcd. �+ther .osls incuncd b% (Al4 trill he charged it uul plot 9 "... Labor Classification _ _ Houriv Rate Principal-in-Charge . Principal Scientist $ 190 Project Manager $ 185 Senior Project Engineer $ 155 Project Engineer. Geologist. Scientist $ 120 Staff Engineer, Geologist. Scientist $ 85 Senior Environmental Sclenhst)Planner $ 155 Environmental Scientist/Planner 5 120 Drafter /Illustrator $ 85 GIS Mapping Services S 130 Clerical $ 70 Senior Field Technician $ g5 Intern Student $ 65 1 herinnc jhuurs mvAcd in crecss of eiehl 1X1 hours per dayj b% ewillpt p,nonncl will be charged al the abort huurh rant fherlime M non- e.%anpt personnel will be charged dl I _" Tillie, the ahme hourh rales. 11 ilia 1 ITS ,lath appears as cyttrl %%imesses al tourl trials. mcdi:nian. arhitnown hearings and depositions. Ihcir tinm will hC eh;ugcd ;it _n limas the slanda"i rslc. \II lime spell, prcpnring till .uch Irish. he:aiug. ;unl Jcp.iiirn +%%ill he chi cd al The standard labor rat,. Document Reproduction In -ho,he reproducliun %till he changed ai S.lu il page Ior hlack and white ;uuf S I _'S page I nr color. Vehicles and Mileage IRS field %ehicles (pick -ups, taus. Tnie6s. em.1 shed kin project ,issii-nmants %%ill be charged at S80.1 0 per da%. Rental %"hides including 610 %%ill be Chnrced ;u Cost plus S "n fhc mileage charve fix personal autos %%ill he the mileage rare as eslablishcd M the Internal Roenuc tics ice and in elect al the little it personal "kilo c used in pro%iding antsulri ml sea ice.. This lee schedule contains confidential business information and is not to be copied or distributed for any purpose other than the use intended in this contract. 25H -40 ACO Y CERTIFICATE OF LIABILITY INSURANCE DATE(assaw"I -M AM TYIEOP WaURANCE 12130011 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the cerUfieata holder is an ADDITIONAL INSURED, the poliey(ip) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holdx In lieu of such andorsemen e . PRODUCER MARSH RISK E INSURANCE SERVICES 345 CALIFORNIA STREET, SUITE 1300 N PRONE r" CALIFORNIA LICENSE N0.0437753 SAN FRANCISCO. CA 94104 ADDR9511, - INSUREINSI AFFORDING COVERAGE NAICF INSURER A: National Low Fire Ire Co Pmsb Igh PA 19445100 MUSED URS CCrpeatcrt INSURER e: INSURER C, Illimis National Ins Co 23817001 500 Mon9way Street. 26th FIDm San FraXiE[0• CA 94111 INSURER D: Itlseanre Cmpany Of The State Of PA 19129100 INSURER E INSURER F _.__... ... ..,,........,car. pGr WIV1Y nYMOCR:U THIS IS TO CERTIFY THAT THE POI-13 IES IC 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, LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSp AM TYIEOP WaURANCE SUBP PO LICY NUMBER POLICY E� POLICY E%P LIMITS GENERAL LIABILITY, EACH OCCURRENCE E COMMERCIAL GENERAL LIABILITY CLAIMSIADE ❑ OCCUR B E MED E %P LMy ms paean) E PERSONAL A ACV INJURY E GENERAL AGGREGATE S GEN'L AGGREGATE LIMIT APPLIES PER POLICY PR Los PRODUCTS - COMNOP AGG 3 f AUTOMOBILE LIABILITY 7i=0 M SINGLE L WI ANY AUTO ALL 03 SCHEDULED AUTOS AUTOS HIRED AUTOS NONOWNEO AUTO, BODILY INJURY BODILY INJURY (PorAxlasml E PROPERTY DAMAGE S E UWRELLAUAB EXCESSLIM OCCUR CLAIMS -MADE EACHOCCURAENCE S AGGREGATE f DEC RETENTION A D E WORKERS COMPENSATION AND EYPLO(I UACIT' ANY PgOPRIET0IVPARTNERIE%ECUTIVE YIN OFFICEWMEMeER E%CWOE07 (MSPNwry in NH) uYs� a.ee.x» rnae DESCRIPT! N OF OPERATIONS".. NIA SEE ATTACH - AC RD 101 SEE ATTACHED -ACORD 101 SEE ATEACHED ACDRD 101 1 1/ I 0110112012 0110112012 01/0112013 01101 /2017 0110112013 WC STATU- OTH- E E.L. EACH ACCIDENT E ��� E.L. DI SEME -EA EMPLOYE S ZDOD•o00 E.L. DISEA,E -POLICY LIMIT S 2•WO•000 i I DESCRPTICN OF OPERATIONS I LOCATIONS I VEHICLES (MRsh ACORD 101, AMAssral Rent{ SeIINuN, M RIM spacre Is wq,**Q CERTIFICATE HOLDER .- ...__.. __._.. Coy Of Sana Arc 20 Cw Cener Paza - Ross Annex IN -36) Santa Ana, CA 92701 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES ME CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. of Massh Risk s bW1k11e1 SoMeu Lynne Haningwn ®1988 -2010 AI • — - .....,— RXt,.c a„Y .yp are regnmerao marKs Of ACORD 25H -41 AC RO V AGENCY CUSTOMER ID: URSCOR LOC 11: San Francisco ADDITIONAL REMARKS SCHEDULE Page 2 of 2 AGENCY MARSH RISK A INSURANCE SERVICES MAMMOSUAED URS Corporation 600 MW4001" Sveec, 261h Floor San FrenCei CA 94111 POLICY NDMBEN cmmm NAIC CODE EFFECTIVE DALE: w�,+1 r I�nw� ncwrwn7w THIS ADDITIONAL REMARKS FORM IS A SCHEDULE TO ACORD FORM, FORM NUMBER: 25 FORM TITLE: Certificate of Liability Insurance The WCrkers CWP�uan Coverage S W does nO apply in ffaWC6i stoles. N dE Stales of ND. OH, WA and WY Workers' Compelsalion coveage is prwided bythe State Fund. kl0nse Stoles, the above relBenced p0m probe SlopGap Employces Udwky only. Workers CmPenswon pdkies appy as romea Delwv: Dsurel A: Naaorel Union Fire Ins Co PiKsburgh, PA NAICI 19445100 WC 021417576 -CA WC 021417579 -TX Mum Insurance CwWy Of The Slae OI PA 14AICA 19429100 WC 021417580 . K A, WI (Stop Gap) WC 021417581 - AK AL, AR, AZ, CO, DE, CA, ID, KS, KY. M0, ME, MO, MS, MT, NC, NH, NM, NV, OK. OR, PA RI, SC, SO, TN, UT, VA, VT, WV WCO21411585 -MN Insurer C: MMIOS Na1Dnw kls Co NAICT 27817001 WC 021417577 -FL WC 021417576 -NY WC 021417582 - CT, OC, HI, to IL, IN, Vl MI, NE. NJ The CKy G Santa AIM. AS Officers. employees, agens, volulleers arM represerummes are D[Ided as Addoons kWedsm respeas the Geneal LaNRy poky. Bhee requited by Wilten conont. TNsnmrarrcb Pfn"aveairys finsu eavail *emartypelsanaorgaa=Dnv2haveadded Wdkspokyas AdMa,Mlmmds. ACORD 101 (20011 1) 02008 ACORD CORPORATION. All rights ressived. ...o ...........,�,,,o -I-- i1W ew- 119110111013 m r" Or ACORD 25H -42 Client: INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL CITY OF SANTA ANA PUBLICS WORKS DEPARTMENT 20 CIVIC CENTER PLAZA, ROSS ANNEX M -20 Address of Home Office P.O. BOX 1988 SANTA ANA, CALIFORNIA 92702 Primary Contact: CARLOS CASTELLANOS, PE, QSP /D Phone N2 714- 647 -5642 FAX N2 Email CCastellanos @santa - ana.org RFA NO 001 1/16/13 1 RFASNA001 Santa Ana Delhi Urban Discharge Diversion Proiaet DATE January 14, 2013 Agreement No. URS PN The City of Santa Ana in collaboration with the Cities of Newport Beach and Costa Mesa are currently in the preliminary engineering and planning phase of an Urban Discharge Diversion Project. URS has provided preliminary engineering and analysis to develop the project location; identify required improvements associated with the physical diversion facility and generalized evaluations of anticipated construction and operation costs. Due to the fact that the proposed project will provide multi - jurisdictional benefits through the elimination of Urban Runoff (Dry- weather Runoff) Discharge into the Upper Newport Bay and will provide for a beneficial improvement of water quality with the bay, the project is qualified to potentially be awarded grant funding OCTA Measure M — Environmental Cleanup Program. Qualification of the project for grant funding requires the completion of the project Plans, Specification and Estimates. As requested by the City of Santa Ana, URS is providing the following to progress the project to final engineering and shovel ready status to provide the most competitive grant application and ultimately meet the funding requirements. In general, as a continuation of services being provided under Agreement no. A- 2008 - 217 -01 — Engineering and Landscape Architectural Services task assignment, Urban Runoff Diversion project, URS will prepare final engineering and construction documents for the implementation of the project as described in the following tasks: TAW QRwP 1— ,PREGfl mAlt'P;Wallomm SERyicES Task 1.01 - Project Coordination with Project Stakeholders: URS will provide coordination and organize project meetings regarding the development of the project as specifically related to obtaining easements and rights of entry onto private properties as identified below: Newport Beach Golf Club 3100 Irvine Avenue Newport Beach CA 92660 (949) 852 -8681 Exhibit 3 Pagel 1 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113) \2 - CONTRACTS\A. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803.DOCX 25H -43 REQUEST FOR APPROVAL I 1116/13 I RFASNA001 Santa Ana Delhi Urban Discharge Diversion Proiect Orange County Public Works /Orange County Flood Control District/OC Watersheds 300 North Flower Street Santa Ana, CA 92703 714 - 834 -2300 City of Newport Beach City of Costa Mesa URS will prepare easement exhibits describing the required properties for the implementation of the project. All exhibits will be provided to the City of Santa Ana for review and approval. Upon approval, City of Santa Ana will prepare all required legal descriptions and plats required to describe and negotiate the procurement of required easements. Task 1.02 — Project Surveying Services (to be provided by others): URS will prepare a description and exhibit identifying the area to be surveyed for the development of the project. Required surveying services will include the following: Survey Based Mapping 1 " =40' project site area, Mesa Drive from the intersection of Mesa Drive and Irvine Avenue to Mesa Drive and Newport Boulevard South, Newport Boulevard South to Fair Drive. Base mapping shall include identification of manholes and provide dips to inverts of all sanitary and storm drain facilities. Ground surveys shall locate all existing surface utility appurtenances including but not limited to vaults, valve cans, fire hydrants, street lights, power poles, storm drain inlets, etc. The survey base map shall be provided in a digital format compatible with Microstation. Task 1.03 — Project Pothole Services: URS will contract with SAF -r -DIG to perform utility potholing for visual verification, identification, inspection, measurements, and vertical and horizontal location of the existing utilities not obtained during the site survey. Task 1.04 — Construction Documents /Specifications /Opinion of Probable Costs: URS will prepare final engineering documents to include construction documents, project specifications and opinion of probable construction costs based on the following: • Title Sheet —1 sheet • Project Details and General Notes — 1 sheet • Site Layout and Equipment Arrangement —1 sheet • Diversion Facility Layout and Details — 2 sheets • Storage Complex Layout and Details — 2 sheets • CDS Layout and Details — 2 sheets • Pump Station Layout and Details — 2 sheets • Electrical Layout and Details — 2 sheets • Force Main Plan and Profile — 17 sheets • Force Main Details — 2 sheets • Erosion Control Plan and Details —11 sheets • Traffic Control/Traffic Management — 10 sheets • Structural Details -4 sheets Sheet Count Total — 57 sheets t sTr7i&"itiV]a5 • Project Specifications • Project Opinion of Probable Costs Pagel 2 T. \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113) \2 - CONTRACTS\A. CONTRACT\2 -CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803.DOCX 25H -44 INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL 1/16/13 RFA SNA001 FUSanta Ana Delhi rban Discharge Diversion Project Task 1.05 — Encroachment Permits and Approvals: URS will obtain encroachment permits for work activities within the public rights of way for the following: • City of Newport Beach • City of Costa Mesa • County of Orange — Airports • County of Orange - OCFCD • California Department of Transportation (Caltrans) Task 1.06 — Addenda Preparation and Pre -Bid Meeting: URS will provide bidding support and assistance as it pertains to the contract documents and construction drawings of the interim improvements. For budgetary purposes, we have assumed a number of hours in our fee estimate to answer questions from prospective bidding contractors, and assist the City of Santa Ana in providing information and clarification of the bid documents. URS will consult with the City of Santa Ana to address concerns or answer their questions in support of administering the bid process. URS will prepare four (4) addenda for all prospective bidders, if requested by City of Santa Ana. Task 2.01 - Prepare CEQA Initial Study/MND: URS will prepare a draft CEQA Initial Study (IS) /Mitigation Negative Declaration (MND) in accordance with the current CEQA Guidelines and Appendices. URS will begin with the preparation of the project description, in consultation with the City, and incorporating the following maps and other existing background data to the extent possible: • A regional map and project site map(s) illustrating the boundaries of the project area; • A statement of the project objectives, prepared in coordination with the City. • A statement briefly describing the intended uses of the IS /MND including a list of agencies that are expected to use the IS /MND in decision making /permitting and a list of the discretionary approvals for which the IS /MND will be used; • A discussion of the environmental setting; and regional setting with special emphasis on rare or unique environmental resources. The IS will include a summary of the existing environmental conditions using information readily available, such as the EIR for the Santa Ana -Delhi Channel Widening project. URS will then evaluate potential impacts of the project using the CEQA IS checklist form. Impact discussions will cover potential short-term construction impacts and potential long -term impacts of the low flow diversion project, including pipelines. For each environmental topic listed in the checklist, URS will conduct an appropriate level of analysis to support the findings of impact required. As needed, a list of mitigation measures will be included to reduce any potential impacts to less than significant. For this effort, URS will utilize our in- house technical specialists in biology, cultural resources, noise, traffic, air quality, water quality and hydrology to adequately assess the environmental topics. No separate technical studies will be prepared for the CEQA IS, other than the biological resource technical report and the cultural resources record search summary letter discussed later in this scope of work. Based on our experience with environmental issues in the local area including Upper Newport Bay, it is likely that impacts can be reduced to less than significant levels with incorporation of mitigation measures, and therefore, the IS will most likely lead to a MND. URS will submit the Draft IS /MND to the City in electronic format for up to two rounds of review and comment. If needed, URS will meet with the City to discuss comments for incorporation into the final IS /MND. On the basis of this second Pagel 3 T'. \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTS\A. CONTRACT \2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803.DOCX 25H -45 INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL 1/16/13 RFA SNA 001 Santa Ana Delhi Urban Discharge Diversion Proiact review, URS will prepare a final, camera -ready IS /MND suitable for reproduction and public distribution, as well as 25 CDs of the IS /MND. Task 2.02 — Assist with Required Notifications and Responses to Comments on MND: In accordance with CEQA Guidelines Section 15072, URS will prepare a draft Notice of Intent (NOI) to adopt a MIND. The NOI must be sent to the Orange County Clerk- Recorder's office, interested public citizens, responsible agencies, and the State Clearinghouse, as well as to the local newspaper for publication. The NOI will also be posted at the project site. URS will conduct these tasks for City of Santa Ana, and will utilize a mailing list provided by the City of Santa Ana. URS will submit the draft NOI to City of Santa Ana for review and comment prior to distribution. After the 30 -day MIND review period, and within five days of the TCWD Board's adoption of the MIND, URS will prepare a Notice of Determination (NOD) as required by CEQA and file it with the Orange County Clerk- Recorder's Office and the State Clearinghouse. URS will submit a draft NOD for the City of Santa Ana's review and comment prior to any filings. During the 30 -day MIND review period, the City of Santa Ana may receive written comments from federal, state, and local agencies, as well as interested public citizens and local community and /or environmental groups. URS will assist the City in preparing written responses to comments. The responses will be provided to the City Council for review and consideration prior to the City Council meeting to adopt the MIND. Assumptions for CEQA Documentation: • All required engineering, conceptual grading plans, utility, hydrology /hydraulics, water quality, and geotechnical studies, project site plans and maps are available and suitable for use in preparing the IS /MND. • No separate technical studies will be prepared for traffic, noise, visual, water quality, and air quality. • No more than 10 public /agency comments are received on the MIND and no additional studies or environmental analysis will be required. • All CEQA filing fees required by the County of Orange and CDFG, as well as newspaper publication fees will be provided by the City. Task 2.03 - Cultural Resources Record Search and Letter Report - To evaluate cultural resources for the IS /MND, a cultural resources record search must be conducted. URS will request a cultural resources records search through the designated California Historical Resources Information System (CHRIS) information center for Orange County, California. The records search will review relevant previously recorded cultural resources and previous investigations completed for the Project Area within a %. mile search radius. Information to be reviewed will include location maps for all previously recorded trinomial and primary prehistoric and historic archaeological sites and isolates, site record forms and updates for all cultural resources previously identified, previous investigation boundaries and National Archaeological Database citations for associated reports, technical reports, historic maps, and historic addresses. The search will also review properties listed on /as the California Points of Historical Interest, California Historical Landmarks, Caltrans Historic Highway Bridge Inventory, California Historical Resources Inventory, local city and county registries of historic properties, the California Register of Historic Resources, and the National Register of Historic Places. Upon completion of the cultural resources record search, results will be provided to URS by the CHRIS information center. URS will review and compile the record search results and will prepare a summary letter report discussing those results. This summary letter report will be created for use in the CEQA IS and will be used for compliance purposes for the USACE permit application process. Assumptions for Cultural Resources: Assumes the project study area covers '% mile radius of the diversion area of the channel, CDS unit, storage tanks and associated pipelines. If the study area boundary changes, additional costs will be required to revise the records search to cover the new areas. Pagel 4 T. \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113) \2 - CONTRACTS\A CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803.DOCX 25H -46 INFRASTRUCTURE 8 ENVIRONMENT REQUEST FOR APPROVAL 1/16/13 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Proiact • Records search will be conducted as a standard request. • In the event the records search results indicate the presence of known cultural resources, further cultural resources investigations may be recommended. This cost estimate does not include such additional cultural resources work. • Assumes that no paleontological search, Native American Heritage Commission Sacred Lands File search, or additional Native American Consultation is required. • The deliverable for this scope is limited to one letter request to the information center with one project map figure and one record search results summary letter report. • This cost estimate does not include any additional GIS time associated with the digitization of information resulting from the record search request or for the creation of result figures for inclusion with the letter report. Task 2.04 - Biological Field Survey and Technical Report: A biological field survey and technical report are needed to evaluate potential impacts on biological resources for the IS /MND. The survey and report are also needed as supporting documentation for resource agency permits applications (described later in Task 2.06). URS will review biological resource databases, local resource management plans, aerial photos, and any other readily available commercial data to determine the locations and types of biological resources that have the potential to occur at the Project site and general vicinity. The literature review will support the development of a brief Biological Letter Report. Following literature review, a pedestrian -based biological survey of the project site will be conducted to observe, document, and evaluate the onsite conditions and determine the potential for occurrence of common and special- status biological resources and aquatic resources. The field analysis and data collection will identify the acreages of land use and vegetation present, a list of plants and wildlife present will be compiled, and special- status species with potential to occur within the study area will be determined. The field results will be synthesized within a Biological Letter Report, which will be used in the analysis for the CEQA IS /MND as well as included as a requisite attachment to the aquatic resource permit packages. Task 2.05: - Jurisdictional Determination: For projects that may impact areas under the jurisdiction of the USACE, a jurisdictional delineation is required utilizing USACE standard delineation methods. URS evaluated the possibility of using previously - prepared Jurisdictional Delineations associated with the Santa Ana -Delhi Channel Widening project, since the channel widening areas may overlap the current project. However, based on our experience, we believe the USACE and other permitting agencies would not accept this Jurisdictional Delineation for the proposed project, and would request a project- specific delineation instead. Reasons would likely include the differing magnitude of impacts, as well as new delineation mapping standards (issued on August 6, 2012) that must be utilized in all new jurisdictional delineations. Furthermore, if utilizing previously - prepared Jurisdictional Delineation, it would be difficult to address any potential agency data requests, given that the report was prepared by another consulting firm working for a different municipality. Therefore, URS has determined it would be most appropriate to prepare a project- specific delineation for the proposed project, as discussed in the following paragraphs. URS will delineate aquatic resources within the study area utilizing the procedures and practices in the following publications and agency guidance documents: USACE Wetland Delineation Manual , USACE Interim regional supplement to the Wetland Delineation Manual, Arid West Region, Version 2.0 ; and USACE and Environmental Protection Agency's (EPA) Clean Water Act Jurisdiction Following the U.S. Supreme Court's Decision in Rapanos v. United States & Carabell v. United States guidance document. A pedestrian -based field survey of the study area will be conducted using sub -meter GPS accuracy to precisely delineate the boundaries of potential aquatic resources. The field survey results will be synthesized into a Jurisdictional Delineation Report, which will be submitted as a requisite attachment to the USACE, CDFG, and the RWQCB aquatic resource permit applications. The report will identify the limits of wetlands, non - wetland waters of the U.S., waters of the State, and Pagel 5 T1071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113) \2 - CONTRACTS\A. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 .DOCX 25H -47 INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL 1/16/13 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Prniwet jurisdictional riparian areas within the study area boundaries. It will also include Project- specific details associated with vegetation communities, soils, and hydrology of aquatic resources within the study area and will include a photolog of aquatic resources. A Preliminary Jurisdictional Determination, rather than an Approved Jurisdictional Determination, will be requested from the USACE in order to expedite the permitting process. A Preliminary Jurisdictional Determination is a formal letter from the USACE stating that Waters of the U.S. "may be" present on site and assumes federal jurisdiction. Task 2.06: Aquatic Resource Permitting: The study area includes special aquatic resource areas that will be impacted by the proposed diversion facility in the Santa Ana -Delhi Channel. Completion of Clean Water Act (CWA) Section 401 and Section 404, and California Fish and Game Code (CFGC) 1602 (et seq.) permit applications are most likely required to execute the Project. Within this scope of work, URS will prepare and submit a USACE CWA Section 404 Nation Wide Permit (NWP) Preconstruction Notification (PCN) package. The NWP Program provides applicants with a streamlined USACE evaluation and approval process for certain types of activities that have minimal impacts to jurisdictional aquatic environments. If this is feasible based on the total disturbance footprint, then it will significantly reduce the federal permit processing time and expense. The Project appears to qualify for NWP 43, Stormwater Management Facilities, so long as impacts to Waters of the U.S. are under 0.5 acre, 300 linear feet, and no construction will occur within perennial streams. It is assumed that the Santa Ana -Delhi Channel is seasonal, rather than perennial. If NWP 43 is not acceptable due to perennial flows within the channel, then NWP 18, Minor Discharges, may be potentially used. The RWQCB has determined that an individual 401 water quality certification may be required for most nationwide permits. URS will submit a CWA Section 401 Water Quality Certification (WQC) application to the RWQCB. The WQC is required for those applicants seeking a federal permit (e.g., CWA Section 404 permit) to discharge fill material into Waters of the State and /or Waters of the U.S. The USACE will not grant authorization until the WQC has been obtained or has been waived. The CDFG regulates all activities that modify the bed, bank, or channel of streams, lakes, and their associated riparian habitats under Section 1600 (et seq.) of the CFGC. A CDFG Lake and Streambed Alteration Agreement (LSAA) will be required for all activities resulting in impacts to streambeds and associated riparian habitats. URS will prepare and submit a LSAA package to CDFG to obtain CFGC 1602 (et seq.) compliance. URS will also informally correspond with applicable state and federal regulatory and resource agencies (e.g., CDFG, USACE, and RWQCB) as needed during the permitting phase to identify potential data requirements, minimization, and /or avoidance measures, and mitigation, if needed, to implement the Project. Assumptions for Biological Resources, Jurisdictional Delineation and Agency Permitting: • The preferred alternative will be finalized prior to permit application submission. • The City will provide to -scale plan view and elevation or cross section design plans that depict the Project footprint and temporary and permanent impact areas (e.g., storage, staging, access route, etc.). These plans will be compatible with GIS, Microstation, or Auto CAD, if possible. • The City will provide any necessary Project- specific documentation and components for application packages, which may include, but us not limited to, an hydrology /drainage report, water diversion plan (if work will be completed in wet portions of the channel), Best Management Plans, cubic yards of cut and fill, construction period and duration, and any other relevant documents and data required for permit applications other than the requisite items produced in this scope. • This scope assumes that the project can be permitted through a Nationwide Permit and does not include the production of an Individual Permit. • This scope does not include Federal or California Endangered Species Act (ESA) protocol surveys, consultation, or ESA permitting, if necessary for Project implementation. • This scope does not include a compensatory mitigation plan for Project impacts to special aquatic resource areas. Pagel 6 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113) \2 - CONTRACTS\. CONTRACT\2 -CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 DOCX 25H -48 INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL 1/16/13 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Prolaet This scope does not include agency permit filing fees, potential CEQA filing fees, compensatory mitigation fees, or an environmental filing fee (Fish and Game Code Section 711.4). The services to be performed by URS will be conducted in a manner consistent with that level of care and skill ordinarily exercised by other professional consultants under similar circumstances. No other representations to the Trust, either expressed or implied, and no warranty or guarantee is included or intended. Opinions relating to presence, absence, or potential for occurrence of biological resources will be based on limited data and actual conditions may vary from those encountered at the times and locations where the data were obtained despite the use of due professional care. The services detailed in this scope will be provided and performed in accordance with the terms and conditions negotiated between the Trust and URS. Any reliance on work product generated from the execution of this scope by any other party shall be at such party's sole risk unless that party has written authorization from URS. Reference Documents — Environmental Laboratory (EL). 1987. Corps of Engineers Wetlands Delineation Manual, Technical Report Y -87 -1, U.S. Army Engineer Waterways Experimental Station, Vicksburg, Mississippi. Interim regional supplement to the Corps of Engineers Wetland Delineation Manual: Arid West Region (Version 2.0). J. S. Wakeley, R.W. Lichvar, and C. V. Noble (Eds.). ERDC /EL TR- 08 -28. Vicksburg, MS: U.S. Army Engineer Research and Development Center. U.S. Army Corps of Engineers and U.S. Environmental Protection Agency (USACE). 2008a. Memorandum Re: CWA Jurisdiction Following U.S. Supreme Court discussion in Rapanos v. United States. TAwftoue3— CoNsrttucwnPHASE S Task 3.01— Construction Meetings: URS will attend /conduct four (4) progress meetings of two hours each during the course of the project construction and provide agendas and meeting minutes. Task 3.02 — Contractor's RFI: URS will respond to approximately ten (10) Requests for Information. Task 3.03 — Site Visits: URS has budgeted four (4) site visits of two hours each during construction. Task 3.04 — Shop Drawing Reviews: URS has budgeted for the review of five (5) shop drawing submittals. Submittals will be reviewed for completeness and conformity with the contract documents. URS will deliver copies of the reviewed submittals to the City of Santa Ana Inspector, Project Manager, and Contractor as required. Task 3.05 — Prepare Record Drawings: URS will prepare record drawings on 24 -inch by 36 -inch mylars at construction completion, using the Contractor's and City Inspector's red lines. URS will prepare final record drawings mylars, reissued signed mylars (as needed), Microstation electronic files on CD, and one color PDF file of the entire construction plan set on CD and deliver the record drawing package to City of Santa Ana. Task 3.06 — Qualified SWPPP Practitioner (QSP): URS will provide Construction Site Monitoring for the project site. The Monitoring Program includes weekly visual inspections during the entire duration of the project, quarterly non -storm water discharge inspections, pre -storm inspections of BMPs, drainage areas, and potential pollutant areas, preparation of Rain Event Action Plans (REAPS) 48 hours prior to 50% chance of rain, post -storm water discharge inspection, and storm water sampling for qualifying rain events which produce 0.5" of rain or more. Inspections and sampling reports will be maintained onsite and placed in the SWPPP report. Schedule Upon Notice to Proceed — 200 working days Pagel 7 T. \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTSV\. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 .DOCX 25H -49 INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL CHANGE TO ESTIMATED CONTRACT PRICE (See Attachment ) Original Estimated Contract Price: Current estimated contract price, including previous change orders: The estimated Contract Price due to this Change Order will be increased (decreased) by: The new estimated Contract Price due to this Change Order will be: CHANGE TO THE ESTIMATED SCHEDULE (See Attachment ) N/A The Contract Time will be increased (decreased) by calendar days. The date for completion of all work under the contract will be: To be determined. 1/16/13 1 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Proiact $ 64.950 $ 89.980 $ 338.100 $ 428.080 EXCEPT AS PROVIDED IN THIS REQUEST FOR APPROVAL, ALL TERMS AND CONDITIONS OF THE CONTRACT REMAIN UNCHANGED Pagel 8 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTSV\. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 DOCX 25H -50 INFRASTRUCTURE & ENVIRONMENT a REQUEST FOR APPROVAL 1/16/13 1 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Proiaet Acceptance of the terms of this Request for Approval is acknowledged by the following signatures of the Authorized Representatives. CLIENT URS Corporation Americas Signature Signature Name/Title: Date of Signature: cc: Accounting Name/Title: Date of Signature: Pagel 9 T1071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTSW. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803.DOCX 25H -51 .! )!{ )�( \! n! ! JR RReRp /,p 9Re\ee,R9alaR, ! ;- » : ;I,� „ ; : ;� ;; „ ;�! 1 - ;,� �._, �� -.! ■! ] • |' - ;!E!! ! „ ■ ! !| Ja eHH` ° ° ! � .., �.� ;_!.l ; ; =�� ; ; ; ;, l�,.. _..■ �» •., ■■ !_ ,.. .,,...BZ,•!,!!,. . -. ...! ,.... _, :, ., .., ■| ! . ) . . ! |, . , «,,..... ■.... , , , , .� !§ ; . . . � ■■ ! ! . .............. . ......■ ,. .... .! ! !• ,., ,,., , !. !•. . ................ ..., ,,. !) |§ °• `�. . .,....■ �! 65�� .18 !�!! 25H-52 SECOND AMENDMENT TO AGREEMENT THIS SECOND AMENDMENT TO AGREEMENT is entered into on August 5, 2013, by and between URS Corporation, a California corporation ( "Consultant ") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City "). RECITALS: A. The parties entered into Agreement 4A- 2008 -217, dated August 18, 2008, (hereinafter "said Agreement ") by which Consultant has provided engineering and landscape architecture services to the Public Works Agency on an on -call basis. B. By letter dated July 29, 2011, and pursuant to the provisions of said Agreement, Consultant was authorized to proceed with a Non - Stormwater Diversion Concept Study for the Upper Newport Bay Watershed (hereinafter "the Study "). C. The Study resulted in a proposed project to divert urban runoff discharge from the Santa Ana Delhi Channel to the Orange County Sanitation District for processing (hereinafter the "Project "). D. The parties desire to amend said Agreement to provide for preliminary engineering services, environmental review and construction support services required to obtain grant funding for the Project. 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. Section 1, SCOPE OF SERVICES, shall be amended to read as follows: "Pursuant to this on -call agreement, Consultant has provided engineering services to analyze and design a project to divert dry weather urban discharge from the Santa Ana Delhi Channel and the Upper Newport Bay ( "Project"). Consultant will continue to provide engineering services to prepare plans, specifications and estimates for the proposed Project. Additionally, Consultant will provide environmental review and construction support services for said Project, as set forth in Consultant's Request for Approval dated January 16, 2012, attached hereto as Exhibit A -I and incorporated by this reference. 2. Section 3, COMPENSATION, shall be amended to increase compensation by $365,000.00. Said section shall read as follows: "a. City agrees to pay, and Consultant agrees to accept for the preliminary engineering, environmental review and construction support services, the rates and charges set forth in Consultant's Estimated Cost Breakdown, as set forth in Exhibit B -1, attached hereto and incorporated by this reference. The total amount to be expended for all services related to the non - stormwater diversion project shall not exceed Four Hundred Fifty -Five Thousand Dollars ($455,000.00) during the term of said Agreement. Said Project total includes services required for the feasibility study, grant application and a Twenty Five Thousand Exhibit 4 25H -53 Dollar ($25,000) contingency for unanticipated costs related to the Project. The total amount for all services provided pursuant to the On -Call Agreement shall not exceed Five Hundred Sixty Five Thousand Dollars ($565,000.00). b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing deliverables completed in the prior month, the percent of the Project complete and the percentage of total payment requested, 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. Section 4, TERM, shall be amended to read: "The term of this Agreement shall commence August 18, 2008 and terminate August 31, 2014, unless terminated earlier terminated in accordance with section 13, below." 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 A- 2008 -217 on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ Interim Executive Director of the Public Works Agency CITY OF SANTA ANA KEVIN O'ROURKE Interim City Manager URS CORPORATION TARIQ HUSSAIN Vice President 25H -54 EXHIBIT A -1 REQUEST FOR APPROVAL JANUARY 16, 2013 25H -55 INFRASTRUCTURE 8 ENVIRONMENT 10 k U p REQUEST FOR APPROVAL Client: CITY OF SANTA ANA PUBLICS WORKS DEPARTMENT 20 CIVIC CENTER PLAZA, ROSS ANNEX M -20 Address of Home Office P.O. BOX 1988 SANTA ANA, CALIFORNIA 92702 Primary Contact: CARLOS CASTELLANOS, PE, QSP /D Phone NR 714 - 647 -5642 FAX N° Email CCastellanos @santa - ana.org RFA NO 001 Agreement No. 1/16/13 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Project DATE January 14, 2013 URS PN The City of Santa Ana in collaboration with the Cities of Newport Beach and Costa Mesa are currently in the preliminary engineering and planning phase of an Urban Discharge Diversion Project. URS has provided preliminary engineering and analysis to develop the project location, identify required improvements associated with the physical diversion facility and generalized evaluations of anticipated construction and operation costs. Due to the fact that the proposed project will provide multi - jurisdictional benefits through the elimination of Urban Runoff (Dry- weather Runoff) Discharge into the Upper Newport Bay and will provide for a beneficial improvement of water quality with the bay, the project is qualified to potentially be awarded grant funding OCTA Measure M — Environmental Cleanup Program. Qualification of the project for grant funding requires the completion of the project Plans, Specification and Estimates. As requested by the City of Santa Ana, URS is providing the following to progress the project to final engineering and shovel ready status to provide the most competitive grant application and ultimately meet the funding requirements. In general, as a continuation of services being provided under Agreement no. A- 2008 - 217 -01 — Engineering and Landscape Architectural Services task assignment, Urban Runoff Diversion project, URS will prepare final engineering and construction documents for the implementation of the project as described in the following tasks: S ,. W n,PRELIMINARY EMINEMMG SERVICES „„ ly :; •` Task 1.01 - Project Coordination with Project Stakeholders: URS will provide coordination and organize project meetings regarding the development of the project as specifically related to obtaining easements and rights of entry onto private properties as identified below: Newport Beach Golf Club 3100 Irvine Avenue Newport Beach CA 92660 (949) 852 -8681 Pagel 1 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTS\A. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 .DOCX 25H -56 INFRASTRUCTURE & ENVIRONMENT ka REQUEST FOR APPROVAL 1/16/13 RFA SNA001 Santa Ana Delhi F an Discharge Diversion Prnlant Orange County Public Works /Orange County Flood Control District/OC Watersheds 300 North Flower Street Santa Ana, CA 92703 714 - 834 -2300 City of Newport Beach City of Costa Mesa URS will prepare easement exhibits describing the required properties for the implementation of the project. All exhibits will be provided to the City of Santa Ana for review and approval. Upon approval, City of Santa Ana will prepare all required legal descriptions and plats required to describe and negotiate the procurement of required easements. Task 1.02 — Project Surveying Services (to be provided by others): URS will prepare a description and exhibit identifying the area to be surveyed for the development of the project. Required surveying services will include the following: Survey Based Mapping 1 " =40' project site area, Mesa Drive from the intersection of Mesa Drive and Irvine Avenue to Mesa Drive and Newport Boulevard South; Newport Boulevard South to Fair Drive. Base mapping shall include identification of manholes and provide dips to inverts of all sanitary and storm drain facilities. Ground surveys shall locate all existing surface utility appurtenances including but not limited to vaults, valve cans, fire hydrants, street lights, power poles, storm drain inlets, etc. • The survey base map shall be provided in a digital format compatible with Microstation. Task 1.03 — Project Pothole Services: URS will contract with SAF -r -DIG to perform utility potholing for visual verification, identification, inspection, measurements, and vertical and horizontal location of the existing utilities not obtained during the site survey. Task 1.04 — Construction Documents /Specifications /Opinion of Probable Costs: URS will prepare final engineering documents to include construction documents, project specifications and opinion of probable construction costs based on the following: • Title Sheet — 1 sheet • Project Details and General Notes — 1 sheet • Site Layout and Equipment Arrangement —1 sheet • Diversion Facility Layout and Details — 2 sheets • Storage Complex Layout and Details — 2 sheets • COS Layout and Details — 2 sheets • Pump Station Layout and Details — 2 sheets • Electrical Layout and Details — 2 sheets • Force Main Plan and Profile — 17 sheets • Force Main Details -2 sheets • Erosion Control Plan and Details —11 sheets • Traffic Control/Traffic Management — 10 sheets • Structural Details -4 sheets Sheet Count Total — 57 sheets • Draft SWPPP • Project Specifications • Project Opinion of Probable Costs Pagel 2 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTS\A. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 .DOCX 25H -57 INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL 1/16/13 RFA SNA 001 Santa Ana Delhi Urban Discharge Diversion Proieet Task 1.05 — Encroachment Permits and Approvals: URS will obtain encroachment permits for work activities within the public rights of way for the following: • City of Newport Beach • City of Costa Mesa • County of Orange — Airports • County of Orange - OCFCD • California Department of Transportation (Caltrans) Task 1.06 — Addenda Preparation and Pre -Bid Meeting: URS will provide bidding support and assistance as it pertains to the contract documents and construction drawings of the interim improvements. For budgetary purposes, we have assumed a number of hours in our fee estimate to answer questions from prospective bidding contractors, and assist the City of Santa Ana in providing information and clarification of the bid documents. URS will consult with the City of Santa Ana to address concerns or answer their questions in support of administering the bid process. URS will prepare four (4) addenda for all prospective bidders, if requested by City of Santa Ana. I2 ",41101 ONMENTALPLANNIRGSERVIC9S Task 2.01 - Prepare CEQA Initial Study/MND: URS will prepare a draft CEQA Initial Study (IS) /Mitigation Negative Declaration (MND) in accordance with the current CEQA Guidelines and Appendices. URS will begin with the preparation of the project description, in consultation with the City, and incorporating the following maps and other existing background data to the extent possible: • A regional map and project site map(s) illustrating the boundaries of the project area; • A statement of the project objectives, prepared in coordination with the City. • A statement briefly describing the intended uses of the IS /MND including a list of agencies that are expected to use the IS /MND in decision making /permitting and a list of the discretionary approvals for which the IS /MND will be used; • A discussion of the environmental setting; and regional setting with special emphasis on rare or unique environmental resources. The IS will include a summary of the existing environmental conditions using information readily available, such as the EIR for the Santa Ana -Delhi Channel Widening project. URS will then evaluate potential impacts of the project using the CEQA IS checklist form. Impact discussions will cover potential short-term construction impacts and potential long -term impacts of the low flow diversion project, including pipelines. For each environmental topic listed in the checklist, URS will conduct an appropriate level of analysis to support the findings of impact required. As needed, a list of mitigation measures will be included to reduce any potential impacts to less than significant. For this effort, URS will utilize our in- house technical specialists in biology, cultural resources, noise, traffic, air quality, water quality and hydrology to adequately assess the environmental topics. No separate technical studies will be prepared for the CEQA IS, other than the biological resource technical report and the cultural resources record search summary letter discussed later in this scope of work. Based on our experience with environmental issues in the local area including Upper Newport Bay, it is likely that impacts can be reduced to less than significant levels with incorporation of mitigation measures, and therefore, the IS will most likely lead to a MND. URS will submit the Draft IS /MND to the City in electronic format for up to two rounds of review and comment. If needed, URS will meet with the City to discuss comments for incorporation into the final IS /MND. On the basis of this second Pagel 3 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)12 - CONTRACTSW. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 .DOCX 25H -58 INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL 1/16/13 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Proiect review, URS will prepare a final, camera -ready IS /MND suitable for reproduction and public distribution, as well as 25 CDs of the IS /MND. Task 2.02 — Assist with Required Notifications and Responses to Comments on MND: In accordance with CEQA Guidelines Section 15072, URS will prepare a draft Notice of Intent (NOI) to adopt a MIND. The NOI must be sent to the Orange County Clerk- Recorder's office, interested public citizens, responsible agencies, and the State Clearinghouse, as well as to the local newspaper for publication. The NOI will also be posted at the project site. URS will conduct these tasks for City of Santa Ana, and will utilize a mailing list provided by the City of Santa Ana. URS will submit the draft NOI to City of Santa Ana for review and comment prior to distribution. After the 30 -day MIND review period, and within five days of the TCWD Board's adoption of the MIND, URS will prepare a Notice of Determination (NOD) as required by CEQA and file it with the Orange County Clerk- Recorder's Office and the State Clearinghouse. URS will submit a draft NOD for the City of Santa Ana's review and comment prior to any filings. During the 30 -day MIND review period, the City of Santa Ana may receive written comments from federal, state, and local agencies, as well as interested public citizens and local community and /or environmental groups. URS will assist the City in preparing written responses to comments. The responses will be provided to the City Council for review and consideration prior to the City Council meeting to adopt the MIND. Assumptions for CEQA Documentation: • All required engineering, conceptual grading plans, utility, hydrology /hydraulics, water quality, and geotechnical studies, project site plans and maps are available and suitable for use in preparing the IS /MND. • No separate technical studies will be prepared for traffic, noise, visual, water quality, and air quality. • No more than 10 public /agency comments are received on the MIND and no additional studies or environmental analysis will be required. • All CEQA filing fees required by the County of Orange and CDFG, as well as newspaper publication fees will be provided by the City. Task 2.03 - Cultural Resources Record Search and Letter Report - To evaluate cultural resources for the IS /MND, a cultural resources record search must be conducted. URS will request a cultural resources records search through the designated California Historical Resources Information System (CHRIS) information center for Orange County, California. The records search will review relevant previously recorded cultural resources and previous investigations completed for the Project Area within a % mile search radius. Information to be reviewed will include location maps for all previously recorded trinomial and primary prehistoric and historic archaeological sites and isolates, site record forms and updates for all cultural resources previously identified, previous investigation boundaries and National Archaeological Database citations for associated reports, technical reports, historic maps, and historic addresses. The search will also review properties listed on /as the California Points of Historical Interest, California Historical Landmarks, Caltrans Historic Highway Bridge Inventory, California Historical Resources Inventory, local city and county registries of historic properties, the California Register of Historic Resources, and the National Register of Historic Places. Upon completion of the cultural resources record search, results will be provided to URS by the CHRIS information center. URS will review and compile the record search results and will prepare a summary letter report discussing those results. This summary letter report will be created for use in the CEQA IS and will be used for compliance purposes for the USACE permit application process. Assumptions for Cultural Resources: Assumes the project study area covers Y. mile radius of the diversion area of the channel, CDS unit, storage tanks and associated pipelines. If the study area boundary changes, additional costs will be required to revise the records search to cover the new areas. Pagel 4 TA071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTS\A. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 DOCX 25H -59 1/16/13 1 RFASNA001 Santa Ana Delhi Urban Discharge Diversion Proiact • Records search will be conducted as a standard request. • In the event the records search results indicate the presence of known cultural resources, further cultural resources investigations may be recommended. This cost estimate does not include such additional cultural resources work. • Assumes that no paleontological search, Native American Heritage Commission Sacred Lands File search, or additional Native American Consultation is required. • The deliverable for this scope is limited to one letter request to the information center with one project map figure and one record search results summary letter report. • This cost estimate does not include any additional GIS time associated with the digitization of information resulting from the record search request or for the creation of result figures for inclusion with the letter report. Task 2.04 - Biological Field Survey and Technical Report: A biological field survey and technical report are needed to evaluate potential impacts on biological resources for the IS /MND. The survey and report are also needed as supporting documentation for resource agency permits applications (described later in Task 2.06). URS will review biological resource databases, local resource management plans, aerial photos, and any other readily available commercial data to determine the locations and types of biological resources that have the potential to occur at the Project site and general vicinity. The literature review will support the development of a brief Biological Letter Report. Following literature review, a pedestrian -based biological survey of the project site will be conducted to observe, document, and evaluate the onsite conditions and determine the potential for occurrence of common and special- status biological resources and aquatic resources. The field analysis and data collection will identify the acreages of land use and vegetation present, a list of plants and wildlife present will be compiled, and special- status species with potential to occur within the study area will be determined. The field results will be synthesized within a Biological Letter Report, which will be used in the analysis for the CEQA IS /MND as well as included as a requisite attachment to the aquatic resource permit packages. Task 2.05: - Jurisdictional Determination: For projects that may impact areas under the jurisdiction of the USACE, a jurisdictional delineation is required utilizing USACE standard delineation methods. URS evaluated the possibility of using previously - prepared Jurisdictional Delineations associated with the Santa Ana -Delhi Channel Widening project, since the channel widening areas may overlap the current project. However, based on our experience, we believe the USACE and other permitting agencies would not accept this Jurisdictional Delineation for the proposed project, and would request a project - specific delineation instead. Reasons would likely include the differing magnitude of impacts, as well as new delineation mapping standards (issued on August 6, 2012) that must be utilized in all new jurisdictional delineations. Furthermore, if utilizing previously - prepared Jurisdictional Delineation, it would be difficult to address any potential agency data requests, given that the report was prepared by another consulting firm working for a different municipality. Therefore, URS has determined it would be most appropriate to prepare a project- specific delineation for the proposed project, as discussed in the following paragraphs. URS will delineate aquatic resources within the study area utilizing the procedures and practices in the following publications and agency guidance documents: USACE Wetland Delineation Manual ; USACE Interim regional supplement to the Wetland Delineation Manual, Arid West Region, Version 2.0; and USACE and Environmental Protection Agency's (EPA) Clean Water Act Jurisdiction Following the U.S. Supreme Court's Decision in Rapanos v. United States & Carabell v. United States guidance document . A pedestrian -based field survey of the study area will be conducted using sub -meter GPS accuracy to precisely delineate the boundaries of potential aquatic resources. The field survey results will be synthesized into a Jurisdictional Delineation Report, which will be submitted as a requisite attachment to the USACE, CDFG, and the RWQCB aquatic resource permit applications. The report will identify the limits of wetlands, non - wetland waters of the U.S., waters of the State, and Pagel 5 T1071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTS\A. CONTRAC-R2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803.DOCX 25H -60 INFRASTRUCTURE & ENVIRONMENT REQUEST FOR APPROVAL 1/16/13 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Proiect jurisdictional riparian areas within the study area boundaries. It will also include Project- specific details associated with vegetation communities, soils, and hydrology of aquatic resources within the study area and will include a photolog of aquatic resources. A Preliminary Jurisdictional Determination, rather than an Approved Jurisdictional Determination, will be requested from the USACE in order to expedite the permitting process. A Preliminary Jurisdictional Determination is a formal letter from the USACE stating that Waters of the U.S. "may be" present on site and assumes federal jurisdiction. Task 2.06: Aquatic Resource Permitting: The study area includes special aquatic resource areas that will be impacted by the proposed diversion facility in the Santa Ana -Delhi Channel. Completion of Clean Water Act (CWA) Section 401 and Section 404, and California Fish and Game Code (CFGC) 1602 (et seq.) permit applications are most likely required to execute the Project. Within this scope of work, URS will prepare and submit a USACE CWA Section 404 Nation Wide Permit (NWP) Preconstruction Notification (PCN) package. The NWP Program provides applicants with a streamlined USACE evaluation and approval process for certain types of activities that have minimal impacts to jurisdictional aquatic environments. If this is feasible based on the total disturbance footprint, then it will significantly reduce the federal permit processing time and expense. The Project appears to qualify for NWP 43, Stormwater Management Facilities, so long as impacts to Waters of the U.S. are under 0.5 acre, 300 linear feet, and no construction will occur within perennial streams. It is assumed that the Santa Ana -Delhi Channel is seasonal, rather than perennial. If NWP 43 is not acceptable due to perennial flows within the channel, then NWP 18, Minor Discharges, may be potentially used. The RWQCB has determined that an individual 401 water quality certification may be required for most nationwide permits. URS will submit a CWA Section 401 Water Quality Certification (WQC) application to the RWQCB. The WQC is required for those applicants seeking a federal permit (e.g., CWA Section 404 permit) to discharge fill material into Waters of the State and /or Waters of the U.S. The USACE will not grant authorization until the WQC has been obtained or has been waived. The CDFG regulates all activities that modify the bed, bank, or channel of streams, lakes, and their associated riparian habitats under Section 1600 (et seq.) of the CFGC. A CDFG Lake and Streambed Alteration Agreement (LSAA) will be required for all activities resulting in impacts to streambeds and associated riparian habitats. URS will prepare and submit a LSAA package to CDFG to obtain CFGC 1602 (et seq.) compliance. URS will also informally correspond with applicable state and federal regulatory and resource agencies (e.g., CDFG, USACE, and RWQCB) as needed during the permitting phase to identify potential data requirements, minimization, and /or avoidance measures, and mitigation, if needed, to implement the Project. Assumptions for Biological Resources, Jurisdictional Delineation and Agency Permitting: • The preferred alternative will be finalized prior to permit application submission. • The City will provide to -scale plan view and elevation or cross section design plans that depict the Project footprint and temporary and permanent impact areas (e.g., storage, staging, access route, etc.). These plans will be compatible with GIS, Microstation, or Auto CAD, if possible. • The City will provide any necessary Project- specific documentation and components for application packages, which may include, but us not limited to, an hydrology /drainage report, water diversion plan (if work will be completed in wet portions of the channel), Best Management Plans, cubic yards of cut and fill, construction period and duration, and any other relevant documents and data required for permit applications other than the requisite items produced in this scope. • This scope assumes that the project can be permitted through a Nationwide Permit and does not include the production of an Individual Permit. • This scope does not include Federal or California Endangered Species Act (ESA) protocol surveys, consultation, or ESA permitting, if necessary for Project implementation. • This scope does not include a compensatory mitigation plan for Project impacts to special aquatic resource areas. Pagel 6 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113) \2 - CONTRACTSV\. CONTRACT \2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001- 20120803.DOCX 25H -61 1/16/13 1 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Pminct This scope does not include agency permit filing fees, potential CEQA filing fees, compensatory mitigation fees, or an environmental filing fee (Fish and Game Code Section 711.4). The services to be performed by URS will be conducted in a manner consistent with that level of care and skill ordinarily exercised by other professional consultants under similar circumstances. No other representations to the Trust, either expressed or implied, and no warranty or guarantee is included or intended. Opinions relating to presence, absence, or potential for occurrence of biological resources will be based on limited data and actual conditions may vary from those encountered at the times and locations where the data were obtained despite the use of due professional care. The services detailed in this scope will be provided and performed in accordance with the terms and conditions negotiated between the Trust and URS. Any reliance on work product generated from the execution of this scope by any other party shall be at such party's sole risk unless that party has written authorization from URS. Reference Documents — Environmental Laboratory (EL). 1987. Corps of Engineers Wetlands Delineation Manual, Technical Report Y -87 -1, U.S. Army Engineer Waterways Experimental Station, Vicksburg, Mississippi. Interim regional supplement to the Corps of Engineers Wetland Delineation Manual: Arid West Region (Version 2.0). J. S. Wakeley, R.W. Lichvar, and C. V. Noble (Eds.). ERDC /EL TR- 08 -28. Vicksburg, MS: U.S. Army Engineer Research and Development Center. U.S. Army Corps of Engineers and U.S. Environmental Protection Agency (USACE). 2008a. Memorandum Re: CWA Jurisdiction Following U.S. Supreme Court discussion in Rapanos v. United States. Task 3.01— Construction Meetings: URS will attend /conduct four (4) progress meetings of two hours each during the course of the project construction and provide agendas and meeting minutes. Task 3.02 —Contractor's RFI: URS will respond to approximately ten (10) Requests for Information. Task 3.03 — Site Visits: URS has budgeted four (4) site visits of two hours each during construction. Task 3.04 — Shop Drawing Reviews: URS has budgeted for the review of five (5) shop drawing submittals. Submittals will be reviewed for completeness and conformity with the contract documents. URS will deliver copies of the reviewed submittals to the City of Santa Ana Inspector, Project Manager, and Contractor as required. Task 3.05 — Prepare Record Drawings: URS will prepare record drawings on 24 -inch by 36 -inch mylars at construction completion, using the Contractor's and City Inspector's red lines. URS will prepare final record drawings mylars, reissued signed mylars (as needed), Microstation electronic files on CD, and one color PDF file of the entire construction plan set on CD and deliver the record drawing package to City of Santa Ana. Task 3.06 — Qualified SWPPP Practitioner (QSP): URS will provide Construction Site Monitoring for the project site. The Monitoring Program includes weekly visual inspections during the entire duration of the project, quarterly non -storm water discharge inspections, pre -storm inspections of BMPs, drainage areas, and potential pollutant areas, preparation of Rain Event Action Plans (REAPS) 48 hours prior to 50% chance of rain, post -storm water discharge inspection, and storm water sampling for qualifying rain events which produce 0.5" of rain or more. Inspections and sampling reports will be maintained onsite and placed in the SWPPP report. Schedule Upon Notice to Proceed — 200 working days Pagel 7 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113) \2 - CONTRACTS\. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 DOCX 25H -62 INFRASTRUCTURE & ENVIRONMENT ka REQUEST FOR APPROVAL CHANGE TO ESTIMATED CONTRACT PRICE (See Attachment Original Estimated Contract Price: Current estimated contract price, including previous change orders: The estimated Contract Price due to this Change Order will be increased (decreased) by: The new estimated Contract Price due to this Change Order will be: CHANGE TO THE ESTIMATED SCHEDULE (See Attachment ) N/A The Contract Time will be increased (decreased) by calendar days. The date for completion of all work under the contract will be: To be determined. 1/16/13 1 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Prnlect $ 64.950 $ 89.980 $ 338.100 $ 428.080 EXCEPT AS PROVIDED IN THIS REQUEST FOR APPROVAL, ALL TERMS AND CONDITIONS OF THE CONTRACT REMAIN UNCHANGED Pagel 8 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113)\2 - CONTRACTS\A. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 .DOCX 25H -63 INFRASTRUCTURE & ENVIRONMENT 0 REQUEST FOR APPROVAL 1/16/13 RFA SNA001 Santa Ana Delhi Urban Discharge Diversion Proierr Acceptance of the terms of this Request for Approval is acknowledged by the following signatures of the Authorized Representatives. CLIENT URS Corporation Americas Signature Signature Name/Title: Date of Signature: cc: Accounting Name/Title: Date of Signature: Pagel 9 T: \071 \CITY OF SANTA ANA \URBAN DISCHARGE WATER DIVERSION (29880113) \2 - CONTRACTS\A. CONTRACT\2 - CHANGE ORDERS \REQUEST FOR APPROVAL 001 - 20120803 DOCX 25H -64 EXHIBIT B -1 ESTIMATED COST BREAKDOWN URBAN DISCHARGE WATER DIVERSION SYSTEM 25H -65 g� `EC {a m °3 BWg 'loll -bb ire i000�ooa�mn i 'loll -bb REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AGREEMENT WITH CLIPPER CREEK INC. FOR DELIVERY AND INSTALLATION OF EIGHT ELECTRIC VEHICLE CHARGERS UNDER THE CALIFORNIA ENERGY COMMISSION "RECONNECT CALIFORNIA" PROGRAM I AGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Clipper Creek Inc. for delivery and installation of eight electric vehicle chargers under the State - funded California Energy Commission "Reconnect California" Program, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The City's Finance and Management Services Agency Fleet Division has adopted a 5 -Year Alternative Energy Strategic Plan. The objective of the plan is to incorporate alternative sources of energy for its fleet such as electricity. The goal of the Strategic Plan is to increase the proportion of Alternative Fuel Vehicles (AFVs) in the City fleet from 5% in 2011 to 85% in 2016 by gradually retrofitting or replacing fleet equipment. The Strategic Plan proposes to develop electric, propane, biodiesel (B20), and ethanol (E85) fueling stations to be used by City fleet operators, Santa Ana residents and the community at large. The Fleet Division presently operates Compressed Natural Gas (CNG) and hydrogen fueling stations in addition to gasoline and diesel pumps. However, these facilities are exclusively for City fleet operations. Under the Clipper Creek Inc. (CCI) agreement, CCI will deliver and install eight chargers at four designated City locations at no cost to the City. The chargers will then become City -owned assets free and clear of any obligations to the California Energy Commission (CEC) or CCI and would be available for public use. The chargers are manufactured by CCI and purchased by CEC for distribution across the state under the "Reconnect California" Program. CEC pays all charger procurement, delivery and installation costs. Charger recipients are required to provide and pay for the electrical infrastructure to power new chargers. This type of infrastructure costs between $3,000 and $10,000 per charger depending on location and includes dedicated 40- ampere breakers, conduits, wiring, concrete casing, and anchor bolts. Replacement chargers for legacy units do not incur these costs as legacy units already have the required infrastructure in place. 251 -1 Agreement with Clipper Creek Inc. for Electric Vehicle Chargers August 5, 2013 Page 2 of 2 Since the agreement pertains to new charger installations, as opposed to legacy replacements, the City is required to provide and pay for the electrical Infrastructure. FMCS will procure contractors to build the electrical infrastructure and pay for the costs utilizing a combination of City and grant funds from Air Quality Management District. Staff recommends approval of the agreement to enable the City to be placed on the priority list of chargers to be distributed this fiscal year. FISCAL IMPACT The electrical vehicle chargers are funded by the California Energy Commission 'Reconnect California" Program. There is no fiscal impact associated with this action. Francisco Gutierrez Executive Director, Finance & Management Services Agency Attachment: Clipper Creek Inc. Agreement 251 -2 RECONNECT CALIFORNIA CHARGE STATION AND INSTALLATION AGREEMENT Site Owner: City of Santa An Site Location: See Exhibit A (Charging Site) As an existing public electric vehicle charge station site owner ( "Site Owner "), Site Owner is being provided an opportunity to upgrade one or more electric vehicle charge stations ( "Charge Stations ") to the new SAE- J1772TM standard (CS -40, manufactured by ClipperCreek, Inc. ( "CCI ") ) to be installed by its subcontractor "CCI Program Partners ", under the Reconnect California Program (the "Program "). The Program has been funded in part under the terms of PON -09 -006 from the California Energy Commission ( "CEC "). In order for Site Owner to receive its Charge Station upgrade and installation, Site Owner agrees to all of the following terms and conditions: 1. Grant Recipient: ClipperCreek, Inc. Auburn, CA - Grant Recipient and Program Manager CCI Program Partners: 3D Datacom of Rancho Cordova, CA - Installer EV Connect, Inc. of Culver City, CA - Installer Tom Dowling, Folsom, CA — Coordinator 2. Charge Stations. Site Owners Charge Station upgrade is set forth in this section. CCI Model Number CS -40 Number of Charge Stations: 8 Exhibit "A" to this Agreement sets forth the specific Charge Station(s) and the location(s) in which the Charge Stations are to be upgraded and installed. 3. Shipment and Delivery. CCI will pay for the cost of standard delivery charges of the Charge Stations to Site Owner's locations. CCI shall choose the method by which Charge Stations are to be delivered. 4. Cost for Installation. Installation of the Charge Stations will be performed by CCI's subcontractors - -CCI Program Partners. City will pay CCI's subcontractors (CCI Program Partners) to install the Charge Stations an amount not to exceed $80,000.00. Site Owner agrees to indemnify and hold harmless, CCI, CCI Program Partners, and their officers, directors, employees, shareholders from all losses, costs, expenses, claims and/or other charges incurred by any of them as a result of the failure by Site Owner to observe each of the applicable reporting, auditing and other requirements. 5. Warranty. The Charge Stations will be covered by the terms of CCI's and CCI Program Partners' standard product and installation warranties, respectively, for a period of one (1) 251'3 year from the date of installation. Should Site Owner wish to obtain an extended product or installation warranties, Site Owner should contact CCI Program Partners for a description of applicable terms and conditions. 6. Additional Products and Services. In the event that Site Owner desires to purchase additional Charge Stations and /or related products or services, this transaction will be handled outside of this agreement. 7. Access to the Public. All of the Charge Stations will be installed in a manner and in locations that make them available for access and use by the general public. The Charge Stations and the facilities, in which they are located, shall be kept clean and in good repair. Site Owner agrees to maintain appropriate signage that clearly and prominently identifies and, where appropriate, provides directions to the Charge Stations so that they may be easily located by drivers of electric vehicles. Site Owner shall promptly call CCI Program Partners, in order to arrange for the repair of any non - functioning Charge Stations. 8. Representations and Warranties. Site Owner represents and warrants to CCI and CCI Program Partners that: (i) Authority -- Site Owner has the power and authority to enter into and be bound by this Agreement and to authorize the replacement or installation of the Charge Stations and any other electric vehicle charge products or services at the location(s) (the "Locations ") set forth in Exhibit "A"; (ii) No Violation With Existing Site Owner Electrical Supply or Other Agreements -- Site Owner assumes all responsibility that the electrical usage of the Charge Stations will not violate or otherwise conflict with the terms and conditions of any applicable electrical purchase or other agreement including, without limitation, any lease, to which Site Owner is a party; (iii)Installation of Charge Stations Will Not Violate Any Other Agreements or Laws -- Site Owner will not install or attach, or allow to be installed or attached, Charge Stations on or to infrastructure not owned by Site Owner without proper authority or consent, and will otherwise observe all applicable governmental or other restrictions (whether by agreement or otherwise) applicable to the Locations; and (iv)Compliance Laws -- Site Owner will comply with all applicable laws. 9. Further Representations and Warranties for Tenants. If the Charge Stations are to be installed at one or more locations at which Site Owner is a tenant rather than the owner thereof, Site Owner represents and warrants to CCI that Site Owner has received all consents from its landlord(s) that are necessary for the installation of the Charge Stations in a manner that does not violate its lease. Site Owner shall promptly reimburse CCI for any costs incurred by it, any of its Authorized Distributors or Certified Network Contractors, including, without limitation, reasonable attorneys fees, as a result of the installation of Charge Stations in violation of this section. 10. Publicity. Site Owner agrees to permit CCI and CCI Program Partners to use its name, in a manner reasonably approved by Site Owner, for purposes of publicizing the Program. For these purposes CCI and CCI Partners will inform Site Owner, in writing, at least ten (10) 25124 days, or less (if mutually agreed by Site Owner and CCI and CCI Partners), prior to using Site Owners name or its intent to do so, and will provide Site Owner with copies of any press releases, advertisements or other promotional materials in which Site Owner's name is to be used for review and approval. Site Owner's consent to such use will be presumed if Site Owner does not object within five (5) days of receipt of notice from CCI and CCI Partners under this section. 11. Access (i) Charging Site Location. CCI and CCI Program Partners will be granted access to the Site Location, upon receipt of sufficient notice, in order to perform the site evaluation and subsequent upgrade of the EVSE units at the Site Location. (ii) Electrical Panel. Site Owner is aware and agrees that the upgrade project will require CCI and CCI Program Partners to have access to the electrical panel supporting the EVSE(s) and hereby agrees to make someone available to allow such access to the electrical panel as required. (iii) Additional Upgrades. If more than one site visit is required, i.e., not all EVSE(s) are upgraded at the same time, to accommodate, smart grid upgrades or data collection Site Owner agrees to provide the same access for each visit upon receipt of sufficient notice. (iv) Removed EVSEs. Site Owner agrees to allow CCI and CCI Program Partners to dispose of the removed EVSEs as they see fit. (v) Data Collection. CCI and CCI Program Partners are hereby granted access to the Charging Site location for the purpose of the collection of data, which shall remain anonymous related to the EV Driver. Access shall be unrestricted except as herein stated: _(vi) Smart Grid Upgrades. CCI and CCI Program Partners are hereby granted access to the Charge Site location and corresponding electrical panel, upon sufficient notice, for the purpose of performing the initial site evaluation, charging station upgrade and subsequent smart grid module installation. (vii) Public Database. Site Owner grants CCI and CCI Program Partners permission to make the Charging Station Location and upgrade information publicly available through electronic databases. 12. No Amendment or Modification. No modification, amendment or waiver of this Agreement shall be effective unless in writing and either signed or electronically accepted by the party against whom the amendment, modification or waiver is to be asserted. 13. Waiver. CCI and CCI Program Partners failure at any time to require Site Owner's performance of any obligation under this Agreement will in no way affect the full right to require such performance at any time thereafter. CCI and CCI Program Partners failure to exercise any of its rights provided in this Agreement will not constitute a waiver of such rights. No waiver will be effective unless in writing and signed by a CCI and CCI Program Partners authorized representative. Any such waiver will be effective only with respect to the specific instance and for the specific purpose given. 251-15 14. Applicable law. This Agreement will be construed, and performance will be determined, according to the laws of the State of California without reference to such state's principles of conflicts of law and the state and federal courts of California shall have exclusive jurisdiction over any claim arising under this Agreement. 15. Insurance. (i) CCI and CCI Program Partners shall maintain, at its own expense during the term of this Agreement, Workers' Compensation & Employer's Liability. In accordance with the provisions of Section 3300 of the Labor Code, CCI and CCI Program Partners, are 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, CCI and CCI Program Partners agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: • Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. • Certificates of insurance shall be furnished to the City upon execution of this Agreement in a form approved by the City Attorney. (ii)CCI and CCI Program Partners shall not be required to maintain any employment related insurance for any employee, contractor or agent of Site Owner, whether or not said person is engaged in the Initial Upgrade or Access. (iii)CCI and CCI Program Partners shall maintain, at its own expense during the term of this Agreement, Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. (iv) Commercial General Liability Insurance. CCI and CCI Program Partners 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 CCI and CCI Program Partners 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 and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. 16. Indemnification. 251-46 Except for gross negligence or willful misconduct of the City, its officers, employees, agents, volunteers and representatives, CCI hereby assumes liability for and agrees to defend (at City's option), indemnify, protect and hold harmless City and, its officers, employees, agents, volunteers and representatives from and against any and all claims, charges, damages, demands, actions, proceedings, losses, stop notices, costs, expenses (including counsel fees), judgments, civil fines and penalties, liabilities of any kind or nature whatsoever, which may be sustained or suffered by or secured against the City arising out of or encountered in connection with this agreement or the performance of the work, including but not limited to death of or bodily or personal injury to persons or damage to property, including property owned by or under the care and custody of the City, and for civil fines and penalties, that may arise from or be caused, in whole or in part, by any negligent or other act or omission of CCI or its subcontractors, its officers, agents, employees. 17. Regulations and Instructions. (i) CCI and CCI Program Partners agrees at all times to comply with all federal, state and local laws, ordinances, rules and regulations applicable to electronic vehicle charging units in California. (ii) Site Owner agrees at all times to comply with all federal, state and local laws, ordinances, rules and regulations applicable to hosting an electronic vehicle charging site in California. Site Owner shall indemnify and hold harmless, CCI and CCI Program Partners from any 3`d party claim arising from or relating to the real property at the Charging Site used by the EV Drivers use of the Charging Site. (iii)CCI and CCI Program Partners shall only permit personnel properly instructed in the characteristics and safe handling methods associated with installation and data collection of the charging units. 18. Severability. If any provision of this Agreement is held by a court of competent jurisdiction to be invalid, void or unenforceable, the remaining provisions will continue in full force and effect without being impaired or invalidated in any way. 19. Assignment. Site Owner may not assign any of Site Owners rights or obligations under this Agreement, whether by operation of law or otherwise, without the prior written consent of CCI. 20. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed an original, but all of which, taken together, shall constitute but one and the same document. IN WITNESS WHEREOF, the parties hereto have made and entered into this Agreement this day of August, 2013. CITY OF SANTA ANA KEVIN O'ROURKE City Manager 25127 CLIPPERCREEK, INC JASON FRANCE Chief Executive Officer ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Jose Sandoval Chief Assistant City Attorney RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director of Finance and Management Services 251 -b EXHIBIT "A" DESCRIPTION OF AWARDED CHARGE STATIONS AND INSTALLATION LOCATIONS Charge Station Model Number ClipperCreek CS -40 (2) ClipperCreek CS -40 (2) ClipperCreek CS -40 (2) ClipperCreek CS -40 (2) 251 J9 Installation Location City Hall: Civic Center 20 Civic Center Plaza Santa Ana CA 92702 City Hall: Ross Annex 20 Civic Center Plaza Santa Ana CA 92702 Corporate Yard 220 E. Daisy Avenue Santa Ana CA 92703 "The Santiago" Arts District 201 East 3rd Street Santa Ana CA 92701 251 -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: AGREEMENT WITH CORRECTIONAL MANAGED CARE MEDICAL CORPORATION TO PROVIDE MEDICAL SERVICES FOR INMATE POPULATION AT SANTA ANA JAIL CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: U92010:11W ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1.) Authorize the City Manager and Clerk of the Council to execute the attached agreement with Correctional Managed Care Medical Corporation (CMCMC) to provide basic and emergency health care services for Santa Ana Jail inmates for a one -year term, in the annual amount of $1,768,732, subject to non - substantive changes. 2.) Authorize the Police Department to issue a Request for Proposals (RFP) to qualified companies to provide basic and emergency health care services for Santa Ana Jail inmates. DISCUSSION California's Board of State and Community Corrections (BSCC) requires agencies to provide basic and emergency health care services for all incarcerated individuals held within their custody. Since 2007, the Police Department has contracted with Correctional Managed Care Medical Corporation (CMCMC) to provide these mandated medical services at the Santa Ana Jail. The current contract, which expires August 31, 2013, has a base agreement amount of $1,273,732 with an additional $100,000 contingency for unanticipated expenditures, for a total agreement amount of $1,373,732. On July 3, 2013, CMCMC gave Jail Administration notice that it would not seek renewal of the contract as it had done in previous years. Company representatives reported the company could no longer sustain financial losses it had absorbed over the years as the company attempted to adapt to the increased medical needs of a changed inmate population. CMCMC reports that over the past five years it has increased staffing levels and medical supplies beyond originally contracted amounts, and has seen a drastic increase in lab costs. As a result of these increased costs, the company is requiring an additional $395,000 annually to provide service beyond August 31, 2013. The new agreement base amount is $1,668,732 with an additional $100,000 contingency for unanticipated expenditures, for a total agreement amount of $1,768,732. 25J -1 CMCMC Agreement August 5, 2013 Page 2 The Police Department recommends issuing a Request for Proposals (RFP) to ensure that jail medical services are provided in the most cost effective manner. The RFP process requires more time than is available prior to the contract's August 31, 2013 expiration date. This one -year agreement will provide the additional time necessary to complete the RFP process and continue medical services until a decision is made regarding the future of the jail. FISCAL IMPACT Funds for this agreement and unanticipated incremental portion will be covered with the current year budget and anticipated fiscal year -end saving. Staff will closely monitor the Police Department accounts and may request a mid -year budget adjustment if necessary. Funds are currently available in the Jail Operations Contract Services account (no. 01114475 62300) and various other Police Department Contract Services accounts (no. 62300). APPROVED AS TO FUNDS AND ACCOUNT: Carlos Rojas o rr ►� —' =� -�- Frand ancis c Gutierrez Acting Chief of Police Executive Director , Police Department Finance and Management Services Agency 3tM Exhibit A: Agreement Exhibit B: Request for Proposal X13 -036 25J -2 AGREEMENT FOR THE PROVISION OF INMATE MEDICAL SERVICES BETWEEN CITY OF SANTA ANA AND CORRECTIONAL MANAGED CARE MEDICAL CORPORATION THIS AGREEMENT is made and entered into this 31 st day of August, 2013 by and between CORRECTIONAL MANAGED CARE MEDICAL CORPORATION, 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 providing basic and emergency inmate medical 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 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. TERM This Agreement shall commence on August 31, 2013 and terminate on August 31, 2014, unless terminated earlier in accordance with Section 15, below. 2. SCOPE OF SERVICES Contractor shall provide basic and emergency medical services to inmates at the Santa Ana Jail as outlined in Contractor's letter proposal attached hereto and marked as Exhibit "A" and incorporated herein by reference. The proposal letter outlines the services previously agreed upon by Contractor as part of Contractor's response to RFP 07 -062 and previously provided to the City from 2007 to 2013. Exhibit A 25J -3 3. COMPENSATION a. The Total Annual Sum to be expended under this Agreement for staffing, pharmaceuticals, supplies and other services shall be a base amount of $1,668,732 with an additional $100,000 contingency for unanticipated expenditures, for a total agreement amount of $1,768,732 as outlined in the attached Exhibit `B. ". b. One - twelfth of the Total Annual Sum shall be paid monthly by the 30`h day of each month, after receipt of a complete invoice. Payment for Additional / Chargeback Services 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. c. City shall not reimburse Contractor for services provided beyond the expiration and /or termination of this Agreement, except as may otherwise be provided under this Agreement, or specifically agreed upon in a subsequent Agreement. 4. INDEPENDENT CONTRACTOR Contractor is, and shall at all times be deemed to be, an independent contractor, wholly responsible for the manner in which it performs the services hereunder. Contractor is entirely responsible for compensating staff and consultants employed by Contractor. This Agreement shall not be construed as creating the relationship of employer and employee, or principal and agent, between City and Contractor or any of Contractor's agents, employees or subcontractors. Contractor assumes exclusive responsibility for acts of its employees, agents or subcontractors as they relate to the services provided during the course and scope of their employment. Contractor's employees, agents or subcontractors shall not be entitled to any rights or privileges of City employees, nor be considered in any manner to be City employees. 5. EXPENDITURE AND REVENUE REPORT No later than sixty (60) days following the end of the initial term, or any subsequent term of this Agreement, Contractor shall submit to City for informational purposes only, an Expenditure and Revenue Report for that period. Such report shall be prepared in accordance with the format that is provided by City. 6. FACILITIES PAYMENTS AND SERVICES City shall compensate Contractor and Contractor agrees to provide the services, staffing any equipment and supplies, and reports in accordance with Exhibit A to this Agreement. Contractor shall operate continuously throughout the term of this Agreement with at least the required number and type of staff which meet applicable City, State and Federal requirements, and which are necessary for the provision of services hereunder. 25J?4 INSPECTIONS AND AUDITS A. City, any authorized representative of City, any authorized representative of the State of California, the Secretary of the United States Department of Health and Human Services, the Comptroller General of the United States, or any of their authorized representatives, shall have access to any books, documents and records, including but not limited to medical and client records of Contractor which such person deem pertinent to this Agreement, for the purpose of conducting an audit, evaluation, examination or making transcripts during the periods of retention set forth in the Records section of Exhibit A to this Agreement. Such persons may at all reasonable times inspect or otherwise evaluate the services provided pursuant to this Agreement, and the premises in which they are provided. B. Contractor shall actively participate and cooperate with any person specified in subparagraph A above in any evaluation or monitoring of the services provided pursuant to this Agreement, and shall provide the above - mentioned persons adequate office space to conduct such evaluation or monitoring. C. Following an audit report, in the event of non - compliance with applicable laws and regulations governing funds provided through this Agreement, City may terminate this Agreement as provided for in the Termination paragraph or direct Contractor to immediately implement appropriate corrective action. A plan of correction shall be submitted to City in writing within thirty (30) days after receiving notice from City. D. Within fourteen (14) days of receipt by Contractor, Contractor shall forward to City a copy of any audit report. Such audit shall include, but not be limited to, management, financial, programmatic or any other type of audit of Contractor's operations, whether or not the cost of such operation or audit is reimbursed, in whole or in part, through this Agreement. 8. 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. Comprehensive General Liability Insurance. Contractor shall maintain comprehensive general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting there from 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 there from, and property damage, in the total amount of $2,000,000 per occurrence. Contractor shall supply City with a fully executed additional insured endorsement on a form approved by the City Attorney at the time this Agreement is executed. b. 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 2 5J35 the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than 51,000,000 per accident. c. Any person providing Physician Services pursuant to this Agreement shall maintain Professional liability (errors and omissions) insurance against medical malpractice with a combined single limit of not less than S 1,000,000 per claim and $3,000,000, in the aggregate, per year. 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 affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 9. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, Contractors, special counsel, and representatives from any liability 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. 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 asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the direct or indirect operations of Contractor. City may make all reasonable decisions with respect to its representation in any legal proceeding. 2 5J4 6 10. CONFIDENTIALITY a. Contractor shall maintain the confidentiality of all records, including billings and any audio and /or video recordings, in accordance with all applicable State and Federal codes and regulations, as they now exist or may hereafter be amended or changed. b. Prior to providing any services pursuant to this Agreement, all employees, subcontractors, and volunteer staff or interns of Contractor shall agree, in writing, with Contractor to maintain the confidentiality of any and all information and records which may be obtained in the course of providing such services. The agreement shall specify that it is effective irrespective of all subsequent terminations of Contractor's employees, subcontractors, volunteers or interns. c. All confidential information furnished by Contractor to City hereunder will be kept confidential by City and shall not, without the prior written consent of Contractor, be disclosed by City, or by its representatives, contractors, or employees in any manner whatsoever, in whole or in part, and shall not be used by City or its representatives, contractors or employees who need to know the Confidential information. 11. 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. 12. NOTICE a. 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 FERN City of Santa Ana Santa Ana Jail 60 Civic Center Plaza Santa Ana, California 92702 telefacsimile (714) 245 -8116 25J57 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: Correctional Managed Care Medical Corporation 4211 E. La Palma Avenue Anaheim, California 92807 telefacsimile (714) 528 -5801 Attn: Harmohinder S. Gogia, M.D. 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. b. NOTIFICATION OF DEATH — Upon becoming aware of the death of any person receiving services hereunder, Contractor shall immediately, in person or by telephone, notify the on- premises Jail Administrator or his designee, the Orange County Coroner, and the Orange County District Attorney. In addition, Contractor shall, within sixteen (16) hours after such death, deliver in person or by facsimile machine, a Written Notification of Death to the above persons. The telephone report and Written Notification of Death shall contain the name of the deceased, the date and time of death, the nature and circumstances of death, and the name(s) of Contractor's officers or employees with knowledge of this matter. Upon request, and to the extent allowable by law, Contractor shall provide the Coroner, District Attorney, Jail Administrator or his designee with a complete copy of the deceased patient's medical record. c. NOTIFICATION OF SPECIAL INCIDENTS — Immediately upon becoming aware of any occurrence of a serious nature which may expose either party to liability or disrupt the services hereunder, Contractor shall verbally notify the on- premises Jail Administrator or his designee. Such occurrences may include but are not limited to accidents, injuries or acts of negligence, or any incident or circumstance which adversely impacts the capacity of Contractor to provide the services hereunder. Such verbal notification shall be followed within twenty -four (24) hours, by written notification to City and the Jail Administrator or his designee. 25J68 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terns of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of 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. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer or delegate any interest herein and any such assignment, transfer or delegation shall be considered null and void. However, obligations undertaken by Contractor pursuant to this Agreement may be carried out by subcontracts, provided such subcontracts are approved in writing by City, meet the requirements of this Agreement as they relate to the service or activity under subcontract, and include any provisions that City may reasonably require. No subcontract shall terminate or alter the responsibilities of Contractor to City pursuant to this Agreement. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 15. TERMINATION a. This Agreement may be terminated by either party without cause, by giving thirty (30) days written notice of termination. b. After receiving any Notice of Termination, Contractor shall continue to provide services and cooperate with City staff until the date of termination in a manner which is consistent with recognized standards of quality patient care and prudent business practice, and obtain immediate clarification from City of any unsettled issues of contract performance during the remaining contract term. c. The right and remedies of City provided in this Termination paragraph shall not be exclusive, and are in addition to any other rights and remedies provided by law or this Agreement. d. City may terminate this Agreement immediately, upon written notice, on the occurrence of any of the following events: 1. The loss by Contractor of legal capacity. 2. Cessation of services 25J19 3. Delegation or assignment of Contractor's services operation without written approval by City Of Santa Ana 4. Neglect by any physician or licensed person employed by Contractor of any duty required pursuant to this Agreement 5. The loss of accreditation or any license required by the Licenses and Law paragraph of this Agreement 6. The continued incapacity of any physician or licensed person to perform duties required pursuant to this Agreement 7. Unethical conduct or malpractice by any physician or licensed person providing services pursuant to this Agreement; provided, however, City may waive this option if Contractor removes such physician or licensed person from serving anyone pursuant to this Agreement. 16. NONDISCRIMINATION A. Employment. 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. B. Services, Benefits and Facilities. Contractor shall not discriminate in the provision of services, the allocation of benefits or the accommodation in facilities on the basis of ethnic group identification, race, color, religion, ancestry, creed, sex, national origin, marital status, age, sexual preference, medical condition or physical or mental disability. For the purpose of this subparagraph B, "discrimination" means denying a client or potential client any service, benefit or accommodation that would be provided to another and includes, but is not limited to, the following: L Denying a client any service or benefit or availability of a facility. 2. Providing any service or benefit to a client which is different or is provided in a different manner or a different time from that provided to other clients. 3. Restricting a client in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service or benefit. 4. Treating a client differently from another in satisfying any admission requirement or condition or eligibility requirement or condition, which individuals must meet in order to be provided any service or benefit. 5. Assignment of terms or places for the provision of services on the basis of ethnic group identification, race, religion, ancestry, color, creed, sex, marital status, national origin, age, sexual preference, medical condition or physical or mental disability of the clients to be served. C. Persons with Disabilities — Contractor agrees to comply with the provisions of Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794 et seq., as implemented in Title 45 CFR, Section 84.1 et seq.) pertaining to the prohibition of discrimination against qualified persons with disabilities in all programs or activities, and the Americans with Disabilities Act of 25J810 1990 (42 U.S.C. 12101 et seq.) as they exist now or maybe hereafter amended together with succeeding legislation. D. Retaliation — Neither Contractor nor its employees or agents shall intimidate, coerce or take adverse action against any person for the purpose of interfering with rights secured by Federal or State laws, or because such person has filed a complaint, certified, assisted or otherwise participated in an investigation, proceeding, hearing or any other activity undertaken to enforce rights secured by Federal or State law. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES a. Contractor and all of its employees and subcontractors providing services pursuant to this Agreement shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. b. Contractor warrants that all Contractor physicians providing services under this Agreement are and will continue to be as long as this Agreement remains in effect, the holders of currently valid unrestricted licenses to practice medicine in the State of California. 19. COMPLAINCE WITH ALL LAWS a. Contractor shall cause all of its activities under this Agreement and all activities at the Santa Ana Detention Facility to be performed in compliance with all applicable federal, state, and local laws, ordinances, and regulations. b. All medical services will meet California Administrative Code (CAC), Title 15 - Minimum Standards for Local Detention Facilities, National Detention Standards of Immigration and Code Enforcement Bureau as well as all other applicable laws, regulations, codes and guidelines relating to health care services and programs in adult detention facilities in the State of California. 25J911 20. MISCELLANEOUS PROVISIONS a. Neither party intends that this Agreement shall create rights hereunder in third parties, including but not limited to any subcontractors or any clients provided services hereunder. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura A. Rossini Assistant City Attorney RECOMMENDED FOR APPROVAL: CARLOSROJAS Acting Chief of Police CITY OF SANTA ANA KEVIN O'ROURKE Interim City Manager CORRECTIONAL MANAGED CARE ME Tax ID# 25Jt°12 (Name) (Title) EXHIBIT A 25J "13 Correctional Managed Care Medical Corporation 25J -14 TABLE OF CONTENTS TABLE OF CONTENTS 1. CORPORATE SUMMARY I I E. INsuRANCE A. RECEIVING SCREs �n n ,.~~—'^..,~—~~~~.~.,.~~^--- .~~~~~~.~.,.,~~.^^~^......0 D.ToyoorUI.OS|S8oxnnmnNu—. ................................................. .................... .......... ............................... 15 CRs�TxA�u^m^� � ~`~—~~^~~^~~~^~^^^~~^'^`.^~^~.~~~~~^^~~~~^...... ....... ..^�l5 D.D^orTuwusor MEDICAL, ReonuxTS ......................................... ...................... ............................................. \7 E. SICK CALL ~—~^~.~^~~^^`^17 [PLk�k�m�cY�8uv/csx � `^`~^--~~^^~^~~~^^~~~~^~~~~^~^^~~~^~~~~~~....`...—^|9 G�»x� Dims � ^--`^~—^^^`^~~~^~~--`~~~~^~`^.^^`^~—~~`—`^`^--^,......`..%2 RDw/exuCwCx SERVICES .......................................................................................................... ........................ .23 [ HOSPITAL TRANSFERS ................... ............................................... — ... ........ ..... ............ ............... ........ 25 J. DENTAL SsuWnS ...... ......................................................... ^~^^..,~.~~ .... ~~.^. .................................. 25 K. MENTAL HEALTH 3EKYlCB3. ........... ........................................ ............................... ........................... .-IU L.DC?0XIFtC0ION '--``^—`~~'—``~`^~^^~~^`^~`~~~~~—.~`~~~~~~.,.........29 M. JAIL STAFF SymvICaS `~^```~~~^~^^--`~^--~^^~~~^^—^^—~^'~`~`^....... ..,.29 l Staff TD testing and hepatitis vaccines .................................... ........... ... ............. ................................... 2o l7rnini/g/or Jail personnel. —,— ............... ...... ............................................................................ .,....... 30 N. LABORATORY SERVICES ............... ............. . ......... .~^..,,.,~~~~. ........ .................................... J0 \l MEDICAL RECORDS ...... ............. .............. .3i y. POLICY AND PROCEDURES .... .................... ...~..~~^—~~~~~~^^`~~~~~~~—.....—.... ..... 37 () MEETINGS AND &upoxrS ...................................................... ~,—`~~.—~^ .............................................. )% K. QUALITY ASSURANCE PROGRAMS .................... ....... ................................... .—~~^^^^.~—^~ .......... }3 S. RESPONDING T0 COMPLAINTS AND INQUIRIES ............ .... .................. .................................. ............. 34 [AL ADDITIONAL SERVICES ���� *��U�� �U�� 35 A. REPAIR OF DENTURES, DENTAL PLATES, PARTIAL PLATES ................................................... ............................... 35 B. RADIOLOGY SERVICES ........................... ... ... .......................... ........ .... ............... ...................................... - ......... 35 C. OPHTHALMOLOGY SERVICES ............................................................................................... ............................... 35 D. 013STEiTRICS AND GYNECOLOGY SERVICES ..... ...... ............................... .. .............................. ............................... 36 E. WERGENCY PSYCHIATRIC CRISIS INTERVENTION ................................................ ............................... 36 r. BILLING SERVICES ................................................................................................................. ............................... 37 G. OFF -SITE MEDICAL SERVICES ............................................................................................... ............................... 37 IV, PERSONNEL SERVICES 38 A. EQUAL EMPLOYMENT OPPORTUNITI ES ................................................................................ ............................... 38 B. PRE - EMPLOYMENT PROCESS ................................................................................................ ............................... 38 C. LlCENSURFJCE.RTT.PICA'IfON RF'QU[REMENTS ....................................................................... ............................... 38 D. ORIENTATION OF NEW PERSONNEL ....................................................................................... ............................... 39 E. PERFORMANCE. REVIEW ......................................................................................................... ............................... 39 F. SECURITY ISSUES .................................................................................................................. ............................... 40 !, G. RESPONSIBLE PHYS[CIAN /HEALTH AUTHORITY ..................................................................... .............................. 40 H. SOLE CONTRACTOR ................................ - .................... ................................................ ................................. ....... 41 i ! I. STAFFING REQUIREMENT S ...................... ........................................................................ .......... - .......................... 41 i V. BONDS ............................................................................ I........................................................ .............................45 VI. COST SUMMARY FORM ................................................................................................... .............................46 VII. RFP ADDENDA ................................................................................................................. ............................... 47 ATTACHMENTS; I. EXECUTIVE AND MANAGEMENT PROFILES 2. CONTRACT VENDOR INFORMATION 3. PROVIDER CURRICULUM VITAES 4. CERTIFICATION OF NONDISCRIMINATION BY CONTRACTORS AND TOTAL QUALITY SERVICE 25J -16 I. CORPORATE SUMMARY Correctional Managed Care Medical Corporation (CMCMC) is submitting the following proposal for the provision of medical services to the inmates housed at the City of Santa Ana Jail (Jail). All medical services will meet California Administrative Code (CAC), Title 15, Minimum Standards for Local Detention Facilities as well as all other applicable laws, regulations, codes and guidelines relating to health care services and programs in adult detention facilities in the State of California. While there are several companies that provide contracted medical services to the correctional industry, we believe that there are several distinct differences between CMCMC and other companies: 1. CMCMC is a private company formed for the exclusive purpose of providing correctional managed care services to correctional institutions. 2. CMCMC provides correctional managed care services solely in the State of California, thereby allowing our management team to concentrate on familiarizing themselves with the unique problems and issues of the California correctional system. We are also well versed in the state laws and regulations governing correctional facilities, including CAC Title 15, 3. CMCMC's corporate offices are in Orange County, California. We believe that all successful endeavors begin with open communication and are maintained by a close partnering relationship and mutual understanding of objectives. By basing our headquarters in Orange County (our office is, in fact, only 6.5 miles from the Jail), Ms. Linda Cardoza, CMCMC's Chief Operating Officer is able to meet regularly City of Santa Ann Jail _ 1_ Proposal for Irunate Medical Services RFP® 07062 25J -17 with the Jail's administrative staff to discuss issues concerning patient care, the provision of medical services, and any potential problems and/or concerns. We believe that this style of open communication is essential to providing quality medical services. 4. CMCMC has been providing medical services to the City since March 1998. Since the inception of the new contract we have added Mental Health support services and billing services for off -site emergency medical care. We have added off -site medical services for contracted U.S. Marshal Prisoners and we added TB testing for all Santa Ana Police Department personnel. We are very proud of our existing partnership with the City and with the level of care and services that are currently being provided and we believe that CMCMC remains the best choice for providing medical services to the Santa Ana City Jail. A. COMPANY QUALIFICATIONS Formed in 1989, as a physician owned managed care corporation, CMCMC has been providing inmate's access to comprehensive, high quality, cost - effective medical care for the past Twenty Four (24) years. As mentioned above, CMCMC's corporate headquarters are located in Anaheim, California. Our address is 1475 S. State College Blvd Suite 202, Anaheim, California, 92806, The Corporate staff can be reached by calling (714) 635 -4700. In March 1998, CMCMC had undergone both a name change and a restructuring of the company and its management team. City of Santa Ana Jail 2 Proposal for Innnato bleAical Services RFP# 07 -062 25J -18 Included in this restructuring was an intentional reduction in the number of existing contracts. This allows CMCMC to concentrate on providing managed care medical services to county and city correctional agencies throughout the State of California. Due to this reduction in contracts, CMCMC's Board of Directors also eliminated most of the executive and upper- management positions. This has given the Chief Operating Officer the ability to make contract decisions, and have a more supportive relationship with the contract administrators, without having to obtain prior approval from a cadre of executives. This change also provided correctional administrative personnel with easier access to the Chief Operating Officer. Please see the following page for CMCMC's corporate organizational chart. Please see Attachment 1 for profiles of CMCMC's Executive and Management Teams. B. COMPANY EXPERIENCE In addition to providing services for the City, CMCMC also provides specialty medical services to the Orange County Jail, located in Orange County, California, and we provided comprehensive medical services to the Madera County Department of Corrections' Adult and Juvenile Detention Facilities, located in Madera, California, Please see pages 5 - 7 for descriptive overviews of our contracts. City of Santa Ana fail .g _ Proposal for Gimate Medical services RFPH 07 -062 25J -19 Q H O O V a d U A W d V A w U a d a O U O U a d z O E� d d C� x O W O O U 25J -20 0 � O p C � O •uN N N 'ti -h N O N �5 W �F y dz .� C z a a 2, City of Santa Ana Jail - Santa Ana, California: Original contract date: 1/28/97 Contract Length: 1/28/97 — 8/31/98 Re -bid contract date: 9/1/98 Contract Length: 9/l/98 — 8/31/01 Contract Renewal: 9/1/01 — 8/31/07 Amendment 9/01/08 — 8/31/09 Amendment 9/01/09 — 8/31 /10 Amendment 9/01/10 — 8/31/11 Amendment 9/01/11 — 8/31/12 Amendment 9/01/12 — 8/31/13 CMCMC is providing managed care services for an average daily population of 403 inmates up to a maximum of 480 for the City of Santa Ana Jail. The prisoner population includes contracted US Marshall and Federal and Immigration Custom Enforcement (ICE) prisoners. Scope of services include on -site intake triage; sick call; "man- down" emergency service; on -site psych clinics; on -site dental clinics; coordination and follow -up on off -site in- patient and out - patient clinics for all U.S. Marshal prisoners; emergency psychiatric crisis intervention and evaluation; over the counter medications and supplies; on -site radiology services; off-site laboratory services; pharmacy services; utilization management and supply tracking reporting. CMCMC processes the billings for emergency medical services for the City of Santa Ana. These services are integrated with CMCMC's managed care management information system to provide information management and reporting. Contact Ann Matulin, .fail Administrator Santa Ana City Jail 62 Civic Center Plaza Santa Ana, CA 92701 (714) 245 -8120 City of Santa Ana laic _5_ Proposal for inmate Medical Services RRO 07 -062 25J -21 Orange County Health Care Agency, Orange County California: Original contract dates: 7/1/91 - 6/31/96 Contract renews: 7/1/01 - 6/30/04 Contract renewal: 7/1/04 — 6/30/09 Contract renewal: 7/1/09 — 6/30/13 Contract renewal: 7/1/01.3 — 6/30/14 CMCMC provides the Orange County Jail (5,000 inmates), at the contracted hospital, with primary and specialty physicians; inpatient and outpatient services; quality assurance and continuous quality improvement and utilization management activities; and policy and procedure development. CMCMC provides on -site Radiology services at the Intake and Release Center (IRC) and at Theo Lacy Jail. We also maintain the County's Information System database specifically for the contract. Contact: Ernest Williams, M.D., Medical Director Orange County Jail 550 N. Flower Santa Ana, CA 92801 (714) 647 -4169 Ciry of Santa Ana fail Proposal for Inmate Medical Services RFP9 07 -062 25J -22 Madera County Department of Corrections. California: Original contract dates: 7/1/93 - 6/30/96 Contract renews: 7/1/01 — 6/30/02 (fourth renewal) Contract renewal: 7/1/02 — 10/15/06 CMCMC provided comprehensive health care services for the Adult Detention Facility (375 inmates) and two (2) Juvenile Detention Facilities (100 minors) including primary and specialty physicians; inpatient, outpatient and ancillary services; on -site intake triage; sick call; "man- down" emergency services; on -site psych clinics; on -site dental clinics; emergency crisis intervention and evaluation; over the counter and long term medications and supplies; off -site laboratory services; on -site radiology services; quality assurance and continuous quality improvement activities; utilization management; policy and procedure development; and overall program administration. CMCMC received CMA Accreditation effective October 1998 and maintained CMA Accreditation throughout the contract. Contact: Eric Fleming, Ass't CAO Madera County Administration 200 West 4ti' Street Madera, CA 93637 (559) 675 -7703 City of Santa Ana Jail _�- Proposal for Inmate Medical Services RFPU 07 -0Q 25J -23 C. COMPANY ACHIEVEMENTS CMCMC's contract achievements include: For the City of Santa Ana: ➢ F,liminated the use of Registry personnel; ➢ Initiated the coordination of Mental Health Support Services thereby reducing the City's liability, ➢ Initiated the coordination of on -site specialty services, thereby reducing transportation and security concerns, and ➢ Initiated Pharmacy contracts between PharMerica and INS and the U.S. Marshal Service thereby reducing our pharmaceutical costs. ➢ Initiated off -site medical services for U.S. Marshal Service thereby improving our ability to increase the number of prisoners housed at the jail. For the County of Orange: ➢ Delivered initial overall cost saving of 15 %; ➢ Delivered an additional 8% cost reduction as part of a two year, fixed rate contract renewal; ➢ Reduced inpatient days per thousand inmates by 35 %; ➢ Added extensive prenatal care services without increasing county costs; and ➢ Increased specialty clinics at no additional cost to the County of Orange. For the Madera County Department of Corrections-, ➢ Delivered immediate cost savings of 25% over the previous contract provider; City of Santa Ana fail _$- Proposal for [notate Medical Services UN 07 -062 25J -24 ➢ Successfully implemented the medical program in less than 30 days; ➢ Established improved working relationships with county public health and mental health departments; Provided staffing levels exceeding contractual requirements with no increase in costs to Madera County; ➢ Eliminated the use of Registry staff through the development of a Per Diem musing pool, and ➢ Awarded CMA Accreditation in October 1998, October 2000, October 2003 and 2006 with CMCMC meeting 100% of the applicable "Essential" standards. D.REFERENCES 1. CEO Western Medical Center Hospital, Anaheim 1025 S. Anaheim Blvd. Anaheim, California 92805 (714) 563 -2881 2. MD Correctional Medical Services Medical Director Orange County Jail 550 North Flower Street Santa Ana, California 92701 (714) 647 -4169 3. Division Manager Orange County Health Care Agency 405 West Fifth Street City of Santa Ana Jail Proposal for Inmate Medical Services RHO 07 -062 Santa Ana, CA 92701 (714) 834 -4418 25J -25 E. INSURANCE CMCMC will maintain the following levels of insurance and will require that all of our subcontractors maintain the same levels of coverage. Certificates of insurance shall be in duplicate and addressed to the City of Santa Ana. All insurance shall remain in effect during the life of the contract. Certificates must indicate that the City shall receive written notice 30 days prior to any cancellation or reduction in coverage. 1, Comprehensive General Liability insurance to include Completed Operations, Contractual, Independent Contractors and Personal Injury; and Automobile Liability, including all auto; with at least the following combined limits of Liability: a. Primary Bodily Injury Liability limits of $1,000,000.00 per occurrence. b. Primary Property Damage Liability limits of $1,000,000.00 per occurrence. c. Primary Bodily Injury and Property Damage Liability combined single limit of $1,000,000.00 is preferred. 2. Medical malpractice insurance of not less than three million dollars ($3,000,000.00) per occurrence. 3. Employer's Liability with a combined single limit of $1,000,000.00. 4. Worker's compensation insurance, in accordance with the provisions of the Labor Code of the State of California. 5. No more than 20 days after notification of award, a separate additional insured endorsement is required for part "1" above. (Commercial City of Santa Aria fail -to- Proposal ror Omrato Medical Services aFPP 07062 25J -26 General Liability insurance) naming the City if Santa Ana, its officers, agents, employees and volunteers as additional insured. City of .Santa Ana Jail Proposal for Inmate Medical Services RFPN 07 -062 25J -27 II. MEDICAL SERVICES CMCMC's proposal for the Jail is based on a contract start date of September 1, 2007 and an inmate population of 480. We understand that the term of this contract will be for three (3) years with a maximum of two (2), one (1) year extensions. CMCMC will comply with all CAC Title 15 guidelines including, but not limited to, the following: ➢ Individualized treatment plans ➢ Vermin control ➢ Care of pregnant and lactating women ➢ Management of communicable diseases ➢ Decision malting related to special -need inmates ➢ Direct orders ➢ Use of restraints ➢ Standardized procedures ➢ Continuity of care ➢ Inmates in segregation ➢ Safety cell services Health promotion and disease prevention In addition to meeting the above Title 15 requirements, CMCMC will be responsible for identifying, evaluating, treating and monitoring all inmate medical conditions, including applying, monitoring and removing sutures. The following details the services that CMCMC will be providing to the City. City of Santa Ana.fail -12_ Proposal for Inmate Medical Services RFPM 07 -062 25J -28 A. RECEIVING SCREENING CMCMC recognizes that the completion and review of the intake screening form is a critical health encounter. Not only does this process initiate the health record for the inmate and begin to organize on -going health care, but also more importantly, it is intended to serve the preventive health function of protecting the confined population from infectious diseases through astute medical evaluation. The intake screening form is completed by the Detention Officers and includes the following: A. Inquiry into: 1. Fast history of illnesses and medical conditions, 2. Known allergies, 3. Current illness and health problems, 4. Communicable diseases (including sexually transmitted diseases), 5. AlcohoUdrug abuse history (method /types, as well as date and time of last usage), and problems related to stoppage, 6. Medications currently being taken and other special health requirements, 7. Dental status, 8. Chronic health problems (including behavioral medicine), 9. Dietary restrictions, and 10. History of, and current possibility of; suicide risk. B. Observation of: 1. State of consciousness, 2. Mental status (including suicidal ideation), 3. Appearance, City of Santa Ann Jai -13- Proposal for Inmate Medical Services RFPR 07.062 25J -29 4. Conduct including tremors and/or sweating, 5. Bodily deformities and ease of movement, and 6. Condition of skin and body orifices including signs of trauma, bruising, lesions, jaundice, rashes, infestations, needle marks, and/or other signs of drug usage. C. Explanations of procedures for accessing health care services. D. Classification into one of the following categories: 1. Immediate emergency treatment needed, 2. Referral to an appropriate health care service, or 3. Assignment to the general population. If the Detention Officer believes that an inmate requires immediate medical attention or is identified as having an existing medical condition, the medical department will be notified. A licensed nurse will then respond to the intake area to triage the inmate and provide treatment and /or referral to the appropriate provider, as indicated. Inmates requiring emergency medical care, that cannot be provided on -site, will be transferred to either the Orange County Jail or Western Medical Center, Santa Ana's emergency room for evaluation and treatment. The intake screening process is critical to insure that the medical liability to the City of Santa Ana is at a minimum. CMCMC's medical staff works well with the Detention staff to insure that this process is successful. All screening forms will be reviewed by the NP and, if indicated, referred to the appropriate provider for evaluation and treatment. CMCMC will make recommendations regarding housing and handling requirements and will provide follow -up care as indicated. All inmate encounters will be documented and placed in the inmate's medical record. City of Santa Ana Jail -14- Proposal for Inmate Mdical Services RFP# 07 -062 25J -30 B. TUBERCULOSIS SCREENING All inmates will be screened for tuberculosis (TB) within four (4) days of admission into the Jail. The nursing staff will begin by interviewing the inmate to determine his /her reactivity to the tuberculin skin test (TST). Inmates who do not have a verifiable positive test result history will have the TST administered at this time, according to the Mantoux method, with readings taken in 48 to 72 hours. Immune compromised inmates will be anergy tested at the time of the skin test to minimize the risk of a false negative result. Positive TST results will trigger a more extensive examination to determine the likelihood of active disease. Individuals considered positive reactors (by history or skin test) would receive a chest x -ray. The physician, regardless of the skin test result, will examine HIV positive or possible positive, individuals whose chest x -rays are abnormal or whose symptoms are suggestive of active tuberculosis. Sputurn stains and cultures will be performed on those individuals suspected of being positive for active tuberculosis. While cultures are pending, the inmate will be housed in respiratory isolation. Confirmed cases of TB will be reported to the proper authorities including the Jail Administrator and the Orange County Department of Public Health. Inmates with inactive tuberculosis will be given future TB testing instructions and education. Screening results will be placed in the inmate's medical record and reviewed and approved by the physician or NP during the health appraisal. C. HEALTH APPRAISAL All inmates will receive a comprehensive medical history and physical examination within fourteen (14) days after admission. The history and exam will be performed by qualified and trained health professionals (if City of Sa as Ma Jail - L 5- Proposal rot hunate Medical Services RPPN 07 -062 25J -31 not a physician or NP, the results will be reviewed and initialed by the physician). The history and examination will include the following: A. Review of the receiving screening form. B. Review of any available medical records. C. Review of TB testing results. D. Completion of the medical, dental, and mental health histories. The history will include gender specific inquiries regarding menstrual cycle and unusual bleeding, the current use of contraceptive medications, the presence of an IUD, breast masses and nipple discharge, possible pregnancy for females, and penile discharge for male inmates. E. Physical examinations including laboratory and /or diagnostic tests to detect communicable disease (e.g., sexually transmitted diseases). Additional tests, such as urinalysis and /or blood work, will be ordered as determined by the examiner. Examinations for females will include a pregnancy test, and, if indicated, Pap smear and GC cultures. HIV tests will be completed when indicated and as consented to by the inmate. P. Complete vision and hearing screenings. G. Completion of a dental screening. 11. Mental Health screening (including suicidal ideation). 1. Laboratory and other diagnostic test results. J. Current diagnosis orders and course of treatment. K. Referrals for follow -up and specialty care. L. Recommendations regarding housing, job assignment, and program participation. All recommendations will be communicated, in writing, to the detention staff. City of Santa Ana Jail -16- Proposal for Inmate Medical Services RFP# 07 -062 25J -32 M. Initiation of treatment, if indicated. All health appraisals will be documented thoroughly and forms will be placed in the inmate's medical record. Please see the following page for a diagrammatic depiction of the Receiving Screening, TB testing, and Health Appraisal Process. D. DAILY TRIAGE OF MEDICAL REQUESTS E. SICK CALL Daily triaging of medical requests is designed to ensure that inmates have the ability to request medical attention on a daily basis. This function also improves the delivery of health care services by ensuring that medical problems are prioritized and handled in a medically appropriate and timely manner. All inmates (including those in segregation) will be able to request medical services by utilizing the existing written request form (described in the following section). Requests will be gathered, reviewed and triaged by the nursing staff seven (7) days a week, including holidays. Emergencies will be evaluated and treated Immediately. Other requests will be prioritized and referred to the appropriate provider as indicated. Completed request forms will be placed in the inmate's medical record. The objectives of sick call are several: (1) to meet the day - to-day needs of the inmate, (2) to provide care which minimizes the potential for exacerbation or complications, (3) to maximize the level of services provided on -site, and (4) to provide patient education. City or Santa Ana Jail -17- Proposal for Inmate Medical Services RFPP 07 -062 25J -33 The Registered Nurse (RN) and /or NP a minimwn of five to six (5 -6) days a week, including holidays, will conduct sick call. The sick call process begins when the inmate completes the Medical/Dental Request Form. Completed request forms will be delivered to the medical department on a daily basis. Each request will be date stamped, reviewed, and handled in one of the following three ways: (1) as part of daily triaging completed by the LVN, (2) scheduled to see the RN for further evaluation, or (3) scheduled to the appropriate provider for evaluation and treatment. All inmates requesting medical services will be seen within 24 to 48 hours and all urgent and emergent sick calls will be seen immediately. Inmates who cannot attend sick call due to custody status will have sick call services provided in their cell or module. All sicle call encounters will be documented in the medical record. Please see the following page for a flow chart describing the sick call process. F. PHARMACY SERVICES Pharmacy services will be provided in accordance with CAC Title 15 guidelines, and all applicable federal and state codes and regulations. CMCMC shall be responsible to provide routine over - the - counter medications and routine prescription care for all inmates. Long -term medication for chronic care, including HIV and psychotropic medications, shall be the responsibility of the inmate's contracting agency. Ciry of sma Ma Jail -19- PRvposal ror Inmate Medical Services RFPB 07 -062 25J -34 Sick Call Process Category I: Minor health problems which appear not to pose a threat to life, limb, vision or hearing and which are treatable with fist aid or over - the - counter medication. This category also includes individuals being monitored for blood pressure, blood sugar, wound healing, etc. Category II: A significant health problem which needs physician attention, but which can be safely delayed until the next NP /physician sick call Category III: A specific health problem which demands prompt medical attention to prevent further compromise. Inmates submits sick call request Sick call request reviewed and triaged by nursine staff IF THEN Treated during —3► Category [ daily triage r rra v Scheduled for next Category lI NP /physician sick call l:'G' THEN Inmate treated Category III immediately by appropriate medical Inmate evaluated and Olt Inmate referred to treatment completed specialist or hospital for further care as appropriat 25J -35 Inmate receives medical clearance to return to the general population All information will be incorporated into the inmate's health record Qualified nursing personnel, during regularly scheduled pill call rounds will administer medications in the modules. Medications will not be administered without a prescription from the physician, dentist, qualified mental health staff, and/or NP. Medical record documentation will include the recording of administration of medications, the fact that inmates are receiving and ingesting their medications, and the reason an inmate's ordered medication was not given, if indicated. Pharmaceuticals will continue to be provided by Correct Rx Pharmacy Services 803 -A Barkwood Court Linthicum, MD 21090 In order to receive competitive pricing with the pharmaceuticals CMCMC has contracted with Correct Rx Pharmacy based out of Linthicum, MD. Prescriptions will be prepared offsite and delivered to the medical department on a regular Monday- Saturday schedule, excluding holidays. CMCMC will maintain a supply of STAT medications to help ensure that inmates needing high -risk medications do not experience a lapse in treatment. CorrectRx will provide all medications in bulk unit dose packages. Medications may be given in tablet, liquid or syringe form. Administering of syringe medications will be conducted in the medical exam areas only. Medications will then be administered by qualified nursing personnel as ordered by the physician and /or other health care providers (i.e. dentist, NP, Psychiatrist, etc). In most cases medications will be administered in liquid form to decrease the chance of inmates "checking" medications. City of Santa Ana Jail -21- Protwsal For Tamale Medical Servic.� RFPB 07 -062 25J -36 i All medications and supplies will be secured, accessible only to designated staff, and administered solely by nursing personnel unless directed otherwise by the prescribing physician. Prompt collection of expired non - controlled medications, unused a medication remaining after an inmate leaves the Jail, as well as timely disposal of all Class II, III, IV, and V medications will be monitored by the NP and the pharmacist. A licensed pharmacist will perform quarterly pharmacy audits to ensure contract compliance, compliance with CAC Title 15 guidelines and state and federal regulations. G MEDICAL DIETS As mandated by CAC Title 15, CMCMC's responsible physician will review and approve all diet manuals to ensure that they incorporate the four (4) basic food groups (based on the Manual of clinical Dietetics and Manual of the American Dietetic Association) and accommodate special therapeutic diets, the medical staff may, upon request due to religious and/or personal preference, advise inmates who are on restricted diets on how to meet their nutritional needs while incarcerated. (Non - medically restricted diets must have the approval of the Santa Ana City Jail's Administration). The physician and /or other qualified providers will prescribe medical diets, as indicated. The food services department will be notified, in writing, when a medical diet has been ordered. Please see (page 23) for the Nutritional Guidelines Food Guide Pyramid. City of Santa Ana Jail _22_ Proposal for Inmate Medical services RFPN 07 -062 25J -37 H. EMERGENCY SERVICES Emergency services, including first aid and the treatment of injuries, will be provided on -site, whenever possible. Care will be initiated, and /or supported, by the physician, the dentist, and nursing staff. The physician will be available 24 hours a day, seven (7) days a week. CMCMC's medical staff will provide emergency treatment for Detention Officers who are injured or become ill while on the job. Treatment will consist of stabilization and referral to the individual's physician or local emergency room. First response medical care will also be provided to all visitors. City of Santa Ana Jail -23- Proposal for Gimate Medical Services RFPH 07 -062 25J -38 Food Guide Pyramid Fats, DIIS & Sweets KEY USE SPARINGLY G Fat (naturally o purring and added) Fat Thew symbols show fate and added sugars in foods. Nik, Yogun & Meat, Poultry, Irish, Dry Beans, Cheese Group Eggs & Nuts Group 2^3 SER NGS 24 SERVINGS vegetable Group ll it Fruit {group 34 SERVINGS 2.4 SERVINGS CMCMC W2006 Source: USDA /DHHS 25J -39 Bread, Cereal, Ries & Pasta Group S•t t I. HOSPITAL TRANSFERS If an inmate requires a level of care that cannot be provided on -site, CNICMC will, in coordination with Jail Detention Staff, arrange for transfer to Western 'Medical Center, Santa Ana's emergency department for evaluation and treatment. J. DENTAL SERVICES Dental services will meet all standards set by the American Dental Association, the Centers for Disease Control and Prevention, and Occupational Safety and Health Administration. On -site dental services were established at the Jail effective September 1, 1998. CMCMC contracts with Helen Ninh, DDS and Maria Mayo, DDS for the provision of the dental services detailed below. Dr. Ninli is the lead dentist and her business address is 48 Sunset Circle, Westminster, California, 92683. Please see ffipM for a copy of Dr. Ninh's and Dr. Mayo's Curriculum Vitae. Inmates will receive a dental screening and instruction on basic hygiene during the health appraisal. Identified problems will be referred to the dentist for evaluation and treatment. On -site dental clinics will be held once per week for a minimum of four (4) hours per clinic (depending on the number on inmates scheduled to see the dentist). Requests for dental services will be made available through the sick call process (, =). Requests will be triaged and prioritized according to acuity. All inmates needing dental care will be seen by the dentist within three (3) weeks of submission of request. City or Sanra Ana Jail _25_ Proposal for Inmate Medical Services RFP4 07 -062 25J -40 Dental services will include, but not be limited to: ➢ Extractions X -Rays ➢ Temporary fillings Y Teeth cleaning and gum care `v 24 hour emergency services CMCMC understands that we will not be responsible for periodontal, endodontics, oral surgery, and the provision of orthodontic appliances. Please see the section entitled III. Additional Services (1" P for information regarding the repair of dentures, dental plates and partial plates. K. MENTAL HEALTH SERVICES All mental health policies and procedures will meet CAC Title 1.5 guidelines, the legal and ethical guidelines of mental health professional organizations, and federal, state, and county laws and regulations. CMCMC will continue to utilize the services of Ravinder P. Singh, M.D., for the provision of mental health services. Dr. Singh has been providing these services since January 1997. Her business address is 1905 N. College Ave., Ste, G, Santa Ana, California, 92706. Please see for a copy of Dr. Singh's Curriculum Vitae. Mental health services will include: Psychiatric assessment and evaluation: Initial identification or inmates with mental health care needs will take place during the receiving screening process. Inquiries into past and present mental health problems, as well as suicidal ideation will be made. City of Santa Ana Jail -26_ Proposal For lowate Medical Services RFP# 07 -062 25J -41 Inmates needing further treatment will be referred to the mental health staff for evaluation and treatment. If the innate is currently receiving, or has received treatment from an outside agency, the agency will be contacted and the necessary mental health information will be requested. Inmates identified as suicidal will immediately be evaluated and treated, as needed (please see section below entitled Emergency crisis, intervention and suicide prevention services). Routine /non - emergent services: Inmates can make a routine request for non - emergency mental health services by use of the sick call request process ( , �. Detention Officers can also refer inmates for evaluation and assistance. Routine requests will be triaged and scheduled for the next available mental health clinic. Mental health clinics will be held twice a month for a minimum of four (4) hours per clinic (depending on the number of inmates scheduled for each clinic). Emergency, crisis intervention and suicide prevention services: Requests for emergency mental health services can be made by Detention Officers and /or inmates 24 hours a day, seven (7) days a week. A member of the medical staff will immediately respond to all emergency- requests. CMCMC contracts with College Hospital Costa Mesa (CHCM) for the provision of crisis intervention and mental health support services. Please see FAIRIfiM, for CHCM vendor information. Mental health support services include: Y Licensed mental health professionals trained in emergency psychiatric crisis intervention and evaluation. City of Santa Ana Jail _27_ Proposal for Innate Medical Services JUN 07 -062 25J -42 ➢ 24 hour, 7 days a week availability. ➢ Response time to the Santa Ana Jail will be 30 -45 minutes. Y Licensed staff will provide crisis intervention and evaluation of inmates demonstrating behaviors and/or symptoms related to psychiatric distress, i.e., severe depression and psychotic episodes ➢ The CHCM Mobile Response Team will continue to provide evaluation of persons for 5150 Hold when appropriate and facilitate transfer of clients to designated psychiatric facility. This service will continue to be operated in compliance with Orange County Health Care Agency policies and procedures outlined in the Mobile Psychiatric Assessment Team Standards of Practice. If a Federal Hold inmate is found to be acutely mentally disturbed, as well as a danger to self and /or others, and/or gravely disabled, he will be transferred to an inpatient psychiatric facility by the contracting agency. Suicide prevention services will include assessment (as outlined above), intervention, and treatment by members of the mental health and medical staff. The scope of intervention services will include close observation, suicide watch, emergency medications, and therapeutic restraints. Appropriate use of ysvchotropie medications: The psychiatrist and /or the physician will prescribe psychotropic medications for the sole purpose of treatment of mental and emotional disorders. Medications will be administered on a voluntary basis unless the psychiatrist declares an emergency situation. With the exception of emergency situations, the psychiatrist will provide patient education at the time the medication is prescribed. The psychiatrist City of Santa Ana Jail -28- Proposal for Oimate Medical Services RFPlt 07 -062 25J -43 will explain to the inmate in simple language the anticipated risks and benefits of tatting the medication. The inmate will then sign the Informed Consent Form, acknowledging an understanding of this information. Psychotropie medications will be ordered for no more than 30 days without a face -to -face evaluation by the psychiatrist, L. DETOXIFICATION CMCMC will be responsible for the proper disposition and care of inmates undergoing detoxification from drugs and /or alcohol. Inmates will be individually evaluated as to the need for medically supported detoxification treatment during the receiving screening process. The medical staff will evaluate all inmates upon admission into and, when notified, prior to leaving the detoxification cell. Once admitted to the detoxification cell, a nurse will check on the inmate at a minimum of once every six (6) hours. Inmates, who, according to existing standardized procedures, appear to need acute medical attention will be transferred to an appropriate setting for treatment. M. JAIL STAFF SERVICES 1. Staff TB testing and hepatitis vaccines CMCMC will provide baseline tuberculosis testing to all Jail personnel every six (6) months and immediately after any exposure incident. Testing will be via the two (2) step Mantoux technique; intradermal injection of 0.1 ml of purified protein derivative (PPD) containing five (5) tuberculin units. City ol'Sanra Ana Jail .29- Proposal for Innate Medical Services RFP# 07 -062 25J -44 CMCMC will offer the three (3) step hepatitis B vaccinations to all Jail personnel. The immunization series will be Recombivax HB' manufactured by Merck, Sharpe & Dohme or as stated by the most current regulations. Antibody testing to evaluate seroconversion and appropriate booster injections, if indicted, will be provided after three (3) years. Documentation regarding administering of tests, lab results and signed consent forms will be forwarded to the Jail Administrator for inclusion into existing personnel files. 2. Training for Jail personnel CMCMC currently provides the Detention Officers with a minimum of five (S) two (2) hour sessions on Blood borne Pathogens, TB, Universal Precautions, and other topics as deemed necessary by the Jail and by CMCMC. N. LABORATORY SERVICES CMCMC will continue to utilize Quest Diagnostic located in Santa Ana for the provision of laboratory services. All routine and non - cultured test results will be returned to the medical department within 24 hours. Results will be reviewed upon receipt. STAT results will be phoned into the medical department with the written report to follow. All STAT results will be communicated to the NP and /or physician upon receipt. Test results along with documentation of review and plan of action will be placed in the medical record. City orSantn Ann Jail -30. Proposal for Inmate Medical services RrP# 07 -062 25J -45 Laboratory logbooks will be maintained to ensure timely collection and reporting of results. Logbooks will also be used to evaluate the utilization of services. O. MEDICAL RECORDS CMCMC will maintain all medical records in accordance with, CAC Title 15 guidelines, and all other applicable codes and regulations. A complete medical record will be initiated for each inmate. CMCMC requires accurate and timely reporting from all members of its medical staff and enforces policies requiring thorough documentation of all patient encounters (including mental health encounters). Each record will include, but not be limited to, a problem list, progress notes, receiving screening, health assessment forms, record of medication administration, and diagnostic test reports. Medical records will accompany the inmate to on -site health care encounters and will be secured separately from confinement records. A transfer summary form and copies of pertinent medical records will accompany inmates transferred to other correctional facilities, as well as to off -site medical appointments and /or hospital transfers. Copies of medical records generated off -site will be requested for inclusion in the inmate's medical file. CMCMC acknowledges that all medical records are the property of the City and will be maintained by CMCMC only while its contract is in force. All records will be kept confidential, but will be accessible to authorized medical personnel (including dental and mental health). Files City of Santa Ana Jail -3 t- Proposel for Inmate Medical Services UP 07 -062 25J -46 will also be made available to other authorized individuals, as required by law. CMCMC will maintain inactive health records for a minimum of seven (7) years and will follow established procedures for archival storage. P. POLICY AND PROCEDURES CMCMC will continue to adhere to the procedure manuals already in existence at the Jail. These manuals comply with all CAC Title 15 guidelines and have been reviewed and approved by the Jail Administrator and the Orange County Public Health Department. CMCMC maintained a 100% compliance for the 2007 O.C. Public Health Department audit. All manuals will be reviewed and updated, on an annual basis. All updates and revisions will be reviewed and approved by the Jail Administrator, prior to implementation. Q. MEETINGS AND REPORTS CMCMC's Chief Operating Officer meets regularly through formal and informal meetings with the Jail's Administration. CMCMC's ability to meet quickly has developed prompt problem solving and pro- active dialog to insure issues are resolved quickly before they become problems. The medical staff will meet on a monthly basis and minutes will be kept on file as well as distributed to all employees. CMCMC will also be available to attend Jail and/or City meetings as requested. ON OF Santa Ana Jail -32- Pr4usal for Inmate Medical services 1UN 07 -062 25J -47 To ensure timely and accurate reporting of events, a comprehensive Statistical and Activity Report will be provided to the Jail Administrator and/or designee on a monthly basis. This report will include, but not be limited to, statistical workload data on: ➢ Sick call visits ➢ Health appraisals ➢ Dental visits Mental health clinics ➢ Laboratory services ➢ Prescribed medications ➢ Medical diets D Additional services R. QUALITY ASSURANCE PROGRAMS Within CMCMC, quality assurance and utilization management are viewed as codependent activities that are driven by the same purpose. This purpose being to provide a systematic vehicle for the review, evaluation, remediation, and monitoring of medically necessary care in a way that provides all inmates with equal access to cost effective medical care, that meet or exceed, community standards. Quality Assurance (QA) mechanisms shall encompass all aspects of medical care including, but not limited to, diagnostic studies, treatment modalities, appropriate health resource utilization, medical record accuracy and confidentiality, and an assessment of the patient's perception of quality of care. The QA Committee will be responsible for developing and implementing QA mechanisms. The Chief Operating Officer for CMCMC has the City or Santa Ana Jail -33- Proposal for Inmate Medical Services RFN 07.062 25J -48 responsibility to ensure that the Committee addresses and accomplishes the program goals. S. RESPONDING TO COMPLAINTS AND INQUIRIES CMCMC will investigate all inmate - related inquiries, writs, and complaints in accordance with the Jail's policy and procedures. The Chief Operating Officer will investigate each complaint, develop a response and, if indicated, a recommended course of corrective action. This recommendation and the rationale behind it will be provided, in writing, to all concerned parties. If the inmate disputes the outcome of an investigation, CMCMC will implement recommendations made by the .Tail Administrator or his /her designee. CMCMC's staff will also testify in court concerning writs of habeas corpus filed by inmates, as required by subpoena. T. EQUIPMENT, FURNISHINGS, AND SUPPLIES CMCMC understands that the City will be responsible for providing food, linen, and other maintenance services to the inmates housed at the Jail. CMCMC further understands that we will continue to be responsible for all other office and routine pharmaceuticals, medical supplies, forms, instruments, uniforms, tools, and equipment needed to provide medical and dental services. City of Santa Ana Jail _34_ Proposal for Inmate Medical Services RPPII 07-062 25J -49 III. ADDITIONAL SERVICES The following services will be scheduled and paid for on a per -use basis. These services will not be connected or billed together with any other services in this proposal.. A. REPAIR OF DENTURES, DENTAL PLATES, PARTIAL PLATES CMCMC will utilize the services of Glidewell Laboratories located in Newport Beach, California, for all repairs of dentures, dental plates and partial plates. B. RADIOLOGY SERVICES CMCMC will, if at all possible, perform all routine radiology services on- site at the Jail. On -site services will include chest x -rays to rule out TB and x -rays to rule out routine fractures. These services will continue to be provided through Diagnostic Lab X -Ray. All x -rays will be taken by a registered technician and read by a licensed Radiologist. Emergency radiology services or services that cannot be provided on -site will be provided by Western Medical Center, Santa Ana. Reports will be delivered to the medical department within 24 hours. Upon receipt, all STAT results will be communicated to the on -call physician/NP, All results will be reviewed and placed in the medical record. Documentation will include both the review and plan of action, if indicated. C. OPHTHALMOLOGY SERVICES CMCMC has obtained the services of Margaret Taw, M.D. and Triet Nguyen, M.D., for the provision of emergency ophthalmology services, City of Santa Ana Jail -35- Propasal for Inmate Medical Services Rf N 07 -062 25J -50 i.e., foreign objects, possible orbital fractures, etc. Dr, Taw's business address is 3356 W. Ball Road, #206, Anaheim, California, 92804 and Dr. Nguyen's address is 9286 Bolsa Ave., Westminster, CA 92683. Please see jL for a copy of Dr. Taw's and Dr. Nguyen's Curriculum Vitae. D. OBSTETRICS AND GYNECOLOGY SERVICES CMCMC will continue to utilize the services of Joseph Khan, M.D. and Nandi Wijesinge, M.D., for the provision of obstetrics and gynecology services for the Jail. Dr. Khan has been providing these services since January 1998. His business address is 1629 W. 17s' St., Ste. C, Santa Ana, California, 92706. Dr. Wijesinge has been providing services since April 2005. His business address is 1211 W. La Palma Ave., Suite 101, .v,a. Anaheim, CA 92801. Please see ,, c for a copy of Dr. Kahn's and Dr. Wijesinge's Curriculum Vitae. E. EMERGENCY PSYCHIATRIC CRISIS INTERVENTION CMCMC currently contracts with College Hospital Costa Mesa for the provision of emergency psychiatric crisis intervention and evaluation. The mental health support team will be utilized as needed for imnates in psychiatric distress, i.e., severe depression (suicidal ideation) and psychotic disorders (schizophrenia). CHCM provides a complete evaluation with findings and suggested disposition for safe care of the inmates. Their services are provided with a 30 -45 minute response time. They also provide the evaluation for 5150 holds for the local arrestees. Please see ���� ' for a copy of their vendor information. City or Santa Alin Jail -36- Proposal for Wmate Medical Services RPPN 07 -062 25J -51 F. BILLING SERVICES CMCMC currently provides billing services, through our claims adjudication system, for the City of Santa Ana. This service extends to the billing of off -site emergency medical care. CMCMC currently processes claims for both. Hospital and Physicians providers. CMCMC includes a complete accounting of all services that includes the following: > Complete claims report; report includes name of patient, date of service, provider of service and amount billed and amount to be paid, > Copy of each claim paid, > Invoice for the monthly administrative fee. > The Chief Operating Officer reviews all hospital and provider claims to insure that the City pays for only what they are responsible for and all other claims are directed to the appropriate law enforcement agency. G OFF -SITE MEDICAL SERVICES CMCMC, in- conjunction with Western Medical Center, Anaheim, contracts with the U.S. Marshal Service for the provision of out - patient specialty services and hospitalization. CMCMC coordinates all out- patient services and monitors all in- patient services to insure that appropriate utilization of care is accomplished and the patient returns, timely, to the jail. City of Santa Ana Jail .37- Propo,al for Inmate Modical Services RFP# 07 -062 25J -52 IV. PERSONNEL SERVICES A. EQUAL EMPLOYMENT OPPORTUNITIES CMCMC promotes a drug free work place and is an equal opportunity employer. We do not discriminate on the basis of age, sex, race, color, religion, sexual preference, and national origin or handicap status. B. PRE - EMPLOYMENT PROCESS CMCMC believes that to most effectively interact with inmates and provide them with quality care; all staff must be capable of clear thinking, exercising good judgment and quick decision - making and have adequate experience in the delivery of correctional medical services (all potential employees will have at least three (3) years health care experience). CMCMC also believes that it is imperative that staff members serve as healthy, stable role models and exhibit sound professional judgment. Therefore, once CMCMC has identified a potential employee, the pre- employment process will begin. This process includes reference checks, verification of licensing and credentialing. C. LICENSURE /CERTIFICATION REQUIREMENTS All CMCMC personnel are required to possess licenses, certifications and qualifications appropriate to their positrons. Credentials are verified with the issuing institution before employment, or contracting, and are re- verified annually in conjunction with regular performance reviews and contract renewals. CMCMC personnel are also required to meet minimum criteria for their job description and participate in initial and ongoing training programs. City of Santa Ana Jail -38- 11roposat for Inmate Nledical Services UPit 07.062 25J -53 D. ORIENTATION OF NEW PERSONNEL All new employees will be required to complete a two (2) week orientation program, In addition to data and materials regarding their employment with CMCMC, the New Employee Orientation Program will provide employees with information on the business commitment to the City as well as knowledge about the unique operating guidelines within the Jail. We also work with the Jail so that all CMCMC employees receive an orientation to the Jail's security practices, and policies and procedures including the pamphlet "Anatomy of a Set Up ". CMCMC will also provide an adequate number of reference books for use by the medical staff. Reference books will include, but not be limited to, current medical dictionary, current Physician's Desk Reference, Drug Handbooks and physical assessment manuals. CMCMC will provide job descriptions for all staff positions. All employees will receive a copy of their respective job description, and signed acknowledgment of receipt will be placed in all personnel files. Job descriptions will be reviewed and updated annually to ensure compliance with standards and contract requirements. E. PERFORMANCE REVIEW Performance reviews are completed as follows: )�, 90 -Day Review: This review is solely for the purpose of evaluating an employee's continued employment by CMCMC. City of Santa Ana Jail Proposal for Inmate Medical Services HFP# 07 -062 25J -54 ➢ Annual Review: Generally given each year on the anniversary of an employee's date of hire. ➢ Non - Scheduled Review: From time to time a supervisor may administer non - scheduled reviews of an employee's performance. These reviews may be the result of prior disciplinary action, recognition of outstanding performance, or as part of CMCMC's continued efforts to provide timely feedback on an employee's effectiveness. F. SECURITY ISSUES All potential employees will be required to successfully complete a background investigation conducted by the Jail. CMCMC understands that the company, and its staff, are subject to, and will comply with, all Jail security regulations and procedures. It is also understood that the jail Administrator and/or his /her designee has the right to deny and/or rescind facility access to any employee who does not .pass the background investigation or who violates facility policies, rules and/or regulations. G. RESPONSIBLE PHYSICIAN/HEALTH AUTHORITY Dr. Gogia, CMCMC's Chairman of the Board is the Responsible Physician and the Health Authority for the Jail. As such, Dr. Gogia is responsible for all clinical judgments related to inmate treatment. City of Santa Ana Jail •40- Proposal for banate Medical Services RPPH 07 -052 25J -55 H. SOLE CONTRACTOR CMCMC understands that the City intends to award this contract to a single contractor. We further understand that if our contract is renewed, CMCMC will have sole responsibility for all company business issues including, but not limited to, subcontractor affairs; salaries; licensing; training; administration and management issues; and bookkeeping and benefits. I. STAFFING REQUIREMENTS CMCMC will maintain adequate levels of on -site staff to fulfill the health care needs of the inmates housed at the Jail. Full time (FTE) staff schedules will be based on 40 -hour workweek. CMCMC will observe those holidays recognized by the City. Holidays will be staffed as weekend coverage. Each FTE will be credited with eight (8) hours of work for each holiday. Due to the close proximity of CMCMC's corporate office, Linda Cardoza, Chief Operating Officer, will oversee the daily operations of this contract with the on -site supervisor, Tera Jiron. Ms. Cardoza will be on -site as often as needed and will be available on -call 24 hours a day, seven (7) days a week. RN's and/or LVN's will be on -site 24 hours a day, seven (7) days per week and will provide the majority of on -site medical services. The NP will be on -site to conduct sick call and complete inmate health appraisals for the Jail. The NP will be on -site 4 -5 hours per day, five (5 -6) days per week. Medical Records Clerk will also be available Monday — Friday to assist the medical staff as needed. In addition to on -site visits, the City of Santa Ana Jail -41- Proposal for Inmate Medical Services l 07 -062 25J -56 physician will be on -call 24 -hours a day, seven (7) days per week for emergency services. CMCMC is submitting the staffing plans that meet the requirements detailed in the RFP. Please see the following pages for the required staffing plans. On -call staff including physicians and administrative staff will be required to carry pagers and/or cell phones at all times, and will be required to respond to calls within 30 minutes, and to arrive at the Jail within two (2) hours of a request to respond. City of Santa Ana Jail -42- Proposal for Inmate Medical Services RGPYI 07 -062 25J -57 MEDICAL STAFFING PLAN `B" MINIMUM REQUIREMENTS Position Sunday Monday Tuesda Wednesda --fbursday Friday Saturday Chief On -call On -call On -call On -call On -call On -call On -call Operating Officer 24 hr. 24 hr. 24 hr. 24 hr. 24 hr. 24 hr. 24 hr, On -call On-call On -call 00-call On-call On-call O n ca Il MD 24 hr. 24 hr. 24 hr. 24 hr. 24 hr. 24 hr. 24 hr. NP 1700 -2100 1.700 -2100 1700 -2100 1700 -2100 0800 4200 RN 0900 -2i00 0900 -2100 0900 -2100 0900 -2100 0900 -2100 0900 -2100 0900.2100 RN 2100 -0900 2100 -0900 2100 -0900 2100 -0900 2100 -0900 2100 -0900 2100 -0900 LVN 0800 -2000 0800 -2000 0800 -2000 0800 -2000 0800 -2000 0800 -2000 0800 -2000 2000 -0900 2000 -0900 2000 -0900 2000 -0900 2000 -0900 2000 -0900 2000 -0900 Med. Rec. Clerk 0830.1700 0830 -1700 0830 -1700 0830 -1700 0830 -1700 Chief Operating Officer: On -call 24 hours a day, 7 days per week MD Position: On -call 24 hours a day, 7 days per week - (On -site sick call once a week or as needed) NP Position: 4 -5 hours per day, 5 -6 days per week RN Position: 24 hours per day (2 Day shift& 1 on night shift), 7 days per week LVN Position: 24 hours per day (2 Day shift& 1 on night shift), 7 days per week Medical Records Clerk: 8 hours per day, 5 days per week (40 -hour work week) Dentist: I clinic a week (Wednesdays), minimum 4 -hour clinic Dental Ass't: 4 hours a clinic, as needed Psychiatrist: Two 4 -hour clinics per month, I" and 4th Monday 25J -58 AM If chosen as the successful bidder, CMCMC will maintain a yearly performance and payment bonds in the amounts equal to the proposer's annual charge for services. The performance bond shall be executed in a manner provided by law. This bond will be submitted to the City within 20 days of notification of award. City of Santa Ana Juil -q5- Proposal For Inmate Medical Services RFP# 07 -062 25J -59 COST SUMMARY FORM Total annual cost for inmate medical services. $1,663.732.00 (Including Staffing Cost) Breakdown information: Staffing Cost $1,181,214 Pharmaceutical cost $85,000.00 Supply cost 8625M Other $311.268.00 Additional Services (Section 13.0) Per unit repair cost for Dentures, Plates & Partials $200.00 Per study cost for mobile x -ray service amm (Including Radiologist interpretation, transcription and delivery) Cost per patient visit for Ophthalmology $150.00 Cost per patient visit for OB /G YN $150.00 Cost per visit for Emergency Psychiatric Crisis $50.00 Intervention & Evaluation Monthly administrative fee for billing services $500.00 BIDDERS STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Proposal. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions. Correctional Managed Care Medical Corporation (714) 635 -4700 Complete Legal Name of Company Phone Number 1475 S. State College Blvd Anaheim, California 92806 Zip Code Director of Finance Niza Guerrero Signature of Authorized Agent — Title Printed Name 25J -60 CURRICULUM VITAE Maria T. L. Gonzalez -Mayo DMD 1013 Maertzweiler Dr Placentia, CA 92870 (714) 572 -3198 Work Experience: 2/1999 to Present: Dentist 1-lealth Care Agency, County of Orange Correctional Medical Services 550 N. Flower St, Santa Ana, CA 92701 Phone No (714) 647 -4601 Performs General Dentistry at Orange County Jails and Juvenile Hall 5/1999 - 8/2000: Dentist Adult & Children's Dental Group 4444 Tweedy Blvd. South Gate, CA 90280 Phone No (323) 564 -2444 Performed General Dentistry 2/1999- 5/1999: Dental Hygienist Mesa Dental Center 267 E. 17"' St. Costa Mesa, CA 92627 Phone No (949) 646 -2411 P'erlormed oral prophylaxis, subgingival scaling and root planning, coronal polish. Educated patients on soft tissue management 11/1998- 5/1999: Dentist Jocelyn A. Soliven, DMD 8055 Van Nuys Blvd. Ste G Van Nuys, CA 91402 Phone No (818) 787 -9012 Performed General Dentistry 25J -61 Maria T.L. Gonzalez -Mayo DMD Page 2 11/1998 - 5/1999: Dental Hygienist Burton D. Schnierow, DDS, Inc 13450 Hawthorne Blvd. Hawthorne, CA 90250 Phone No (310) 679 -0106 Performed oral prophylaxis, subgingival scaling and root planning, coronal polish. Educated patients on soft tissue management. 10/1991 - 11/1998: Registered Dental Assistant Azita Adelynia DDS Anaheim Hills Dental Center 8170 E. Santa Ana Canyon Rd. Ste 192 Anaheim Hills, CA 92808 Phone No (714) 283 -0815 And Kagihara & Shiba Dental Office 16311 Ventura Blvd. Ste 1075 Encino, CA 91436 Phone No (818) 783 -2770 Licenses: Education: Training: References: Chair side assisting: Prepared patients for examination, treatment or surgery; took, developed and mounted dental x -rays; did coronal polishing and sealants; took impressions and made study models, bleaching stints and soft splints; maintained dental supplies and equipment; removed post - extraction and periodontal dressings; and instructed patients on oral care and hygiene. Dentist Registered Dental Assistant Corona] Polishing Dental Radiology Doctor of Dental Medicine Centro Escolar University Manila, Philippines The Art of Endodontics- Dental Education Laboratories Dental Waste Compliance- Stericycle, Inc. Furnished upon request 25J -62 e a Helen Tran Ninh, D.D.S. 48 Sunset Circle Westminster, CA 92683 EDUCATION: 1999 -2000: University of California, San Francisco Advanced Education in General Dentistry Award: Certificate of Completion 1995 -1999: Case Western Reserve University School of Dentistry- Cleveland, Ohio Degree: Doctor of Dental Surgery 1989 -1994: University of California, Irvine Biological Sciences Degree: Bachelor gfScience LICENSES: California and Western Regional States PROFESSIONAL EXPERIENCES: Current County of Orange - Healthcare Agency Institutional Health Services - Dental Officer Current Cosmetic Dentistry Center Private Practice - General Dentistry Telephone: (714) 875 -2319 helenninha,vahoo.com Current City of Santa Ana - Correctional Managed Care Contract Dentist 2001 -2003: California Smile Dental Group Private Practice- General Dentistry 2000 -2001: Patricia Donnelly, DDS Private Practice- General Dentistry 1999 -2000: Buchanan Dental Clinic General Dentistry 25J -63 1999 -2000: Highland General Hospital/Alameda County Med, Center Fixed and Removable Prosthodontics Oral Maxillofacial Surgery 1999 -2000: San Francisco General Hospital Oral Maxillofacial Surgery 1999 -2000: UCSF Mott Hospital -San Francisco Dental Emergency /Primary on -call doctor Acute dental care delivered in emergency room Medical -legal documentation of phone consultations 1999 -2000: UCSF Surgery Center Hospital Dentistry General Dentistry provided for the medically and/or developmentally compromised patients under General Anesthesia 1999 -2000: UCSF Oral Medicine Clinic Stomatelogy Oral Pathology- Diagnosis and Treatment 1999 -2000: UCSF Temporomandibular Disorder Clinic TMD and Oralfacial Pain- Diagnosis and Treatment TEACHING EXPERIENCES: 1996 -1998: Tutoring -Case Western Reserve University Courses: Dental Anatomy, Prosthodontics, Removale Partial Dentures and Basic Principle of Restorative Dentistry COMMUNITY SERVICE: 1999 -2000: Home Care -San Francisco General Dentistry - provided for the disabled and indigent elderly with mobile units in the facilities of their own home. 1997 -1999: The Free Medical - Dental Clinic of Greater Cleveland, Ohio Oral Surgery — provided dental treatments to Low income populations, e.g. extractions, alveoloplasty, and L &D Summer 93 Fairview Development Center - Dental Clinic -Costa Mesa Provided assistance to dentists in treating individuals with developmental disabilities LANGUAGES: English Vietnamese 25J -64 HONORS /AWARDS; May 1999 CWRU - Dean's Award May 1999 CWRU- Preceptor Achievement Award May 1999 Psi Omega Fraternity-Fraternal Achievement Award May 1999 Psi Omega Fratemity - Epsilon Chapter Award May 1998 The Free Med- Dental Clinic of Greater Cleveland May 1994 Fairview Development Center Recognition PROFESSIONAL ORGANIZATION Since 1997 Academy of General Dentistry Since 1995 American Dental Association Since 2001 California Dental Association Since 2001 Orange County Dental Society REFERENCES Available upon request 25J -65 MAPITIYAGE N. WIJESINGHE, M.D., F.A.C.O.G. OBSTETRICS & GYNECOLOGY 1211 West La Palma Avenue, Suite 101 Anaheim, CA 92801 (714) 774 -8870 CURRICULUM VITAE PERSONAL INFORMATION: Date of Birth: December 30, 1938 Place of Birth: Kandy, Ceylon SCHOOL EDUCATION: 1946- 1959 1953 1955 1959 1959 ACADEMIC DEGREE: Mahinda College, Galle, Ceylon Junior School Certification Senior School Certification Honors High School Certification Honors General Certificate of Education 1959 Principal: Edgar Wijesooriya June 1960 -March 1965 Bachelor of Medicine and Bachelor of Surgery (M.B.B.S.) With Honors Faculty of Medicine, University of Ceylon Colombo, Ceylon Dean: Dr. S. Abeyratna April 1965- October 1965 Intern, Pediatric Medicine Lady Ridgeway Hospital Colombo, Ceylon Director: Dr. Stella de Silva November 1965 -April 1966 Intern, Obstetrics and Gynecology De -Soyza Hospital for Women Colombo, Ceylon Director: Dr. S. Wedanda July 1966 - December 1968 Resident, General Medicine Royal Ceylon Air Force Hospital Katunayalcc, Ceylon Director: Dr. S. Puvimanasinghe M.N. Wijesinghe, M.D. Page l 25J -66 January 1969 -Dec 1969 Rotating Intern The Bronx- Lebanon hospital Center Bronx, New York Director: Dr. Milton J. Goodfriend PRACTICE HISTORY: 1979 to 1998 1801 W. Romneya Drive, Suite 506 Anaheim, CA 92801 1998 to Present 1211 W. La Palma Avenue, Suite 101 Anaheim, CA 92801 CERTIFICATIONS: Registry# 1306422 March 7, 11968 November 7, 1975 Diplomat, American Board of Obstetrics and Gynecology, Inc. February 15, 1979 Diplomat, American Board of Maternal Fetal Medicine Registry # 3674 May 2, 1966 Member Ceylon. Medical Council SOCIETIES: December 31, 1976 Fellow, American College of Obstetricians and Gynecologists Fellow, American College of Maternal Fetal Medicine Fellow, International College of Surgeons 1981 American Association of Gynecological Laparoscopists Association of Professors of Gynecology and Obstetrics 1973 to 1979 Bronx OB /GYN Society 1973 to 1979 Bronx County Medical Society 1974 to 1979 Medical Society of the State of New York M.N. Wijesinghe, M.D. Page 2 Member of the OCMA 25J -67 PUBLICATIONS: Member of CMA Member of Orange County Gynecological Society Member General Medical Council of United Kingdom Casthely, S., Wijesinghe, M.A., and Kleiner, G.J: Decompressing the Hydrocephalic Head in Breech Delivery. Contemp. ZOb -Gyn 4:89,1974 January 1, 1970 to Resident, Elective — General Surgery March 31, 1970 The Bronx — Lebanon Hospital With emphasis of female urology and pelvic surgery Bronx, New York Director: Dr. Paul Gherst April 1, 1970 to Resident, Elective — Anesthesiology June 30, 1970 The Bronx, - Lebanon Hospital Center With emphasis on OB /GYN anesthesia Bronx, New York Director: Dr. David Chadwick July 1, 1970 to June 30 197' ) Resident, Obstetrics and Gynecology The Bronx — Lebanon Hospital Center Bronx, New York Director: Dr. Robert S. Neuwirth. FELLOWSHIP: July 1, 1973 to Fellow, Obstetrics and Gynecology June 30, 1973 The Bronx — Lebanon Hospital Center Bronx, New York Director: Dr. Solan Chao ACADEMIC APPOINTMENTS: January 1, 1974 to Instructor June 30, 1978 Department of Gynecology and Obstetrics Albert Einstein College of Medicine Bronx, New York M.N. Wijesinghe, M.D. Page 3 25J -68 July 1, 1978 Assistant Professor June 30, 1979 Department of Gynecology and Obstetrics Albert Einstein College of Medicine Bronx, New York 1980 to 1988 Assistant Professor Department of Obstetrics and Gynecology University of California of Irvine Medical Center Orange, California 1988 to 2000 Associate Clinical Professor Department of Obstetrics and Gynecology University of California at Irvine Medical Center Orange, California 2000 to Present Clinical Professor Department of Obstetrics and Gynecology University of California at Irvine Medical Center Orange, California HOSPITAL APPOINTMENTS: August, 1973 to Assistant Adjunct Attending, Obstetrics and Gynecology December 31, 1974 The Bronx — Lebanon Hospital Center Bronx, New York January 1, 1975 to Associate Attending, Obstetrics and Gynecology July 1979 The Bronx — Lebanon Hospital Center Bronx, New York August 1979 to Associate Attending, Obstetrics and Gynecology September 1999 Martin Luther Hospital Center Anaheim, California (Hospital Closed — September 1999) August 1979 to Present Associate Attending, Obstetrics and Gynecology Anaheim Memorial Hospital Medical Center Anaheim, California 1982 to Present Associate Attending, Obstetrics and Gynecology Western Medical Center — Anaheim Anaheim, California January 1982 to Chairman, Tissue /Blood Committee December 1983 Martin Luther Hospital Center Anaheim, California M.N. Wijesinghe, M.D. Page,[ 25J -69 January 1986 to Chairman, Department of Obstetrics and Gynecology December 1988 Martin Luther Hospital Center Anaheim, California January 1990 to Chairman, Department of Obstetrics and Gynecology December 1991 Martin Luther Hospital Center Anaheim, California December 1992 to Present Chairman, Department of Obstetrics and Gynecology Western Medical Center— Anaheim Anaheim, California December 1992 to Present Director of Maternity Services Western Medical Center — Anaheim Anaheim, California 1992 to 2000 Co- Director of Maternal Fetal Medicine Martin Luther Hospital Anaheim, California December 1994 to Present Director of Maternal Fetal Medicine Anaheim Memorial Hospital Anaheim, California August 1994 to Present Director of Maternity Services Anaheim Memorial Hospital Anaheim, California April 1994 —April 1996 Member of Board of Directors Western Medical Center — Anaheim Anaheim, California January 1993 to Present President, Orange County Women's Medical Group Anaheim, California LICENSES: January 22, 1973 New York State Education Department # 115503 April 16, 1979 California Board of Medical Quality Assurance #A33740 M.N. Wijesinghe, M.D. Page 5 Certification of Full Registration as Medical Practitioner United Kingdom 25J -70 CURRICULUM VITAE MARGARET TAW, M.D. OPHTHALMOLOGIST 3356 West Ball Road # 206 Anaheim, CA 92804 (714) 828 -5919 EDUCATION: 1963 -1964 University of Rangoon, Rangoon, Burma 1964 -1970 Institute of Medicine I, Rangoon, Burma (M.D.) PROFESSIONAL BACKGROUND: 1974 -1975 Rotating Internship Greater Baltimore Medical Center 1975 -1976 Fellow and Resident in Anesthesiology Johns Hopkins University and Hospital 1976 -1980 Resident in Ophthalmology Sinai Hospital of Baltimore and U.S. Public Health Hospital, Baltimore 1980 -1982 Major, U.S. Army Medical Corps Walter Reed Army Medical Center Fellow in Retinal and Vitreous Surgery and General Staff Ophthalmologist 1983 -1991 General Ophthalmologist, Kaiser Permanente 1991- present Ophthalmology Private Practice PROFESSIONAL ASSOCIATION: Member of American Academy of Ophthalmology BOARD STATUS: Board Eligible 25J -71 Margaret Taw, M.D. Page 2 of 2 LICENSURE: States of California # A33315 and Maryland PERSONAL: Date of Birth: March 8, 1947 Marital Status: Married, one child INTERESTS: Singing, Cooking and helping the disadvantaged 25J -72 CURRICULUM VITAE H. JOSEPH KHAN, M.D. Obstetrics & Gynecology 1629 W. 17`x' Street, Suite C Santa Ana, CA 92706 (714) 972 -2111 EDUCATION Private Practice Obstetrics and Gynecology July 1, 1994 to Present Chief Resident Department of Obstetrics and Gynecology PGY III & IV Harbor /UCLA Medical Center 1000 Carson Street Torrance, California 90509 July 1, 1992 to June 30, 1994 Resident Department of Obstetrics and Gynecology PGY I & 1I St. Vincent Medical Center/New York Medical College 355 Bard Avenue Staten Island, New York 10310 July 1, 1990 to June 30, 1992 Medical School Pre- Professional LICENSURE Wayne State University School of Medicine Detroit, Michigan M.D, Wayne State University Detroit, Michigan B.S., Biology State of California State of New York MEMBERSHIPS American College of OB /GYN (ACOG) Daniel Morton Society (OB /GYN) — UCLA Orange County Medical Association REFERENCES Furnished upon request 25J -73 CURRICULUM VITAE Ravinder P. Singh, M.D. Psychiatry 12555 Garden Grove Boulevard, Suite 202 Garden Grove, CA 92843 (714) 537 -7722 PREMEDICAL: 1963 Punjab, India MEDICAL SCHOOL: Jan 1968 MBBS Gomco, Patiala, India INTERNSHIP IN PSYCHIATRY: Jan -Dee 1975 UCI Medical Center, Orange, California RESIDENCY IN PSYCHIATRY: Jan 1976 to UCI Medical Center, Orange, California Dec 1977 BOARD CERTIFICATION: 1981 Psychiatry PSYCHIATRIST CONSULTANT: April 1978 to Orange County Medical Health Clinic Aug 1989 14180 Beach Blvd Westminster, California (714) 896 -7650 JAMISON — FARABEE REVIEWER: Aug 1985 to Metropolitan State Hospital June 1992 Norwalk, California 25J -74 Ravinder P. Singh, M.D, Page 2 PRIVATE GENERAL PRACTICE: 12555 Garden Grove Boulevard, Suite 202 Garden Grove, California 92843 (714) 537 -7722 MEDICAL DIRECTOR: April 1990 to Adult Psychiatric Services Western Medical Center, Anaheim, CA Present 1991 -1993 Adolescent Unit Western Medical Center, Anaheim, CA Jan 1995 to Partial Psychiatric Hospital Present April 1994 to Western Medical Center Santa Ana Gero - Psychiatric Services Jan 1995 CHAIR PERSON OF DEPARTMENT OF PSYCHIATRY: Jan 1991 to Western Medical Center, Anaheim, CA Present PRESENTATION OF TEEN PREGNANCY CRISIS AND PREVENTION: KHJ — TV Channel 9 November 12, 1987 25J -75 CURRICULUM VITAE SAMIR AZZAM, M.D. American Board offamily Practice 2100 W. Lincoln Ave. Ste. B Anaheim, CA 92801 Telephone: (714) 776-2100 Fax: (714) 776-1226 RESIDENCY: Genesis Regional Medical Center, St Joseph Campus Flint, Michigan, affiliate to Michigan State University, Family Practice Program 1990 -1993 MEDICAL Damascus University Medical School EDUCATION: Doctor of Medicine (M.D.) 1981 -1987 EXPERIENCE: - "Chief Resident," Family Practice Residency Program. - Associate clinical professor at UCI medical school - Family Medicine Practice in Anaheim: 1993- present - Chief of Medicine - Tustin Hospital: 2004 -2007 - Vice Chief of Medicine - Westem Medical Center, Santa Ana: 2007 - Medical Director -Santa Ana Jail LICENSURE: Medical License of Family Practice BOARD American Board of Family Practice. CERTIFICATION: FMGEMS/ECFMG, FLEX, BLS, ACLS Certified as OME: Oualified Medical Evaluator RESEARCH: Detecting and treating early stages of Lung Cancers, using LASER beams. Importance of Myoglobin levels in. detecting Myocardial Infarction. PUBLICATION: Ilemodialysis and its complications in acute and chronic renal failure PRACTICE: Family Practice, Hospital coverage REFERENCES: Furnished upon request 25J -76 EXHIBIT B 25J-47 COST SUMMARY FORM Total annual cost for inmate medical services. $1,663,732.00 (Including Staffing Cost) Breakdown information: Staffing Cost $1,181,214 Pharmaceutical cost $ 85,000.00 Supply cost $ 86,250.00. Other $311,268.00 Additional Services (Section 13.0) Per unit repair cost for Dentures, Plates & Partials $200.00 Per study cost for mobile x -ray service $85.00 (Including Radiologist interpretation, transcription and delivery) Cost per patient visit for Ophthalmology $150.00 Cost per patient visit for OB /GYN $150.00 Cost per visit for Emergency Psychiatric Crisis 5$ 0.00 Intervention & Evaluation Monthly administrative fee for billing services $500.00 BIDDERS STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Proposal. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions. Correctional Managed Care Medical Corporation (714) 6354700 Complete Legal Name of Company Phone Number 1475 S. State College Blvd Anaheim, California 92806 Business Address City/State Zip Code Director of Finance Niza Guerrero Signature of Authorized Agent — Title Printed Name 25J -78 REQUEST FOR PROPOSAL RFP # 13 -036 INMATE MEDICAL SERVICES FOR THE SANTA ANA JAIL CITY OF SANTA ANA CALIFORNIA KEY RFP DATES Issue Date: August 8, 2013 Job Walk: August 20, 2013, 10:00 a.m. Proposal Due Date: September 10, 2013 on or before 5:00 p.m. Exhibit B 25J -79 REQUEST FOR PROPOSAL INMATE MEDICAL SERVICES FOR THE SANTA ANA JAIL The City of Santa Ana Jail (City) is seeking qualified vendors to provide written proposals for inmate medical services. All inquiries concerning this Request For Proposal (RFP) should be directed to: City of Santa Ana Santa Ana Jail 62 Civic Center Plaza Santa Ana, CA 92701 Attn: Chris Laugenour Email: CLaugenour(csanta- ana.org Envelopes containing proposals are to be marked "Proposal: Inmate Medical Services 13- 036." One (1) original and two (4) copies of each proposal are to be delivered or mailed to: City of Santa Ana Purchasing Division M -16 (41h floor) 20 Civic Center Plaza Santa Ana, CA 92701 Facsimile transmission (FAX) copies are not acceptable. Key RFP Dates: Pre - Proposal Job Walk: August 20, 2013 10:00 a.m., Meet at: Santa Ana Jail Lobby 62 Civic Center Plaza Santa Ana, CA 92702 Proposal due date and time: September 10, 2013 5:00 p.m. z 25J -80 RFP INSTRUCTIONS 1. ALTERNATIVES: Any changes or alternatives must be set forth in a letter attached to this offer. The City has the option of accepting or rejecting any alternative offer. Brand names, if any, are given for quality control only. Bids on "equals" are encouraged; however, the bidder must give evidence of equal utility and quality. 2. REJECTION: The City reserves the right to reject any or all offers and to waive any informality in any proposal. 3. PERIOD OF ACCEPTANCE: Unless otherwise stated, bids shall be subject to acceptance by the City for a period of ninety (90) calendar days following the opening of bids. 4. SAMPLES: When required, bidder shall furnish samples of items free of expense to the City, and if not destroyed by test may, upon request made at the time the sample is furnished, be returned at the bidder's expense. 5. TAX: The City is exempt from Federal Excise Tax. Bidder shall show as a separate item California State Sales and /or Use Tax. 6. ALL OR NONE PROPOSALS: The City reserves the right to make an award based on partial items unless the proposal submitted by the bidder is marked "ALL OR NONE." 7. BONDS: When deemed necessary by the City, Bid Bonds shall be furnished by all bidders in the amount of at least 10% of the bid, to guarantee that bidders will enter into contract to furnish goods at prices stated. Likewise, a Performance Bond shall be required of the successful bidder when stated in the Specification. (Cash deposit, Certified or Cashier's check or Money Order may be submitted in lieu of either Bond). 8. TERMS OF PAYMENT: Payment terms will be considered "NET 30 days" unless a cash discount is offered for earlier payment. Cash discounts may be considered in evaluating the proposal. *Note: The City is unable to process discounts with terms for less than 20 days. 9. PROHIBITED INTEREST: Bidder agrees it shall disclose to the City in writing any financial interest, direct or ndirect, in Bidder's business or in this transaction held by any City Council member or any City officer or employee. City reserves the right to refuse any offer if City determines a conflict of interest exists. A conflict of interest may be determined to exist in any instance where the City officer or employee participates in or influences any decision- making process affecting a proposal or contract in any way whatsoever. 10. LOCAL VENDOR PREFERENCE: For RFP evaluation purposes, a 1 % preference will be applied to all offers for taxable goods submitted by vendors located within the City limits of Santa Ana. Effective 3 -5 -12, the Santa Ana City Council adopted Ordinance Number NS -2828 for a LOCAL PERFERENCE PROGRAM. Full details are available on the City's web site, under Finance & Mgmt Services (located on the left hand side, under "departments "). For bid evaluation purposes, a 7% preference for small Santa Ana businesses, and a 4% preference for small Orange County businesses, is given respectively on all qualifying bids for materials, supplies, labor, equipment or services. The explanation on the City's web site covers Santa Ana Business and Orange County Business definitions. 25J -81 GENERAL TERMS AND CONDITIONS OF THIS BID AND ANY RESULTING CONTRACT 1. PAYMENT: Payment by City will be processed within thirty (30) days following receipt of proper invoice evidencing work performed and subject to City accounting procedures. No additional charge will be paid by the City unless expressly included and itemized herein. 2. DELIVERY: Time of delivery, as shown herein, must be adhered to. All goods shall be shipped F.O.B. destination designated by the City. Vendor assumes full responsibility for packing, crating, marking, transportation and liability for loss and /or damage. All transportation charges to be prepaid by Vendor. 3. LATE DELIVERY ASSESSMENT: The Vendor agrees to pay late- delivery assessment for any delay in delivery (except those beyond its reasonable control) beyond the date agreed to and shown in the purchase order or contract in an amount equal to the expenses incurred by the City due to the delay, including but not limited to expenses such as rental of like equipment to fulfill the need while awaiting late delivery, added cost of manpower or other resources, or other costs as can be shown to have resulted from delaying receipt of the ordered goods or services. The penalty will be deducted from the amount due to the Vendor under the purchase order or contract. 4. INSPECTION: City shall be under no obligation to unpack or inspect the products and /or service. The Vendor shall be responsible for the consequences of negligent manufacture and packing, and for the consequences of negligent handling prior to point where City assumes ownership. The expense of subsequent tests due to failure of goods first offered will be charged against the Vendor. 5. GENERAL GUARANTEE: The Vendor guarantees that a) Vendor owns all rights, title and interest in the products and services and has the legal authority to sell, license or otherwise transfer the right to use to the City; b) the products and services are free from defects in material and workmanship for a minimum period of one (1) year from the date of acceptance by the City, unless otherwise stated as part of the bid; and c) Vendor shall repair or replace all such defective goods F.O.B. destination 6. NONDISCRIMINATION: Vendor agrees that the "Certification of Nondiscrimination by Contractors' attached and executed by Vendor or on file with the City, is specifically made a part of the bid by this reference. 7. INDEMNIFICATION: The Vendor guarantees and agrees to indemnify, defend and hold harmless the City against any or all loss, liability damages, demands, claims or costs alleged by third parties arising out of Vendor's performance. This includes defective material and products, faulty work performance, negligent or unlawful acts, and noncompliance with any applicable local, state or federal codes, ordinances, orders or statutes including, but not limited to, the Occupational Safety and Health Act (OSHA) and the California Industrial Safety Act. This guarantee is in addition to and not intended as a limitation on any other warranty, expressed or implied. S. TERMINATION: The City reserves the right to terminate the order or delay delivery or acceptance of any products and /or services ordered resulting from this RFP without penalty upon ninety (90) days written notice to the Vendor. 9. ASSIGNMENT: Vendor may not assign, transfer, delegate, or subcontract any right, obligation, performance herein without the prior written consent of the City's Purchasing Manager and any such assignment, transfer, delegation or subcontract without the Purchasing Manager's prior written consent shall be considered null and void. 10. DEFAULT: In case of default by the Vendor of any of the conditions of this RFP or contract resulting from this RFP, the Vendor agrees that the City may procure the articles or services from other sources and may deduct from the unpaid balance due the Vendor, or collect against the bond or surety, or may invoice the Vendor for excess costs so paid plus reasonable administrative costs. Prices paid by the City shall be considered the prevailing market price at the time such purchase is made. 11. LAW AND JURISDICTION: The validity, performance and construction of this order shall be 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. 12. ADDITIONAL TERMS: No additional term specified in the RFP shall be part of the contract unless affirmatively accepted by the City in writing. 25J -82 13. PROTESTS Vendors may file a Bid "protest" with the City's Purchasing Department. In order for a Bidder's protest to be considered valid, the protest must: 1. Be filed in writing within five (5) business days after the proposal issue date or before 5:00 p.m. of the 51" business day following the posting of Proposal Results /Notice of Intent to Award Contract on the City's website; 2. Clearly identify the specific irregularity or accusation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and 5. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City's Purchasing Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Purchasing Manager will provide a written decision to the protestor within fourteen (14) calendar days. 25J -83 TOTAL QUALITY SERVICE The City of Santa Ana is committed to the principles of Total Quality Service (TQS) in serving its customers. All aspects of the City's service are affected including our commitment to making on time payment for material and services received. Since vendors, who provide services and /or material to the City are indirectly serving the same customers, it is important for the City to expect vendors to share the same commitment to quality including price, delivery and product quality, as well as timely response and service quality. Therefore, prepare a statement of your "quality commitment' to accompany your bid. The statement should address the following five items in regard to services and /or material provided to the City for your quoted price: 1. ON -TIME DELIVERY: a commitment to delivering material & services on or before the promised time. 2. TIMELY RESPONSE: a commitment to consistent timely response to all service requests. 3. QUALITY AS SPECIFIED: a commitment to provide products and /or service meeting or exceeding the specification at your quoted price. 4. QUALITY CONTROL: a commitment to use methods or procedures to assure quality control of service, material and invoicing. 5. CUSTOMER SATISFACTION: a commitment to resolve customer concerns regarding the quality of service or material supplied. The quality statement should be included with your bid. It is required as a prerequisite to making your bid responsive and therefore must be submitted before your bid is evaluated. To the extent that your statement enhance the quality of service or material provided to the City, your statement will be incorporated in the terms and conditions of the contract Please Complete This Self- Rating of Delivery (complete) Performance: Circle One: on time 4 • late Previous Orders: 5 4 3 2 1 Service Response Performance: 5 4 3 2 1 Order for items on this bid: 5 4 3 2 1 Write your statement below or on an enclosed separate sheet. Signed: 6 25J -84 Date: CERTIFICATION OF NONDISCRIMINATION BY CONTRACTORS As suppliers of goods or services to the City Of Santa -Ana, the Firm listed below certifies that it will not discriminate in its employment practices against any employee or applicant for employment because of such person's race, religion, national origin, ancestry, sex, sexual orientation, age, physical handicap, mental disability, marital status, domestic partner status or medical condition; that it is in compliance with all federal, state and local directives and executive orders regarding nondiscrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. WE AGREE SPECIFICALLY: 1. To take affirmative steps to hire minority employees within the company. 2. To establish or observe employment policies which affirmatively promote opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM TITLE OF PERSON SIGNING SIGNATURE DATE Please include any additional information available regarding equal opportunity employment programs now in effect within your company. 25J -85 Table of Contents Rulesof Preparation ..................................................................................... ..............................9 EvaluationCriteria ........................................................... .............................13 1.0 Introduction .............................................................................................. .............................13 2.0 Medical Services Plan .......................................................................... .............................14 3.0 Proposer Qualifications ................................................................................ .............................15 4.0 Staffing ..................................................................................................... .............................15 5.0 Qualifications of Staff ................................................................................ .............................16 6.0 Responsible Physician/Health Authority .................................. .............................16 7.0 Sole Contractor ........................................................................................ .............................16 8.0 Equipment & Supplies .................................................................................. .............................16 9.0 Pharmaceuticals .............................................................. .............................16 10.0 Dental Care ................................................................... .............................17 11.0 Psych Clinic ................................................................... .............................17 12.0 Jail Staff Services ............................................................. .............................17 13.0 Additional Services .......................................................... .............................18 14.0 Costs ............................................................................ .............................19 15.0 Term ............................................................................ .............................19 16.0 Termination .................................................................... .............................19 Appendices Appendix A: Cost Summary Form ............................................................................ .............................22 Appendix B: Sample Insurance Forms ............................................... .............................23 8 25J -86 RULES GOVERNING COMPETITION INTRODUCTION: This is an RFP conducted in accordance with the regulations of the City of Santa Ana. Non- compliance with any instructions may render they proposal nonresponsive and may result in the rejection of a proposal. This RFP is not a formal bidding process governed by State statute and the term 'bidder' should mean 'proposer'. ACCEPTANCE OF PROPOSALS: The City reserves the right to reject any or all proposals and to waive any informality, technical defect or clerical error in any proposal as the City may deem prudent. ORAL COMMUNICATIONS: Any oral communications by any City employee concerning the RFP are not binding on the City and shall in no way modify the RFP or any obligation to the City or the proposer RFP AS BASIS FOR PROPOSAL: This RFP represents the most definitive statement the City will make concerning the information upon which the proposals are based. Any additional information, whether written or oral, which is not contained in the RFP, or in Addenda to the RFP, should not be considered by any proposers in preparing their proposals. Any person contemplating the submission of a proposal should thoroughly examine all of the RFP documents. If there is any doubt as to the meaning or intent of these documents, the proposer shall request clarification via e -mail to: Eva Goods, at egoods @santa - ana.org. Requests for clarification must be received by the Purchasing Division no later than 5:00 p.m., August 23, 2013. Any interpretation or change in the RFP will be made in writing in the form of an Addenda to the RFP and will be furnished to all proposers receiving the RFP. Proposers shall submit all addenda with their proposals, or indicate receipt of all Addenda. In addition to the above, the City may issue Addenda to clarify or to add or subtract from the RFP. In such an event, additional time to respond to the RFP may be provided to proposers if the City deems it necessary PROPOSER'S UNDERSTANDING: Each proposer must inform him/herself of the conditions relating to the execution of the work, and it is assumed that he /she will make him/herself thoroughly familiar with the RFP. Failure to do so will not relieve the successful proposer of his/her obligation to enter into a contract and complete all work in accordance with the proposal documents. 9 25J -87 PROPOSAL COSTS: The cost of preparing and delivering the proposal is the sole responsibility of the proposer and is not chargeable to the City PRE - PROPOSAL MEETING: All persons wishing to submit a proposal should attend the pre - proposal meeting to be held August 20, 2013 at 10:00 a.m. at the Santa Ana Jail lobby, 62 Civic Center Plaza, Santa Ana, CA, 92701. The jail lobby is at the southeast corner of the building. Attendance to the pre - proposal meeting is strongly encouraged. Proposals submitted by vendors who did not attend will be considered nonresponsive. Parking is available immediately adjacent to the jail, parking validation is not available. PROPOSAL SUBMISSION: Delivery of the proposal package is the sole responsibility of the proposer. Proposals may be delivered in person, by U.S. Mail or commercial messenger and must be received during normal business hours (Monday through Friday from 8:00 a.m. until 5:00 p.m.). Delivery and mailing address for proposals is: City of Santa Ana, Purchasing M -16, 20 Civic Center Plaza, Santa Ana, CA 92701. Mark envelopes "Proposal: Inmate Medical Services R TP 13- 036 ". Proposals received after September 10, 2013, 5:00 p.m. will be returned to proposer unopened. WITHDRAWAL AND MODIFICATION OF PROPOSALS: A proposal may be withdrawn at any time prior to the submission deadline by an authorized representative of the proposer by formal written notification of withdrawal. Another proposal may then be submitted prior to the submission deadline. Submitted proposals shall become the property of the City after the submission deadline. Withdrawn proposals will not be mailed back to proposers, proposers may pick up withdrawn proposals or the City shall destroy withdrawn proposals upon written request from the proposer. CONTRACTUAL OBLIGATIONS: The City shall require certain contractual obligations. These may include but are not limited to the following: Inclusion of Proposal: The proposal submitted in response to this RFP will be required to be included as part of the final contract with the selected proposer. Inclusion of REP: This RFP will be required to be included as part of the final contract with the selected proposer. io 25J -88 Insurance: The successful proposer shall not start work until all insurance requirements meet the approval of the City. The proposer is also responsible for all subcontractor insurance requirements. Certificates of insurance shall be in duplicate and addressed to the City of Santa Ana. All insurance shall remain in effect during the life of the contract. Certificates must indicate that the City shall receive written notice thirty (30) days prior to any cancellation or reduction in coverage. 1. Comprehensive General Liability insurance to include Completed Operations, Contractual, Independent Contractors and Personal Injury; and Automobile Liability, including all auto; with at least the following combined limits of Liability: (a) Primary Bodily Injury Liability limits of $1,000,000.00 per occurance (b) Primary Property Damage Liability limits of $1,000,000.00 per occurance (c) Primary Bodily Injury and Property Damage Liability combined single limit of $1,000,000.00 is preferred 2. Medical malpractice insurance of not less than three (3) million dollars per occurrence. 3. Employer's Liability with a combined single limit of $1,000,000.00 4. Worker's compensation insurance, with limits established and required by the State of California. 5. No more than twenty (20) days after notification of award, a separate additional insured endorsement is required for part "1" above (Commercial general liability insurance) naming the City of Santa Ana, its officers, agents, employees and volunteers as additional insured. Selection: The final award of a contract is subject to approval by the Santa Ana City Council. Contract: A resulting contract may include any written material made as part of your proposal. This material may include but is not limited to; answers to questions contained in this RFP letters, telegrams, facsimile and product literature. STATUTES AND RULES: The terms and conditions of the RFP, the resulting services, and furnishing of commodities based on the RFP shall conform to the statutes, rules and regulation of the Federal Government, State of California, City of Santa Ana and the Santa Ana Police Department. ii 25J -89 PROPOSAL INCLUSIONS: Five (5) copies of the proposals and one electronic copy, all information requested in this RFP and the following items must be submitted in writing: • A declaration of the proposer's ability to perform the services requested and meet all qualifications, terms and conditions outlined. • A description of the vendor's correctional medical experience. • A reference list that includes all of the proposers correctional clients, located in the State of California, for the previous three (3) years, whether they are currently clients or not. References should include name, location and size of each facility and name and phone number of a knowledgeable contact person for each. • Proposals must clearly indicate the legal name, address and telephone number of the proposer. Proposals shall be signed above the typed or printed name and title of the signatory. The signatory shall have the authority to bind the proposer to the submitted proposal. • Any changes or modifications to the terms and conditions the proposer wishes the City to consider. Proposers are encouraged to offer any other options that may be of interest to the City, with the understanding that their proposal must first address the RFP requirements. Options are to be identified as such. PROPOSAL OPENING AND VALIDATION CHECK: Proposals will be opened and checked for the presence of the required information outlined in this RFP. Absence of required information may render the proposal nonresponsive and may be cause for rejection. VENDOR'S ABILITY TO PERFORM: If, during the evaluation process, the City is unable to determine the proposer's ability to perform under the contract if awarded, the City may request from the proposer any information which the City deems necessary to determine the proposer's ability to perform. If such information is requested, the proposer will be so notified and will be allotted five (5) business days from the date of notification to submit the requested information. If the information submitted by the proposer or available from sources other than the proposer is insufficient to satisfy the City as to the proposer's ability to satisfactorily perform the required services or fulfill the terms of the contract, the City may reject the proposal. The City's determination of proposer's ability to perform shall be final. BONDS: Prior to executing a contract with the selected proposer the City shall require the proposer to submit performance and payment bonds in amounts equal to the proposers annual charge for services. Cash deposit, certified check, cashier's check or money order may be submitted in lieu of a bond. Bonds must be submitted within twenty (20) calendar days of notification of award. 12 25J -90 EVALUATION CRITERIA: Evaluation of proposals will be completed within thirty (30) days of the proposal due date. An evaluation team composed of representatives of the City will evaluate proposals on a variety of criteria. The criteria upon which the evaluation of the proposals will be based on the following: • Past Performance on similar contracts 20% • Experience and expertise of proposer's staff. 20% • Attention to the requests and requirements stated in this RFP. 20% • Cost 40% PROPOSAL BINDING: Proposals shall be binding on the proposer for one hundred eighty (180) days from the proposal due date and shall state such. 13 25J -91 SPECIFIC CONDITIONS SANTA ANA JAIL INMATE MEDICAL SERVICES 1.0 INTRODUCTION The Santa Ana Jail is a Type II direct Supervision jail with a maximum capacity of 512 inmates. The jail houses short term pre - arraignment inmates as well as longer term federal prisoners. The average daily inmate population for the first half of 2013 has been 470 consisting of the following breakdown: Male — 350 Female — 88 LBGT -32 Low Term Contract Inmates I.N.S. — 189 I.N.S (LBGT) - 32 U.S. Marshall - 248 Short Term Inmates Santa Ana Arrestees — 1 LAPD - 1 2.0 MEDICAL SERVICES PLAN The Santa Ana Jail medical services plan calls for properly licensed medical personnel to: • Identify, evaluate, treat and monitor inmate medical conditions. • Pre - screen all incoming inmates to determine medical needs and ability to provide adequate care. • Review Inmate Medical Request forms and provide appropriate medical care. The jail strives to provide response for inmate medical requests within 24 hours. • Prescribe and dispense approved medications (tablet, liquid and syringe). • Prescribe medical diets. • Conduct physical examinations. • Provide first aid and treat injuries. Apply, monitor and remove sutures. • Provide weekly dental clinics. 14 25J -92 • Provide biweekly psych clinics. • Provide staff TB testing and Hepatitis vaccinations. • Provide annual staff training required by law. • Maintain detailed, accurate and confidential medical records, logs and files in accordance with California Board of Corrections, Title 15 and the National Detention Standards of Immigration and Code Enforcement Bureau • Review and approve jail medical policies and procedures. • Present timely and accurate reports to the Jail Administrator. • All medical services will meet California Administrative Code (CAC), Title 15 - Minimum Standards for Local Detention Facilities, National Detention Standards of Immigration and Code Enforcement Bureau as well as all other applicable laws, regulations, codes and guidelines relating to health care services and programs in adult detention facilities in the State of California. 3.0 PROPOSER QUALIFICATIONS To be eligible to submit a proposal in response to this RFP a proposer must; • Be organized for the purpose of providing contractual health care services. • Possess no less than three (3) years experience providing correctional health care services with proven effectiveness. • Possess prior experience providing health care services to correctional facilities of similar size. • Comply with all applicable California Board of Corrections, Title 15 standards. 4.0 STAFFING Medical staff shall be present 24 hours daily, every day of the year. Minimum staff requirements are as follows: Staffing Plan "A" • Physician - One (1) on call 24 hours daily. • NP — One (1); eight (8) hours per day, five (5) days per week. • RN — Three (3); twelve (12) hours per day, seven (7) days per week. (2 Dayshift /1 Nightshift) • LVN — Four (4); twenty -four hours per day (two each shift), seven (7) days per week. • DDS — Four (4) hours per week. • Dental Assistant — Four (4) hours per week, if necessary. 15 25J -93 • Psychiatrist — Eight (8) hours per month. • Medical Records Clerk — One (1); forty (40) hours per week, five (5) days per week. One (1) physician shall be on call twenty -four (24) hours daily for phone consultation and or response to the Jail. A physician must be available by cell phone and shall be required to telephone the jail within thirty (30) minutes of a call. A physician shall be required to arrive at the jail within two (2) hours of a request to respond. In the instance of a medical emergency, medical staff shall be required to provide medical services until paramedics arrive. 5.0 QUALIFICATIONS OF STAFF Medical staff shall possess no less than three (3) years of correctional medical experience as a state licensed medical practitioner. All medical staff shall maintain current licensing from the State of California to practice medicine. 6.0 RESPONSIBLE PHYSICIAN / HEALTH AUTHORITY Proposer shall appoint one (1) physician as the Responsible Physician for the Santa Ana Jail. The Responsible Physician for the jail shall perform all duties and functions of the Responsible Physician as described and referred to in California Board of Corrections, Title 15 Standards. Proposer shall appoint one (1) physician or medical administrator as the Health Authority for the Santa Ana Jail. The Health Authority for the jail shall perform all duties and functions of the Health Authority as described and referred to in California Board of Corrections, Title 15 Standards. The physician appointed as the Responsible Physician for the jail may also be appointed as the Health Authority for the jail. 7.0 SOLE CONTRACTOR Should a contract be executed as a result of this RFP, it will be with a single contractor. The contractor shall be responsible for all of its business issues including but not limited to, subcontractor affairs, salaries, licensing, training, administration and management, bookkeeping and benefits. 16 25J -94 8.0 EQUIPMENT AND SUPPLIES Contractor shall purchase, own and maintain all medical equipment and consumable supplies. Contractor shall ensure that adequate supplies of pharmaceuticals and consumable medical supplies are maintained at all times. 9.0 PHARMACEUTICALS Contractor shall provide routine over - the - counter pharmaceutical and routine prescription care for all inmates. Long -term medication for chronic care, including HIV and psychotropic medications shall be the responsibility of the inmate's contracting agency. 10.0 DENTAL CLINIC The Santa Ana Jail medical services plan requires the contractor to provide dental services in the form of one (1) weekly dental clinic. Each clinic shall last no less than four (4) hours, unless there is an insufficient number of patients in need of care. Dental clinics shall provide a range of dental care including but not limited to x -rays, extraction, teeth cleaning and gum care. Dental clinics shall not be required to provide oral surgery, orthodontic services or devices. 11.0 PSYCH CLINIC The Santa Ana Jail medical services plan requires the contractor to provide psychiatric services in the form of one (1) psych clinic every other week. Each clinic shall last no less than four (4) hours, unless there is an insufficient number of patients in need of care. Psych clinics shall provide a range of services including psych evaluations, counseling and prescription of psychotropic medications. 12.0 JAIL STAFF SERVICES Contractor shall provide baseline tuberculosis testing to all Santa Ana Jail personnel every six months and immediately after any exposure incident. Baseline skin test must be via the Mantoux technique: intradermal injection of 0. 1 ml of purified protein derivative (PPD) containing five (5) tuberculin units. Contractor shall provide a three (3) injection hepatitis immunization series to all Santa Ana Jail personnel (unless already done). Immunization series must be Recombivax HB' manufactured by Merck, Sharpe & 17 25J -95 Dohme or as stated by the most current regulations. Contractor shall provide a blood test to all immunized employees three (3) years after initial immunization and shall administer a booster to those employees that have diminished immunity. Contractor shall maintain accurate and detailed records of all employees' immunization and baseline history. Contractor shall provide four (4) hours of annual training to Santa Ana Jail personnel. Training consists of two (2) hours of blood -borne pathogens training and two (2) hours of tuberculosis awareness training in accordance with State mandate. 13.0 ADDITIONAL SERVICES All services contained in this section shall be called for and paid for on a per -use basis. These services shall not be connected to or billed together with any other services in this RFP. Contractor must be able to provide each of these services, either internally or via subcontractor, and must detail their plan for provision of each of these services in their proposals, including complete data on any subcontractors indicated. • Repair of dentures, dental plates and partial plates. This service must be available on an as needed basis and billed one flat rate per repair. • Mobile X -ray services. This service must be available on an as needed basis and billed one flat rate per study. Contractor must be capable of responding to the jail to provide service and must be capable of providing x -ray study, technical component, radiologist interpretation, transcription and delivery on the same day when necessary. • Ophthalmology services. This service must be available on an as needed basis and billed one flat rate per patient visit. • OB -GYN services. This service must be available on an as needed basis and billed one flat rate per patient visit. • Emergency Psychiatric Crisis Intervention and Evaluation. This service will be on an as needed basis for inmate in psychiatric distress, i.e. severe depression (suicidal ideation) and psychotic disorders (schizophrenia). Upon completion of evaluation, a finding and suggested disposition for safe care of the 18 25J -96 inmate will be provided. Services will be provided with a response time of 30 — 45 minutes and will be billed one flat rate per visit. • Billing services for off -site emergency medical care (Optional). Such billing services shall include a complete accounting of all services performed in addition to a detailed report of the cost of such services. Billing services shall include a monthly administrative fee. 14.0 COSTS Proposers shall declare the fees for inmate medical services, excluding additional services listed in section 13.0, in the form of one flat annual fee. Cost data must be sealed in separate envelopes from proposals and be provided using the attached Cost Summary Form 15.0 TERM The term of any contract executed as a result of this RFP shall be three (3) years with a maximum of two (2), one -year extensions upon mutual agreement of the proposer and the City. 16.0 TERMINATION Should the City enter into a contract with a proposer, each shall retain the right to terminate said contract with ninety (90) days written notice. 19 25J -97 BONDS 1. Bid Bond: A Cashier's Check/Certified Check/Bid Bond properly made payable to the City of Santa Ana in an amount equal to ten percent (10 %) of the total amount of this proposal is required to be attached to the bid sheet and is given as a guarantee that the bidder will execute the Agreement and furnish the required bonds and Certificate of Insurance, if awarded the contract, and in case of failure to do so within the time provided, (a) the proceeds of said check shall be forfeited to the City; or (b) surety's liability to the City for forfeiture off the face amount of the bond shall be considered as established. 2. Performance and Payment Bonds: The successful Proposer shall furnish at its own expense a Faithful Performance Bond satisfactory to the City in the amount of one hundred percent (100 %) of the full amount of the contract as a guarantee of good faith on behalf of the Contractor that the terms of the contract, including all warranty provisions, shall be complied with in every particular, and a Payment Bond in the amount of one hundred percent (100 %) of the full amount of the contract. Such bonds shall be in effect during the entire term of the contract and warranty and shall be issued by a corporate surety (not an individual surety) registered in the State of California and registered to do business in the County of Orange. Bonds shall specifically provide that if the Contractor or its subcontractor fails to fully perform (i.e., the - Faithful Performance Bond) or fail to pay for amounts due under the Employment Insurance Act, (i.e., the Payment Bond) that the surety or sureties will pay for the same in an amount not exceeding the amount specified in the bond and in case suit is brought against the City, that the surety will undertake the defense of same. LABOR DISCRIMINATION Attention is directed to Section 1735 of the Labor Code, as added by Chapter 643, Statutes of 1939, which reads as follows: No discrimination shall be made in the employment of persons upon public works because of the race, religion, creed, color, national origin, ancestry, physical handicap, medical condition, marital status, or sex of such persons, except as provided in Section 1420, and every contractor for Public Works violating this Section is subject to all penalties imposed for a violation of the Chapter." A copy of the Certification of Nondiscrimination by Contractors, as provided with this specification, shall be executed by Proposer and submitted with the Proposal and Contract. 20 25J -98 Exhibit A COST SUMMARY FORM Total annual cost for inmate medical services. (Including Staffing Cost Option "A ") Breakdown information: Staffing Cost "A" Staffing Cost `B" (optional) Pharmaceutical cost Supply cost Other Additional Services (Section 13.0) Per unit repair cost for Dentures, Plates & Partials Per study cost for mobile x -ray service (Including Radiologist interpretation, transcription and delivery) Cost per patient visit for Ophthalmology Cost per patient visit for OB /GYN Cost per visit for Emergency Psychiatric Crisis Intervention & Evaluation Monthly administrative fee for billing services (Optional) PROPOSER'S STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Proposal. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions. Complete Legal Name of Company Business Address Phone Number City/State Zip Code Signature of Authorized Agent — Title Printed Name 21 25J -99 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: The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers, and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such issuance 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. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or or organization would have as a claimant if not so included. 4. With respect to the additional insured, this insurance shall not be cancelled, or material reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy #_ Issued to Named Insured Countersigned by this endorsement form as part of Authorized Representative 22 25J -100 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: ECONOMIC DEVELOPMENT AGREEMENT WITH IPC TO RELOCATE AND OPERATE IN THE CITY OF SANTA ANA CITY MAN GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: -00 70 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Relocation Commitment Agreement with IPC (USA), Inc., a California corporation, to secure the relocation and continued operation of the company's California headquarters and sales office in the City of Santa Ana, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The proposed agreement will result in bringing the California headquarters and sales office of IPC, a chemical and energy business, into the City of Santa Ana. As a result of this relocation, Santa Ana would become the company's principal place of business in California and the City's economy would benefit from the sales taxes generated from the firm's petroleum business, as well as from the creation and maintenance of jobs in the community. The company estimates that it generates approximately $1.4 million a year in local sales tax. As an economic development incentive to secure the relocation and continual operation of the company in Santa Ana, the agreement provides that the City will pay IPC an amount equivalent to 50 percent of the local sales tax generated up to the $1.4 million and 70 percent of the local sales tax generated above the $1.4 million. By approving this agreement, and bringing this new business into Santa Ana, an estimated $700,000 in additional sales tax will annually flow into the City's General Fund. Recently, a representative from IPC contacted City Manager's office to discuss the firm's potential move of their corporate headquarters and sales office into the City of Santa Ana. At the time, IPC was in initial conversations over an office space lease agreement for a property in the City. IPC is an independent wholesale distributor of gasoline, diesel, jet fuel and other refined petroleum products throughout the United States. The company representatives have disclosed that their annual local sales tax generation is approximately $1.4 million dollars. 25K -1 Economic Development Agreement with IPC August 5, 2013 Page 2 At the meeting, the company's representatives inquired about consideration of returning some City's benefits to them for their commitment to relocate and stay in the City for 15 years, until the year 2028. Their proposal is as follows: a 50 percent sharing for the existing level of local sales tax generation of $1.4 million dollars; plus a 70 percent (IPC) and 30 percent (City) sharing of sales tax generation above the $1.4 million level; a 15 -year term starting upon commencement of operations in the City, which they estimate to be approximately January 1, 2014; the term to be subject to termination upon 180 days notice; and the City is to take reasonable steps to help expedite tenant improvement and occupancy permitting. In considering their request, the City Manager and City Attorney's staffs have researched California cities that have similar types of agreements with businesses for sharing the equivalent of sales tax, in order to assist in the analysis of the costs and benefits of IPC request. The following provides information on the key components of the proposal: • 50/50 percent sharing: As indicated by IPC, 50/50 percent sharing of the estimated $1.4 million annual sales tax would be equivalent to approximately $700,000 annual additional revenue to the City for the next 15 years if an agreement is executed and in effect. It is solely IPC business decision to locate in the City. This is major benefit to the City. • 70 percent/30 percent sharing above the $1.4 million sales tax: According to IPC, to increase their competiveness in the market, the company intends to acquire additional businesses that would add to their inventory of products for the wholesale and distribution to retail establishments. IPC proposes that the additional sales tax generated by the an increase in business or the acquisition of new businesses will have a 70 percent (IPC) and 30 percent (City) sharing. Although the percentage shared by the City is at the 30 percent rate, this proposal is a benefit to the City as it increases the existing revenues. As an example, if the annual local sales tax generated by IPC is $1.7 million; the additional sales tax of $300,000 would be the portion that is subject to the 70/30 percent sharing. City will have an additional 30 percent of the $300,000, which is $90,000. Through its research staff obtained information from the cities of La Palma and Hawthorne which show similar percentages in the sharing of amounts measured by a portion of the sales tax were a part of the negotiations in those cities. • Relocation Agreement: The City Attorney has reviewed the IPC proposal and worked with the company's attorney on the agreement to solidify the deal points and the benefits to the City. Furthermore, Finance & Management Services staff has reviewed the calculation, payment schedule and procedures contain in the agreement and determined that the City has enough mechanisms to verify the amount of sales tax generated. The City Attorney has also included legal language in the agreement where IPC will defend the agreement at their cost. 25K -2 Economic Development Agreement with ]PC August 5, 2013 Page 3 FISCAL IMPACT There will be a positive fiscal impact associated with this action. The annual contribution of the sales tax to the General Fund from IPC is an economic enhancement to the City and will support services for the health, safety and welfare of the residents of the City Interim Executi Lirecto Community Develent Agency NF /SLB /kg Exhibit: 1. Agreement 25K -3 Francisco Gutierrez Executive Director Finance & Management Services Agency 25K -4 RELOCATION COMMITMENT AGREEMENT This RELOCATION COMMITMENT AGREEMENT ( "Agreement ") is entered into as August , 2013, by and between the CITY OF SANTA ANA, a California charter city ( "City"), and IPC (USA), INC., a California corporation ( "IPC "). RECITALS A. IPC is an independent wholesale distributer of gasoline, diesel, jet fuel and other refined petroleum products in California and other regions of the United States (such IPC activities in California are hereinafter referred to as the "Petroleum Business "). B. IPC is considering relocation of its headquarters for its California business and Orange County sales office to a location in the City of Santa Ana, and is prepared to commit to conducting that portion of its Petroleum Business that has historically been conducted in southern California in the City for an extended term in consideration for the City's performance of its obligations under this Agreement. C. In consideration for IPC's performance under this Agreement, City has agreed to pay to IPC certain payments, measured by a portion of the Sales Tax generated by the conduct of IPC's "Required Operations" in the City, provided that IPC causes Required Operations to be conducted in the City during the term of this Agreement and complies with the other terms and conditions set forth in this Agreement, as more particularly set forth herein. City and IPC have agreed that the amount to be paid by City to IPC hereunder is a fair exchange for the consideration to be furnished by IPC to City. D. By its approval of this Agreement, the City Council of City has found and determined that it is of benefit to the City and its residents for the Required Operations to be conducted within the City, and that the imposition of certain terms and conditions relating to such uses and the City's payment of the City Consideration described herein constitute valid public purposes under the City's Charter and Article XVI, section 6 of the California Constitution as necessary for the economic enhancement of the City and to contribute to the City's general fund that supports services for the health, safety and welfare of the residents of the City. The City Council has further found and determined that IPC's conduct of its "Required Operations" as contemplated in this Agreement will assist in the generation of additional sales and use tax revenues to City as well as assist in the creation and maintenance of additional jobs and economic opportunities for the residents of the City. EXECUTORY AGREEMENTS Based upon the foregoing Recitals and for good and valuable consideration, the receipt and sufficiency of which is acknowledged by both parties, City and IPC hereby agree as follows: 131/0308760001 59404272x07.1013 25K -5 1. DEFINED TERMS. The following terms when used in this Agreement shall have the meanings set forth below: "City Consideration" shall mean the amounts to be paid by City to IPC for IPC's conduct of the Required Operations during the Operating Period. The City Consideration paid for the Operating Period shall be an amount equal to (i) fifty percent (50 %) of up to $1,400,000 of Sales Tax generated in the City from the Required Operations during each Contract Year, plus (ii) seventy percent (70 %) of any Sales Tax exceeding $1,400,000 generated from the Required Operations within the City during that Contract Year. "Commencement Date" shall mean the date on which IPC relocates its headquarters for its California business and southern California sales office to the City of Santa Ana and commences operations in the City, as set forth in a written notice from IPC to the City. The City and IPC acknowledge that IPC may not commence operations in the City of Santa Ana until IPC leases space, completes construction of tenant improvements, and thereafter relocates sales staff and initiates sales activities. The parties anticipate that such operations may not commence until approximately January 1, 2014. "Contract Year" shall mean the period from January 1 to December 31 during each year of the Operating Period. For the purposes of this Agreement, the first Contract Year ends on December 31, 2014. "Covered Parties" shall mean the City and its elected and appointed boards, members, officials, officers, agents, representatives, employees and volunteers. "Effective Date" shall mean the date first written on page 1 of this Agreement. "Operating Period" shall mean the period commencing as of the Commencement Date, and continuing until and expiring on December 31, 2028; provided, however, that IPC may terminate this Agreement for any reason (or no reason) at any time upon one hundred eighty (180) days' written notice to the City. "Petroleum Business" refers to the operation by IPC in the City of a sales office selling petroleum products and products ancillary to the sale of refined petroleum that generate Sales Tax revenue. "Quarter" shall mean any three (3) month period commencing on January 1, 2013, and thereafter on April 1, July 1 and October 1 during the Operating Period. If the quarterly or other periods used by the State Board of Equalization in calculating or making Sales Tax payments to City differ from City's fiscal quarters described above, the parties shall modify the timing (but not the amount) of the City Consideration payments to coincide with the periods used by the State Board of Equalization. "Required Operations" shall collectively refer to the following on and with respect to IPC conducting its Petroleum Business in the City: (i) IPC retaining and continuing to own or lease sufficient facilities in the City to allow the Petroleum Business to be conducted; (ii) IPC's 111030876 -0001 5940427.2 a0740 11 25K-6 operation of the Petroleum Business within the corporate boundaries of the City; and (iii) IPC not transferring or otherwise relocating the retail sales operation or the point of sale as reported to the State Board of Equalization for the Petroleum Business to another facility or location outside of the City. "Sales Tax(es)" means that portion of taxes that is allocated, paid to, and actually received by City from the imposition of the Bradley -Burns Uniform Sales and Use Tax law (commencing with Section 7200 of the California Revenue and Taxation Code), or any successor law thereto, arising from all taxable sales transactions, occurring from Required Operations conducted by IPC within the City during the Operating Period. "Sales Tax" shall not include sales tax revenues that are provided to a city based upon a special election and are limited to be used for a specified governmental function or functions. "Sales Tax Reports" shall include, for each Quarter (i) a statement identifying the amount of Sales Tax paid by IPC from Required Operations within the City during the Quarter; and (ii) copies of all statements and quarterly reports filed with the State Board of Equalization. "Termination Date" shall mean December 31, 2028, subject to extension or earlier termination of the Operating Period as set forth in this Agreement. 2. IPC OBLIGATIONS. 2.1 Operating Agreement; Continuous Operation. IPC hereby covenants and agrees to maintain its headquarters for its California business and all sales offices in Santa Ana that are located in Orange County, California as of the date of this Agreement, and continuously conduct or cause to be conducted Required Operations within the City during the entire Operating Period. IPC agrees to maintain its principal place of business and all sales offices in compliance with State Board of Equalization regulations pertaining to "place of sale ". Such continuous operations shall be subject to the force majeure provisions of Section 5.11 hereof. 2.2 Maximization of Sales Tax. At all times during the Operating Period, IPC shall designate its corporate headquarters and sales office in the City as the point of sale for sales and use tax purposes in all Petroleum Business and related sales that originate from within the City. 2.3 Payment of Taxes. IPC shall pay or cause to be paid any and all taxes applicable to or arising out of IPC's lease, operation and /or use of its headquarters for its California business and sales office in the City (including, without limitation, all taxes attributable to sales occurring at such office), except that IPC retains its right to protest and contest County of Orange decisions related to the value of its interest in any property or leasehold. IPC shall make or cause to be made timely sales and use tax payments to the State Board of Equalization, except that IPC retains its right to protest and contest State Board of Equalization assessments or decisions that IPC believes to be erroneous. 2.4 Compliance with Laws. Subject to IPC's right to contest same, IPC shall conduct or cause to be conducted all activities within the City and shall perform its obligations under this Agreement in conformity with all applicable federal, state, and local laws, ordinances, and regulations. Nothing in this Agreement is a representation or warranty by City that any tenant improvement or other construction work performed by IPC within the City on or after the date of 131030876 -0001 59404272 A7 10 11 25K--7 this Agreement is not a public work as defined in Labor Code Sections 1720, et seq., including but not limited to Sections 1771 and 1781. 3. CITY CONSIDERATION PAYMENTS. 3.1 Payment of City Consideration to IPC. 3.1.1 Calculation of City Consideration. In consideration for IPC's undertakings pursuant to this Agreement, City shall make payments of City Consideration to IPC after the end of each Quarter, as follows: 3.1.1.1 Subject to Paragraph 3.1.1.2 below, for Required Operations conducted by IPC in the Operating Period, City shall pay IPC the City Consideration based on the actual net amount of Sales Tax directly received by the City from the State Board of Equalization during that Quarter. Subject to the terms of Section 3.1.2, the payment of City Consideration for each Quarter shall be made in a single lump sum payment within ninety (90) days following the end of that Quarter. 3.1.1.2 City Consideration shall be payable from any source of funds legally available to City. In this regard, it is understood and agreed that the Sales Tax from IPC's Required Operations in the City is being used merely as a measure of the amount of City Consideration payments that are periodically owing by City to IPC, and that City does not and legally cannot pledge any portion of that Sales Tax to IPC. 3.1.2 Payment Procedure. 3.1.2.1 After the end of each Quarter, and no later than thirty -five (35) days after IPC's payment of the Sales Tax to the State Board of Equalization for that Quarter, IPC shall submit to City the Sales Tax Reports for the preceding Quarter and a written request for payment of the City Consideration owing to IPC. Any delay shall not constitute either a breach of this Agreement or a waiver of IPC's right to receive the City Consideration under this Agreement, but may result in a delay in the City's payment of City Consideration to the extent that such delay by IPC causes the City to be unable to meet its payment obligations on a timely manner. 3.1.2.2 Payment of the amount determined by City to be owing to IPC for each Quarter shall be made by City within thirty (30) days after the later of the following: (i) IPC's submission of its completed payment request; and (ii) City's verification (based upon corroborating information provided to City by either the State Board of Equalization and/or a sales tax consultant retained by City) that City has received the Sales Tax attributable to sales from all Required Operations within the City for the applicable Quarter. Any disapproval by City of an IPC payment request shall state in writing the reasons for disapproval and shall be provided to IPC within fifteen (15) days after City has received information necessary to make the determination that the payment request cannot be approved. City agrees to expeditiously process IPC's requests for payment of City Consideration. IPC expressly understands that nothing contained in this Agreement shall obligate or otherwise commit City to pay the City Consideration for a Quarter unless and until City receives reasonably satisfactory verification 131/0308760001 5e404272 m_3011 25K -8 that City has received the Sales Tax attributable to sales from the Required Operations in the City for that Quarter. 3.1.2.3 In the event that the State Board of Equalization conducts a review or audit of IPC's Required Operations or Sales Tax payments during the Operating Period that results in an actual and final loss or reduction of monies that City has already paid to IPC as City Consideration for one or more Quarters, or in the event that IPC amends any sales tax returns that causes a reduction in the Sales Tax due to the City for one or more Quarters, IPC shall, within thirty (30) days of its receipt of written notice by the City, return that portion of the City Consideration attributable to the monies that were lost or reduced. In the event that the State Board of Equalization conducts a review or audit of IPC's Required Operations or Sales Tax payments during the Operating Period that results in an increase of Sales Tax that IPC must pay for one or more Quarters, or in the event that IPC amends any sales tax returns that causes an increase in the Sales Tax due for one of more Quarters, IPC shall inform the City and the City shall commensurately increase the City Consideration paid by IPC. The provisions of this paragraph shall survive the termination of this Agreement. 3.1.2.4 The parties acknowledge that certain payments of Sales Tax received by City may be based on estimates and that such amounts will be periodically reduced or increased by the State Board of Equalization to reflect the actual amount of Sales Tax owed to City. The City Consideration payments shall be adjusted accordingly as necessary to conform to such reconciliations. The adjustment shall be made within sixty (60) days through a payment by IPC to City in the case of an overpayment to IPC, or a payment by City to IPC in the case of an underpayment to IPC. Within thirty (30) days of a written request by IPC, the City shall provide IPC with documentation to substantiate the adjustment of the City Consideration payment(s). 3.1.2.5 Within ninety (90) days following the end of each Contract Year, the City may conduct an accounting of all of IPC's Sales Tax Reports and Sales Tax payments during the immediately preceding Contract Year, and the amount of the City Consideration payments made to IPC for each Quarter during that immediately preceding calendar year. However, the City may conduct such an accounting at any time by giving thirty (30) days written notice in the event that facts or circumstances arise (such as change in operations, change of ownership or business entity status) that can impact the method or amount of IPC's Sales Tax Reporting or Payments. The City shall provide IPC a copy of that accounting and reconciliation upon its completion. In the event that the accounting and reconciliation identifies a disparity between the Required Operations, IPC's Sales Tax payments, or City Consideration during that immediately preceding calendar year, appropriate adjustments shall be made within sixty (60) days by a payment from IPC to City in the case of an overpayment to IPC, or a payment from City to IPC in the case of an underpayment to IPC. 3.1.3 No Acceleration. It is acknowledged by the parties that any payments by City provided for in this Agreement may only be paid for those periods in which City receives the performance of IPC pursuant to this Agreement. Therefore, the failure of City to make any payments or the failure by City to perform any of its other obligations hereunder shall not cause the acceleration of any anticipated future City Consideration payments by City to IPC. 131 030876 -0001 59404272 n0730 11 25l- =9 3.2 Conditions Precedent to City's Obligations. City's obligation to perform hereunder, including without limitation its obligation to pay the City Consideration pursuant to Section 3.1 of this Agreement, shall be contingent and conditional upon IPC's full and satisfactory performance of its obligations set forth in this Agreement. Notwithstanding the foregoing, any delay by IPC in sending reports or other information to the City, or the existence of inadvertent errors in reports or information sent by IPC to the City, shall not constitute either a breach of this Agreement or a waiver of IPC's right to receive the City Consideration payable under this Agreement. However, such delay or error by IPC may result in a delay in the City's payment of City Consideration to IPC to the extent that such delay or error by IPC causes the City to be unable to meet its payment obligations on a timely basis. 3.3 Disclosure of Payments. IPC agrees that the City Consideration payments and the amounts thereof do not constitute a violation of Revenue and Taxation Code Section 7056 or any other provision of law pertaining to the disclosure of sales tax information, shall be a matter of public record, may be disclosed to any person, and may be included on the City's warrant register. IPC waives any law that is contrary to any of the agreements in this Section 3.3. 3.4 City Facilitation of Site Improvements. The City shall take commercially reasonable steps to expedite the review and processing of building permits, certificates of occupancy and final inspection, and other permits, approvals and entitlements needed by IPC in connection with its construction of tenant improvements in order to relocate its corporate headquarters and sales office to a facility in the City. 4. TERMINATION RIGHTS. 4.1 City Termination Rights. Subject to the force majeure provisions of Section 5.11 below, City shall have the right to terminate this Agreement if, following the Commencement Date, Required Operations are not conducted within the City for a period of ninety (90) consecutive days. 4.2 IPC Termination Rights. IPC may terminate this Agreement for any reason (or no reason) upon one hundred eighty (180) days written notice to the City. 4.3 Mutual Termination Rights. City makes no representation or warranty to IPC as to the legality of the City Consideration payments or the City's authority to make such payments. In the event that a final, non - appealable judgment or decree is rendered against City invalidating its payment obligations set forth in this Agreement, either City or IPC may terminate this Agreement by delivery of written notice of termination to the other party. 5. GENERAL PROVISIONS. 5.1 Entire Agreement, and Amendments. This Agreement incorporates all of the terms and conditions mentioned herein, or incidental hereto, and supersedes all negotiations and previous agreements between the parties with respect to the subject matter hereof. Any amendment or modification to this Agreement must be in writing and executed by IPC and City. 5.2 Limitations on City's Liability. IPC acknowledges and agrees that 1311030876 -0001 5940427 2 .07.10'13 25K-1 0 5.2.1 The relationship between IPC and City pursuant to this Agreement is and shall remain solely that of contracting parties, and City neither undertakes nor assumes any responsibility pursuant to this Agreement to review, inspect, supervise, approve, or inform IPC of any matter in connection with this Agreement or the Required Operations; 5.2.2 City shall not be directly or indirectly liable or responsible for any loss or injury of any kind to any person or property (except to the extent proximately caused by City's active negligence or intentional misconduct), resulting or in any way arising from (a) any defect in any building, grading, landscaping, or other onsite or offsite improvement; (b) any act or omission of IPC or any of IPC's agents, employees, independent contractors, licensees, sublessees or invitees; or (c) any accident at the facility to which IPC relocates its headquarters for its California business and sales office, or any fire or other casualty or hazard thereon; and 5.2.3 By accepting or approving anything required to be performed or given to City under this Agreement, City shall not be deemed to have warranted or represented the sufficiency or legal effect of the same, and no such acceptance or approval shall constitute a warranty or representation by City to anyone. 5.3 Interpretation; Governing Law; Venue. This Agreement shall be construed according to its fair meaning and as if prepared by both parties hereto. This Agreement shall be construed in accordance with the laws of the State of California, without regard to conflict of law principles. All legal actions must be instituted and maintained in the Superior Court of the County of Orange, State of California, or in any other appropriate court in that County. 5.4 Severabilitv. If any term, provision, Agreement, or condition of this Agreement is held by a court of competent jurisdiction to be invalid, void, or unenforceable, the remainder of this Agreement shall not be affected thereby to the extent such remaining provisions are not rendered impractical to perform taking into consideration the purposes of this Agreement. 5.5 Binding Effect; Successors and Assigns. This Agreement shall be binding upon, and inure to the benefit of, the parties hereto and their respective successors and assigns. 5.6 Notices. All notices and other communication required under this Agreement shall be in writing and shall be delivered by either (i) personal delivery, (ii) reliable courier service that provides a receipt showing date and time of delivery, (iii) registered or certified U.S. Mail, postage prepaid, return receipt requested, or (iv) facsimile. Notices shall be addressed to the respective parties as set forth below or to such other address and to such other persons as the parties may hereafter designate by written notice to the other party hereto: To City: City of Santa Ana 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 Attn: City Manager Facsimile: (714) 647 -6954 131030876 -0001 59404271a071011 25K-11 To IPC: IPC (USA), Inc. 20 Pacifica Suite 650 Irvine, CA. 92618 Attention: Chief Financial Officer Facsimile: (949) 861 -6475 Each notice shall be deemed delivered on the date delivered if by personal delivery or by overnight courier service, on the date of receipt as disclosed on the return receipt if by mail, or on the date of transmission with confirmed successful transmission and receipt if by facsimile. By giving to the other party written notice as provided above, the parties to this Agreement shall have the right from time to time, and at any time during the term of this Agreement, to change their respective addresses or contact persons. 5.7 Representations and Warranties. As a material inducement to City's entry into this Agreement, IPC represents and warrants to City that (i) IPC has the full power and authority to enter into and perform under this Agreement; and (ii) all authorizations and approvals required to make this Agreement binding upon IPC have been duly obtained As a material inducement to IPC's entry into this Agreement, City represents and warrants to IPC that, subject to and limited by the provisions of Section 5.2, (i) City has the full power and authority to enter into and perform under this Agreement; and (ii) all authorizations and approvals required to make this Agreement binding upon City have been duly obtained. 5.8 Litigation Expenses. If either of the parties institutes any legal action against the other in connection with any controversy related to, concerning or arising out of this Agreement, or any facts based upon or involving this Agreement, then the prevailing party, whether in court, through mediation, arbitration or by way of out -of -court settlement, shall be entitled to recover from the non - prevailing party such prevailing party's reasonable attorneys' fees, court costs, expert witness fees and other expenses relating to such controversy, including such fees, costs and expenses on appeal, if any; and the arbitrator(s), if any, is hereby authorized to make such an award to the prevailing party in arbitration. 5.9 Termination. In the event this Agreement terminates, no termination shall release any party in default and this Agreement shall survive for purposes of allowing a party to enforce its rights and remedies under this Agreement in the event of a default, including without limitation the provisions of Section 4.3. All indemnification provisions and any other provision that by its nature cannot be performed during the term of this Agreement shall survive the termination of this Agreement. 5.10 Defense of Third Party Claims. To the fullest extent permitted by law, IPC shall indemnify, defend and hold harmless the City, its officers, agents, and employees from and against any and all losses, liabilities, damages, costs and expenses that may be asserted by a third party, including attorney's fees and costs in the event that a third party files litigation challenging the validity or enforceability of this Agreement, or any payment of the City Consideration by the City to IPC. The City and IPC may jointly defend the Agreement and /or City Consideration payment. If the litigation is filed only against the City, IPC may move to intervene as a defendant, respondent or real party in interest, based upon the nature and form of the litigation. 131,030876-0001 ��j`�' 59404272A7. 30. 11 25� \-1 2 5.11 Force Maieure. The obligations by either party hereunder shall not be deemed in default and times for performance hereunder shall be extended where delays are caused by fire /casualty losses; strikes, riots or war; litigation; unusually severe weather; inability to secure necessary labor, materials or tools because of a shortage in the market; delays of any contractor, subcontractor or supplier; unjustified acts or failure to act by City in the processing or approval of plans or permits or inspection or approvals of improvements for IPC's relocation of its headquarters for its California business and sales office to the City; acts of God, or other similar causes without the fault and beyond the reasonable control of the party, despite the party's diligent efforts (collectively, "force majeure"), if written notice is provided to the other party within a reasonable period following commencement of any such circumstances and, provided further, that the extension of time shall be only for the period of the force majeure delay. Adverse market conditions or the inability to obtain financing shall not constitute an event of force majeure. 5.12 Counterparts. This Agreement may be executed in two or more counterparts, each of which when so executed and delivered shall be deemed an original and all of which, when taken together, shall constitute one and the same instrument. IN WITNESS WHEREOF, City and IPC have entered into this Agreement as of the date first written above. ATTEST: City Clerk APPROVED AS TO FORM: City Attorney CITY OF SANTA ANA, a California charter city Miguel Pulido Mayor IPC (USA), INC., a California corporation Hiroki Okinaga Chief Executive Officer Jim Takeuchi Chief Financial Officer 131070875 -0001 594042 ,x:,07101 25KA 3 13 427,2.a09 7 25K214 5940427.2 i V n 13 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: APPROVAL OF AGREEMENT WITH DAVID CAVAZOS AS CITY MANAGER ,Z-- - - 4e CITY MANAGJER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Direct and authorize the Mayor and the Clerk of the Council to execute an employment agreement appointing David Cavazos as the City Manager for the City of Santa Ana. DISCUSSION The Santa Ana City Charter Section 500 authorizes the City Council to appoint a City Manager. The City Manager is the chief administrative officer of the City who, under the direction of the City Council, is responsible for the proper administration of all affairs of the City. Mr. Cavazos is currently the City Manager for the City of Phoenix, Arizona, a position he has held since 2009. In that capacity, he oversees an organization with 15,000 employees, 26 departments and an annual operating budget of $3.5 billion. Prior to being appointed City Manager, Mr. Cavazos served as Deputy City Manager for the City of Phoenix from 2005 through 2009. He also served as the Aviation Director for the City of Phoenix where he oversaw three airports, including the Phoenix Sky Harbor International Airport, Arizona's largest and busiest airport, and the largest commercial airport in the American Southwest. Mr. Cavazos obtained his Master of Science in Management and Public Policy from Carnegie Mellon University in Pittsburg, PA and his Bachelor of Arts in Political Science from Western Illinois University. He is a member of the International City /County Management Association and is fluent in Spanish. Staff recommends that the Council approve the proposed Employment Agreement and appoint Mr. Cavazos as City Manager. (See Exhibit A) The term of this Agreement is three years and automatically renews absent Council action to the contrary. The Agreement provides for an annual salary of $315,000 and other benefits as detailed in the Agreement. The estimated first year cost of the Agreement is $558,625 with an estimated cost of $515,395 in year two and $515,895 in year three. A spreadsheet detailing the cost is attached as Exhibit B. 25L -1 Agreement with David Cavazos August 5, 2013 Page 2 FISCAL IMPACT Funds are available the City Manager's Office accounts for compensation and benefits (account no.01103010 various). Edward S. Raya Executive Director Personnel Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Attachments: Exhibit A: Employment Agreement Exhibit B: Matrix of Agreement Costs 25L -2 CITY OF SANTA ANA CITY MANAGER EMPLOYMENT AGREEMENT This City Manager Employment Agreement ( "Agreement ") is entered into as of the 5th day of August, 2013 (the 'Effective Date "), between the City of Santa Ana (hereinafter referred to as the "City ") and David Cavazos (hereinafter referred to as the "City Manager" or the 'Employee "). City and City Manager/Employee are sometimes referred to in this Agreement as "Party" and collectively as "Parties." RECITALS WHEREAS, the City Council of the City desires to appoint and employ Employee as City Manager pursuant to the Charter of the City of Santa Ana ( "City Charter "), and WHEREAS, the Employee desires to accept the appointment as the City Manager of the City, and WHEREAS, it is the desire of the City Council and Employee to set forth certain benefits, establish certain conditions of employment and to set certain working conditions of the City Manager in an Employment Agreement. NOW, THEREFORE, the above named Parties hereby mutually agree and promise as follows: 1. Term /Automatic Annual Renewal. This Agreement shall be deemed effective for a three (3) year term beginning on October 21, 2013 and terminating on October 20, 2016, unless terminated earlier in accordance with Section 9 hereof. This initial three (3) year term will, pursuant to the provisions below, automatically extend from year to year unless City Council takes action to prevent the automatic extension. In the event the City Council does not want this Agreement to automatically extend, it will provide written notice to City Manager that the Agreement will not be extended and consequently will terminate as of the end of the current term. If action is not taken by City Council within three (3) months before the expiration of the initial term of this Agreement on October 20, 2016, this Agreement shall on July 20, 2016, automatically extend for one (1) year from October 21, 2016 until October 20, 2017. For each succeeding year that the City Council does not take action to extend or terminate this Agreement by three (3) months before the then current end of the Agreement, the Agreement shall automatically extend for an additional year. For example, if action is not taken by the City Council to extend or terminate this Agreement by July 20, 2017, the Agreement shall on that date automatically extend for one (1) year from October 21, 2017, to October 20, 2018, and if the 4563 5.0100017118043 4 25L -3 City Council doesn't take action to extend or terminate this Agreement by July 20, 2018, it will automatically extend for one (1) year from October 21, 2018 to October 20, 2019. 2. Compensation. 2.1 Salary (a) Annual Salary City agrees to pay City Manager, and City Manager agrees to accept from City, as compensation for services rendered by City Manager pursuant to this Agreement, an annual base salary, commencing on the Effective Date, in the amount of Three Hundred Fifteen Thousand Dollars ($315,000.00, hereinafter "Annual Base Salary"), payable in installment payments in the same manner and at the same times as salaries of other executive managers of the City are paid. The term "Annual Base Salary" as used in this Agreement shall also include any such adjustments approved by the City Council other than payments not eligible to be added to the City Manager's Annual Base Salary pursuant to the terms of any applicable salary resolution of City. The term "Monthly Base Salary" as used in this Agreement shall mean a sum of money equal to one - twelfth (1/12) of City Manager's Annual Base Salary as defined herein. (b) Deferred Compensation. City Manager shall receive as additional compensation added to his base salary and deducted therefrom pursuant to Government Code Section 53214, deferred compensation in the maximum annual amount permitted pursuant to Section 457 of the Internal Revenue Code at the time of execution of this Agreement, said amount consisting of the maximum Standard contribution and the Age 50+ contribution. (c) Performance Bonus Each fiscal year, commencing with the fiscal year that starts on July 1, 2014, the City Council may grant to City Manager a performance bonus. Whether or not to grant a bonus and the amount of any such bonus shall be in the sole discretion of the City Council. The decision by the City Council regarding the performance bonus shall be made for each fiscal year at the time the City Council is providing the performance evaluation of City Manager required by paragraph 3 of this Agreement. It is the understanding and intent of the City and City Manager that performance bonuses are not reportable to the California State Public Employees Retirement System ( "CalPERS "), and are not to be included in the calculation of City Manager's retirement allowance. Performance bonuses are not added to the annual base salary. 45635,01000 \7118043.4 2 25L -4 2.2 Benefits 2.2.1 General Benefits In addition, and except as otherwise specified herein, City Manager shall receive all such other benefits that are applicable to executive managers of the City as of the Effective Date of this Agreement, including but not limited to medical insurance, dental insurance, long term disability insurance, life insurance, sick leave, holidays, vacation, bereavement and family illness leave, physical examinations, participation in retirement system and participation in the City's retiree medical program in the same manner as other City executive managers as described in Exhibit "A" attached hereto. 2.2.2 Initial Sick Leave Bank Upon employment with City, City Manager shall be provided with an initial sick leave bank containing 80 hours of usable sick leave. This initial sick leave bank of 80 hours shall be for use by the City Manager under the applicable City policies and State and Federal laws only, and shall not be subject to any type of cash -out provision at termination as provided under City policies pertaining to the regularly accumulated employee sick leave balances. 2.2.3 Initial Vacation Allowance Upon employment with City, City Manager shall be awarded 80 hours of vacation leave. City Manager shall accumulate additional regular and management vacation hours in the same manner as other City executive managers. 2.2.4 Longevity Vacation City Manager shall accumulate Longevity Vacation at the maximum accrual rate for an employee having completed 20 years of service with the City. 2.2.5 CalPERS Membership As a "new employee" under CalPERS, City Manager will be enrolled in the 2% at age 62 benefit formula and shall be responsible for paying the corresponding employee contribution per CalPERS requirements as they exist today or as may be amended by the legislature. As of the effective date of this Agreement the applicable contribution rate is 6.75% on the first $136,440.00 of base salary. 2.2.6 Relocation Benefit City Manager shall be provided reimbursement for the actual costs required to relocate to California, i.e., moving expenses, not to exceed the sum of $7,500.00. Said reimbursement may include the costs of up to 2 visits to Orange County prior to moving to locate suitable housing. 45635.01000 \7118043.4 3 25L -5 2.2.7 Housing Allowance It is understood that City Manager intends to reside in the City of Santa Ana during his employment as City Manager, and that initially he will require a temporary residence while he is purchasing a permanent residence in the City and selling his existing residence in the City of Phoenix. Further, it is understood that the City Council desires that City Manager reside within the City of Santa Ana and believes that such residence would be of benefit to the City and enhance City Manager's performance as City Manager, and therefore, the City will pay City Manager the following allowances and assistance in order to offset the costs and expenses he will incur in establishing a temporary residence in the City, selling his existing Phoenix residence, acquiring a permanent residence in the City and moving both his temporary and permanent residences: (a) Temporary Housing Assistance City Manager shall be provided with reimbursement for the actual costs of temporary housing while City Manager seeks and obtains permanent Santa Ana housing in a sum not to exceed $3,000 per month and for a period not to exceed 12 months from the date of this Agreement. Prior to the 12 month maximum duration, said Temporary Housing Assistance shall cease upon City Manager closing escrow on the purchase of a local residence or the execution of a lease on a non - temporary residence. (b) Housing Allowance Upon the termination of the Temporary Housing Assistance referenced above, City Manager shall be provided with a housing allowance in the sum of $2,000.00 per month for the duration of the balance of the 3 year term of this Agreement. Said housing allowance shall be contingent upon City Manager residing within the City. 3. Performance Evaluation. The Mayor and the City Council are responsible for setting performance goals on an annual basis in consultation with the City Manager. The City Council shall review and discuss City Manager's performance in or around July of each year commencing in 2014. However, Employee acknowledges and accepts the fact that the City Council as Employer has the right to schedule an evaluation session at any time in accordance with the notice and all other requirements of the Brown Act. 4. Bonds. City shall bear the full cost of any fidelity or other bonds required of City Manager under any law or ordinance. 45635.01000\7118043 A 4 25L -6 5. Transportation and General Business Expenses. 5.1 Vehicle Provision City shall provide City Manager with a vehicle, as well as fuel, maintenance and liability insurance for said vehicle, for City Manager's use in commuting in the performance of his employment duties and for incidental personal use. 5.2 General Business Expenses (a) City agrees to budget and pay for professional dues and subscriptions for City Manager necessary for his continuation and participation in national, regional, state and local boards, task - forces, conferences and meetings, associations and organizations desirable for City Manager's continued participation, professional growth and advancement, and for the benefit of the City. (b) City agrees to budget and pay for travel and subsistence expenses of City Manager for professional and official travel, board and task -force meetings, and occasions to adequately continue the professional development of City Manager and to pursue necessary official functions for City. (c) City shall provide City Manager with the necessary technology tools, including and not limited to computer, software, cell phone and such other technologies as required by City Manager to perform his duties and to maintain communications. 6. Abuse of Office or Position. Pursuant to Government Code Sections 53243, 53243.1 and 53243.2, which became effective on January 1, 2012, if City Manager is convicted of a crime involving an abuse of his office or position, all of the following shall apply: (1) if Manager is provided with administrative leave pay pending an investigation, City Manager shall be required to fully reimburse City such amounts paid; (2) if City pays for the criminal legal defense of City Manager (which would be in its sole discretion, as it is generally not obligated to pay for a criminal defense), City Manager shall be required to fully reimburse City such amounts paid; and (3) if this Agreement is terminated, any Severance Pay and Severance Benefits related to the termination that City Manager may receive from City shall be fully reimbursed to City or void if not yet paid to City Manager. For purposes of this Section, abuse of office or position means either: (1) an abuse of public authority, including waste, fraud, and violation of the law under color of authority; or (2) a crime against public justice, including, but not limited to, a crime described in Title 7 (commencing with Section 92) of Part 1 of the Penal Code. 7. Notices. Any notice required or permitted by this Agreement shall be in writing and shall be personally served upon the other Party, or sent by United States Postal Service, postage prepaid and addressed to the appropriate Party as follows: 45635.01000 \7118043 4 5 25L -7 If to City: City Attorney City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 If to City Manager: David Cavazos City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 Notice shall be deemed given as of the date of personal service or upon the date of deposit in the course of transmission with the United States Postal Service. 8. Duties, Acceptance of Appointment, Hours of Work, Regional Liaison. 8.1 Duties City hereby agrees to employ Employee as City Manager of the City of Santa Ana to perform the functions and duties specified in the City Charter of the City of Santa Ana, and to perform such other legally permissible duties and functions as the City Council may from time to time assign. 8.2 Acceptance of Appointment Employee hereby accepts the appointment as City Manager of the City of Santa Ana subject to all terms and conditions set forth in this Agreement. 8.3 Hours of Work It is recognized that City Manager devotes a great deal of time outside the normal City Hall office -hours schedule, and to that end, he shall be allowed to establish his work schedule, taking into consideration that he is responsible for the supervision of employees and has responsibilities to serve all departments of the City. 9. Termination. 9.1 At -Will Employee Employee shall serve at the will and pleasure of the City Council. Nothing in this Agreement shall prevent, limit or otherwise interfere with the right of the City Council to suspend from duty, remove from office or otherwise terminate the services of City Manager at any time, at the sole discretion of the City Council, as provided in the City Charter. This Agreement may be terminated as follows. 45635.0100017118043.4 25L -8 9.2 Termination - Council Vote As required in Section 500 of the City Charter, the City Council may remove the City Manager by motion adopted by the affirmative votes of at least two - thirds (2/3) of the members of the City Council. At least thirty (30) days before such removal shall become effective, the City Council shall by resolution adopted by the affirmative votes of at least two - thirds (2/3) of the members of the City Council state the reasons in writing for the removal of the City Manager. 9.3 Termination - Change in Form of Government If any of the governing policies pertaining to the role, power, duties, authority, or responsibilities of City Manager are amended to substantially change City's form of government, either by action of the City Council, a duly passed initiative measure or state legislation, City Manager shall have the right to terminate the Agreement. 9.4 Reduction of Salary or Benefits If the City Council reduces the Annual Base Salary or any other financial benefit of the City Manager in a percentage that is greater than the average reduction of base salary for all executive managers of the City, such action shall constitute a termination of this Agreement. 9.5 Resignation City Manager may voluntarily resign his position as City Manager, after giving City at least sixty (60) days written notice prior to the effective date of such resignation, unless such notice is waived in whole or part by the City Council. In the event the City Manager resigns from his employment with City, the City Manager shall not be entitled to any Severance Pay. 9.6 Severance In the event this Agreement is terminated pursuant to any one of Sections 9.2, 9.3 or 9.4 of this Agreement, the City Manager shall receive a severance payment, in a lump sum, equal to twelve (12) months of City Manager's then monthly Base Salary ( "Severance Pay ") in accordance with the provisions of this Agreement. A Severance Pay payment shall be his sole remedy for termination under sections 9.2, 9.3 or 9.4 of this Agreement. The Severance Pay shall be paid after the City Manager executes a waiver and release agreement prepared by the City Attorney in a form substantially similar to that one set forth as Exhibit "B" to this Agreement. Notwithstanding any provision of this Agreement to the contrary, City may terminate City Manager's employment for cause at any time and without prior notice, and if City Manager is terminated for cause, he shall not be entitled to payment of severance compensation or any other compensation or damages. "Cause" shall include the following reasons: (a) Conviction of a crime, whether misdemeanor or a felony, involving moral turpitude. 45635.01000 \7118043.4 7 25L -9 For purposes of this paragraph, a plea of nolo contendere shall also be considered a conviction. (b) City Manager is determined by a court of competent jurisdiction or the State of California Fair Political Practices Commission to have knowingly and unlawfully participated in a governmental decision in which he had a conflict of interest as defined in Government Code Section 87100, et seq. or Government Code Section 1090 et seq. (c) Failure to follow a lawful directive of the Council after written notice of said failure is provided to City Manager approved by five (5) or more affirmative notes of its seven (7) members. (d) Continued abuse of drugs or alcohol that materially affects the performance of the City Manager's duties. (e) Repeated and protracted unexcused absences from the City Manager's office and duties. 10. General Provisions. 10.1 This writing constitutes the entire agreement between the parties with respect to the subject matter hereof, and supersedes all prior oral or written representations or written agreements on the subject matter hereof, which may have been entered into between the parties. No modification or revision to this Agreement shall be of any force or effect, unless the same is in writing and executed by the Parties hereto. 10.2 Each Party agrees and acknowledges that no representations, inducements, promises, or agreements, oral or otherwise, have been made by any Party, or anyone acting on behalf of any Party, which are not embodied herein and that any agreement, statement, or promise not contained in this Agreement shall not be valid or binding on either Party. 10.3 If any provision, or portion thereof, contained in the Agreement is held unconstitutional, invalid or unenforceable, the remainder of this Agreement, or portion thereof, shall be deemed severable, shall not be affected and shall remain in full force and effect. I0.4 This Agreement shall be governed by and construed in accordance with the law of the State of California. 10.5 This Agreement shall be construed as a whole, according to its fair meaning, and not in favor or against any Party. By way of example and not in limitation, this Agreement shall not be construed in favor of the Party receiving a benefit nor against the Party responsible for any particular language in this Agreement. 10.6 Employee acknowledges that he has had an opportunity to consult legal counsel in regard to this Agreement, that he has read and understands this Agreement, that he is fully aware of its legal effect, and that he has entered into it freely and voluntarily and based on his own judgment and not on any representations or promises other than those contained in this 45635.01000 \7118043.4 8 25L -10 Agreement. 11. Intentionally Left Blank 12. Communications in the Event of Termination 12.1 In the event the City terminates Employee for any reason or no reason, the City and Employee agree that no member of the City Council or City employees acting on behalf of the City shall make any written, oral, or electronic statement to any member of the public, the press, or any City employee concerning the Employee's termination except in the form of a joint press release or statement, which is mutually agreeable to the City and the Employee. The joint press release or statement shall not contain any text or information that is disparaging to either Party. Either Party may verbally repeat the substance of the joint press release or statement in response to any inquiry. 13. Indemnification 13.1 City shall defend, hold harmless and indemnify City Manager against any tort, professional liability claim or demand or other legal action, whether groundless or otherwise, arising out of any alleged act or omission occurring in the performance of City Manager's duties or resulting from the exercise of his judgment or discretion in connection with the performance of his duties. City shall not unreasonably refuse to provide for legal representation at City's expense. Legal representation, provided by City for City Manager, shall extend until a final determination of the legal action including any and all losses, damages, judgments, interests, settlements, fines, court costs, and the reasonable costs and expenses of legal proceedings, including appeals, and including attorneys' fees, and expert witness fees and all other trial and appellate costs, and other liabilities incurred, imposed upon, or suffered by such City Manager in connection with or resulting from any claim, action, suit, or proceeding, actual or threatened, arising out of or in connection with the performance of City Manager's duties. 13.2 City agrees to pay all reasonable litigation expenses of City Manager throughout pendency of any City - related litigation to which City Manager is a party, witness or advisor to the City. Such expense payments shall continue beyond City Manager's employment with the City as long as litigation is pending. Post - employment, City agrees to pay City Manager for reasonable consulting fees, travel expenses and other costs, when City Manager serves as a witness, advisor or consultant to City regarding pending litigation. [SIGNATURES ON FOLLOWING PAGE] 45635.01000 \7118043.4 9 25L -11 IN WITNESS WHEREOF, the Parties have executed this City Employment Agreement as of the day of August, 2013. EMPLOYEE /CITY MANAGER David Cavazos CITY OF SANTA ANA Approved as to Form: enia Miguel A. Pulido . Carvalho, Best Best & Krieger Mayor orney ATTEST: Maria D. Huizar Clerk of the Council 45635.01000 \7118043.4 10 25L -12 Exhibit "B" WAIVER AND RELEASE I, the undersigned, do hereby acknowledge and attest that I have read and understood section 9.6 of my Employment Agreement with the City of Santa Ana and hereby agree that by accepting twelve (12) months Severance Pay in the amount of $ [12 x current monthly base salary], I agree to waive all rights to further claims, remedies, or legal action against the City, its officers and employees. In exchange for receipt of the Severance Payment, I and my representatives, heirs, successors, and assigns do hereby completely release and forever discharge the City of Santa Ana and its related entities and their present and former officers, directors, council members, agents, employees, attorneys, and successors (collectively, "Released Parties ") from all claims, rights, demands, actions, obligations, liabilities, and causes of action of every kind and character, known or unknown, mature or unmatured, which I may have now or in the future arising from any act or omission or condition occurring on or prior to the date this waiver is signed whether based on tort, contract (express or implied), or any federal, state, or local law, statute, or regulation (collectively, the "Released Claims "). Released Claims shall also include, but not be limited to, claims for wages or other compensation due, severance pay, bonuses, sick leave, vacation pay, life or health insurance, or any other fringe benefit. Employee knowingly and voluntarily waives any and all rights or benefits that he may now have, or in the future may have, under the terms of Section 1542 of the California Civil Code, which provides as follows: A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS WHICH THE CREDITOR DOES NOT KNOW OR SUSPECT TO EXIST IN HIS OR HER FAVOR AT THE TIME OF EXECUTING THE RELEASE, WHICH IF KNOWN BY HIM OR HER MUST HAVE MATERIALLY AFFECTED HIS SETTLEMENT WITH THE DEBTOR. By initialing below, the Employee acknowledges that he or she has read and understands this waiver and voluntarily and knowingly is waiving his right under Section 1542 to pursue unknown or unanticipated claims, rights, demands, actions, obligations, liabilities and causes of action of any kind. Initials of Employee 45635.01000\7118043.4 11 25L -13 Employee shall not file any claim, sue or initiate, against any Released Party, any compliance review, action, or proceeding, or participate in the same, individually or as a member of a class, under any contract (express or implied), or any federal, state, or local law, statute, or regulation pertaining in any manner to the Released Claims. Approved and Agreed to By: 45635.01000 \7118043.4 12 25L -14 20I3 EM Summary of Benefits Auto Allowance $6000 /year Tuition Reimbursement $2000 per FY max Dental Insurance Delta Dental PPO Safeguard Dental HMO Max paid by City $90.00 /month Health Insurance - Provided by CaIPERS Blue Shield PPO or HMO Based Plans Kaiser HMO Plan PERS Choice, PERS Care, PERS Select Max paid by City $558.95/mo EE Only; $1,117.90 /mo. EE +1; $1,453.27/mo. EE 2+ Life Insurance 3x salary, to max of $300,000 100% City Paid Long Term Disability 2/3 of first $7500 /month, after 60 days. City pays 100% of premium cost. Medical Retirement Subsidy Plan Subsidy of $12.41 /year of service to help pay for Medical Premiums at retirement Supplemental Life and AD &D Insurance for Employee, Spouse and Children lx to 5x Salary 100% paid by employee Vision Insurance EyeMed Vision Care 100% paid by employee Bereavement 3 working days; 16 additional hours if employee must travel over 500 miles; charged to Personal Necessity PN Holidays 96 hours Management Vacation Benefits 40 hours Sick Leave 96 hours Vacation & Longevity Vacation 120 hours per year (1 -5 yrs) 124 -160 hours per year (6 -15 yrs) 168 -200 hours per yr (16 -20 yrs) Employer Paid Member Contribution EPMC 8% for Miscellaneous Employees hired after 1/1 /13 that are new CalPERS Members are not eligible for EPMC PERS: Miscellaneous Classic Employees RETIREMENT FORMULA 2,7 %@ 55 PERS: Miscellaneous Classic Employees EMPLOYEE CONTRIBUTION 8.0% Employee Contribution PERS: Miscellaneous New CalPERS Members 2 %, @ 62 RETIREMENT FORMULA PERS: Miscellaneous New CaIPERS Members 6.75% Employee Contribution EMPLOYEE CONTRIBUTION kc Aug 1, 2013. CITY MANAGER CONTRACT COST SALARY 315,000.00 315,000.00 315,000.00 DEFERREC COMP 457 23,000.00 23,500.00 24,000.00 PERS ER COST 62,686.00 62,686.00 62,686.00 MEDICAL INS 17,439.00 17,439.00 17,439.00 DENTAL INS 1,080.00 1,080.00 1,080.00 LIFE INS 439.00 439.00 439.00 LONG TERM INS 316.00 316.00 316.00 HEALTH RETIREE BEN 5,512.00 5,512.00 5,512.00 40 HRS MGMT LEAVE 6,057.69 6,057.69 6,057.69 80 HRS LONGEVITY LEAVE 12,115.38 - - 80 HRS SICK LEAVE 12,115.38 - - 200 ANNUAL VAC ACCRUAL 30,288.46 30,288.46 30,288.46 96 ANNUAL SICK ACCRUAL 14,538.46 14,538.46 14,538.46 96 ANNUAL HOLIDAY ACCRUAL 14,538.46 14,538.46 14,538.46 RELOCATION 7,500.00 TEMP HOUSING 36,000.00 - - HOUSING ALLOWANCE - 24,000.00 24,000.00 ANNUALTOTAL 558,625.85 515,395.08 515,895.08 25L -16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: GRANTS FOR BLOCKS PROGRAM G_ v e!"1CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: -C• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a Resolution authorizing a fiscal sponsorship agreement with Charitable Ventures of Orange County for the purpose of administering the Grants for Blocks Program. Authorize the Executive Director of the Community Development Agency or their designee to execute the agreement and all necessary documents required for the establishment and maintenance of Grants for Blocks as a restricted fund with Charitable Ventures of Orange County. DISCUSSION For the past 14 years, the Community Development Agency has supported neighborhood improvements and community building through its privately funded Grants for Blocks Program. This program was created in response to corporations and foundations seeking a vehicle to contribute financial resources to support leadership training, capacity building and resident driven physical improvements in Santa Ana's neighborhoods. Over $75,000 in private funding has been attracted during this time from various corporate partners including: Food4Less, Wells Fargo Bank, Bank of America, First American Title Company, and WalMart. Nearly 80 projects have been completed to date, including support for literacy initiatives, learning centers, youth sports programs and beautification projects. Grants for Blocks is operated by Community Development Agency staff as a competitive program offering monetary grants in the amount not to exceed $500 per recipient. Proposals from potential grant recipients are solicited from the community through extensive outreach to neighborhoods, non - profit social service agencies, parent groups at schools and service clubs. Submissions are reviewed and recommended by the Steering Committee of the Community Development Resource Network. The Steering Committee is comprised of numerous volunteers from community -based groups and non - profit organizations. No Steering Committee member may vote on a grant proposal that may cause a conflict of interest. The Grants for Blocks Program has been amended periodically by the City Council including authorizing the establishment of the program as a non - endowed, donor - directed fund at the Orange County Community Foundation in 2002. Additionally, the City Council established the Most Beautiful Yard Program in 2006, 55A -1 Grants For Blocks Program August 5, 2013 Page 3 which has enabled the financial donor to receive a tax deduction for the gifts which are provided to the winners. In recent years, the neighborhood associations have continued to increase their organizational capacity and effectiveness, resulting in many neighborhoods initiating their own fundraising from private sources to accomplish their key milestones. However, most neighborhood associations in Santa Ana are not incorporated under Section 501 (c) (3) of the Internal Revenue Code and this has limited their success attracting private funding. In response, staff is recommending an enhancement to the Grants for Blocks Program to provide greater numbers of neighborhood associations, Communication Linkage Forum (Com- Link), and resident - driven initiatives with access to the private fundraising benefits of non - profit status under federal tax law. To accomplish this, it is recommended that the City transfer the Grants for Blocks fund from the Orange County Community Foundation to Charitable Ventures of Orange County (CVOC), a California non - profit public benefit corporation located in Santa Ana. CVOC is capacity building and grass roots - oriented and can provide the additional services such as bookkeeping and accounting assistance as well as insuring the organization under their blanket insurance policy, which is needed to expand the program. In addition, CVOC is staffed and set up to pay smaller transactions. Forming and maintaining a non - profit can overwhelm emerging charitable initiatives before they have a chance to impact the community. CVOC was formed in 2007 to address this need by offering Fiscal Sponsorship Services to emerging non - profit initiatives in Orange County. The proposed transfer to CVOC is recommended by staff and will strengthen Grants for Blocks as a fundraising mechanism for the neighborhood associations. Through this approach, CVOC will also act as the fiscal sponsor of Grants for Blocks, a role they currently also play for a variety of initiatives in Santa Ana including the California Endowment's Building Healthy Communities with programs such as the Santa Ana HUB and Lives Worth Saving Gang Intervention (Cedar Evergreen strategy). In this role, they will provide additional oversight as to the eligibility of the use of the funds. CVOC also provides back -office accounting and grant management services to organizations that do not have 501(c)(3) status. FISCAL IMPACT There is no fiscal impact associated with this action. Sandra D. Gottlieb Acting Executive Director Community Development Agency SDG /SK/kg Exhibit: 1. Resolution 2. Agreement Francisco Gutierrez Executive Director Finance & Management Services Agency 55A -2 55A -3 EXHIBIT 1 RESOLUTION NO. 2013 — A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING A FISCAL SPONSORSHIP AGREEMENT WITH CHARITABLE VENTURES OF ORANGE COUNTY FOR THE PURPOSE OF ADMINISTERING SANTA ANA'S GRANTS FOR BLOCKS PROGRAM BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City Council authorized the Grants for Blocks Program ( "Program ") in March of 1999, by Resolution No. 1999 -014. The Program was established to encourage community building projects and greater collaboration between neighborhood groups, service clubs, schools, community -based organizations, the faith community and local businesses. B. In 2002, the City Council established Grants for Blocks s a Agency Directed Fund with the Orange County Community Foundation ( "OCCF "), a non - profit organization which administers donations received and distributes grants to meet the needs of the Orange County Community; thereby enhancing the visibility of the City's community building initiatives among corporations and charitable foundations. C. In 2006, the City Council further expanded the Program to allow for the acceptance of financial gifts associated with the annual Most Beautiful Yard Competition and donations from the private sector to support community building and leadership training programs associated with the City's Housing and Neighborhood Development Program. D. Since its establishment the Program has raised over $75,000 to provide eighty (80) grants to neighborhood associations and community -based organizations serving Santa Ana. E. Staff has been approached by City residents and community members seeking additional support through the Program for greater numbers of Santa Ana's EXHIBIT 1 55A -4 neighborhood associations, the Communication Linkage Forum (Com- Link), and resident driven initiatives with access to the benefits of non - profit status under federal tax law. F. Charitable Ventures of Orange County ( "CVOC ") is a California non - profit public benefit corporation located in Santa Ana that has been established to administer donations received, provide oversight of sponsored projects and distribute grants to meet the needs of the Orange County community. Section 2. The City Council hereby authorizes the establishment of Grants for Blocks as a restricted fund with Charitable Ventures of Orange County so that CVOC may act as the fiscal sponsor of the Program. Section 3. The City Council of the City of Santa Ana hereby authorizes and empowers the Executive Director of the Community Development Agency or her /his designee to execute in the name of the City of Santa Ana all necessary applications, contracts, agreements, amendments and payments needed for the establishment and maintenance of Grants for Blocks as a restricted fund with Charitable Ventures of Orange County. Section 4. The City Council hereby authorizes the transfer of the Grants for Blocks funds from the current account with the Orange County Community Foundation to Charitable Ventures Orange County. Section 5. The City Council authorizes the Executive Director of the Community Development Agency to receive and review recommendations from the Steering Committee of the Community Development Resource Network, and ultimately give approval as to which organizations or groups should be the recipients of the grants. In the event the Steering Committee fails to exists, the Redevelopment and Housing Commission shall serve in its place. Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. EXHIBIT 1 55A -5 ADOPTED this day of 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Lisa E. Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2013- to be the original resolution adopted by the City Council of the City of Santa Ana on 2013. Date: Clerk of the Council City of Santa Ana EXHIBIT 1 55A -6 55A -7 Model A Agreement 4,4:11.1h1V Charitable Ventures of Orange County FISCAL SPONSORSHIP AGREEMENT BETWEEN CHARITABLE VENTURES OF ORANGE COUNTY AND CITY OF SANTA ANA This Agreement, made August 1, 2013, by and between Charitable Ventures of Orange County, a California nonprofit public benefit corporation located in Santa Ana, California, qualified as exempt from federal income tax under §501(c)(3) of the Internal Revenue Code (hereinafter referred to as "CVOC "), and City of Santa Ana (hereinafter referred to as the "Committee "). Ci?fMittLSR.� A. Whereas, the Committee's goal is to advance the following mission: To promote community solutions, capacity building and civic engagement so residents have the ability to be well informed about items affecting their neighborhood and opporutnities to improve their community (hereinafter referred to as the "Mission "). B. Whereas, CVOC's Board of Directors has approved the establishment of a restricted fund to receive donations of cash and other property earmarked for the charitable purposes of the project known as Santa Ana Grants for Blocks (hereinafter referred to as the "Project "), that will be operated primarily to advance the Mission, and to make disbursements in furtherance of the Mission. C. Whereas, CVOC desires to act as the fiscal sponsor of the Project, by receiving assets and incurring liabilities identified with the Project beginning on the Effective Date as defined in Paragraph 1 and using them to pursue the Mission, which CVOC's Board has determined will further CVOC's charitable and educational goals, and Committee desires to manage the Project under the sponsorship of CVOC. THEREFORE, in consideration of their mutual and respective promises, the parties hereto do hereby agree as follows: 1. Term of Agreement. On August 1, 2013 (hereinafter referred to as the "Effective Date"), CVOC shall assume operation of the Project, which operation shall continue in effect for one (1) year, automatically renewing for one (1) year periods thereafter, unless earlier terminated pursuant to Paragraph 7 below. Exhibit 2 55A -8 Model A Agreement 2. Creation of Restricted Fund/Variance Power. Beginning on the Effective Date, CVOC shall place all gifts, grants, contributions, and other revenues received by CVOC and identified with the Project into a restricted fund to be created and used for the sole benefit of the Mission as may be defined by the Committee from time to time within the tax - exempt purposes of CVOC and with the written approval of CVOC (the "Fund "). The parties agree that all money and the fair market value of all property in the Fund shall be reported as the income of CVOC, for both tax purposes and for purposes of CVOC's Financial statements. CVOC shall exercise full control over the Project's financial administration, management and disbursements from the Fund. It is the intent of the parties that this Agreement be interpreted to provide CVOC with variance powers necessary to enable CVOC to treat the restricted fund as CVOC's asset in accordance with Statement No. 136 issued by the Financial Accounting Standards Board while this Agreement is in effect. 3. Project Activities and Sponsorship Policies. All community programs, public information work, fundraising events, processing and acknowledgment of cash and non -cash revenue items, accounts payable and receivable, negotiation of leases and contracts, disbursement of the Project funds (including grants), and other activities conducted by the Project, shall be the ultimate responsibility of CVOC and shall be conducted in the name of CVOC, beginning on the Effective Date. Unless otherwise agreed, and subject to their consent, all personnel to be compensated for working on the Project shall become at -will employees of CVOC on the Effective Date, and shall be subject to the same personnel policies and benefits as are required by law to apply to all employees of CVOC. Unless otherwise agreed, any tangible or intangible property, including intellectual property, such as copyrights, obtained from third parties or created in connection with the Project shall be the property of CVOC while this Agreement is in effect. The Committee shall abide by the Fiscal Sponsorship Guidelines of CVOC as set forth on the attached Exhibit 1, which CVOC may amend from time to time with the consent of the Committee, and which include administration fees, as set forth in attached Exhibit 2, to be paid to the general fund of CVOC from the Fund. 4. Delegation. Authority to manage the activities of the Project is delegated by CVOC to the Committee, subject at all times to the ultimate direction and control of the CVOC Board of Directors. The Committee is a group of individuals that serves as a subordinate body to the CVOC Board of Directors and as an integral part of CVOC. In matters governed by this Agreement: (a) the Committee's separate legal existence as an unincorporated nonprofit association will be solely for the limited purpose of holding, exercising, and enforcing the contractual duties and obligations CVOC may owe to the Committee under this Agreement, and (b) those participating on the Committee shall serve as individuals only, not as representatives or agents of any funding source, employer, or any party other than CVOC. Neither the Committee nor any of its members shall have the authority to enter into any agreement or obligation pertaining to the Project without the prior written agreement of CVOC. 5. Restricted Fund Management / Performance of Charitable Purposes. All of the assets received by CVOC under the terms of this Agreement shall be devoted to the purposes of the Project, within the tax - exempt purposes and mission of CVOC. No item of revenue shall be earmarked to be used in any attempt to influence legislation within the meaning of Internal Revenue Code ( "IRC ") Section 501(c)(3); no agreement, oral or written, to that effect shall be made between CVOC and any revenue source. CVOC shall not use any portion of the assets to participate or intervene in any political campaign on behalf of or in opposition to any candidate for public office, to induce or encourage violations of law or public policy, to cause any private inurement or improper private benefit to occur, nor to take any other action inconsistent with IRC Section 501(c)(3). Exhibit 2 55A -9 Model A Agreement 6. Re oorrtine. CVOC will provide transaction reports to the Committee monthly and income statements quarterly. CVOC will audit /review the Project as part of the CVOC organizational audit and Project will receive the annual CVOC organizational audit. Any separate audit of the Project will be at the Committee's cost and expense. 7. Termination. This Agreement shall terminate when the objectives of the Project can no longer reasonably be accomplished by CVOC. If the objectives of the Project can still be accomplished, but either the Committee or CVOC desires to terminate CVOC's fiscal sponsorship of the Project, the following understandings shall apply. Upon such termination any unpaid expenses or unsatisfied contractual obligations of the Project may be paid or reserved for payment out of the Fund by CVOC. Either CVOC or the Committee may terminate this Agreement on 60 days' written notice to the other party, so long as another nonprofit corporation, which is tax exempt under IRC Section 501(c)(3) and is not classified as a private foundation under Section 509(a) (hereinafter referred to as "Successor "), is willing and able to sponsor the Project and is approved by writing by both parties by the end of the 60 day notice period. The ability to sponsor the Project shall be evidenced by having charitable purposes consistent with the purposes of the Project and the administrative and financial capacity to competently manage the Project. If the parties cannot agree on a Successor to sponsor the Project, the Committee shall have an additional 60 days to find a Successor willing and able to sponsor the Project. If a Successor is found, the balance of assets in the Fund, together with any other tangible and intangible assets held or liabilities incurred by CVOC in connection with the Project, shall be transferred to the Successor at the end of that additional 60 day period or any extension thereof, subject to the approval of any third parties that may be required. Ifthe Committee has formed a new organization qualified to be a Successor as set forth in this paragraph, such organization shall be eligible to receive all such assets and liabilities so long as such organization has received a determination letter from the Internal Revenue Service documenting thatsuch qualifications have been met, no later than the end of the notice period or any extension thereof. If no Successor is found within the 120 day period (i.e., the initial 60 day notice period and the additional 60 day period to find a Successor), CVOC may dispose of the Fund's assets and liabilities in any manner consistent with applicable tax and charitable trust laws. Either party to this Agreement may terminate this Agreement based upon a material breach of this Agreement by the other party, by giving 30 days' written notice to the other party, and any Project assets and liabilities shall be handled in a manner consistent with the provisions stated above. 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 facsimile in the manner provided in this Section, to the following persons: To Project: Santa Ana Grants for Blocks Scott Kutner Community Development Agency Housing & Neighborhood Development 20 Civic Center Plaza, 3^+ Floor Post Office Box 1988 Santa Ana, CA 92702 Telephone: 714-667-2259 Facsimile: 714.667 -2225 Electronic Mail: skutner @santa - ana.org Exhibit 2 55A -10 Model A Agreement To CVOC: Charitable Ventures of Orange County 1505 E. 17th Street, Suite 101 Santa Ana, CA 92705 Telephone: 714-647-0900 Facsimile: 714.647 -0901 Electronic Mail: info @charitableventuresoc.org 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, notice shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, and federal holidays shall be excluded. 9. Entire Agreement. This Agreement constitutes the only agreement, and supersedes all prior agreements and understandings, both written and oral, among the parties with respect to the subject matter hereof. All Exhibits hereto are a material part of this Agreement and are incorporated by reference. This Agreement, including any Exhibits hereto, may not be amended or modified, except in a writing signed by all parties to this Agreement. 10. Jurisdiction /Venue. This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be governed and construed in accordance with the laws of the State of California, excluding its conflict of law provisions. 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. 11. Authority. Each undersigned represents and warrants by its signature that each has the power, authority and right to bind their respective parties to each of the terms of this Agreement. 12. Miscellaneous provisions a. Arbitration. All claims, disputes and other matters in question between the parties to this Agreement arising out of or relating to this Agreement or the breach thereof shall be decided by arbitration in accordance with the rules of the American Arbitration Association unless the parties mutually agree otherwise. The decision and award rendered by the arbitrators shall be final, and judgment may be entered upon it in accordance with applicable law in any court having jurisdiction thereof. b. Attorneys' Fees. The prevailing party in any legal action to enforce this Agreement shall be entitled to recover its costs and reasonable attorneys' fees in addition to any other relief granted. C. Severability. The provisions of this Agreement shall be deemed severable and if any portion shall be held invalid, illegal or unenforceable for any reason, the remainder of this Agreement shall be effective and binding upon the parties. Exhibit 2 55A -11 Model A Agreement d. Waiver. Any waiver of any terms, covenants and /or conditions hereof must be in writing and signed by the parties hereto. A waiver of any of the terms, covenants and /or conditions hereof shall not be construed as a waiver of any other terms, covenants and /or conditions hereof nor shall any waiver constitute a continuing waiver. e. Committee Receipt of Agreement By signing this Agreement, the Committee acknowledges that each member of the Committee has received a complete copy of this Agreement and all Exhibits. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. Approval: If this Fiscal Sponsorship Agreement is acceptable, please sign and return according to the directions below. CHARITABLE VENTURES OF ORANGE COUNTY CITY OF SANTA ANA SIGNATURE: X. SIGNATURE: DATE: DATE: ANNE OLIN PRINT NAME: EXECUTIVE DIRECTOR ADDRESS: CITY /STATE /ZIP: TELEPHONE: FACSIMILE: EMAIL: Please submit a signed copy of this Fiscal Sponsorship Agreement via one of the following means: Email - debbie@charitableventuresoc.org Postal Mail - Debbie Groendal, Program Director Charitable Ventures of Orange County 1505 E. 17th Street Suite 101, Santa Ana, CA 92705 Exhibit 2 55A -12 Model A Agreement EXHIBIT 1 FISCAL SPONSORSHIP GUIDELINES FOR NON - PROFIT 501(c)(3) ORGANIZATIONS 1. Sponsorship benefits include the operation of the Project within a 501(c)(3) fiscal sponsor (making it possible to be funded with tax - deductible contributions), the receipting and managing of contributions, and the authorization and payment of grants and expenses from the Fund created for the charitable purposes of the Project. Sponsorship services do not include administrative support to the Committee or fundraising support, or financial support except as provided in Paragraph 5 below. 2. As a fiscally sponsored direct project of CVOC, the Project is an integral part of CVOC and CVOC will be legally responsible for the Project's administration, management, and disbursements from the Fund. 3. CVOC retains the right to approve payments to carry out the purposes of the Project. The Committee may make recommendations for the specific expenditures on behalf of the Project, which CVOC will review, and if approved, will authorize payment. 4. CVOC prepares receipts and acknowledgments for all gifts to the Fund. CVOC will provide monthly financial reports to the Committee. 5. The Committee may apply to funding sources under the auspices of CVOC, subject to CVOC's prior approval, but CVOC is not in any way responsible to the Committee for providing or acquiring financial support for the project. CVOC must review in advance all fundraising plans and requests for funding. In addition, all copy referencing CVOC to be used in marketing or fundraising must be approved in advance by CVOC. CVOC will provide grant submittal and packaging support for all grants submitted. 6. It is requested that the Committee ensure that the Project credits CVOC in publications and news releases or stories, subject to the prior approval of CVOC. CVOC may give the Project mention in newsletters and annual reports of CVOC. Exhibit 2 55A -13 Model A Agreement EXHIBIT 2 Total fees for CVOC Fiscal Sponsorship include two components: • Account Fee: $100 monthly. • Sponsorship Fee: At the time of deposit, the deposited amount is charged a sponsorship fee percentage, based on total donations raised in a calendar year. The percent is determined by the aggregate funds raised inside the calendar year at the time of the deposit. The higher the amount of funds raised, the smaller the sponsorship fee. 1 First $50,000 8% 2 Next $50,000 7.5% 3 Next $50,000 7% 4 Next $50,000 6.5% 5 Next $50,000 6% 6 Next $250,000 5.5% 7 Next $250,000 5% 8 Next $250,000 4.5% 9 Additional 4% NOTES 1. Account minimum to open your bank account: To be sponsored by CVOC the initial minimum account value must be $10,000 or greater. 2. Roll-over fees: Should you be transferring an account from another Fiscal Sponsor, a one -time roll -over fee of $500 will be taken at the time that the account is opened with CVOC. Monthly Account Fee of $100 applies. 3. Sponsorship fee percentage resets to 8% at beginning of each calendar year. 4. Projects with employees must monitor cash flow so that they maintain enough funds to cover three months of payroll at all times. Failure to do so could result in employee layoffs. S. The Sponsorship Fee schedule above does not apply to receipts attributable to federal grants which are subject to a 10% administrative fee. 6. If a project requires additional services beyond those included in the regular administrative fee (e.g., insurance coverage, legal advice), additional fees may be assessed. Exhibit 2 55A -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: RESOLUTION ADOPTING THE NEW PROPOSED TARGET EMPLOYMENT AREA FOR THE ENTERPRISE ZONE CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 112=i71W ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve a resolution for the updated Target Employment Area in the Enterprise Zone. DISCUSSION A Target Employment Area (TEA) is an area within a city that is composed solely of those census tracts that have at least fifty -one percent of its residents at low or moderate income levels. Its purpose is to encourage businesses in an Enterprise Zone (EZ) to hire eligible residents from these local geographic areas. The incentive for these businesses is the availability of a tax credit for hiring these residents. Although Enterprise Zones are being eliminated as of December 31, 2013 pursuant to recently enacted legislation (Assembly Bill 93 and Senate Bill 90), EZ's will still be able to process vouchers for the remainder of the year and possibly into 2014 for employees hired in 2013. In order for staff to continue issuing vouchers based on TEA criteria, Santa Ana is required to update its current TEA. To establish a TEA, an EZ must submit an annual application for TEA designation to the State of California's Housing and Community Development Department (HCD). The application must clearly identify the TEA census tracts that have been provided by HCD and must include a certified resolution approving the boundaries of the TEA. FISCAL IMPACT This is no fiscal impact associated with this action. 55B -1 EZ — Target Employment Area August 5, 2013 Page 2 Si Sandra D. Gottlieb Acting Executive Director Community Development Agency SDG /LAO /CD /kg Exhibits: 1. Map 2. Resolution 55B -2 EXHIBIT 1 Target Employment Area Boundaries Census Tracts Ila" Proposed Target Employment ® Area M"MM 05 . :1 . 7570 75A.01 ]53.03 �' 754.05 siminster va 9 °o ri � S 55.05 AS w 9 W 741.0.9 VIa e NW F f MIL IWO 77M 'A - N- A 0.0 0.5 1.0 1.6 _ 2.0 mi OTIMM M, 5ourcn 2JOU Cansis Data 55B -3 55B -4 les 7/13 EXHIBIT 1 RESOLUTION NO. 2013- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA IDENTIFYING THE CENSUS TRACTS COMPRISING THE TARGETED EMPLOYMENT AREA FOR THE SANTA ANA ENTERPRISE ZONE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On January 31, 2008, the City of Santa Ana was re- designated as a California Enterprise Zone. This designation was to be in effect for fifteen (15) years. B. Pursuant to recently enacted Assembly Bill 93 and Senate Bill 90, all Enterprise Zones will sunset January 1, 2014. Enterprise Zones will still be able to process vouchers for the remainder of the year and possibly into 2014 for employees hired in 2013 (awaiting determination by State of California). C. The California Enterprise Zone Program targets economically distressed areas using special state and local incentives to promote business investment and job creation. By encouraging entrepreneurship and employer growth, the program strives to create and sustain economic expansion in California communities. D. Section 7072(1) of the California Government Code defines a "Targeted Employment Area" ( "TEA ") as an area within a city that is composed solely of those census tracts that have at least fifty -one percent (51 %) of its residents at low- or moderate - income levels. Its purpose, according to the Code, is to encourage businesses in an enterprise zone to hire eligible residents from these geographic areas. The incentive for these businesses is the availability of a tax credit for hiring residents who reside in a TEA. Resolution No. 2013 -XXX 556-5 Page 1 of 2 E. To establish a TEA, an Enterprise Zone must submit an application for TEA designation to the Housing and Community Development Department. The application must clearly identify the census tracts that will constitute the proposed TEA and demonstrate that they meet the eligible criteria. The application must include a certified resolution which approves the boundaries of its TEA. In addition, cities must review and update their TEA boundaries to reflect the most recent census data in order to continue issuing vouchers. Section 2. The following census tracts, lying wholly or partly within the territorial jurisdiction of the City of Santa Ana, have been designated by the United States Department of Housing and Urban Development as having at least fifty -one percent (51%) of their residents are of low- and moderate - income levels, and are hereby identified as those census tracts which are in the most need of employment targeting pursuant to the Enterprise Zone Act: 740.04, 740.05, 740.06, 741.02, 741.06, 741.07, 741.08, 741.11, 742, 743, 744.03, 744.05, 744.06, 744.07, 745.01, 745.02, 746.01, 746.02, 747.01, 747.02, 748.01, 748.02, 748.03, 748.05, 748.06, 749.01, 749.02, 750.02, 750.03, 751, 752.01, 752.02, 753.01, 753.02, 754.03, 754.04, 755.05, 758.06, 759.02, 760, 889.03, 890.01, 890.04, 891.02, 891.04, 891.05, 992.02, 992.47, 992.48 and 992.49. Section 3. A Targeted Employment Area composed of the above - specific census tracts and having the boundaries created by grouping said census tracts together, as shown on Exhibit A, attached hereto and incorporated herein, is hereby approved, effective immediately. Resolution No. 2013 -XXX 556-6 Page 2 of 2 Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of 2013 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia Carvalho, City Attorney By: Lisa Storck Assistant City Attorney AYES: NOES: Councilmembers 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. 2013- to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No. 2013 -XXX 55B -7 Page 3 of 2 EXHIBIT A 55B -8 Target Employment Area Boundaries u Census Tracts ® Proposed Target Employment Area S5 .� aB1.07 757 0 LL 5101 753.03 754.05 I wesrmnner v L,LJ — S4 ' Washin9ton Ava N $ _CwifCents, Dr T Santa Ana alvtl 4th It ts: dt o z __ t - is'St_ I �.• ° � "'SS nF McFadden AVe -- z ai J den AVe I - v m r McFadden Ave m Edinger AVe Wamer Ave 740.03 x Se ersbom 74110 ,,. rRtl i� ]55.15 'Sa erstrnm AVe_ _ n x Alton Ave A 0.0 0.5 1.0 1.5 2.0 mi. Source 2000 Census Data 55B -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: LEAGUE OF CALIFORNIA CITIES VOTING DELEGATE A ; CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: -:• e ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Designate a voting delegate and two alternates for the League of California Cities' Annual Business Meeting scheduled for Friday, September 20, 2013. BACKGROUND: This year's League Annual Conference is scheduled for Wednesday, September 18 through 20 in Sacramento. One very important aspect of the Annual Conference is the annual Business Meeting when the membership takes action on conference resolutions. To expedite the conduct of business, every City is being requested to designate a voting representative and two alternates who will be present the City at the Business Meeting. League bylaws provide that each city is entitled to one vote and to determine a city position in matters affecting municipal or League policy matters. FISCAL IMPACT: There is no fiscal impact associated with this action. Maria D. Huizar Clerk of the Council 65A -1 65A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: PUBLIC HEARING - ZONING ORDINANCE AMENDMENT NO. 2013 -01 TO AMEND THE SANTA ANA MUNICIPAL CODE RELATED TO EMERGENCY SHELTERS, TRANSITIONAL AND SUPPORTIVE HOUSING FOR THE HOMELESS CITY MA GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: I_1=904111 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt an ordinance approving Zoning Ordinance Amendment No. 2013 -01. PLANNING COMMISSION ACTION On July 22, 2013, the Planning Commission recommended that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2013 -01 by a vote of 6:0 (Alderete absent) to amend the Santa Ana Municipal Code in order to establish regulations related to emergency shelters, transitional housing and supportive housing for the homeless. SUMMARY This ordinance was prepared in compliance with the requirements of Senate Bill 2, which provides that California cities and counties must plan for the needs of people that are homeless by allowing emergency shelters and transitional housing "by- right." Additional background information and other details are contained in the attached Planning Commission staff report (Exhibit A). The Planning Commission made no changes to the ordinance outlined in Exhibit A. FISCAL IMPACT There is no fiscal impact associated with this action. Ja . Trevino Executive Director Planning & Building Agency MGM:rb mgmkepoM\cc�zoa13 -01.cc Exhibit: A. Planning Commission Staff Report B. Ordinance 75A-1 75A -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JULY 22, 2013 TITLE: PUBLIC HEARING - FILED BY THE CITY OF SANTA ANA, ZONING ORDINANCE AMENDMENT NO. 2013 -01 TO AMEND THE SANTA ANA MUNICIPAL CODE RELATED TO EMERGENCY SHELTERS, TRANSITIONAL AND SUPPORTIVE HOUSING FOR THE HOMELESS Prepared by Melanie G. McCann � *---t-11xecutive - E Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED 0 As Recommended 11 As Amended ❑ Set Public Hearing For DENIED H Applicant's Request O Staff Recommendation CONTINUED TO Planning MdAager Recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2013 -01. Request of the Applicant The City of Santa Ana is requesting approval of a zoning ordinance amendment to establish regulations related to emergency shelters, transitional housing and supportive housing for the homeless. Project Description The proposed Zoning Ordinance Amendment is based on the provisions of Senate Bill 2 (SB2), Government Code, which require local agencies to identify one or more zones where emergency shelters are allowed as a permitted use without a conditional use permit, provided that the zone(s) include a sufficient number of sites to accommodate the number of homeless individuals in the community. To comply with SB2 and address homeless needs in Santa Ana, this Zoning Ordinance Amendment proposes to add definitions for Emergency Shelters and Multiservice Centers to serve the homeless, and identifies Emergency Shelters and Multiservice Centers as permitted uses in the industrial zones including Light Industrial (M1), Heavy Industrial (M2) and Industrial Specific Developments (SD) districts, subject to separation requirements from residences, schools, parks and other shelters. In addition, provisions to clarify Transitional Housing and Permanent Supportive Housing to the Zoning Code are also proposed (Exhibit 1). Protect Backaround Senate Bill 2 (SB2) was adopted by the California State Legislature and became law in 2008. This Bill added emergency shelters and transitional housing to the Government Code relating to local planning, and required that General Plan Housing Elements identify one or more zones in the City EXHIBIT A 75A -3 Zoning Ordinance Amendment No. 2013 -01 July 22, 2013 Page 2 where emergency shelters would be allowed as a permitted use without a conditional use permit. The zoning that is identified is to be of a sufficient amount of acreage and sites to accommodate the unmet needs of local homeless persons. However, the statute gave local jurisdictions the ability to establish certain operational and development standards for emergency shelters. In addition, SB2 requires that transitional housing and supportive housing be considered a residential use in City codes, and subject only to those restrictions that apply to other residential dwellings in the same zone. The City's General Plan Housing Element was adopted in 2009, and included Policy Program No. 47 to "create an overlay zone in the M -1 Light Industrial zone and select commercial zones that encompass underutilized sites, with adequate access to transit, public services, and support services'. Over a period of several months staff has researched and reviewed other adopted SB2 ordinances by a range of cities in Orange County and surrounding communities, held workshops and conducted interviews with emergency shelter providers, as well as toured a number of emergency shelters and transitional housing facilities. Staff also held three Homeless Service Provider Stakeholder meetings, as well as Industrial Property Stakeholder forum to discuss the draft ordinance and understand public concerns. Working with the service providers and touring existing facilities helped to further refine the site location criteria. Factors such as proximity to transit, distance from sensitive uses, and the availability of land and suitable facilities pointed to industrially -zoned properties as the most suitable areas to allow for the introduction of emergency shelters. Project Analysis The proposed amendment to the Zoning Code will bring the City into compliance with State Law outlined in SB2, as well as allow Santa Ana to quality for expedited review of the City's new Housing Element. City staff is in the process of updating the Housing Element, which is due to the State Department of Housing and Community Development (HCD) by the end of October 2013. Prior to adoption of the Housing Element Update, the City must demonstrate compliance with SB2 requirements as included in the amended Sections 65582, 65583, and 65589.5 of the Government Code. This code amendment is one of the actions that must be completed for the City to quality for an expedited review process and an eight -year review cycle rather than four years. The proposed amendment to the Zoning Code is in response to the provisions of SB2, which requires local jurisdictions to identify one or more zones that allow emergency shelters as a permitted use. The zoning that is identified must include a sufficient amount of acreage and sites to accommodate the unmet need for the shelter of homeless people in Santa Ana. One key source of information for Orange County's homeless population is the biennial Point -in -Time Count and Survey. Every other January, communities across the United States conduct comprehensive counts of their homeless population. The County of Orange conducted its most recent homeless census in January 2013, though results are not yet available. The study used for the purposes of estimating 75A -4 Zoning Ordinance Amendment No. 2013 -01 July 22, 2013 Page 3 Santa Ana's current need was the 2011 Point -in -Time count, which estimated that there were 6,939 homeless individuals in Orange County, with 20 percent of that total, or 1,388 homeless persons, estimated to be from Santa Ana. Existing emergency shelters and transitional housing facilities in Santa Ana serve some of this, but it is estimated that Santa Ana's unmet homeless housing need is 1,060 persons or beds. Using information regarding the square footage of the existing emergency shelters that staff researched and visited in preparing this ordinance, it is estimated that a total of 31 acres of land would be needed to theoretically provide for enough emergency shelter space to meet Santa Ana's unmet homeless housing need. These 31 acres are an estimated total aggregate and could be comprised of a variety of facilities of varying sizes. The area proposed to allow for emergency shelters, i.e. Industrially -zoned properties meeting the criteria, is approximately 995 acres. This indicates that the City has identified enough acreage to meet the requirements of SB2 and also allows for any new emergency shelters to be dispersed over a large area rather than being concentrated in one part of town (Exhibit 2). The proposed Ordinance Amendment identifies emergency shelters as a permitted use in the industrial zones, provided certain standards are met. These are: separation of at least 500 feet from residences, parks, child care centers, or schools; separation of at least 300 feet from another emergency shelter; located within % mile of a transit stop. In addition, the proposed Ordinance Amendment identifies standards for emergency shelters including limits for the number of persons to be served nightly, parking, waiting and intake area, support services, hours of operation, and length of stay. One key standard is a Management and Operation Plan for detailing a security plan, procedures, the staff ratio to clients served, a "good neighbor" communication plan, client transportation plan, and program for ongoing outreach to the Santa Ana homeless population. The Management and Operational Plan is to be reviewed and approved by the Planning Manager in conjunction with the Police Chief prior to issuance of permit to minimize any impacts on surrounding industrial land uses. As defined in the ordinance, an Emergency Shelter for Homeless in Santa Ana, would allow up to 30 beds or persons per night and would be permitted by right. Emergency shelters between over 30 beds, but less than 150 beds would be allowed through a Conditional Use Permit. The ordinance also allows for one large facility, permitted by right, that could serve as a replacement for the National Guard Armory, which currently operates only a portion of the year and does not provide on -site services. This large facility, defined as a Multiservice Center for Homeless, would have a minimum occupancy of 150 and a maximum occupancy of 200. The Multiservice Center would be required to provide a variety of support services be open 24 hours a day, such that, after the designated check -out in the morning, clients could remain on site to receive job training, health screening, legal counseling or other services that the shelter operator might provide. By definition, overall occupancy of emergency shelters would be limited to six months or less by a homeless person. 75A -5 Zoning Ordinance Amendment No. 2013 -01 July 22, 2013 Page 4 The draft ordinance also proposes to allow limited expansion to existing emergency shelters with over 35 beds presently serving the homeless. As proposed, the existing non - conforming use, or shelter, would be allowed to expand up to 75 beds provided certain standards are met. The limited shelter expansion would need to conform to all signage, building setback, architectural standards, and landscaping of the underlying zone, as well as the Emergency Shelter for Homeless standards, with the exception of separation criteria. Community Outreach The draft Emergency Shelter/Transitional Supportive Housing Ordinance was crafted through a collaborative process, which included the Police Department, Parks, Recreation and Community Services, Housing Division and Planning Division staff. Seeking the experience of local experts, three Service Provider Stakeholder meetings were held May 23, 2012, January 16, 2013, and most recently on June 18, 2013 to review the draft ordinance. On June 4, 2013 the City Council Committee on Development and Transportation was briefed on the proposed SB2 requirement and overview of the draft ordinance. The Community Redevelopment and Housing Commission was also provided an overview of the draft ordinance on June 18, 2013. Planning Commission Study Sessions were held on June 27, 2012, May 28, 2013 and June 24, 2013. In addition, notices were sent to approximately 1,900 Industrial property owners regarding a June 18, 2013 Industrial Properties forum, as well as upcoming Planning Commission and City Council public hearing dates. Based on the input from the research conducted and these various stakeholders, the draft ordinance was refined as proposed. All those parties expressing interest, including Service Providers and Industrial Property stakeholder, were noticed of the Planning Commission and City Council public hearing dates to consider the ordinance. As follow -up to the July 8, 2013 Planning Commission, a meeting was held with the Lacy Neighborhood Association on July 17'" to discuss the draft ordinance, particularly the proposal to allow limited expansion to existing emergency shelters. In addition, Neighborhood Leaders throughout the city were invited to an Emergency Shelter/Transitional Housing Informational Open House on July 191h at the Southwest Senior Center. Both meeting were publicized through the City's Neighborhood Improvement email contacts. All of the information regarding this process was posted to the City's website. With the proposed Zoning Ordinance Amendment, the City will be in compliance with Government Code Sections 65582, 65583, and 65589.5 and provisions of the Housing Element. In addition, the allowance for emergency shelters as a permitted use in the industrial zones will help implement the Orange County Ten -Year Plan to End Homelessness. Based on the analysis above, it is recommended that the Planning Commission recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2013 -01. 75A -6 Zoning Ordinance Amendment No. 2013 -01 July 22, 2013 Page 5 CEQA Compliance In accordance with the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), in that the proposed amendment to the Zoning Code will not have a significant effect on the environment. A Notice of Exemption will be filed upon adoption of this ordinance. Melanie G. McCann, AICP Associate Planner MGM:jm mmVeportst x%zoa13- 01.072213.pc Attachments: Exhibit 1 — Draft Ordinance Exhibit 2 — Industrial Buffer Map 75A -7 i Serdiwffbtz, AICP Principal Planner 1067:[IjUM191 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE TO ADOPT THE CITY'S REGULATION OF EMERGENCY SHELTER AND TRANSITIONAL AND SUPPORTIVE HOUSING. THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. That the City of Santa Ana seeks to be in compliance with the State of California's regulations for the allowance of emergency homeless shelters as required by State Senate Bill 2 (SB2). B. That the State of California Legislature passed SB2 (effective January 1, 2008) modifying State Housing Element law to require local planning and zoning regulations to facilitate homeless shelters. Specifically, SB2 requires all cities and counties to provide at least one zoning category in which emergency shelters can be located without discretionary approval from the local government. The zoning category must be identified in the locality's housing element, and include sites with sufficient capacity to meet the local need for emergency shelter. C. That after a thorough period of research and public involvement the following standards have been developed in order to allow emergency homeless shelters as required, while maintaining those regulations necessary to provide for public health, safety and welfare. D. The Request for Council Action for this ordinance dated August 5, 2013 shall by this reference be incorporated herein, and together with this ordinance, any amendments or supplements and the oral testimony before the City Council at this meeting, shall additionally constitute the necessary findings for this ordinance. E. All provisions of the Santa Ana Municipal Code which are repeated herein are repeated solely in order to comply with the provisions of Section 418 of the City Charter. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action or decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. i EXHIBIT 1 75A -8 Section 2. Pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Section 41 -55 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -55. Emergency Shelter for Homeless. Housing with minimal supportive services for homeless persons that is and used in Section 50801(e) of the California Health and Safety Code. Section 4. Section 41 -123 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -123. Multiservice Center for Homeless. A site which is operated under the auspices of a government or non - profit assistance. Section 5. Section 41 -158.5 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 158.5. Supportive Housing. Housing with no limit on length of stay, that is occupied by persons and defined by Section 50675.14 of the Health and Safety Code. 2 75A -9 Section 6. Section 41 -163 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -163. Transitional Housing. A building or buildings configured as rental housing developments, but operated under program requirements that call for the termination of assistance and recirculation of the assisted unit to another eligible program recipient at some state licensed residential care facilities, also referred to as care homes. Section 7. Section 41 -681.5 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 681.5. Rehabilitation of Emergency Shelters for Homeless. Rehabilitation of a nonconforming building which is an Emergency Shelter for Homeless, includina structural alteration and /or enlargement, is permitted subject to the following limitations: (1) An existing Emergency Shelter for Homeless with a minimum of 35 beds may expand to up to 75 beds. (2) The rehabilitated Emergency Shelter for Homeless must conform with all signage, building setback, architectural standards, and landscaping (3) There shall be no enlargement which would result in a new nonconformity with the requirements of this chapter. Section 8. Section 41 -1200 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Article XIII — Homeless Shelters Sec. 41 -1200. Homeless Shelters -- Zones. An Emergency Shelter for Homeless or Multiservice Center for Homeless 75A -10 Section 9. Section 41 -1201 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1201. Same — Standards. (1) Occupancy. A maximum of 30 beds or persons may be served nightly, with associated support service not open to the public. One Multiservice Center Conditional Use Permit consistent with Article V of this chapter. (2) Separation Criteria. Said uses are to be located at least 500 Emergency Shelter for Homeless or Multiservice Center for Homeless, as measured from the closest property line. Said uses shall be located within '/ -mile of a transit stop. (3) Parking. One (1) vehicle parking space shall be provided per (8) bike parking spaces. (4) Waiting and Intake Area. A client waiting and intake area shall (5) Support Services. Emergency Shelters shall allocate sufficient areas on site, outside of any required landscape areas, to provide the following minimal support services: a. Food preparation and dining areas. b. Laundry facilities. C. Restrooms and showers d. Areas to secure and store client belongings. 75A -11 e. Indoor and outdoor recreational facilities and /or open space permanent shelter and income. Referral services refers to the initial assessment of a homeless client to identify the areas in which assistance is needed, and connecting clients with appropriate off -site programs and services depending on their need. transitional and permanent housing solutions. (6) Hours of Operation. A Multiservice Center for Homeless with a capacity of 150 beds shall be open 24 hours a day. Emergency Shelters for Homeless consecutive. (8) Management and Operation Plan. The applicant or operator Review applies, then the Management and Operational Plan should be submitted and reviewed concurrently with those applications. The Plan shall remain active throughout (9) Restrooms. The number of toilet and showers shall comply with applicable Building Codes and Plumbing Codes. 75A -12 (10) Trash Enclosure and Loading Zone. Each facility shall have a trash enclosure and loading zone as provided in section 41 -623 of this chapter. (11) Staff /Security. A 24 hour emergency contact person shall be designated. Staff and /or Security shall be on the premises at all times for Multiservice Centers or Homeless Shelters open 24 hours a day, as detailed and approved in the Management and Operation Plan. (12) Applicable Laws. The facility shall comply with all other laws. protecting sensitive uses from airport related noise levels. Section 10. Section 41 -1202 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1202. Transitional and Supportive Housing -- Zones. Transitional Housing and Supportive Housing shall be considered a residential use of property, and shall be subject only to those restrictions that apply to other residential dwellings of the same type in the same zone. Section 11. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 2013 Miguel A. Pulido Mayor 75A -13 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge, Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75A -14 tJ � •• y I % LAVETAAV qw J7/ _. f•���� ,3 1 GARDENCgRQVE faEVD'•, ,(... ► �• �i.. �. . T FAIRHAVEN AV • •� • •— I SANTACLARAAV i O SANTACLARAAV 3 111 1 K t. � 1•F LL i;' ,gq �1i'ESTMINSTER V i 7 i 1. 17TH �T • 17TH 1 33 WA$NINGTON it IV J • V � 1 J _...} 1 I•• t i CMFCENTER DR i i 1tr ! 1 T 1 Q r. egNTAyAryq .BLVD °.T J .. •. 1 1 9 iST ST ✓: T . 1ST ST 3 r , x •' • MC FADDEN AV ry �• �� Fiu � •' 1 L 1 •m t 1.. F _ , !� �j Y • NC FAPR5NA. t 1 EDINGER 7.V JEDINGGIR A% AV p' • p ! t '1 WARNERAV j • WARNWR A • //. . AV m 1 1 PJ �. 00 - 01 ¢ �y .x �M ' z t i T l MACARTNI(R BLVD •1 r I• j0 ,•�, �t M •fifi rl' y�; 71'.. � /.._ suy:L9Y+En�tav i 4 i}• aC • Bus Stops City of Santa Ana 500 B Buffer Schools Emergency Shelter Site Parks Residential Areas Evaluation Map Q Industrial Zoned Properties where Shelters would be allowed Office or Commercial Areas Prepared by Santa Ana GIS - 7/17/13 EXHIBIT 2 75A -15 75A -16 ROH 07/17/13 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE TO ADOPT THE CITY'S REGULATION OF EMERGENCY SHELTER AND TRANSITIONAL AND SUPPORTIVE HOUSING THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. That the City of Santa Ana seeks to be in compliance with the State of California's regulations for the allowance of emergency homeless shelters as required by State Senate Bill 2 (SB2). B. That the State of California Legislature passed SB2 (effective January 1, 2008) modifying State Housing Element law to require local planning and zoning regulations to facilitate homeless shelters. Specifically, SB2 requires all cities and counties to provide at least one zoning category in which emergency shelters can be located without discretionary approval from the local government. The zoning category must be identified in the locality's housing element, and include sites with sufficient capacity to meet the local need for emergency shelter. C. That after a thorough period of research and public involvement the following standards have been developed in order to allow emergency homeless shelters as required, while maintaining those regulations necessary to provide for public health, safety and welfare. D. The Request for Council Action for this ordinance dated August 5, 2013 shall by this reference be incorporated herein, and together with this ordinance, any amendments or supplements and the oral testimony before the City Council at this meeting, shall additionally constitute the necessary findings for this ordinance. E. All provisions of the Santa Ana Municipal Code which are repeated herein are repeated solely in order to comply with the provisions of Section 418 of the City Charter. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action or decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. Exhibit B 75A -17 Section 2. Pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Section 41 -55 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -55. Emergency Shelter for Homeless. Housing with minimal supportive services for homeless persons that is limited to occupancy of six months or less by a homeless person, where no individual or household may be denied emergency shelter because of an inability to pay: as defined and used in Section 50801(e) of the California Health and Safety Code. Section 4. Section 41 -123 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -123. Multiservice Center for Homeless. A site which is operated under the auspices of a government or non - profit agency, for the purposes of bringing together essential services to meet the needs and development of homeless clients. Limited to occupancy of six months or less by a homeless person. A Multiservice Center shall include intake, assessment, and individualized case management services for homeless clients. Services provided shall address basic and immediate necessities, such as overniaht shelter, showers food, medical attention and mental health services, as well as higher level needs, including, but not limited to, computer access, job training and placement, life skills coaching and legal assistance. Section 5. Section 41 -158.5 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 158.5. Supportive Housing. Housing with no limit on length of stay, that is occupied by persons and families who were homeless when approved for tenancy in the supportive housing project in which they currently reside, and that is linked to onsite or offsite services that assist the supportive housing resident in retaining the housing improving his or her health status, and maximizing his or her ability to live and, when possible work in the community as defined by Section 50675.14 of the Health and Safety Code. 75A -18 Section 6. Section 41 -163 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -163. Transitional Housing. A building or buildings configured as rental housing developments, but operated under program requirements that call for the termination of assistance and recirculation of the assisted unit to another eligible program recipient at some predetermined future point in time, which shall be no less than six months: as defined in Section 50675.2 of the Health and Safety Code. Transitional Housing does not include state licensed residential care facilities, also referred to as care homes. Section 7. Section 41 -681.5 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 681.5. Rehabilitation of Emergency Shelters for Homeless. Rehabilitation of a nonconforming building which is an Emergency Shelter for Homeless, including structural alteration and /or enlargement, is permitted subject to the following limitations: (1) An existing Emergency Shelter for Homeless with a minimum of 35 beds may expand to up to 75 beds. (2) The rehabilitated Emergency Shelter for Homeless must conform with all signage, building setback, architectural standards, and landscaping requirements of the underlying zone, as well as all Emergency Shelter for Homeless standards, except separation criteria, found in this chapter. (3) There shall be no enlargement which would result in a new nonconformity with the requirements of this chapter. Section 8. Section 41 -1200 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Article XIII — Homeless Shelters Sec. 41 -1200. Homeless Shelters -- Zones. An Emergency Shelter for Homeless or Multiservice Center for Homeless shall be a permitted use on any parcel within the M1 (Light Industrial) or M2 (Heave Industrial) or Industrial Specific Development (SD) zones Each facility shall comply with all of the required development and operational standards of the zone in which it is located. 75A -19 Section 9. Section 41 -1201 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1201. Same — Standards. Where permitted, any Emergency Shelter for Homeless or Multiservice Center for Homeless shall comply with the following: (1) Occupancy. A maximum of 30 beds or persons may be served nightly, with associated support service not open to the public. One Multiservice Center may be permitted in the City of Santa Ana, allowing a minimum of 150 beds or persons may be served nightly and maximum of 200 beds. Any Emergency Shelter for Homeless with greater than 30 beds, but less than 150 beds, shall be subject to approval of a Conditional Use Permit consistent with Article V of this chapter. (2) Separation Criteria. Said uses are to be located at least 500 feet from any residential use or residentially zoned property, park child care center, or kindergarten through 12th grade curriculum school, as measured from the closest property or like features. In addition, at least 300 feet shall be maintained from any other Emergency Shelter for Homeless or Multiservice Center for Homeless, as measured from the closest property line. Said uses shall be located within '/z -mile of a transit stop. (3) Parking. One (1) vehicle parking space shall be provided per 5 beds. A covered and secured area for bicycle parking shall be provided for use by staff and clients commensurate with demonstrated need but no less than a minimum of eight (8) bike parking spaces. (4) Waiting and Intake Area. A client waiting and intake area shall be provided and contain a minimum of ten (10) square feet per bed provided at the facility. The client waiting and intake area shall be screened from the public right of way by a solid wall of at least six (6) feet in height, and shall be sufficient in size to accommodate all persons waiting to enter the facilitv. (5) Support Services. Emergency Shelters shall allocate sufficient areas on site outside of any required landscape areas to provide the following minimal support services: a. Food preparation and dining areas. b. Laundry facilities. C. Restrooms and showers d. Areas to secure and store client belongings. 75A -20 e. Indoor and outdoor recreational facilities and /or open space f. A private area for providing referral services to assist shelter clients in entering programs aimed at obtaining permanent shelter and income. Referral services refers to the initial assessment of a homeless client to identify the areas in which assistance is needed, and connecting clients with appropriate off -site programs and services depending on their need. Multiservice Center or Emergency Shelters for Homeless with capacity for 150 or more beds shall provide a kitchen and essential services to meet the needs and development of homeless clients to facilitate homeless persons to obtain transitional and permanent housing solutions. (6) Hours of Operation. A Multiservice Center for Homeless with a capacity of 150 beds shall be open 24 hours a day. Emergency Shelters for Homeless providing less than 150 beds are not required to be open 24 hours a day. Clients for Multiservice Centers or Emergency Shelters for Homeless shall have a specified check out time as detailed in the Management and Operation Plan, but may remain on the premises to utilize onsite services offered. (7) Length of Stay. The length of stay of an individual client shall not exceed six (6) months within a twelve (12) month period: days of stay need not be consecutive. (8) Management and Operation Plan. The applicant or operator shall submit a Management and Operation Plan for the Emergency Shelter and /or Multi - Service Center for review and approval by the Planning Manager in consultation with the Chief of Police at the time the project is proposed prior to issuance of permits. If Site Plan Review applies, then the Management and Operational Plan should be submitted and reviewed concurrently with those applications. The Plan shall remain active throughout the life of the facility, with any changes subject to review and approval by City Planning Manager in consultation with the Chief of Police. The Plan shall be based on "Best Practices" and include, but not be limited to, a security plan, procedures, list of services staff training, "good neighbor" communication plan client transport and active transportation plan, ratio of staff to clients, client eligibility and intake and check out Management Information Services. The City may inspect the facility at any time for compliance with the facility's Operational Plan and other applicable laws and standards (9) Restrooms. The number of toilet and showers shall comply with applicable Building Codes and Plumbing Codes. 75A -21 (10) Trash Enclosure and Loading Zone. Each facility shall have a trash enclosure and loading zone as provided in section 41 -623 of this chapter. (11) Staff /Security. A 24 hour emergency contact person shall be designated. Staff and /or Security shall be on the premises at all times for Multiservice Centers or Homeless Shelters open 24 hours a day, as detailed and approved in the Management and Operation Plan. (12) Applicable Laws. The facility shall comply with all other laws, rules and regulations that apply, including Building and Fire codes and shall be subject to City inspections prior to Operational Plan approval. In addition, the facility is to be consistent with City Airport Land Use Environs Element policies, particularly as it relates to protecting sensitive uses from airport related noise levels. Section 10. Section 41 -1202 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1202. Transitional and Supportive Housing -- Zones. Transitional Housing and Supportive Housing shall be considered a residential use of property, and shall be subject only to those restrictions that apply to other residential dwellings of the same type in the same zone. Section 11. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 2013 Miguel A. Pulido Mayor 75A -22 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge, Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75A -23 75A -24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED ❑ As Recommended PUBLIC HEARING — MODIFY DEVELOPMENT ❑ As Amended AGREEMENT NO. 2012 -01 TO ALLOW AN E] E] on n Reading E] 2 Ordinance on tl Reading AMENDMENT AND ASSIGNMENT TO A NEW ❑ Implementing Resolution PROPERTY OWNER FOR THE MET DEVELOPMENT ❑ Set Public Hearing For PROJECT LOCATED AT 200 EAST FIRST AMERICAN WAY - GENESIS REAL ESTATE GROUP, APPLICANT CONTINUED TO FILE NUMBER CITY RECOMMENDED ACTION Adopt an ordinance amending Development Agreement No. 2012 -01 directing the City Manager to authorize the assignment and amendment of Development Agreement No. 2012 -01 for The Met development project to First Rock Santa Ana, LLC, development entity for Genesis Real Estate Group, subject to the finalization of the sale of the subject property to First Rock, with such non - substantive changes as may be approved by the City Manager and City Attorney. 2. Adopt a resolution approving an addendum to the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2011 -46. PLANNING COMMISSION ACTION On July 8, 2013, the Planning Commission recommended that the City Council direct the City Manager to authorize the assignment and amendment of Development Agreement No. 2012 -01 for The Met development project to First Rock Santa Ana, LLC, development entity for Genesis Real Estate Group, subject to the finalization of the sale of the subject property to First Rock, with such non - substantive changes as may be approved by the City Manager and City Attorney; and approve and adopt an addendum to the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2011 -46 by a vote of 7:0 to facilitate a change in ownership for The Met development project located at 200 East First American Way. SUMMARY In 2012, the City Council approved this five -story, 271 -unit multi - family project, which would be constructed over a two -level parking garage. The project includes a variety of on -site amenities for its residents, commensurate with other recent projects approved or constructed in the City. A .8 -acre portion of the site was left for a future high -rise project, and this portion will require subsequent review and approval by the Planning Commission and City Council. The development agreement for the project prohibits transfer of the development rights within the first two years. The two -year period expires April 15, 2014. 75B -1 DA No. 2012 -01 August 5, 2013 Page 2 The property was placed in voluntary receivership earlier this year and the Judge appointed a receiver to sell the property. Consequently, this request stems from the receiver's intent to sell the property to Genesis Real Estate Group. The details surrounding the receivership, Genesis Real Estate Group and the development project are attached in the Planning Commission staff report (Exhibit A). The Planning Commission made no changes to the terms of the agreement outlined in Exhibit A. FISCAL IMPACT There is no fiscal impact associated with this action. J y . Trevino Executive Director Planning and Building Agency SK:rb -sk \wp5l keportsOM 2 -01 Mod.cc Exhibit: A. Planning Commission Staff Report 75B -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JULY 8, 2013 TITLE: PUBLIC HEARING — FILED BY DOUG COBB, GENESIS REAL ESTATE GROUP TO MODIFY DEVELOPMENT AGREEMENT NO. 2012-01 TO ALLOW AN AMENDMENT AND ASSIGNMENT TO A NEW PROPERTY OWNER FOR THE MET DEVELOPMENT PROJECT LOCATED AT 200 EAST FIRST AMERICAN WAY Prepared by Sergio Klotz xeculive Director RECOMMENDED ACTION Recommend that the City Council: PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicanrs Request Staff Recommendation CONTINUED TO Planning Mana r Direct the City Manager to authorize the assignment and amendment of Development Agreement No. 2012 -01 for The Met development project to First Rock Santa Ana, LLC, development entity for Genesis Real Estate Group, subject to the finalization of the sale of the subject property to First Rock, with such non - substantive changes as may be approved by the City Manager and City Attorney. 2. Approve and adopt an addendum to the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2011 -46. DISCUSSION Request of the Applicant Doug Cobb of Genesis Real Estate Group is requesting approval of an amendment and assignment of an existing development agreement to facilitate a change in ownership for the development project known as The Met, a multi - family residential project located at 200 East First American Way. Protect Location and Background The project site lies within the MacArthur Place District Center (SD 43), a master planned, 62 -acre mixed -use project located on the north side of MacArthur Boulevard between Main Street and the Newport-Costa Mesa (SR -55) Freeway. The site is a vacant, 3.1 -acre rectangular shaped parcel situated at the northeast corner of MacArthur Boulevard and MacArthur Place. Currently, the MacArthur Place District Center area is developed with approximately 894,000 square feet of office uses, 20,000 square feet of retail space, a 7 -story, 251 room DoubleTree Hotel, a 190 -room Courtyard by Marriott hotel and 346 for -sale and rental residential units. EXHIBIT A 75B -3 DA No. 2012 -01 July S, 2013 Page 2 Surrounding land uses include several office buildings to the north, the Hutton Center retail and office development to the south, a parking structure to the east used by First American, and the Pinnacle Apartments, a mixed use retail /residential project to the west (Exhibits 1 and 2). Appointment of Receiver and Assignment of Development Agreement On April 16, 2012 Vineyard Development Company (VDC) received approval for a 271 -unit multi - family residential project including; a development agreement, amendment to the Specific Development zoning, a subdivision map, and site plan review approval. Subsequent to the approval of the project the developer, Vineyards Development, and their financial partners entered into voluntary court receivership in order to resolve various property interest disputes. On September 7, 2012 Judge James C. Chalfant appointed David Wald as the property's Receiver granting authority to take possession of and manage the property (Exhibit 3). On November 27, 2012 the Court authorized Mr. Wald to list the property for sale with Jones Lang LaSalle, a real estate brokerage firm (Exhibit 4). The property was subsequently marketed for sale and various development companies were considered. On April 16, 2013 the Court authorized Mr. Wald to sell the property to Genesis Real Estate Group, subject to the assignment of the Development Agreement to Genesis by the City and its modification to remove the requirement that Ryan Ogulnick be involved in the development of the property (Exhibit 5). Genesis Real Estate Group in turn formed First Rock Santa Ana, LLC as the single - purpose entity for the project. The amendments to the Development Agreement reference both First Rock and Genesis. 75B -4 DA No. 2012 -01 July 8, 2013 Page 3 Genesis Real Estate Group is an experienced land development company who have constructed a wide range of quality residential projects throughout the country. A brochure detailing their project experience is included as an attachment to this staff report (Exhibit 6). Staff recommends approval of the amendment and assignment of the Development Agreement (Exhibit 7). Public Notification The project site is located adjacent to the boundaries of the Sandpointe Neighborhood Association. The president of the neighborhood association was notified by mail 10 days prior to this public hearing. Further, the site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site, as well as concerned citizens listed on the Permanent Notification List. At the time of this printing, no correspondence, either written or electronic, had been received from the neighborhood presidents or any members of the public. CEQA Compliance A Mitigated Negative Declaration (MND) was prepared for The Met development and adopted in January of 2012. The project proposed development of a 284 -unit multi - family apartment complex on approximately 3.1 acres located at 200 East First American Way. An approximately 0.6 -acre portion of the site located on the northeast corner was identified to remain undeveloped and vacant. As part of the final deliberations on the project, the City Council approved modifications to the site plan which increased the size of the vacant area to 0.82 acres and shifted its location to the southeast corner of the project site. The project changes did not alter the findings of the original MND, but an addendum has been prepared in order to memorialize these changes and conform the MND to the project approved in the Development Agreement. Staff recommends the approval and adoption of an addendum to the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2011 -46 (Exhibit 8). orvy l 1 sktrepotls1DA1201 Mod.010813. pc 75B -5 DA No. 2012 -01 July 8, 2013 Page 4 Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Court Order Appointing Receiver Exhibit 4 — Court Order Authorizing Property Listing Exhibit 5 — Court Order Selecting Buyer Exhibit 6 — Genesis Real Estate Group Company Brochure Exhibit 7 — Development Agreement Exhibit 8 — Negative Declaration Addendum 75B -6 1 M1 MI MI N Ml SD -63. ill SD -17 MI C7 M1 MI a \/ - -1i •�I �I CS -- it ~ I 1 I1 lu____I I ii - MI 611 MI II `,- 1 RI iI M 4CR M7 1 L �I'I_�I P_II II P Ii EL RI x 64 M7 L P CR MI MI A i fllu R7 / / \ / ^\ \\ lfl1 / �.R SD -43 p 1 SD-43 � R1 R1 RI • RI �.. �,.w SO41 C< ST43 RI C5 so•3. PROJECT SITE � , RI — — — AC AN HUN BL SMt CS I SD -76 U SD -76�- M / I RI I ql, D 1 €€ SD-76 PRO • JAP Mm SD -76 ? RI ' R1 1 RI • RI Ay4 C I t Y o I T u E t i n nll RI RI f RI % MI RI nl nl j n CSl SUNFLOWER AV. (�1 C2 AI GENEAALAGWWMAALI I OR COMMERCALRESIOENIIAL RI SINGLE /AWLYRESIOENlAL .R PAWNGMOLEFICATM GC GOVERNMENTCMA R TWOFAWLYAMENCE C -SM COMMERDAL SOIRH M/ 1N MI LIGHT INDUSTWAL q MULWLEMNiRYMULTPIE CI COMMUNRYCOMMERCIAL Ml NfAVYWOUS1RAL FMILYMSRRNCE CI -MD COMMCOMMEMIAI/AID5EDA1 p5TRICT MO MILRAAY OPERA1NNr5 R4 SUBURBAN APARTARNIS ❑ GENEMLCOMMERCIAL 0 OPENSPACE RE RE5URNDAI ESTATE Cl CENTRABUSINESS P PAMESSIONAL SO SPECYK DEVELOPMENT CYA CEMWIBUSWESLAROSTMRLAGE PCD PLANNEDCOMAWNITY DEMOPMENT SP SPEMPLAN C4 PLANNED SMOPRWL (EMFR PRD PLANNED RESIDENTIAL DEVELOPMENT CS ARUWALCOMMEMML I DA 2012 -01 -MOD A^ e` THE MET AT SOUTH COAST — _ - 5DDPfET 1 - =,DDO FEET 200 EAST FIRST AMERICAN WAY P L A N N I N G A N 0 B U I L D I N G A G E N C Y EXHIBIT 1 75B -7 I I N D U S T R I A L Rj�' W WfiWN �r+$�i.I � I� IAOUSiNAI � WWSIPoN O 3 ALTON AV. G '< INDUSTRIAL � INDUSTRIAL i INOVf1R1Al � WWfiWN Y2j$y G COLUMBINE AV. g o hflrl Wei f� OIIICE FIRST uFal i AMFPICAN ryy = i rAPYJNG Jy i MAJESTIC DR. •' • � ¢ R[ 3 I 0[ N 1 1 1 l U O! f 1< f 3 � FIRSTAMERICAN WAY ]lfYfl oouff[ S PRQIEGT F +. rAmuNc rRfE IlOrfl S� SREi STRUCTURE MAC ARTHUR BLVD, I ! xorFf coPoaf[aa''uss tRAUR P(4 FR E0fNTIAI 011lCf V s DA 2012 -01 -MOD THE MET AT SOUTH COAST 200 EAST FIRST AMERICAN WAY 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 75B -8 l 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 0 to w a 1� <Wn 2tti' Barry P. King, Esq. (State Bar No. 53890) LA OFFICP.S OF ARRY P. KINO r � PL t o California Superior Court of Angeles Los AnOeles W 9255 Sunset Boulevard, Suite 920 County of Los An eles, California 90069 SEP 07 2012 Tel: 10 277 -0420 Fax: 310;277 -0490 E Mail kin> law pacbell.net John A. Clarke, rxeaullva Officer /Clork Deputy By Q NNETT w o Attorney for Plaintiffs and Cross - Defendants, VDA SANTA ANNE7i FAJARDO ANA, LLC and RYAN OGULNICK Robert II. Bisno Esq. (State Bar No. 83284) Law Offices of)tobert . Bisno 9255 Sunset Boulevard, Suite 920 Los An eles, California 90069 Tel: 10) 277 -3670 Fax: 310)277 -3787 Attorney for Plaintiff and Cross - Defendant, RYAN OGULNICK VS. SUPERIOR COURT OF THE STATE OF CALIFORNIA COUNTY OF LOS ANGELES A ANA, LLC, a California lity compan ; RYAN an indtvidyual, Plaints, ptu Case No. BC 484031 (RELATED TO CASE NO. BC 483770) [Assigned for all purposes to Hon. Terry Green, Dept. 14] ORDER APPOINTING RECEIVER AFTER REARING Dale Filed. September 4, 2012 Date of Next Hearing: September 7, 2012 Time: 9 :30 a.m. 21 alifotnia limited partnership; ILUS GP Dept, 85 US LLC, a California Grnited partnership; The Honorable James C. Chalfant 22 nd DOES 1 through 100, Inclusive, 23 Defendants. I 24 25 On August 30, 2012, a hearing on the Order to Show Cause brought by 26 VDB SANTA ANA, LLC ( "VDB ") and RYAN OGULNICK ( "Ogulnicv') for 27 injunctive relief in the VDB Santa Ana, LLC v. Protilus, LP, et al. matter (Case No. BC 2g 484031), which has been consolidated with the Protilus Investors, LLC v. Ridgemount -I- II @RNA" ORIAR AIPrOINTING RECEIVER AFTER HEARING 75u—*7 IT 3 1 2 3 4 5 6 7 8 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Investments, Inc. proceeding (Case No. BC 484770), the Hon. James Chalfant, Judge, presiding. Appearing on behalf of VDB and Ogulnick was Barry 11. King, Esq. Robert H. B isno, Esq. appeared on behalf of Ryan Ogulnick. Don Howarth, Esq. and Padraic Glaspy of the law firm of Howarth & Smith, appeared on behalf of Protilus Investors, LLC, Barry L. Levine and Ari Schottenstein. Michael C. Schneidereit, Esq, of Jones Day appeared on behalf of Ridgemount Investments, Inc. and David Ulmer. After discussion between the Court and counsel regarding the status of the proceedings and the proposed independent director for VDC, the Court made the following orders: A 1. Appointmentof Receiver. Ja" WJA ( "Receiver ") is appointed as receiver for VDC At The Met, LLC, to take possession of all property of said entity pending further order of the Court. 2. Receiver's Oath and Bond. The Receiver shall immediately, and before performing any duties: (l) execute and file a receiver's oath; and (2) file the bond required by Code of Civil Procedure §567(b) in the amount of $�. ! I D - A Pot'ryo n ltd �fc 3. Receiver's Fees. The Receiver may charge for the Receiver's services no more than $_. _ per hour. G U M t A0Y fy� r6Lvcs� Bl LiSc�S 4. Disclosure. The Receiver shall h r nedQQQQitaote disclose to a oarues any financial relationship between the Receiver and any company hired to assist in the management of the receivership property. 5. General Duties. After qualifying, the Receiver shall; (a) take possession of and manage the propctty (being vacant real property owned by VDC At The Met, LL,C) and manage the affairs of VDC At The Mel, L. ,C so. as to,maxiinizenxer.®sds Qula.� of the vacant real property his exts in'g loan, -i necessary to he Reccivetr "ni:_r�ereasncta la4y. olatimize�c .uiaxirxiia¢- clx�nafie�th�v�Caat -2- 756,10 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 real prope . The Receiver is VDC at The Met, LC. The R actions taken with the 1 con: absent a Court order. The R action taken or made wi the irized sell the real property owned by e snot authorized to contest previous f all Members of VDC At The Met, LLC, is not authorized to contest any decision or f the two Members of VDC at The Met, LLC, those two M ers being this Invest on the one hand and VDB Santa Ana, LLC, on a other hand. (b) care for the property and may incur the expenses necessary for that care. 6. Prohibited agreements. The Receiver shall not enter into an agreement with any party to this action about the administration of the receivership or about any post receivership matter. 7. Expenditures. The Receiver shall expend money only f'or the purposes authorized in this Order. Unless the court orders otherwise, the Receiver shall to the extent practical hold the balance in interest - bearing accounts in accordance with Code of Civil Procedure §569. 8. Monthly accounting of Receiver's iucome, expenses, and fees. (a) The Receiver shall each month prepare and serve on the parties, but not tile, an accounting of the income and expenses incurred in the administration of the receivership property, including the Receiver's fees and expenses. (b) The Receiver may pay the Receiver's own fees and expenses only by the following procedures: (i) By serving on all parties a notice of intent to pay to which no objection is served on the Receiver within twenty (20) days of the date the notice is served; (ii) By serving and filing a request for interim payment, which the court then approves; -3- 75B -11 1 2 3 4, 5 6 7 8 9 10 11 12 13 14 is l6 17 18 19 20 21 22 23 24 25 26 27 28 (iii) By obtaining and tiling an agreement among all of the parties approving the payment, which the court then approves; or (iv) By filing the Receiver's final accounting and report, which the court then approves. (c) The Receiver shall not reimburse the Receiver for the Receiver's general office administration expenses or overhead without court approval. These expenses include, for example, office supplies and employee The, ILec-f%ver mu7 e w,ploy a.JP,q S� PMr payroll, benefits, and taxes. te'i_5 q�co�. Fw..H. e„d reVPget'Y M4wY µrs 9. Management. The Receiver shall operate the property and take t possession of all accounts relating to the property. The Receiver may purchase wa r materials and supplies reasonably necessary to administer the receivership property. ?A The Receiver may do all the things, and incur the risks and obligations, ordinarily done or incurred by owns, managers, and operators of businesses and property similar to that possessed by the Receiver, except the Receiver shall not make any capital improvements or investments to the property without prior court order. All actions of the Receiver shall be subject to a court order, May Lose • 1AO 10, Bank accounts. The Receiver Qeu++"'}'J/// CAAd 1'rts d1rcetle r (a) may establish accounts at any fins cial institutions insured by an agency of the United States government that are not parties to this proceeding. (b) shall deposit in those accounts funds received in connection with the receivership property, and (c) shall deposit in interest - beating accounts money not expended for receivership purposes. 11, Court instructions. The Receiver and the parties may at any time apply to this Court for fii Cher instructions and orders and for additional powers necessary to enable the Receiver to perform the Receiver's ditties properly. 12, ]insurance. I'm 75B -12 _ _ 11 2 ] I 4 5 6 7 x 9 to 11 12 13 14 15 16 17 18 0 20 21 22 23 24 25 26 27 28 (a) The Receiver shall determine upon taking possession of the property whether there is sufficient insurance coverage, (b) The Receiver shall notify the insurer that the Receiver is to be named as an additional insured on each insurance policy on the property. (c) If the Receiver determines that there is not sufficient insurance coverage on the property, the Receiver shall immediately notify the parties and shall procure sufficient liability insurance on the property (excluding earthquake and flood ' unsurance). (d) If the Receive does not bave sufficient funds to obtain insurance, the Receiver shall seek instructions from the Court on whether to obtain insurance and how it is to be paid for. 13. Employment of Attorney. Any employment of an attorney shall be subject to Court approval. 14. Taxpayer ID numbers. The Receiver may use any taxpayer identification numbers relating to the property for any lawful purpose. 15. Receiver's final report and account and discharge. (a) Motion required. Discharge of the Receiver shall require a court order upon noticed motion for approval of the Receiver's final report and account and exoneration of the Receiver's bond. (b) Time. Not more than 60 days after the receivership terminates, the Receiver shall file, serve and obtain a hearing date on the motion for discharge and approval of the final report and account. (c) Notice. The Receiver shall give notice to all persons of wham the Receiver is aware who have potential claims against the receivership estate. (d) Contents of motion. The motion to approve the final report and account and for discharge of the Receiver shall contain the following: -5- _ 75B -13 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 i 19 20 21 22 23 24 25 26 27 28 (i) Declaration or declarations. A declaration or declarations (1) stating what was done during the receivership, (2) certifying the accuracy of the final accounting, (3) stating the basis for the termination of the receivership (such as foreclosure or reinstatement), and (4) stating the basis for an order for the distribution of any surplus or payment of any deficit; (ii) Accounting summary. A summary of the receivership accounting, which shall include (1) the total revenues received, (2) the total expenditures identified and enumerated by major categories, (3) the net amount of any surplus or deficit, and (4) evidence of nceessary supporting facts. 16. Plaintiffs notice to receiver. Plaintiff shall promptly notify the Receiver in writing of the names, addresses, and telephone numbers of all parties who appear in the action and their counsel. The parties shall give notice to the Receiver of all events that affect the receivership. 17. Bankruptcy — Plaintiff's duty to give notice. If a defendant tiles a bankruptcy case during the receivership, plaintiff shall give notice of the bankruptcy case to the Court, to all parties, and to the receiver by the closing of the next business day after the day on which plaintiff receives notice of the bankruptcy filing. 18. Bankruptcy Receiver's duties. If the Receiver receives notice that a bankruptcy has been filed and part of the bankruptcy estate includes property that is the subject of this Order, the Receiver shall have the following duties: (a) Turn over property if no relieffrom stay will be sought. The Receiver shall immediately contact the party who obtained the appointment of the Receiver and deterruine whether that party intends to move in the bankruptcy court for art order for (1) relief from the automatic stay, and (2) relief from the Receiver's obligation to turn over the property (I I U.S.C. §543). If the party has no intention to make such a motion, the Receiver shall immediately turn over the IM 75B -14 I property to the appropriate entity either the trustee in bankruptcy if one has been 2 appointed or, if not, to the debtor in possession and otherwise comply with 11 3 United States Code section 543. 4 (b) Retain bankruptcy counsel. The Receiver may petition the 5 Court to retain legal counsel to assist the Receiver with issues arising out of the 6 bankruptcy proceedings that affect the receivership, 7 19. Failure to turn over property. A receiver who fails to turn over 8 the property in accordance with this Order shall not be paid for time and expenses after 9 the date the receiver should have turned the property over. 10 20. Other orders. Other orders are as follows: 11 _ 12 13 14 _ 15 16 PRELIMINARY INJUNCTION 17 21, THE COURT ORDERS the following: 18 (a) Turn over property. Immediately turn over possession of the 19 property of VDC At The Met, LLC to the Receiver when the appointment becomes 20 effective. 21 (b) Turn over related items. Immediately turn over the to the 22 Receiver all keys, books, documents, and records relating to the property and /or VDC 23 At The Met, LLC, and advise the Receiver of federal taxpayer identification numbers 24 relating to the property. 25 (c) Insurance. 26 (i) Immediately advise the Receiver about the nature and extent of 27 insurance coverage on the property. 28 7- �� ` l�nnen A nnrn>.n�w�n Omcnmo ncxn ueu>�an _ 75B-15 I 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 (ii) Immediately name the Receiver as an additional insured on each insurance policy on the property, and (iii) DO NOT cancel, reduce, or modify the insurance coverage. (d) Restraints. Refrain from (1) committing or permitting any waste on the property or any act on the property in violation of law or removing, encumbering, or otherwise disposing of any of the fixtures on the property; (ii) demanding, collecting, or in. any other way diverting or using any of the rents on the property; (iii) interfering in any manner with the discharge of the Receiver's duties under this Order; (iv) selling, transferring, disposing, encumbering, or concealing the property without a prior court order; and (v) doing any act that will impair the preservation of the property or plaintifrs interest in the property. (e) Other._ 22. Other orders. Other orders are as follows: 75B -16 12 1 2 3 4 5 6 7 8 9 10 12 13 14 15 16 17 18' 19 20 21 22 23 24 25 26 27 28 Date: q 1 -9- /BOWMl nOrW.I A AcN Pl r [n,ftI r 75B -17 . 1 2 3 4 5 6 7 8 9i 10 11 12 13 14 15 16 17, 18 19 20 21 22 23 24 25 26 27 28 David J. Pasternak, CSBN 72201 John W. Patton, Jr., CSBN 90130 PASTERNAK, PASTERNAK & PATTON N Law Corporation 1875 Century Park East, Suite 2200 Los Angeles, California 90067 -2523 Telephone: 310.553.1500 Facsimile: 310.553.1540 E -Mail: dip@paslaw.com jwp@paslaw.com Attorneys for David D. Wald, Receiver ORIGINAL FILET NOV 2 7 2012 LOS ANGELES SUPERIOR COURT SUPERIOR COURT OF THE STATE OF CALIFORNIA COUNTY OF LOS ANGELES, CENTRAL DISTRICT VDB SANTA ANA, LLC, a California limited liability company; RYAN OGULNICK, an individual, Plaintiffs, VS. PROTILUS, LP, a New Jersey limited partnership; BARRY L LEVINE, an individual; ILUS INVESTORS, LP, a California limited partnership; ILUS GP US LLC, a California limited partnership; and DOES 1 through 100, Inclusive, Defendants. Case No. BC 484 031 [Related to Case No. BC 483 770] Hon. James C. Chalfant [441&Pe9r T ORDER: 1-..._-- AU'PEORT•Z'i•N@— I4E2E3�FER- -T -0• nrrFVm �.yyp -; OOfl-- EQUZT)G -_, GON+PR-ISUT3.ON—FCPR - OPERATING eO3TS; 9;. AUTHORIZING RECEIVER TO LIST RECEIVERSHIP REAL PROPERTY FOR SALE WITH JONES, LANG, LASALLE TO CONTINUE TRIAL AND RELATED HEARINGS DATE: November 27, 2012 TIME: 8:30 A.M. DEPT. 85 The Court having considered the ex parte application of Receiver David D. Wald for the issuance of an Order: (1) Authorizing the Receiver to accept $150,000 equity contribution 00049934 -1 1 BC 484 031 194QeeVrDT ORDER: (1) AUTHORIZING RECEIVER TO ACCEPT $150,000 EQUITY CONTRIBUTION FOR OPERATING COSTS; ETC. 75 _ 8Ta 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17. 18 19 20 21 22 23 24 25 26 27 28 PASTEFN , PASTOWK s PATIO" For operating costs; and (2) Authorizing the Receiver to list receivership real property for sale with Jones, Lang, LaSalle (the "Application "); the attached Declaration of David D. Wald and all Exhibits attached thereto; the attached Memorandum of Points and Authorities; all pleadings and other documents in the file for this matter; and all other oral and documentary evidence submitted at the ex parte hearing; and good cause appearing therefore; IT IS EREBY ERED th the R eiver i auth ized o accept a tot amount up to 150,000 in fi ncin from e or re of a pa to thi action a equi con rib ions for o&rating' costs; IT IS FURTHER ORDERED that the Receiver is authorized to list the receivership real property,.undeveloped real property located at 200 E. First American Way in Santa Ana, California 92707, north of MacArthur Blvd., east of MacArthur Place (formerly Imperial Promenade) and south of First American Way (formerly Regency Blvd.) (the "Property ") for sale with Jones, 5.;b, c ,h\u \\+� S; N+.(u,A Lang, LaSalle suabsten'i•i-a44:y pursuant to tie terL of the proposed listing agreement attached to the Receiver's Ex Parte Application, with a 28 real estate commission, and the Property being sold where is /as is, without any representations or warranties, and subject to this Court's confirmation with possible overbidding. `WL1n1Vk1 5" wtk"Y �v 00099939 -1 2 BC 404 031 (PROPOSED] ORDER: (1) AUTHORIZING RECEIVER TO ACCEPT $150,000 EQUITY CONTRIBUTION FOR OPERATING COSTS; ETC. 75B -19 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 21 2£ PASYMAK PASIERNM 6 PAVM IT IS FURTHER ORDERED that notice of the Receiver's Ex Parte 1pplication was proper. DATED: It/ L 9l I James C. Chalfant Los Angeles Superior Court Judge II 00049934 -1 3 BC 484 031 (PROPOSED) ORDER: (1) AUTHORIZING RECEIVER TO ACCEPT $150,000 EQUITY CONTRIBUTION FOR OPERATING COSTS, ETC. 75B -20 7 8 9 10 11 12 13 14 15 16 17 18 19 20, 21. 22 23 24 25 26 27 28 David J. Pasternak, Bar No. 72201 John W. Patton, Jr., Bar No. 90130 PASTERNAK, PASTERNAK & PATTON A Law Corporation 1875 Century Park East, Suite 2200 Los Angeles, California 90067 -2523 Telephone: 310.553.1500 Facsimile: 310.553.1540 E -Mail: djp @paslaw.com iwp @paslaw.com Attorneys for Receiver David D. Wald CONFORMED COPY ORIGINAL FILED 8u srlor Court of Callfomla County of Los Angeles APR 16 2013 J01111A. ompor/clerk ®y' FA OV006 Dgptigr SUPERIOR COURT OF THE STATE OF CALIFORNIA COUNTY OF LOS ANGELES, CENTRAL DISTRICT VDB SANTA ANA, LLC, a California Limited liability company; RYAN OGULNICK, an individual, Plaintiffs, vs. PROTILUS, LP, a New Jersey limited partnership; BARRY L LEVINE, an individual; ILUS INVESTORS, LP, a California limited partnership; ILUS GP US LLC, a California limited partnership; and DOES 1 through 100, Inclusive , 1 N1nAlpl. -t Defendants. Case No. BC 484 031 [Related to Case No. BC 483 7101 Hon. James C. Chalfant ] EX PARTS ORDER: 1. AUTHORIZING RECEIVER TO 2. 3 BORROW ADDITIONAL $350,000 FROM SECURED LENDER KURTIN PROPERTIES, INC. TO PAY RECEIVERSHIP COSTS OF ADMINISTRATION AND ADDITIONAL LOAN COSTS; AUTHORIZING RECEIVER TO ENTER INTO CONTRACT TO SELL RECEIVERSHIP REAL PROPERTY TO GENESIS REAL ESTATE GROUP, INC. FOR $14,800,000; AND AUTHORIZING RECEIVER TO RETAIN TOWNSEND PUBLIC AFFAIRS, INC. AS CONSULTANT TO ASSIST RECEIVER IN SEEKING MODIFICATION OF RECEIVERSHIP REAL PROPERTY DEVELOPMENT AGREEMENT EXHIBIT 5 1 75B -21 Ar nan nal 1 2 3 4 5 6 7 8 9', 10 11 12 13 14 is 16 17 18 19 20 21 22 23 24 DATE: APRIL 16, 2013 TI)>!E: 8:30 a.m. DEPT. 85 The Court having considered the Ex Parts Application of Receiver David D. Wald ( "Receiver ") for the issuance of an Order: 1. Authorizing the Receiver to borrow an additional $350,000 from secured lender Kurtin Properties, Inc. ( "Kurtin"), which will be added to the existing loan which is secured by the first deed of trust on the receivership real property, to pay the receivership costs of administration and to pay additional loan costs including funding an increased interest reserve for Kurtin's increased secured loan; 2. Authorizing the Receiver to enter into a contract to sell the receivership real property located at 201 East First American Way in Santa Ana, California (the "Property ") to Genesis Real Estate Group, Inc. ( "Genesis ") or its assignee for $14,800,000, with a $500,000 purchase deposit which is to be increased by $250,000 on waiver of contingencies, with a 30 day contingency period, with the sale subject to this Court's confirmation and approval with possible overbidding and subject to the assignment of the Property Development Agreement to Genesis by the city and its modification to remove the requirement that Ryan Ogulnick be involved in the development of the Property; 3. Authorizing the Receiver, if he believes it necessary to do so, to retain Townsend Public Affairs, Inc. ( "Townsend ") as a consultant to assist the Receiver in seeking the modification of the existing entitlements for the Property in connection with 1100063839 -1 2 BC 484 0311 75B -22 _._ 25 26 27 28 PASTERNAK PASTERNAK &PATTON DATE: APRIL 16, 2013 TI)>!E: 8:30 a.m. DEPT. 85 The Court having considered the Ex Parts Application of Receiver David D. Wald ( "Receiver ") for the issuance of an Order: 1. Authorizing the Receiver to borrow an additional $350,000 from secured lender Kurtin Properties, Inc. ( "Kurtin"), which will be added to the existing loan which is secured by the first deed of trust on the receivership real property, to pay the receivership costs of administration and to pay additional loan costs including funding an increased interest reserve for Kurtin's increased secured loan; 2. Authorizing the Receiver to enter into a contract to sell the receivership real property located at 201 East First American Way in Santa Ana, California (the "Property ") to Genesis Real Estate Group, Inc. ( "Genesis ") or its assignee for $14,800,000, with a $500,000 purchase deposit which is to be increased by $250,000 on waiver of contingencies, with a 30 day contingency period, with the sale subject to this Court's confirmation and approval with possible overbidding and subject to the assignment of the Property Development Agreement to Genesis by the city and its modification to remove the requirement that Ryan Ogulnick be involved in the development of the Property; 3. Authorizing the Receiver, if he believes it necessary to do so, to retain Townsend Public Affairs, Inc. ( "Townsend ") as a consultant to assist the Receiver in seeking the modification of the existing entitlements for the Property in connection with 1100063839 -1 2 BC 484 0311 75B -22 _._ 1 2 3 4 5 6 7 8 9 30 11 12 13 14 1s 16 17 18 19 20 21 22 23' 24 25 26 27 28 PASTEMAK PASTERNAK 6 PATTON the proposed sale to Genesis; and 4. For such other Orders as the Court deems proper; the supporting Declarations of David D. Wald and David J. Pasternak; the supporting Memorandum of Points and Authorities; all pleadings and other documents in the Court's file for this action; and all other oral and documentary evidence presented at the hearing of the Receiver's $x Parts Application; and good cause appearing therefor; IT IS HEREBY ORDERED that: 1. The Receiver is authorized to borrow an additional $350,000 from secured lender Kurtin Properties, Inc. ( "Kurtin "), which will be added to the existing loan which is secured by the first deed of trust on the receivership real property, to pay the attorneys fees and costs for the Receiver and his counsel through approximately $300,000 which will be transferred to the Receiver's trust account as a retainer for such purpose, and approximately $50,000 of which will be used to pay additional loan costs including funding an increased interest reserve for Kurtin's increased secured loan; 2. The Receiver is authorized to execute any documents, including revised loan documentation, which may be required to obtain the specified additional funding from Kurtin; 3. The Receiver is authorized to enter into a contract to sell the receivership real property located at 201 East First American Way in Santa Ana, California (the "Property ") to Genesis Real Estate Group, Inc. ( "Genesis ") or its assignee for $14,800,000, with a $500,000 purchase deposit which is to be increased by $250,000 on waiver of contingencies, with a 30 day I nnn59R39 -1 4 75B -23 ec 484 nii 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19, 20' 21 22 23 24 25 26 27 28 - MXRNAK •aSTTE�POW contingency period, with the sale subject to this Court's confirmation and approval with possible overbidding and subject to the assignment of the Property Development Agreement to Genesis by the City and its modification to remove the requirement that Ryan Ogulnick be involved in the development of the Property; 4. The Receiver is authorized, if he believes it necessary to do so, to retain Townsend Public Affairs, Inc. ( "Townsend ") as a consultant to assist the Receiver in seeking the modification of the existing entitlements for the `Pr�.operty in connection with no the proposed sale to Genesis( and 5. Notice was proper. DATED: APR l A 7011 JAMES 0. CHALFAW — J me , C. Chalfant Los Angeles Superior Court Judge 11 00063839-1 4 BC 484 031 75B -24 XHIBIT 6 75 -25 Gordon Ip, the principal ofGenesis Real Estate Group, washorn and raised in Hong Kong His family has been involved in real estate investment and development for three generations. Mr.lp attended the prestigious Diocesan Boys School of Hong Kong, eventually leaving this vibrant metropolitan city to complete high school at the Choate School in Connecticut. As an extension of his goals to experience the United States, he chose to attend a large public university and received his Bachelor of Business Administration degree from the Universityof Michigan with a majorin marketing Mr. Ip's first exposure to sales and marketing came when he sold books door to door with the Southwestern Book Company in undergraduate school. After graduating from Michigan, Mr. Ip obtained a management lrainingand corporate marketingposition with Dow Chemical, relocating to Dallas,Texas, in 1980. Duringthose initial years in Dallas, real estate development piqued his interest. Mr. 1p decided to transition careers by attending graduate school at Southern Methodist University and pursuing two degrees simultaneousif a Master of Business Administration concentrating in Finance and a Master of Science in Real Estate Sciences. 75B -26 Followinggraduale school, M r. Ip turned down Olhersofenaployment withTranunell CrowCompany, Cadillac Fairview, Lincoln Property, Vantage Development and Criswell Development to focus on finding a company that offered a chance to experience all facets of real estate development, including acquisition, entitlement, planning, architectural design, financing, legal, construction, property management, and sales and marketing. In 1983, Mr. Ip joined Pacific Realty Corp, a growing company that focused on multifamily development and allowed him to obtain a complete real estate development experience. While at Pacific, Mr. Ip honed his skills and used his desire to learn, attention to detail and business acumen to develop successful projects in cities such as Tulsa, Phoenix, Altamonte Springs, Dallas and Albuquerque. During this time, Mr. Ip developed strong institutional relationships which became the foundation for launching his own company in the future. He became the company's interface with the Ralcor Company. 75B -27 l [p 1 i� I T t Pram I<fi w Right: 'I hclldls, \fve�.r flan of CUwW. Ca. Front of IAlrrat i '.A I `I!'I I I , f Itr r' at Institutional Developer with Multi -state experience Coinciding with the lax law reform in 1986, Mr. Ip lell Pacific Realty and started Genesis Real Estate Group. Genesis and BalcorAmerican Expressembarked on a multifamilyenlitlement and development joint venture. In 1987, Genesis began its long history of project development and entitlements in California. Its first transaction involved a nuthitract entitlement in the city of Corona, Calif. Genesis entitled four large multifamily tracts of land totaling more than 1,200 units and implemented a Mello - Roos infrastructure plan. Acting as general contractor, Genesis built two developments, a 330 -unit development called The Crossings and a 248 -unit development called The Hilis.'Ihcy were purchased by two major institutional players, CALIPERS advised by Metric Partners (Blackrock Realty Advisors) and Executive Life Insurance Company. In addition, Genesis navigated dvu environmentalists and neighborhood groups amidst native oaks and entitled 476 units ofmulti family land in Roseville, Calif. Genesis also assembled 20+ separate tracts totaling 200 acres and created a master plan in Rancho San Marcos, Calif. In 1989, long before high -rise residential buildings were commonplace, Genesis expanded its urban focus, zoned and built a 288 -unit, 14 -story, high-rise condominium in downtown San Francisco, one of the first developments south of Market. Mr. Ill was part of the Ballpark Commission, a neighborhood group that lobbied the Giants to move from Candlestick to its current SOMA location. 75B -29 75B -30 Urban Focus toith Innovative Design 67echnology in 1998, Genesis developed Turtle Creek Villas, the first residential high -rise built in Dallas since the early 80s. This luxury rental tower featured 331 units in 14 stories located in the heart of the Uptown area. "Ilse property was managed by an affiliate, Genesis Realty Management Inc., and was sold to ING Insurance. Genesis used an innovative construction technology for high -rises to achieve record construction times, thus lowering carrying costs and ultimately increasing profitability. Genesis was also able to price belowthe competition while achieving the same orhiglreryields. High Density Wood Frame 80 +Dulsl4cre (Non Podium) PollowingTurtle Creek Villas, Genesisworked with a leading multi- family design architect to develop the urban four -story density product with an integrated, structured garage, nowcommonly referred to asthe'Texas Wrap.'This collaboration created a high efficiency, low- costbuildingframework allowing up to 8S units -an -acre utilization of land. This was accomplished in four stories including an integral garage at grade without the cost penaltiesofa four- storypodium. (Podiumdesign carriesa cost penalty ofa transfer slab and additional two levels ofM EP over a two- storygaragewhere S096 ofthegamge had to be subterranean). Maple Villas and Southern Villas, both in Dallas, were classic examples of a Texas Wrap, with one major distinction. We designed no Texas Donuts where the garage was in the middle, and none of the Genesis units looked into the integrated garage. 75B -31 v Tyl, i� ... FAW A6r �J I4/ M F� w 0 � r ' +'Y " iu , .. r from Lcli w Rigkr. Tunlc Gak Vil6s Cuurtynnl, & \1.uttr P6m uFliude Crak VillbS Traditional High Density Walk Ups Genesis continued its involvement in more traditional wood -frame three -to four -story garden walk- ups like LaCosta Villas with Invesco as advisor to New York Slate Teachers Retirement System. Value Added Acquisitions and Urban Planning Genesis is well -known as a national developer with experience in all aspects of multifamily housing, ranging from low -rise traditional walk -ups and four -story urban products to high -rise developments, both for rent and forsale. Genesis also used its expertise in development and property management to acquire assets that were undervalued or could be upgraded as value -add opportunities. One example is the Treasures. In 2000, Genesis bought the S17 -unit property located in Biscayne Bay, in North Miami, and managed this fur the future prospect of conversion from an apartment building to a condominium,"Ihis was financedby IXIS Real Estate Capital, an affiliate of CDC out of New York. In 2004, Genesis competed and won the right to purchase the Posner Estate site in Hallandale Beach, Fla. Genesis used its experience in entitlements and secured from the city the rights to build a 280. unit, 28- storyhigh- risecondonuinium. Genesis looked at the opportunitycostswithin its portfolio and made a decision to sell for a profit the entitled land to another developer. Genesis thus flipped the site to the Fifieid Company out of Chicago. 75B -33 BEHRINGERHAwARD 0) CORUS BANK LEHMAN BROTHERS NaiionsBank PACIFIC LIFE 75B -34 ,p Prudential SouthTrust 5 GMAC Broad range of capital partners providing ready access ofcapital In the 80s, Genesis in relationship with Balcor American Express acquired and entitled land and built multiple properties in California, from San Diego to Sacramento. Although this partnership was successful financially for both companies, American Express eventuallyended its direct investment in real estate In the mid 1990s. 'ihereatteg Genesis stayed within the familyofShearson Lehman American Express and built a large book of business with the lending unit at Lehman Brothers. Mtdti- Farraiy Rental Properties This relationship provided the funding to build 3225 Turtle Creek. Completed in 2000, this was the largest multi- family rental property in Texas. This 604-unit, 23 -story high -rise community with more than onemillion gross square feet sits proudly on the Turtle Creek skyline. A cnverler bought this property and turned it into the 12ennaisance, a condominium. Turtle Creek Villas, a331-unit, l4- story, high -rise rental development was also built with funding from this partnership alongside GMAC as lender. In addition, Turtle Creek Villas was the first residential high -rise rental apartment built in more than a decade. 75B -35 i M N Lip ingg room a� "IIm SI erccN(m „rl.JO 6rJnmm at the �Ic lha \I (luvrrdgpi) \tlel Kiahcn a� ack (aryah /r) In�erim Labby of "Ihe Mnk (xppr dXnn 7 The Mark, at the Galleria area of Houston, was originally built in 2000 as a 30- story, high -rise rental. Managing the marketing and sales, Genesis In 2002 converted the properly to a condominium. Southern Villas was an 80 -unit- per -acre, high density urban development, built in the Galleria area of Dallas. Genesis continued to grow its reputation as a developer that focused on contmllingcosts from design inception to construction completion, lenders that provided construction financing for these properties included First American Bank, GMAC SouthTrust (nosy Wachovia) and NationsBank (now Bank ofAmerica). The Mercer is another example of Genesis employing innovation and creativity to create luxury with outstanding value. Using its resources, experience and focus on planning and design, Genesis completed construcion of the 360 -foot tall building with interiors that included 12 -foot ceilings, gas cook-tops (a first for Houston in a high-rise), wood Boors, gas fireplaces, sub -zero refrigerators and Vikingappliances, within 12 months ofdosing the loan with First Bank of Houston. 75B -37 75B -38 High up in the Sierras, 323 has an unparalleled view of lake Tahoe In 2006, Genesis partnered with Behringer Harvard to develop an exclusive 49-unit condominium located in the midst of Heavenly Vallcy Ski Resort, Nev. It look more than IS years to segue the entitlements to develop a whole - owned condominium property. "Bne development is located on the ridge facing Lake Tahoe on one side and Carson Valley on the other. Genesis secured the building permits and began constructing in the fall of 2007. Due to the tight sub market in the Reno, Sacramento and surrounding East Bay area, Genesis was able to reduce the cost of construction by using its national relationships with various subcontractors to import a proven subcontractor front Dallas that had idle crews in the southeastern states. 75B -39 AV ` �%lllllN�� .11111 "' p Aym I ung 11.0, C,I I lu.Nm In the new millennium, Genesis formed a relationship with Prudential Real Estate. Prudential backed Genesis in build ing Aqua, one ofthe most significant residential developments in the Los Angeles area. Aqua features 556 homes built in two l8 -story lowers on the coast of Long Beach. Genesis was able to navigate the complex entitlement process that involved many distinct public agencies, including the Redevelopment Agency and the City Planning Commission. As an example of our integrity and loyalty, before the closing of the partnership with Prudential and the construction loan with Pacific Life Insurance Company, Genesis was offered a handsome profit to flip out the land since Genesis created a substantial windfall after taking the property through a highly complex entitlement process. Instead Genesis honored its commitment to a future relationship with Prudential even though it was not yet formalized in writing by staying the course and closing into the Joint Venture. Some may debate whether this was financially wise. For Genesis, following through with a commitment is the onlyright choice. Aqua financed by Pacific Life Insurance Company was initially built as rental product. Genesis and Prudential collectively decided to take advantage of the booming Southern California condominium market and converted Aqua into a for -sale product, switching financial lenders during this process to Bank of America. Our superior cost management allowed the transaction to be one of the more successful Prudential Joint Ventures. 75B -41 u,/A: 'O;, a/h nllou to , „t, "ne; 1121 aurl „/„ ,rlG,rr; hudd l , a lo,r, r tor,d "ilhalfthavim, lu Gr urrrlP 01,11;;ti IIii will 11, u„t hay, ln;hrt, b on I/,,,) (nu /invna i uu;;,1r. L hr yvrlrin;l.[tu art;, wh is lhr;,r,tr, but 1hr u;4 haq, 1, if nzi. Ybi,;'Vl 6 ;1ni, l,.nv;n:,'W(llrnt6r, 111, ;if( t„ P u, I bl"Icl; ;/1 4' A?, /A a bill i,u ;irld a;itI Ina).", w I, nnup,ur to m,eeup nuuit, Iitoe; i;1 t/w ;,I ,irnt III, NX I. (.l L;ild'IMi mulhlGr, 1,/ 11 /+ vi;1 o:1hai1ii1f,�fritht „u,,i;fill u, At I, IA abilil1' 11/.1 ;llprr I'll _I'i, ✓rl:1o,iI1) 1,1 for bct tapital.) Active Manageneent of'the Design and Development Process From conceptual design through design development, Genesis relies on the experience and expertise of its in -house development team to supervise and guide its architects and designers to provide for market-appropriate design while mindful of constmctability and costs. Focusing on smarter design provides a high - quality product for end users while achieving superior financial returns for Genesis and its financial partners, giving us an edge for financing ability and profit generation. Genesis also provides strict cost management during the bidding process, which allows Genesis to build residential product for less than its competitors. Intelligent Design (Durable and Green) for the purpose Ofproviding Integrity ofPm for niance Early in the conceptual design phase, Genesis is one ofthe few developers that will engage the dialogue of specialists so that the end product will provide a high degree of performance integrity. By using specialists in soundproofing, heat insulation, cold weather condensation, moisture barriers, energy efficiency and waterproofing, Genesis designs and builds a superior and more efficient product for its end users, a product that is both durable and green. 75B -43 �o iv "'$ A111,2 Aiu i 1 d jIl _ •'r r e. i7f x iii Nulaft 1.1ua found.uion llwur- atthe b la;,gof Ika<L, in,. CA Lang Active partieipation in the specification, purchase and bidding process In the 1990s, Genesis bid a mid -rise propertywith three nationallyknown general contractors.while the bids came in within five percent ofeach otter, they were approximately $10 million higher than the profarma estimate Genesis recognized that contractors ollen bid projects on a unit -cost basis, ignoring any design efficiencies. Genesis spent the next four weeks educating subcontractors from each trade on the efficiencies and time savings in Genesis' design, allowing them to reduce the man hours required to complete the same work and obtaining an overall bid for the project that fit the original budget. Genesis extensive experience in biddingand workingd irectly with its large database ofsubcontractors allows Genesis to bypass many layers of middlemen, jobbers and wholesalers, bringing significant savings to a proposed development. The time, effort and ability to source directly allows Genesis to eitherprice below market ina for-salepmdact, orcliarge low•errents in a rental development to achieve the same superior returns for their partners. 75B -45 Dort Fero Deals and Do them Well Genesis chooses to do a deal on its merits alone. Anothercompany with staff in acquisitions might feel the pressure to do a deal to evidence performance, even if that transaction may not be the best use of company resources. At Genesis, We would rather pass on a deal if the deal's merits don't fit ourcriteria, and we are committed to the finish. All Deals are Done in a leant At Genesis, all deals are done via a group of professionals as a collective team versus other development companies that have separate development teams competing with others in their own company for capital allocation. This team approach allows for each site and transaction that Genesis considers to be examined by the whole company. 'the merits of each deal arc considered in the absence ofinter- company rivahriesand egos. We collectively make go or no go decisions on each transaction, allowingeach deal to benefit from the expertise of all rather than a smaller group vying for its own recognition. Choose Select Members that are Committed to our Pahies and Work Our key employees bring expertise in different aspects of real estate. We achieve excellence by combining ourcollective skill sets into a formidable team. 75B -46 7b the Finish Line The duty to complete what we have started is not taken lightly. Properties and deals do not always manifest profits as projected. At these times, Genesis distinguishes itselfby treatingall deals in the same mannerand none are neglected forthe sake ofexpediency. Long 7ernt View Our relationships with design professionals, subcontractors, suppliers, lenders, joint venture partners, staff, municipalities, renters and homeowners arc all respected, nurtured and highly valued. Genesis has a staff with more than 20 years of tenure. Many professionals have been collaborating with Genesis for just as long. While Genesis' philosophy contrasts with standard industry practices ofselling properties and leavingthe HOA boards at the earliest possible time, our team knows that continued communication with residents and the transfer ofproperty knowledge helps build a stronger community and avoid potential problems. bcentivize with ownersho All members of Genesis team are limited partners in each of the transactions that Genesis develops. 'Ibis incentive rewards team members and promotes personal ownership, not only ofourown work but ofeach other's work as well. 75B -47 Integrity To leave a lasting mark on individuals and companies alike on every occasion that Genesis as a company and its members are different in the way et approach our partners, our transactions, ourconsultants and our financial institutions. Not only will we do what we say,we constantly ask ourselves howwe can we do more than is expected. Loyalty To support the company, and to adopt its beliefs, and its work ethicsand to approach all aspects of our developments as iftheywere ourown in order to make a personal impact on creatingvalue and controlling expenses to provide extraordinary results. Hard Work '[owork sin art and hard with a goodattitude in order to be the best at what we do while recognizing that often we have to do the work ofotirers to succeed in achieving our goaIs. 75B -48 Operate Development is about problem solving. Some solutions are conventional. Others require thinking outside the box. Most of the time, success depends on persistence and dedication. 'Niece are many areaswherewe shall spend time and effort in the shadows, but such preparation and effort become the buildingblocks ofa firm foundation. Nurture We desire to be small and nimble. We dothings because sse chooseto and not need lo. Wemustlook after each other and the company. No person should be too big for any task. No task should be too small to be overlooked. Our health and welfare depend on each other. Stretch 9lrere are no external barriers to growth. 'lo grow, we must venture to new frontiers. Short term failureisabuildingblock to future success. Wemust be bettertoday thanyesterday, andtomorrow we will be better than today. 75B -49 VISION STATEMENT '1b produce uniyuc rrmironntcuts al the best possible ImIlle big bring (hip'11t in 11estp11 ,11111 tenacious in ronlrolhni all IS ill 1hr dciad01rne11t prof rss in order to achiere superior rehn ns lur our Imam ial paf laer. end ow::elrri. We have chosen to approach development Ihrough manwvork, coordinating separate responsibilities on all properties rather than each individual developing on their own. To succeed, this approach requires superior commmnicationsand groupdyna nics. Any individualism and lack ofconnnonality defeats this chosen path and will result in inferior results that are detrimental to the welfare and goals oflhe company and its members. To succeed, we must will ourselves to adhere to the values and vision of the company, and we must make sure that all coworkers live by the same creed. We have made a conscious decision to work from within and not hire candidates that might be more experienced, but may not subscribe to our values, vision, and company goals. Instead we have brought quality people together and only by pressing forward and by devoting ourselves to our core values, goals and direction, shall we succeed in achievingexcellence. 75B -51 IM tntit �. i „il��. ehJ RiJiu d.w i A. 5n::0 Clerk of the City Council City of Santa Ana WHEN RECORDED MAIL TO: Clerk of the Council City of Santa Ana 20 Civic Center Plaza M -30 P.O. Box 1988 Santa Ana, California, 92702 SECOND AMENDED DEVELOPMENT AGREEMENT by and between THE CITY OF SANTA ANA, a California municipal corporation, and VDC AT THE MET, LLC, a California limited liability company 75d!g5lT DEVELOPMENT AGREEMENT THIS SECOND AMENDED DEVELOPMENT AGREEMENT ("Second Amendment ") is entered as of this — day of , 2013, by and between THE CITY OF SANTA ANA ( "City "), a charter city and municipal corporation, and VDC AT THE MET, LLC ( "VDC "), a California limited liability company. The City and VDC are at times referred to individually as "Party" and collectively as "Parties" herein. RECITALS A. Sections 65864 through 65869.5 of the California Government Code (the "Development Agreement Laws ") authorize City to establish procedures to enter into, amend, and extend binding development agreements with persons having legal or equitable interests in real property located within the City for development of the property; B. The purpose of this Second Amendment is to assign and make certain minor changes to the previously- approved "Amended Development Agreement Between the City of Santa Ana and VDC At The Met, LLC, a California Limited Liability Company," dated April 16, 2012, and recorded in the Orange County Recorder's Office as Document No. (the "First Amended DX'); C. Pursuant to an order of Los Angeles Superior Court Judge James C. Chalfant in Case No. BC 484031, dated September 7, 2012, the subject property is currently controlled by David Wald, a receiver appointed by the Los Angeles Superior Court with full control and authority over VDC and the subject property. A true and correct copy of said order is attached hereto as Exhibit "A" and incorporated herein by this reference; D. Specifically, the Parties now desire to amend the First Amended DA, by way of this Second Amendment, to assign the First Amended DA, including all of the rights, duties, obligations, and benefits contained therein, from VDC to FIRST ROCK SANTA ANA, LLC ( "First Rock "), a California limited liability company, which is the development entity for GENESIS REAL ESTATE GROUP, INC. ( "Genesis "), a Texas corporation. The assignment is subject to the finalization of the sale of the subject property to First Rock, which was authorized by another order of Los Angeles Superior Court Judge James C. Chalfant in Case No. BC 484031, dated April 16, 2013. A true and correct copy of said order is attached hereto as Exhibit `B" and incorporated herein by this reference; E. In addition, the Parties desire to make minor changes to the First Amended DA, by way of this Second Amendment, including to (1) eliminate the two -year prohibition against assignments contained in Section 4.3 of the First Amended DA; (2) remove all references to the previous applicant, Vineyard Development ( "Vineyard "), and the previous developer, Ryan Ogulnick ( "Ogulnick "), from the First Amended DA; and (3) correct the number of total units to be built pursuant to the approved project; and, F. All other provisions of the First Amended DA, including all rights, duties, obligations, and benefits contained therein, shall remain fully intact and unchanged, and shall not be modified in any way by this Second Amendment. 75B -54 AGREEMENT NOW, THEREFORE, in consideration of the mutual covenants and promises of the parties contained herein, and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the Parties agree as follows: Section 1. That subsection 1.1(4) of the First Amended DA is hereby amended to read that the approved project will consist of 271 residential units. Section 2. That subsections 4.3 and 4.3.1 of the First Amended DA are hereby deleted in their entirety and are replaced with the following: "4.3 Assignment. Owner shall have the right to transfer or assign the Property, and its interests in and rights and obligations under this Agreement, in whole or in pail, to any person, entity (public or private), partnership, joint venture, firm or corporation at any time during the term of this Agreement; provided, however, that except as provided in Section 4.3.1 of this Agreement, the rights of Owner under this Agreement may not be transferred or assigned unless the written consent of the Council is first obtained and any transfer or assignment of the rights under this Agreement shall include in writing the assumption of the duties, obligations, and liabilities arising from this Agreement if the City grants written consent to transfer the rights. The rights of the Owner hereunder shall not be subject to assignment by attachment, execution, or proceedings under any provision of the Bankruptcy Act, and any such assignment or transfer shall be wholly void and of no force and effect unless such written consent thereto be obtained from the Council. Such transfer or assignment shall not relieve Owner of any duty, obligation or liability to City without the consent of the City. During the term of this Agreement, any approved assignee or transferee of the rights under this Agreement shall observe and perform all of the duties and obligations of Owner contained in this Agreement as such duties and obligations pertain to the portion of the Property transferred or assigned. Any and all approved successors and assignees of Owner shall have all of the same rights, benefits, duties, obligations, and liabilities of Owner under this Agreement. If the Property is subdivided, any subdivided parcel may be sold, mortgaged, hypothecated, assigned, or transferred to persons for development by them in accordance with the provisions of this Agreement. Upon assignment or transfer of the rights of Owner under this Agreement, the obligations of Owner and the transferee or assignee shall be joint and several. 3 75B -55 4.3.1 Permitted Assignments. The prohibition against transfer of ownership of the Property as defined in section 4.3 above shall not apply to, and the City hereby consents to, the following: (a) Associations, including limited partnerships, limited liability companies, or joint ventures with other entities for the purpose of performing Owner's obligations under this Agreement, provided Owner retains sole operational and managerial control. (b) Easements or temporary permits to facilitate development of the Property. (c) Deeds of trust or other financing documents executed for the purpose of securing loans to Owner made to finance the development of the Property, and transfers to any person or entity pursuant to a foreclosure or deed in lieu of foreclosure of such deed of trust or other, similar, financing documents and any subsequent transfer by any such person or entity. Section 3. ASSIGNMENT. The City Council of the City of Santa Ana hereby approves the assignment of this Agreement from VDC, pursuant to the authority granted by Los Angeles Superior Court Judge James C. Chalfant to the receiver appointed with full control over VDC and the subject property, to First Rock, subject to the finalization of the sale of the subject property to First Rock, Section 4. INTEGRATION. Except as expressly provided to the contrary herein, all provisions of the First Amended DA shall remain in full force and effect. The First Amended DA and this Second Amendment shall collectively be referred to as the "Agreement" throughout this document. The Agreement integrates all of the terms and conditions of agreement between the Parties, and supersedes all negotiations and previous agreements between the Parties with respect to the subject matter hereof. Section 5. EFFECTIVE DATE This Second Amendment shall take effect upon the completion of both the closing of escrow on the property subject to the Agreement by First Rock and the date the ordinance approving this Second Amendment takes effect. 75B -56 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Ryan 0. Hodge Assistant City Attorney CITY OF SANTA ANA KEVIN O'ROURKE Interim City Manager VDC AT THE MET, LLC A California limited liability company DAVID WALD Receiver 75B -57 ADDENDUM THE MET AT SOUTH COAST MULTI - FAMILY RESIDENTIAL PROJECT FINAL MITIGATED NEGATIVE DECLARATION PREPARED FOR: City of Santa Ana Planning and Building Agency 20 Civic Center Plaza M -20 Santa Ana, CA 92701 Contact: Sergio Klotz PREPARED BY: ICF International 1 Ada, Suite 100 (vine, CA 92618 Contact: Chad Beckstrom 949.333.6625 dune 2013 EXHIBIT 8 75B -58 Addendum Introduction and Summary This Addendum is to the Final Mitigated Negative Declaration adopted by the City of Santa Ana in January 2012 (2012 MND) for The Met at South Coast Multi- Family Residential Project (Project), and analyzes the potential environmental effects of minor technical changes between the Project described in the 2012 MND (Proposed Project) and the Project as ultimately approved by the Santa Ana City Council in April 2012 (Approved Project), The Approved Project, as described in this Addendum, involves only minor technical changes regarding the size and location of a vacant parcel included in the Project The Approved Project does not result in any new potentially significant impacts or cause a substantial increase in the severity of the impacts identified in the 2012 MND, and no substantial changes with respect to the circumstances under which the Project is undertaken have occurred. Thus, this Addendum to the adopted 2012 MND is appropriate pursuant to the provisions of the California Environmental Quality Act, Pub. Res. Code section 21000, etseq. (CEQA), and 14 Cal. Code Regs., section 15000, et seq. (CEQA Guidelines). Purpose of an Addendum Pursuant to the CEQA Guidelines, a lead agency is required to determine whether its discretionary approvals have the potential to result in significant environmental impacts. In the case of the Project, the City of Santa Ana (City) is the lead agency and prepared and adopted the 2012 MND pursuant to CEQA. The 2012 MND adequately analyzed and addressed the environmental effects of the Proposed Project. As part of its final approval of the Project, the City required minor modifications regarding the size and location of a vacant parcel, resulting in the Approved Project. As the Approved Project involves minor technical changes to the Proposed Project, the City must review the Approved Project and the 2012 MND in accordance with Sections 15162 and 15164 of the CEQA Guidelines to determine the appropriate environmental review and documentation. CEQA Guidelines Section 15164 states that the lead agency or responsible agency may prepare an addendum to a previously adopted negative declaration if only minor changes or additions are necessary or none of the conditions described in Section 15162 calling for the preparation of a subsequent Environmental Impact Report (EIR) or negative declaration have occurred. Section 15162 of the CEQA Guidelines states that a subsequent EIR or negative declaration shall notbe required for the project unless the City determines, on the basis of substantial evidence, that one or more of the following conditions are met: • Substantial changes are proposed to the project which will require major revisions of the previous negative declaration due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; • Substantial changes occur with respect to the circumstances under which the project is The Met at South toast Multi -Family Residential Project lune 2013 Final Mitigated Negative D eclaration— Addendum 1 75B -59 City of Santa Ana undertaken which will require major revisions of the previous negative declaration due to the involvement of new significant environmental effects or a substantial increase in the severity, of previously identified significant effects; or • New information of substantial importance, which was not known and could not have been known with the exercise of reasonable diligence at the time the previous negative declaration was adopted, shows that the project will have one or more significant effects not discussed in the previous negative declaration or that the previously examined significant effects will be substantially more severe than shown in the previous negative declaration. Proposed Project and Environmental Documentation In January 2012, the City adopted the 2012 MND for The Project. The2012 MND analyzed the Proposed Project as the development of a 284 -unit multi- family apartment complex on an approximately 3.1 -acre site located at 200 East First American Way in the southeastern portion of the City of Santa Ana, with an approximately 0.6 -acre portion of the site to remain undeveloped and vacant. The Proposed Project consisted of five stories of multi - family rental units in three buildings, all of which would be constructed over a subterranean parking structure that spans beneath all three buildings. Open space courtyard areas were proposed between the buildings over the parking structure. Figure 1 shows the site plan for the Proposed Project that was included in the 2012 MND. The parking structure was proposed to provide 625 parking spaces in two subterranean levels of parking, in addition to parking on the street level. Vehicular access to the project site and parking garage was proposed to be provided from East First American Way. All of the environmental Impacts of the Proposed Project identified in the 2012 MND were determined to result in no impacts or less- than - significant impacts, or impacts were determined to be reduced to less- than - significant levels with the incorporation of mitigation measures. Impacts on Aesthetics, Agricultural Resources, Hazards and Hazardous Materials, Hydrology, Land Use, Mineral Resources, Population and Housing, Recreation, and Utilities were determined to result in less -than- significant or no impacts. impacts on Air Quality, Biological Resources, Cultural Resources, Geology, Greenhouse Gas Emissions, Noise, and Public Services (schools) were determined to be less than significant with mitigation incorporated. Approved Project As part of its final deliberations on the Project in April 2012, the City of Santa Ana City Council required minor modifications to the site plan for the Project. Figure 2 shows the modified site plan ultimately approved by the City Council. The modified site plan shifts some of the residential structures front the MacArthur Boulevard frontage to fronting along East First American Way. Additionally, the vacant area increases from 0.60 acres to 0.82 acres to accommodate a larger area for potential future development at the site. The modified site plan also shifts the location of the vacant parcel font the northeastern portion of the site to the southeastern portion of the site, thereby resulting in the vacant parcel fronting along MacArthur Boulevard rather than East First American Way. These minor modifications included in the Approved Project would not result in The Met at South Coast Multi- Family Residential Project June 2013 Final Mitigated Negative Declaration— Addendum 2 75B -60 �L 31 t'o 'CIF ®Mtm mm ® r - -- I I _ I � FUTURE JY -B' ( BUEBIGG I I I I � I I � II1J o I J! L� xG Ir -rl >C.1 U IA to A IA IA JA }IR -1" — IA to 9T y fIl_•it� ' 111. - 1� ti r- 75B -61 Figure 1 Site Plan The Met at South Coast lEA4'NG GEFl <E IA IA IA IA RAYV: . !II IA I< CLUB IB ]B IA ROOM IA IG to A 1l Vr �.'It IA r �x U M xe 1 4- ®Mtm mm ® r - -- I I _ I � FUTURE JY -B' ( BUEBIGG I I I I � I I � II1J o I J! L� xG Ir -rl >C.1 U IA to A IA IA JA }IR -1" — IA to 9T y fIl_•it� ' 111. - 1� ti r- 75B -61 Figure 1 Site Plan The Met at South Coast City of Santa Ana changes to the residential unit counts, open space and recreational amenities, traffic counts, or the number of parking spaces of the Proposed Project. Evaluation of Environmental Impacts This document constitutes an Addendum to, and should be considered with, the 2012 MND. Together, the 2012 MND and this Addendum serve as the environmental review of the Project, as required pursuant to the provisions of CEQA and the CEQA Guidelines. The Project's impacts were largely covered in the 2012 MND's analysis of the Proposed Project. This analysis addresses any changes to impacts identified in the 2012 MND that could potentially occur as a result of the minor technical changes associated with the Approved Project. Aesthetics The Approved Project, which includes minor changes to the site layout and a slight increase in vacant land compared to the Proposed Project, will not result in significant impacts on aesthetics. The Approved Project will not result in changes to unit counts, parking ratios, or open space and recreational amenities compared to the Proposed Project. The height of proposed structures and architectural style of the Approved Project will be substantially the same as the height and style analyzed in the 2012 MND. The Approved Project will not interfere with the existing lines of sight available from surrounding areas. Implementation of the Approved Project will not negatively affect the existing visual character or quality of the project site and its surroundings. Furthermore, the lighting used for the Approved Project will not introduce a significant new source of additional lighting to the area. The Approved Project will result in either no impacts m• less- than - significant aesthetics impacts, consistent with the analysis contained in the 2012 MND. Agricultural and Forestry Resources The Approved Project will result in the same impacts described in the 2012 MND. The Approved Project will not change the location of the Project site analyzed in the 2012 MND. The Project site does not contain any agricultural uses. No land zoned as forest land or timberland exists within the proposed project boundaries. According to the California Department of Conservation Orange County Important Farmland 2008 map (California Department of Conservation 20081), the Project site is classified as "urban and built -tip land" and "other land." The Project will be located in a fully developed urban environment and would develop a multi - family residential project on an infill development parcel. No impacts to agricultural or forestry resources will occur as the result of the Approved Project, consistent with the analysis contained in the 2012 MND. Air Quality The Approved Project will not result in new or changed significant impacts on air quality. The proposed construction activities for the Approved Project will remain unchanged from those analyzed for the Proposed Project. As stated in the 2012 MND, construction- related daily (short - term) emissions would exceed the South Coast Air Quality Management District (SCAQMD) regional 1 California Department of Conservation. 2008. Orange County Important Farmland 2000. Available: <ftp://ftp.consrv.ca.gov/pub/dirp/FMMP/pdf/2008/oraOB.pdf>. The Met at South Coast Multi- Family Residential Project June 2013 Final Mitigated Negative Oeclaratian— Addendum 3 75B -62 ICF Figure 75B -63 2 Modified Site Plan The Met at South Coast uuu 4 w 1Ib1a+s w�Frclo t„ ., 2A 24 11 '1K e IB IB 70 IL r I IA Ia Is a I awe. Rm � IC - IU IA IA IA IK a . iu.. IA IA k Ic ID .I'• a� Fu Is N IA COOTIOD I ssssl� 18 owwi!oss IB r"" nwu ,• F" uFtxFUm IA Y IB A B 4 B 21 m Fist smI U)3,nou Ill A.011 1 V P A L IB IB IB 2H Tf.Frw IB IB I' NOIFY WF U wrlxslays ZA IA IG. •..� u.m,rmo.w•a.......s-- UNIN X, I' — .z.o...,..., vw ,..�•. s ICF Figure 75B -63 2 Modified Site Plan The Met at South Coast City of Santa Ana significance thresholds for nitrogen oxides (NOx). The Approved Project will not result in any changes of the construction - related daily emissions. Mitigation Measures AQ -1 and AQ -2 included in the 2012 MND would continue to be required for the Approved Project to reduce short -term construction emissions to a less- than - significant level, which is consistent with the analysis and mitigation measures contained in the 2012 MND. Biological Resources The Approved Project will not result in new or changed significant impacts on biological resources. Construction activities included under the Approved Project would remain unchanged compared to the Proposed Project. Similarly, operation of the Approved Project will be substantially the same as the operation of the Proposed Project. Removal of ornamental trees and tarplant, and the potential removal of vernal barley analyzed for the Proposed Project will continue to occur under the Approved Project. The 2012 MND identified impacts on two small delineated wetland areas totaling 0.021 acre (832 square feet) for the Proposed Project, which will not be changed by the Approved Project Implementation of Mitigation Measures 13I0-1 through BIO -4 would continue to he required to reduce impacts of the Approved Project related to nesting birds, protected species, and wetlands to less- than - significant levels, which is consistent with the analysis and mitigation measures contained in the 2012 MND. Cultural Resources Similar to the Proposed Project, the Approved Project will not result in significant impacts on cultural resources. A cultural resources survey conducted for the project site and summarized In the 2012 MND did not identify any significant cultural resources on site or nearby. As a result, the Project's Impacts to cultural resources were determined to be less than significant. The Approved Project does not change the conclusions of the 2012 MND related to cultural resources impacts. Geology and Soils The Approved Project will not result in new significant or increased impacts on geology and soils. Site preparation, including soil excavation and export, as well as operation of the Approved Project, would remain unchanged from those of the Proposed Project described in the 2012 MND, which concluded that impacts would be less than significant with the incorporation of Mitigation Measure GEO -1 to reduce seismic groundshaking and expansive soils impacts. The Approved Project does not change the conclusions of the 2012 MND related to geology and soils, and is consistent with the analysis and mitigation measures contained in the 2012 MND. Greenhouse Gas Emissions The Approved Project will not result in significant impacts on greenhouse gas emissions. The duration of construction activities and number and type of construction equipment of the Approved Project would remain unchanged from the Proposed Project. Therefore, greenhouse gas emissions would be substantially the same as those described in the 2012 MND. Implementation of Mitigation Measures GHG -1 through GHG -3, along with state implementation of Assembly Bill (AB) 32 Seeping Measures, would continue to be required to reduce the incremental GHG emissions associated with the Project by approximately thirty -three percent (33%). The Approved Project does not change the The Met at South Coast Multi Family Residential P,olect June 2013 Final Mitigated Negative Declaration— Addendum 4 75B -64 City of Santa Ana conclusions related to greenhouse gas emissions in the 2012 MND, and is consistent with the analysis and mitigation measures contained in the 2012 MND. Hazards and Hazardous Materials The Approved Project will not result in significant impacts on hazards and hazardous materials. The duration of construction and number and types of construction equipment to be used for the Approved Project would remain unchanged, and no additional hazards would occur as a result of the minor technical changes associated with the Approved Project. The Approved Projects potential impacts will be substantially the same as those described in the 2012 MND, which concluded that no significant impact would occur and no mitigation measures are required. Hydrology and Water Quality Similar to the Proposed Project, the Approved Project will not result in significant impacts on hydrology and water quality. In fact, the Approved Project will result in slightly less impervious development by providing a larger vacant parcel in the southwest portion of the site. The Approved Project requires only minor technical changes to the drainage plans for the Proposed Project to control construction and operational water runoff. Impacts on hydrology and water quality will be substantially the same as those described in the 2012 MND, which were determined to be less than significant. No significant or increased impacts would occur as the result of the minor technical changes associates with the Approved Project, and no mitigation measures are required. Land Use and Planning Similar to the Proposed Project, the Approved Project will not result in significant or increased impacts on land use. The 2012 MND concluded that the Proposed Project was consistent with the MacArthur District Center land use designation. The Approved Project remains consistent with the General Plan and Zoning designations of the site, and would not conflict with any land use policy or plan. No significant or increased environmental Impacts would occur as the result of the minor technical changes associated with the Approved Project. Mineral Resources The Approved Project will not result in significant impacts on mineral resources. According to the City of Santa Ana land Use Element, there are no areas identified as having significant mineral resources and no areas having a Significant Mineral Aggregate Resource Areas (SMARA) designation on the Project site. The Approved Project will not change the location of the Project site. Therefore, implementation of the Approved Project will not contribute to the loss of availability of a known mineral resource. No significant or increased impacts would occur in connection with the Approved Project. Noise The Approved Project will not result in significant or increased impacts on noise. The number of units, parking ratios, and recreational and open space amenities analyzed for the Proposed Project will not be changed by Approved Project. Impacts related to construction activities and operation of the Approved Project will be substantially the same as those described in the 2012 MND. Most noise The Met at South Coast Multi- Family Residential Project June 2013 Final Mitigated Negative Declaration — Addendum S 75B -65 City of Santa Ana impacts of the Project were determined to be less than significant in the 2012 MND. However, short- term noise from construction was determined to potentially be disruptive, thereby requiring the incorporation of Mitigation Measure N01.1, which requires implementation of noise control measures. Additionally, noise impacts on some residents along MacArthur Boulevard were required to be reduced with the implementation of Mitigation Measures N0I -2, N01 -3, NOI -4, and N01 -5. Implementation of the Approved Project could potentially reduce noise exposure to some of the residents by shifting some of the residential buildings to the north away from MacArthur Boulevard. Thus, the Approved Project will not result in new significant or increased impacts related to noise, and it is consistent with the analysis and mitigation measures contained in the 2012 MND. Population and Housing Similar to the Proposed Project, the Approved Project will not result in significant or increased impacts on population and housing. The number of units, parking ratios, and recreational and open space amenities will not change tinder the Approved Project. Impacts on population and housing would be substantially the saute as those identified in the 2012 MND, which were determined to be less than significant. Specifically, the 2012 MND determined that Project would not contribute to substantial growth inducement, nor displace any existing housing or result in the construction of replacement housing elsewhere. Public Services The Approved Project will not result in significant or increased impacts on public services. Similar to the Proposed Project, impacts on police, fire, parks, and public facilities would continue to be considered less than significant because the Approved Project will not increase square footage or the number of residents. While the Project's impacts on schools were determined to be significant, and thus required mitigation, the Approved Project will not result in any additional student generation, and thus does not result in any new significant or increased impacts from what was analyzed under the Proposed Project. Therefore, the impacts of the Approved Project would continue to be less than significant with the implementation of Mitigation Measure PS -1. Recreation The Approved Project will not result in significant or increased impacts on recreation. The number of residential units (284 units), parking ratios, and recreational and open space amenities of the Approved Project would not change compared to the Proposed Project analyzed in the 2012 MND. The Project results in an increase of approximately 852 onsite residents. Residents of the Project would most likely use the onsite recreation facilities. Therefore, it is anticipated that the Project will not result in a significant increase in the use of existing recreation facilities or require the construction of new recreation facilities, and its impacts are thus less than significant. Additionally, the Approved Project is subject to the City's municipal code parkland dedication requirements. Compliance with the municipal code would increase recreational opportunities within the City. Transportation /Traf fi c The Approved Project will not result in significant or increased impacts on transportation /traffic. The number of proposed access points to the site, parking ratios, and the number of construction vehicles and resident trips would not change as a result of the Approved Project Therefore, the The Mel at South Coast Multi. Family Residential Project June 1013 Final Mitigated Negative Declaration— Addendum 6 75B -66 City of Santa Ana impacts of the Approved Project on transportation /traffic would be substantially the same as those described in the 2012 MND for the Proposed Project. Implementation of a construction management plan as described in Mitigation Measure TR -1 of the 2012 MND would continue to be required for the Approved Project to reduce short -term construction traffic impacts to a less - than - significant level. Similarly, implementation of Mitigation Measure TR -2 would continue to be required to reduce potential hazard impacts related to the addition of the project driveway activities. Thus, the Approved Project is consistent with the analysis and mitigation measures contained in the 2012 MND, and no new significant or increased impacts will occur as the result of the mina' technical changes associated with the Approved Project. Utilities and Service Systems The Approved Project will not result in significant or increased impacts on utilities and service systems. The number of residential units (284 units), parking ratios, and recreational and open space amenities of the Project would not change under the Approved Project. Therefore, no changes in utility demands would occur. The 2012 MND concluded that impacts on utilities would be less than significant, which would be the same for the Approved Project. Summary of Findings Based on the environmental analysis, the Approved Project will not result in any new significant impacts that were not previously analyzed and adequately addressed in the 2012 MND, or change the severity of the potential impacts identified in the 2012 MND. The layout modifications and the slight increase in proposed vacant land compared to the Proposed Project are minor technical changes, and none of the conditions set forth in Section 15162 of the CEQA Guidelines which would otherwise require preparation of a subsequent negative declaration or Environmental Impact Report are met as the result of the Approved Project As demonstrated by this Addendum: • The Approved Project does not constitute substantial changes which will require major revisions of the previous mitigated negative declaration due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; • The Approved Project does not constitute substantial changes with respect to the circumstances under which the Project is undertaken which will require major revisions of the previous mitigated negative declaration due to the involvement of new significant environmental effects or a substantial increase in tine severity of previously identified significant effects; and • The Approved Project does not constitute new information of substantial importance that show that the Project will have one or more significant effects not discussed in the previous mitigated negative declaration or that the previously examined significant effects will be substantially more severe than shown in the previous mitigated negative declaration. Therefore, pursuant to CEQA Guidelines Sections 15162 and 15164, the 2012 MND and this Addendum are appropriate to analyze the potential environmental effects of the Approved Project. Considered together, the 2012 MND and this Addendum satisfy the City s obligation under CEQA to evaluate and address the potential significant environmental impacts of the Project. The Met at South Coast Multi- Famlly Residential Project June 2013 Final Mitigated Negative Declaration— Addendum 7 75B -67 ISSUES: AESTHETICS Would the project: Have a substantial adverse effect on a scenic vista? Substantially damage scenic resources, including, but not limited to, trees, rock outcroppings, and historic buildings within a Stale scenic highway? Substantially degrade the existing visual character or quality of the site and its surroundings? Create a new source of substantial light or glare which would adversely affect day or nighttime views In the area? Appendix A Environmental Checklist e i as i a .2 E s Q1� ss �. Z 120 1.1 ZA Zs 1140 AGRICULTURE AND FOREST RESOURCES In determining whether impacts to agricultural resources are significant environmental effects, lead agencies may refer to the California Agricultural land Evaluation and Site Assessment Model (1997) prepared by the California Dept. of Conservation as an optional model to use in assessing Impacts on agriculture and larmland. In determining whether Impacts to forest resources, including timberland, are significant environmental effects, lead agencies may refer to Information compiled by the California Department of Forestry and Fire Protection regarding the state's Inventory of forest land, Including the Forest and Range Assessment Project and the Forest Legacy Assessment project; and forest carbon measurement methodology provided in Forest Protocols adopted by the California Air Resources Board. Would the project: Convert Prime Farmland, Unique Fannlar or Farmland of Statewide importance (Farmland), as shown on the maps prepared pursuant to the Farmland Mapping and Monitoring Program of the California Resources Agency, to non- agricultural use? Conflict with existing zoning for agricullurl use, or a Williamson Act contract? a The Met at South Coast Multi- Family Residential Project June 2013 Final Mitigated Negative Declaration— Addendum A -1 75B -68 City of Santa Ana ISSUES: c) Conflict with existing zoning for, or cause rezoning of, forest land (as defined in Public Resources Code section 12220(g)), timberland (as defined by Public Resources Code section 4526), or timberland zoned Timberland Production (as defined by Government Code section 51104(g))? d) Result in the loss of forest land or conversion of forest land to non - forest use? e) Result in the loss of forest land or conversion of forest land to non - forest use ?. Appendix A. Environmental Checklist �E3i3 g3c O = tb Z a '3a`»'� i i 3 AIR QUALITY Where available, the significance criteria established by the applicable air quality management or air pollution control district j may be relied upon to make the following determinations. Would the project: _. a) Conflict with or obstruct implementation of the applicable air quality plan? b) Violate any air quality standard or contribute substantially to an existing or projected air quality violation? c) Result in a cumulatively considerable net increase of any criteria pollutant for which the project region is non-attainment under (an applicable federal or state ambient air quality standard (including releasing emissions which exceed quantitative thresholds for ozone precursors)? _..f ;.... 1. d) Expose sensitive receptors to substantial pollutant concentrations? e) Create objectionable odor affecting a substantial number of people? 4 BIOLOGICAL RESOURCES Would the project: a) Have a substantial adverse effect, either directly or through habitat modifications, on any species identified as a candidate, sensitive, or special status species in local or regional plans, policies, or regulations, or by the California Department of Fish and Game or U.S. Fish and Wildlife Service? The Met al South Coast Multi -FamIN Resldenlial project June 2013 Final Mitigated Negative Declaration— Addendum A -2 75B -69 City of Santa Ana ISSUES: b) Have a substantial adverse effect on any riparian habitat or other sensitive natural community identified in local or regional plans, policies, and regulations or by the California Department of Fish and Game or U. S. Fish and Wildlife Service? c) Have a substantial adverse effect on federally protected wetlands as defined by Section 404 of the Clean Water Act (including, but not limited to, marsh, vemal pool, coastal, etc.) through direct removal, filling, hydrological interruption, or other means? d) Interfere substantially with the movement of any native resident or migratory fish or wildlife species or with established native resident or migratory wildlife corridors, or impede the use of native wildlife nursery sites? e) Conflict with any local policies or ordinances protecting biological resources, such as a tree preservation policy or ordinances? f) Conflict with the provisions of an adopted Habitat Conservation Plan, Natural Community Conservation Plan, or other approved local, regional, or stale habitat conservation plan? 6 1 CULTURAL RESOURCES Would the project: Appendix A. Environmental Checklist a) Cause a substantial adverse change in the significance of a historical resource as defined in § 15064.5? a) Cause a substantial adverse change in the significance of an archaeological resource pursuant to § 15064.5? c) Directly or indirectly destroy a unique paleontological resource or site or unique geologic feature? d) Disturb any human remains, including those Interred outside of formal cemeteries? The Mel at South Coast Multi- Famlly Residential Protect June 2013 Final Mitigated Negative Declaration— Addendum A3 75B -70 E P P €yE A ¢ IS Ji J 91 a) Cause a substantial adverse change in the significance of a historical resource as defined in § 15064.5? a) Cause a substantial adverse change in the significance of an archaeological resource pursuant to § 15064.5? c) Directly or indirectly destroy a unique paleontological resource or site or unique geologic feature? d) Disturb any human remains, including those Interred outside of formal cemeteries? The Mel at South Coast Multi- Famlly Residential Protect June 2013 Final Mitigated Negative Declaration— Addendum A3 75B -70 City of Santa Ana s� o u� A if ISSUES: d 8 GEOLOGY AND SOILS Would the project: _ a) Expose people or structures to potential substantial adverse effects, including the risk of loss, injury, or death Involving: i) Rupture of a known earthquake fault, as delineated on the most recent Alquist- Priolo Earthquake Fault Zoning Map Issued by the State Geologist for the area or based on other substantial evidence of a known fault? ii) Strong seismic ground shaking? Iii) Seismic- related ground failure, including liquefaction? iv) Landslides? b) Result in substantial soil erosion or the loss of topsoil? I c) Be located on ageologic unit or soil that is unstable, or that would become unstable as a result of the project, and potentially result in on- or off -site landslide, lateral spreading, subsidence, liquefaction or collapse? d) Be located on expansive soil, as defined in Table 18-1 -B of the Uniform Building Code (1994), creating substantial dsks to life or e) Have soils incapable of adequately supporting the use of septic tanks or alternative waste water disposal systems where sewers are not available for the disposal of waste water? GREENHOUSE GAS EMISSIONS Would the project: Generate greenhouse gas emissions, either directly or indirectly, that may have a significant impact on the environment? Conflict with an applicable plan, policy or regulation adopted for the purpose of reducing the emissions of greenhouse gases? Appendix A. Environmental Checklist 2. 3K dN% 63� q3 3 7 a� ETi uEE Z A z °_ z 2:40 0 E N DVrK The Met at South Coast Multi - Family Residential Project June 2013 Final Mitigated Negative Declaration— Addendum A -4 75B -71 City of Santa Ana Appendix A. Environmental Checklist og g g s` sh g ISSUES: 8 I HAZARDS AND HAZARDOUS MATERIALS Would the project: a) Create a significant hazard to the public or the environment through the routine transport, use, or disposal of hazardous materials? b) Create a significant hazard to the public or the environment through reasonably foreseeable upset and accident conditions involving the release of hazardous materials into the environment? c) Emit hazardous emissions or handle hazardous or acutely hazardous materials, substances, or waste within one -quarter mile of an existing or proposed school? d) Be located on a site which is included on a list of hazardous materials sites compiled pursuant to Government Code Section 65962.6 and, as a result, would it create a significant hazard to the public or the environment? e) For a project located within an airport land use plan, or where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project result in a safety hazard for people residing or working In the project area? f) For a project within the vicinity of a private airstrip, would the project result in a safety hazard for people residing or working in the project area? g) Impair implementation of or physically Interfere with an adopted emergency response plan or emergency evacuation plan? h) Expose people or structures to a significant risk of loss, injury or death involving wildland fires, including where wildlands are adjacent to urbanized areas or where residences are intermixed wilh wildlands? The Mel at South Coast Multi- Family Residential Project June 2013 Final Mitigated Negative Declaration— Addendum A -5 75B -72 City of Santa Ana ISSUES: 9 HYDROLOGY AND WATER QUALITY Would the project: a) Violate any water quality standards or waste discharge requirements? ID) Substantially deplete groundwater supplies or interfere substantially with groundwater recharge such that there would be a net deficit in aquifer volume or a lowering of the local groundwater table level (e.g, the production rate of pre - existing nearby wells would drop to a level which would not support existing land uses or planned uses for which permits have been granted)? c) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river, in a manner which would result In substantial erosion or siltation on- or off - site? Ell) Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of a stream or river, or substantially increase the rate or amount of surface runoff in a manner in which would result In flooding on- or off- site? e) Create or contribute runoff water which would exceed the capacity of existing or planned stormwater drainage systems or provide substantial additional sources of polluted runoff? i) Otherwise substantially degrade water quality? III Place housing within a 100 -year flood hazard area as mapped on federal Flood Hazard Boundary or Flood Insurance Rate Map or other flood hazard delineation map? h) Place within a 100 -year flood hazard area structures which would impede or redirect flood flows? I) Expose people or structures to a significant risk of loss, Injury or death Involving flooding, including flooding as a result of the failure of a levee or dam? Appendix A. Environmental Checklist P ya Ec ER P— g g&� s EPe E� "SSz s J.rc JY�5 i The Met at South Coast Multi- Family Residential Project June 2013 Final Mitigated Negative Declaration— Addendum A -6 75B -73 City of Santa Ana Appendix A. Environmental Checklist 10 LAND USE AND PLANNING Would the project: a) Physically divide an established community? b) Conflict with any applicable land use plan, policy, or regulation of an agency with jurisdiction over the project (including, but not limited to the general plan, specific plan, local coastal program, or zoning ordinance) adopted for the purpose of avoiding or mitigating an environmental effect? C) Conflict with any applicable habitat conservation plan or natural community conservation plan? 11 MINERAL RESOURCES Would the project: a) Result in the loss of availability of a known mineral resource that would be of value to the region and the residents of the state? b) Result in the loss of availability of a locally - important mineral resource recovery site delineated on a local general plan, specific plan or other land use plan? 12 a) NOISE Would the project result In Exposure of persons to or generation of noise levels in excess of standards established in the local general plan or noise ordinance, or applicable standards of other agencies? Exposure of persons to or generation of excessive groundborne vibration or groundborne noise levels? A substantially permanent increase in ambient noise levels In the project vicinity above levels existing without the project? The Met at South Coast Multi Family Residential project Final Mitigated Negative Declaration— Addendum A -7 75B -74 June 3013 W 538 a Jc ISSUES: j) Inundation by seiche, tsunami, or mudflow? 10 LAND USE AND PLANNING Would the project: a) Physically divide an established community? b) Conflict with any applicable land use plan, policy, or regulation of an agency with jurisdiction over the project (including, but not limited to the general plan, specific plan, local coastal program, or zoning ordinance) adopted for the purpose of avoiding or mitigating an environmental effect? C) Conflict with any applicable habitat conservation plan or natural community conservation plan? 11 MINERAL RESOURCES Would the project: a) Result in the loss of availability of a known mineral resource that would be of value to the region and the residents of the state? b) Result in the loss of availability of a locally - important mineral resource recovery site delineated on a local general plan, specific plan or other land use plan? 12 a) NOISE Would the project result In Exposure of persons to or generation of noise levels in excess of standards established in the local general plan or noise ordinance, or applicable standards of other agencies? Exposure of persons to or generation of excessive groundborne vibration or groundborne noise levels? A substantially permanent increase in ambient noise levels In the project vicinity above levels existing without the project? The Met at South Coast Multi Family Residential project Final Mitigated Negative Declaration— Addendum A -7 75B -74 June 3013 City of Santa Ana ISSUES: d) A substantial temporary or periodic increase in ambient noise levels in the project vicinity above levels exisling without the project? e) For a project located within an airport land use plan or, where such a plan has not been adopted, within two miles of a public airport or public use airport, would the project expose people residing or working in the project area to excessive noise levels? f) For a project within the vicinity of a private airstrip, would the project expose people residing or working in the project area to excessive noise levels? _. 13 POPULATION AND HOUSING Would the project: a) Induce substantial population growth in an area, either directly (for example, by proposing new homes and businesses) or indirectly (for example, through extension of roads or other infrastructure)? b) Displace substantial numbers of existing housing, necessitating the construction of replacement housing elsewhere? C) Displace substantial numbers of people, necessitating the construction of replacement housing elsewhere? 14 PUBLIC SERVICES Would the project: Appendix A. Environmental Checklist w C c¢ 5 _ E. RL �S 4 c fC N 11 a) Result in substantial adverse physical impacts associated with the provision of new or physically altered governmental facilities, need for new or physically altered governmental facilities, the construction of which could cause significant environmental impacts, in order to maintain acceptable service ratios, response times or other performance objectives for any of the following public services: i) Fire protection? it) Police protection? J I_ The Met at South Coast Multi - Famlly Residential Project June 2013 Final Mitigated Negative Declaration —Addendum A -8 75B -75 City of Santa Ana Appendix A. Environmental Checklist The Met at South Coast Multi- Family Residential Project June 2013 Final Mitigated Negative Dedaratlon— Addendum A -9 75B -76 ISSUES al fly .j. d W q�iypZ G,A l aS •Xi�Q G LL Iii) Schools? iv) Parks? Iv) Other public facilities? 16 RECREATION _. Would the project: _... a) Increase the use of existing neighborhood and regional parks or other recreational facilities such that substantial physical deterioration of the facility would occur or i be accelerated? b) Does the project include recreational' facilities or require the construction or expansion of recreational facilities which might have an adverse physical effect on the environment? 16 TRANSPORTATION Would the project: a) Conflict with an applicable Ian, ordinance PP P or policy establishing measures of 1 i effectiveness for the performance of the circulation system, taking Into account all modes of transportation including mass transit and non - motorized travel and relevant components of the circulation system, including but not limited to Intersections, streets, highways and freeways, pedestrian and bicycle paths, and mass transit? _ b) Conflict with an applicable congestion management program, Including, but not limited to level of service standards and travel demand measures, or other standards established by the county congestion management agency for designated roads or highways? c) Result in a change in air traffic patterns, Including either an increase in traffic levels or a change in location that results in substantial safety risks? The Met at South Coast Multi- Family Residential Project June 2013 Final Mitigated Negative Dedaratlon— Addendum A -9 75B -76 City of Santa Ana Appendix A. Environmental Checklist 17 UTILITIES AND SERVICE SYSTEMS Would the project: a) Exceed wastewater treatment requirements of the applicable Regional Water Quality Control Board? b) Require or result in the construction of new water or wastewater treatment facilites or j expansion of existing facilities, the construction of which could cause significant environmental effects? c) Require or result in the construction of new storm water drainage facilities or expansion of existing facilities, the construction of which could cause significant environmental effects? d) Have sufficient water supplies available to serve the project from existing entitlements and resources, or are new or expanded entitlements needed? e) Result in a determination by the wastewater treatment provider which serves or may serve the project that it has adequate � capacity to serve the project's projected demand In addition to the providers existing commitments? f) Be served by alandfill with sufficient permitted capacity to accommodate the project's solid waste disposal needs? g) Comply with federal, state, and local statutes and regulations related to solid waste? The Met at South Coast Multi-Family Residential Project June 2013 Final Mitigated Negative Declaration— Addendum A -30 75B -77 w Q.g ea `o �a e It K3x 1 Z i iiaL� gEE j�LL ISSUES: u°rd d) Substantially increase hazards due to a design feature (e.g., sharp curves or dangerous intersections) or incompatible uses (e.g., farm equipment)? ! e) Result in inadequate emergency access? Q Conflict with adopted policies, plans, or programs regarding public transit, bicycle, or pedestrian facilities, or otherwise decrease the performance or safety of such facilities'? 17 UTILITIES AND SERVICE SYSTEMS Would the project: a) Exceed wastewater treatment requirements of the applicable Regional Water Quality Control Board? b) Require or result in the construction of new water or wastewater treatment facilites or j expansion of existing facilities, the construction of which could cause significant environmental effects? c) Require or result in the construction of new storm water drainage facilities or expansion of existing facilities, the construction of which could cause significant environmental effects? d) Have sufficient water supplies available to serve the project from existing entitlements and resources, or are new or expanded entitlements needed? e) Result in a determination by the wastewater treatment provider which serves or may serve the project that it has adequate � capacity to serve the project's projected demand In addition to the providers existing commitments? f) Be served by alandfill with sufficient permitted capacity to accommodate the project's solid waste disposal needs? g) Comply with federal, state, and local statutes and regulations related to solid waste? The Met at South Coast Multi-Family Residential Project June 2013 Final Mitigated Negative Declaration— Addendum A -30 75B -77 City of Santa Ana Appendix A. Environmental Checklist e C•o IL 5q M -all al ISSUES: E '� NK �i ii o: ]Eu 18 MANDATORY FINDINGS OF SIGNIFICANCE a) Does the project have the potential to degrade the quality of the environment, substantially reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop below self- sustaining levels, threaten to eliminate a plant or animal community, reduce the number or restrict the range of a rare or endangered plant or animal or eliminate important examples of the major periods of California I history or prehistory? j b) Does the project have impacts that are individually limited, but cumulatively considerable? ('Cumulatively considerable' means that the incremental effects of a project are considerable when viewed in connection with the effects of past projects, j the effects of other current projects, and the '. effects of probable future projects)? i c) Does the project have environmental effects I_ which will cause substantial adverse effects on human beings, either directly or indirectly? The Met at South Coast Multl-Family Residential Project tune 2013 Final Mitigated Negative Declara tion— Addendum A -11 75B -78 L__ Summary Report: Lit6ra® Change -Pro ML 6.5.0.409 Document Comparison done on 6/28/2013 9:24.32 AM Style Name: Default Style Original Filename: Original DMS:dm: / /IRVLIB /I 153942/1 Modified Filename: Modified DMS: dnr:/ /IRVLIB /1153834/1 Changes: Add 244 Delete- 190 Move -From 5 Move TO 5 Table Insert 0 Tabie- Delete 0 Embedded Graphics Visio, ChemDraw, Images etc. 0 Embedded Excel 0 Total Changes; 1444 75B -79 75B -80 (ROH 08/05/13) ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A SECOND AMENDED DEVELOPMENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND VDC AT THE MET, LLC, A CALIFORNIA LIMITED LIABILITY COMPANY THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City is authorized pursuant to Government Code Sections 65864 through 65869.5 to enter into development agreements with persons having legal or equitable interests in real property for the purpose of establishing certainty for both City and owner in the development process. B. The City enters into this Second Amended Development Agreement pursuant to the provisions of the Government Code and applicable City policies. C. The Planning Commission has, following a duly noticed public hearing, on July 8, 2013, recommended approval of this Second Amended Development Agreement. D. The purpose of this Second Amended Development Agreement is to revise the Amended Development Agreement, dated April 16, 2012, to allow for the assignment of the Development Agreement for the property located at 200 East First American Way, Santa Ana, including all of the rights, duties, obligations, and benefits contained therein, to the prospective new property owner. E. The project and the use that the owner proposes in connection with the property have been extensively reviewed and considered by the City, and such proposed development and use have been found to accommodate the City's recommendations and suggestions in order to protect the public's interest to enhance the desirability of such proposed development and use. The terms and conditions of this Second Amended Development Agreement have been found to be fair, just and reasonable, and the City has concluded that the pursuit of the Project will serve the interests of the City. Ordinance No. NS -XXX Page 1 of 3 75B -81 F. The City Council has held a noticed public hearing on this Ordinance and has considered all testimony presented thereto. G. Additionally, an addendum to the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2011 -46, have been approved and certified by this Council by resolution simultaneously with the introduction of this ordinance. H. The proposed project will not adversely affect the General Plan, as is expressly set forth in the Request for Council Action dated August 5, 2013, together with all supporting documents, which are incorporated herein by this reference. Section 2. The Second Amended Development Agreement, a true and correct copy of which is attached hereto as Exhibit 1, is hereby approved, and the City Manager and Clerk of the Council are authorized to execute it on behalf of the City with such non - substantive changes as may be authorized by the City Manager and City Attorney. The Clerk of the Council is hereby authorized and directed to cause this Development Agreement to be recorded with the County Recorders Office. Section 3. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 12013. Miguel A. Pulido Mayor Ordinance No. NS -XXX Page 2 of 3 75B -82 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney 0 Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75B -83 Ordinance No. NS -XXX Page 3 of 3 RECORDING REQUESTED BY: Clerk of the City Council City of Santa Ana WHEN RECORDED MAIL TO: Clerk of the Council City of Santa Ana 20 Civic Center Plaza M -30 P.O. Box 1988 Santa Ana, California, 92702 SECOND AMENDED DEVELOPMENT AGREEMENT by and between THE CITY OF SANTA ANA, a California municipal corporation, and VDC AT THE MET, LLC, a California limited liability company EXHIBIT 1 75B -84 DEVELOPMENT AGREEMENT THIS SECOND AMENDED DEVELOPMENT AGREEMENT ( "Second Amendment ") is entered as of this day of , 2013, by and between THE CITY OF SANTA ANA ( "City"), a charter city and municipal corporation, and VDC AT THE MET, LLC ( "VDC "), a California limited liability company. The City and VDC are at times referred to individually as "Parry" and collectively as "Parties" herein. RECITALS A. Sections 65864 through 65869.5 of the California Government Code (the "Development Agreement Laws ") authorize City to establish procedures to enter into, amend, and extend binding development agreements with persons having legal or equitable interests in real property located within the City for development of the property; B. The purpose of this Second Amendment is to assign and make certain minor changes to the previously- approved "Amended Development Agreement Between the City of Santa Ana and VDC At The Met, LLC, a California Limited Liability Company," dated April 16, 2012, and recorded in the Orange County Recorder's Office as Document No. (the "First Amended DA "); C. Pursuant to an order of Los Angeles Superior Court Judge James C. Chalfant in Case No. BC 484031, dated September 7, 2012, the subject property is currently controlled by David Wald, a receiver appointed by the Los Angeles Superior Court with full control and authority over VDC and the subject property. A true and correct copy of said order is attached hereto as Exhibit "A" and incorporated herein by this reference; D. Specifically, the Parties now desire to amend the First Amended DA, by way of this Second Amendment, to assign the First Amended DA, including all of the rights, duties, obligations, and benefits contained therein, from VDC to FIRST ROCK SANTA ANA, LLC ( "First Rock "), a California limited liability company, which is the development entity for GENESIS REAL ESTATE GROUP, INC. ( "Genesis "), a Texas corporation. The assignment is subject to the finalization of the sale of the subject property to First Rock, which was authorized by another order of Los Angeles Superior Court Judge James C. Chalfant in Case No. BC 484031, dated April 16, 2013. A true and correct copy of said order is attached hereto as Exhibit `B" and incorporated herein by this reference; E. In addition, the Parties desire to make minor changes to the First Amended DA, by way of this Second Amendment, including to (1) eliminate the two -year prohibition against assignments contained in Section 4.3 of the First Amended DA; (2) remove all references to the previous applicant, Vineyard Development ( "Vineyard "), and the previous developer, Ryan Ogulnick ( "Ogulnick "), from the First Amended DA; and (3) correct the number of total units to be built pursuant to the approved project; and, F. All other provisions of the First Amended DA, including all rights, duties, obligations, and benefits contained therein, shall remain fully intact and unchanged, and shall not be modified in any way by this Second Amendment. 2 75B -85 AGREEMENT NOW, THEREFORE, in consideration of the mutual covenants and promises of the parties contained herein, and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the Parties agree as follows: Section 1. That subsection 1.1(4) of the First Amended DA is hereby amended to read that the approved project will consist of 271 residential units. Section 2. That subsections 4.3 and 4.3.1 of the First Amended DA are hereby deleted in their entirety and are replaced with the following: "4.3 Assignment. Owner shall have the right to transfer or assign the Property, and its interests in and rights and obligations under this Agreement, in whole or in part, to any person, entity (public or private), partnership, joint venture, firm or corporation at any time during the term of this Agreement; provided, however, that except as provided in Section 4.3.1 of this Agreement, the rights of Owner under this Agreement may not be transferred or assigned unless the written consent of the Council is first obtained and any transfer or assignment of the rights under this Agreement shall include in writing the assumption of the duties, obligations, and liabilities arising from this Agreement if the City grants written consent to transfer the rights. The rights of the Owner hereunder shall not be subject to assignment by attachment, execution, or proceedings under any provision of the Bankruptcy Act, and any such assignment or transfer shall be wholly void and of no force and effect unless such written consent thereto be obtained from the Council. Such transfer or assignment shall not relieve Owner of any duty, obligation or liability to City without the consent of the City. During the term of this Agreement, any approved assignee or transferee of the rights under this Agreement shall observe and perform all of the duties and obligations of Owner contained in this Agreement as such duties and obligations pertain to the portion of the Property transferred or assigned. Any and all approved successors and assignees of Owner shall have all of the same rights, benefits, duties, obligations, and liabilities of Owner under this Agreement. If the Property is subdivided, any subdivided parcel may be sold, mortgaged, hypothecated, assigned, or transferred to persons for development by them in accordance with the provisions of this Agreement. Upon assignment or transfer of the rights of Owner under this Agreement, the obligations of Owner and the transferee or assignee shall be joint and several. 3 75B -86 4.3.1 Permitted Assignments. The prohibition against transfer of ownership of the Property as defined in section 4.3 above shall not apply to, and the City hereby consents to, the following: (a) Associations, including limited partnerships, limited liability companies, or joint ventures with other entities for the purpose of performing Owner's obligations under this Agreement, provided Owner retains sole operational and managerial control. (b) Easements or temporary permits to facilitate development of the Property. (c) Deeds of trust or other financing documents executed for the purpose of securing loans to Owner made to finance the development of the Property, and transfers to any person or entity pursuant to a foreclosure or deed in lieu of foreclosure of such deed of trust or other, similar, financing documents and any subsequent transfer by any such person or entity. Section 3. ASSIGNMENT. The City Council of the City of Santa Ana hereby approves the assignment of this Agreement from VDC, pursuant to the authority granted by Los Angeles Superior Court Judge James C. Chalfant to the receiver appointed with full control over VDC and the subject property, to First Rock, subject to the finalization of the sale of the subject property to First Rock. Section 4. INTEGRATION. Except as expressly provided to the contrary herein, all provisions of the First Amended DA shall remain in full force and effect. The First Amended DA and this Second Amendment shall collectively be referred to as the "Agreement" throughout this document. The Agreement integrates all of the terms and conditions of agreement between the Parties, and supersedes all negotiations and previous agreements between the Parties with respect to the subject matter hereof. Section 5. EFFECTIVE DATE This Second Amendment shall take effect upon the completion of both the closing of escrow on the property subject to the Agreement by First Rock and the date the ordinance approving this Second Amendment takes effect. 75B -87 a IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Ryan O. Hodge Assistant City Attorney hm CITY OF SANTA ANA KEVIN O'ROURKE Interim City Manager VDC AT THE MET, LLC A California limited liability company DAVID WALD Receiver 75B -89 ROH — 08/05/13 RESOLUTION NO. 2013- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN ADDENDUM TO THE MITIGATED NEGATIVE DECLARATION AND MITIGATION MONITORING PROGRAM, ENVIRONMENTAL REVIEW NO. 2011 -46 FOR THE PROPERTY LOCATED AT 200 EAST FIRST AMERICAN WAY BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. First Rock Santa Ana, LLC, development entity for Genesis Real Estate Group, is requesting the approval and adoption of an addendum to the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2011 -46, to accurately coincide with the project as detailed in amended Development Agreement No. 2012 -01, and to facilitate a change in ownership to First Rock for The Met development project located at 200 East First American Way. B. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on July 8, 2013, and voted to recommend that the City Council approve and adopt the addendum to the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2011 -46. Section 2. The City Council has reviewed and considered the information contained in the addendum to the mitigated negative declaration and mitigation monitoring program, Environmental Review No. 2011 -46, prepared with respect to this Project. The City Council has, as a result of its consideration and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the addendum to the mitigated negative declaration and mitigation monitoring program adequately addresses the expected environmental impacts of this Project. On the basis of this review, the City Council again finds that there is no evidence from which it can be fairly argued that the Project will have a significant adverse effect on the environment. The City Council hereby certifies and approves the addendum to the mitigated negative declaration and mitigation monitoring program and directs that any necessary Notice of Determination be prepared and filed with the County Clerk of the County of Orange in the manner required by law. Resolution No. 2013 -xxx Page 1 of 3 75B -90 Section 3. The City Council of the City of Santa Ana after conducting the public hearing hereby approves the addendum to the Mitigated Negative Declaration and Mitigation Monitoring Program, Environmental Review No. 2011 -46. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated August 5, 2013, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Section 4. This decision rendered by the City Council of the City of Santa Ana is final and is subject to judicial review pursuant to California Code of Civil Procedure section 1094.6. The Clerk of the Council shall give direct notice to the applicant of the Council's decision and these findings. ADOPTED this day of 2013 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Resolution No. 2013 -xxx Page 2 of 3 75B -91 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2005 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana 75B -92 Resolution No. 2013 -xxx Page 3 of 3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 5, 2013 TITLE: PUBLIC HEARING — RECOVERY OF UNCOLLECTED ADMINISTRATIVE CITATION FINES / C,�__ ITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: -c• RI ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution affirming the outstanding Administrative Citation Fines for Fiscal Year 2012 -2013 and authorize the transmittal of uncollected Administrative Citation Fines to the office of Auditor - Controller, County of Orange. Community Preservation's use of Administrative Citations and fines has proven to be an effective tool to encourage abatement of code violations by property owners that create an attractive nuisance, fail to obtain permits, or that harbor illegal activity such as illegal marijuana dispensaries. Property owners are provided a reasonable period of time depending on the severity to abate the violation or the City implements a monetary fine to ensure compliance with the Santa Ana Municipal Code. The City finds it necessary to seek legal recourse in order to recover the uncollected fines associated with these Administrative Citations. This year the outstanding fines for 31 parcels is $14,800 (Exhibit 1). The property owner names are provided in Exhibit 2 and a brief description of the type of violations are listed in Exhibit 3. The most effective method of collection is to submit these charges to the office of the County Auditor /Controller in order that they may be placed as a lien on the property tax rolls. Charges must be submitted to the County by their deadline of August 8, 2013. FISCAL IMPACT The recovered charges will result in an estimated $14,800 in the General Fund Administrative Citations /Community Preservation account (no. 01116002 - 55600). Jay M. Trevino Executive Director Planning & Building Agency PC :rb - rb \reports \FY12 -13 Admin Citation Fines Recovery APPROVED AS TO FUNDS AND ACCOUNTS i�4 �'- :-) �,\ .±�. " Francisco Gutierrez IM Executive Director Finance & Management Services Agency Exhibit: 1. Parcel Assessment Amounts 2. Property Owner Listing 3. Case - violation Description 75C -1 75C -2 AC621-05A — Form B2 Special Assessment Add Transactions Jurisdiction 061 Santa Ana Type of Tax CC =2 Date Auaust5.2013 PARCEL NUMBER 6 -15 ASSESSMENT AMOUNT 16 -23 002 - 094 -29 800.00 398 - 162 -08 800.00 400 - 221 -04 500.00 398 - 257 -05 500.00 007 - 202 -22 200.00 398 - 071 -05 100.00 198- 161 -25 500.00 011- 154 -30 500.00 930 - 014 -64 100.00 430 - 173 -21 500.00 930 - 014 -59 300.00 930 - 014 -60 200.00 400 - 251 -03 500.00 014 - 323 -25 1,000.00 014 - 262 -36 600.00 014 - 323 -08 500.00 010- 154 -19 1,300.00 010- 154 -17 100.00 016- 112 -25 300.00 007- 320 -02 700.00 011- 154 -05 200.00 DOC. NO.= AC62FORM REV:5 /92 EXHIBIT 1 loft 75C -3 AC62L05A — Form B2 Special Assessment Add Transactions Jurisdiction 061 Santa Ana Type of Tax CC =2 Date Auqust 5. 2013 PARCEL NUMBER 6 -15 ASSESSMENT AMOUNT 16-23 011 - 061 -58 1,100.00 407- 041 -14 200.00 398 - 521 -27 800.00 010- 223 -13 200.00 405 - 163 -18 300.00 405 - 163 -17 800.00 398 - 133 -09 100.00 410- 301 -22 400.00 007- 211 -03 700.00 TOTAL $14,800.00 DOC. NO.= AC62FORM REV:5 /92 EXHIBIT 1 2of2 75C -4 PROPERTY OWNER LISTING FISCAL YEAR 2012 -2013 ADDRESS PARCEL NO. OWNER/ADDRESS ASSESSMENT Herbert and Leonora Kolischer $ 800.00 705 W. 17`h St. AP #002 - 094 -29 869 Contra Costa Ave. Berkeley, CA 94707 1002 E. 17th St., "M ", Ricardo Gahibay $800.00 AP #398 - 162 -08 1002 E. 17 H" Santa Ana, CA 92701 1401 N. Tustin, LLC $500.00 Jason Cha, Agent for Service of 1401 N. Tustin, #130 AP#400- 221 -04 Process 3424 Wilshire Blvd., #1200 Los Angeles CA 90010 EXHIBIT 2 1 of 75C -5 uorotny ran $500.00 219 W. 4th St. AP #398 - 257 -05 P.O. Box 5414 Pasadena, CA 91117 Roma Bridge, LLC $200.00 Kamyuen Chan, Agent for Service 1601 -1605 W. 15` St. AP #007- 202 -22 of Process 189 Buckskin Way Oran e CA 92869 1202 17 tn St. Limited Partners $100.00 1202 E. 17th St., Robert A. Topp, Agent for Service #200 AP #398 - 071 -05 of Process 750 The City Drive, Ste 350 Orange, CA 92868 3631 W. 51n St., LLC $500.00 Tooraj Bakhtiari, Agent for Service 3629 W. 5`h AP #198 - 161 -25 of Process 1501 W. Commonwealth Ave. Fullerton, CA 92833 Lyon St., LLC Trust $500.00 Raymond DeAngelo, Agent for 1640 E. 1St St., "G" AP #011 - 154 -30 Service of Process 4721 E. Copa De Oro Dr. Anaheim, CA 92807 Tam Nguyen $100.00 1820 E. Garry, #204 AP #930 - 014 -64 1820 E. Garry, #204 Santa Ana, CA 92705 EXHIBIT 2 1 of 75C -5 PROPERTY OWNER LISTING FISCAL YEAR 2012 -2013 1805 E. Garry, LLC $500.00 1805 E. Garry, #130 AP#430- 173 -21 1805 E. Garry, #120 Santa Ana. CA 92705 Joseph Martin, Agent for Service of 1820 E. Garry, #117 AP #930 - 014 -59 Process 3929 Birch, Unit B Newport Beach, CA 92660 Joe Ledesma $500.00 1226 E. Pomona AP #014 - 323 -08 P.O. Box 9611 Pacific Point Enterprises $200.00 Elva and Daniel Cortez $1,300.00 Joseph Martin, Agent for Service of 1820 E. Garry, #118 AP$930- 014 -60 Process 702 S. Main AP #010 - 154 -17 702 S. Main Santa Ana, CA 92701 3929 Birch, Unit B Newport Beach CA 92660 Mark Burcaw $500.00 1638 E. 17th St., "K- AP#400- 251 -03 1830 Port Taggart PI. L" Newport Beach CA 92660 Arcadio Gonzalez $1,000.00 1623 S. Minnie AP #014 - 323 -25 1108 W. Orange Rd. Santa Ana, CA 92706 Joe Ledesma $600.00 2138 -2144 S. Lyon AP #014 - 262 -36 P.O. Box 9611 Fountain Vallev. CA 92728 Joe Ledesma $500.00 1226 E. Pomona AP #014 - 323 -08 P.O. Box 9611 Fountain Valley CA 92728 Elva and Daniel Cortez $1,300.00 704 -706 S. Main AP #010 - 154 -19 702 S. Main Santa Ana, CA 92701 Elva and Daniel Cortez $100.00 702 S. Main AP #010 - 154 -17 702 S. Main Santa Ana, CA 92701 Main Place Christian Fellowship $300.00 c/o Rich Mathis 2143 S. Oak AP #016 - 112 -25 1631 El Camino Real, "A" Tustin, CA 92780 Armando and Elisa Avila $700.00 1526 W. 1 st St. AP #007 - 320 -02 1526 W. 151 St. Santa Ana. CA 92703 EXHIBIT 2 2 of 75C -6 PROPERTY OWNER LISTING FISCAL YEAR 2012 -2013 PARCEL NO. c/o Dan Chueh nvestments, l s, 1440 E. 15t St. AP #011 - 154 -05 P.O. Box 1601 Sunset Beach, CA 90742 Ramon and Bertha Prado $1,100.00 1117 S. Main AP #011 - 061 -58 1117 S. Main Santa Ana, CA 92707 Huron Trust #1337 $200.00 1337 S. Huron AP#407- 041 -14 9353 S. Bolsa L -37 Westminster, CA 92683 PBF, LLC $800.00 406 W. 15" St. AP#398- 521 -27 1039 W. Hillcrest Inqlewood, CA 92301 Korpi Living Trust $200.00 818 S. Sycamore AP #010 - 223 -13 6 Sable Sands Newport Coast. CA 92657 Korpi Living Tr 1008 W. 3rd St. AP#405- 163 -18 6 Sable Sands 1012 W. 3rd St. AP#405- 163 -17 CA 92657 Korpi Living Trust 6 Sable Sands IOU Kel Ii Fairland Capital, LLC $100.00 1325 N. Bush AP #398 - 133 -09 Leo Soukeris 7372 Prince Dr., Ste 102 Huntington Beach CA 92647 South Coast Terrace $400.00 1001 W. Stevens AP#410- 301 -22 Condominium Association 16470 Bake Parkway Irvine, CA 92618 Kabir's Investment Corp. $700.00 Zaman M. Kabir 1333 W. Walnut AP #007 - 211 -03 1 W. Pisano Ladera Ranch, CA 92694 EXHIBIT 2 3 of 75C -7 75C -8 z O c N W 6 z f O u 75C -9 M N H 0 m X W 6 ',>.> m, v 0 > d 6 d o > t d 6 d 6 > u d.> o I > > '.v > Y, " > > > - ul! u < V V 0 Q u 0 0 0 Q 0 0 u 0 0 Q Q Q u'.a 0 0 0 0 0 0 0 a a 0 a 'o a ¢ co vl In In N .+ In In .. In a In m O 0 0 0 0 0 0 0 OTO O SIS ISIS O O � O "O 0 0 0 0 0 0 0 0 SIS a O I ' 0 eY 0 N 0 1!1 0 1!1 0 Ifl 0 Ifl 0 0 0 O O N rl II1 If1 0 0 V1 fl 0 fl 0 fi 0 N 0 N 0 Ill Ill N N W Vl > > u u u i c c c 3 0 o o L o 3 C l L L R N d d O L, I ' O v' I. O y« a N r N O v o 0 0 O m L. m m ai ai A A n o 0 0 0 wlc,. A I,. A r � d w r c v c,.c v d E E N C N C N C m C N C N C A C n C la C Ia C ry C d m m m m m C C C C C C N E E c c d V udi d d d d d d d d d d d d d d d d d C d t d I y y C C C y 6 V n n n n n n n n n n n n n 6 6 n n > V 6 6 =o "a l a a v vvvv a 'a =o =o =o 'o -6 s N > m a d a v a v a c ���� c c N N �� N R C� R R. C�� N A m N IO m IO C C d d r d Y o o 0 o `m n o o pl # m w n N m .i N ". m m .+ O .i m w N O I W ry .i n O m I m W U y o I� M vl M n MM m ry VI In m �o W W'. Vf In O] m O] m m a m a'I I. n In� mO O Vll n O o m m O m M �'m MI" IVl m N C a' MIS V O Vl .-I Vl Vl N Vl N m MIM tll MM I Vl V1 Vl M Vl M In M I() M N MIO O N" Vl Vl Vl IIl W V m V W V N Vl M Vl M'm m'm Vl V V'V .-I I N Mm Jl V 2 N� O N# z z O z z w z 3 3 w 3 w w w w IJl '.O O m O O O N V N O N N M N M lei C N O N 'i IS O .-I l0 l0 N l0 IO N N N c0 l0 IO .-1 N O O a'I C 2 z a J a w w d A Q W K 6 N Jj Iu'',z. a W o u >'C, 2 N Q dl p VI Q y 10 ~.2.M'. I� H V' I� 0 II° a z o Q 3 61 zIwILLI w p u < u u'LQ ° . � o_ >. 21. u 75C -9 M N H 0 m X W 6 Z O a c N d Z f O 75C -10 M N o m a X O0 w i I ' I '.¢ ¢ ¢ ¢,,¢ �¢ O� O' O O -O 0 n o O o 10 Iry ,. OI V. O M to Oo ... ., o ry 0, M O�OII ° ° °t° e n V 0 O 0 0 O a 0 O 0 O 0 1 0 O O 0 O 0 O 0 OHO 0 6 0 0 0 O O O OO a s O�O 0 0 0 0 0 S O O O N N N} 0m `ml r a s Ic ;p' u v v d_ a u u >> T' H H c_ m m' a m `_ dw v v c m m n m m YI > ao'. a 3 > >'. oy 'm mlm �'I� ? > > > > o o U u u u a a o n'..= � li c > a° O- n' o o o o° n y E'E �.� Iv ,� o: u n o c N C 76, L a a a o u+ .q - v A > > o >o'0 a a ' 'm � y r c c 3 v o c c W E E > 0o o o l c o f u 0 v m o q � v v v v m mm m- a�33m m�o.:m n nn� 101O.�aacv N v N N N "O C O O O av as a'L.,L a,a c E E EEEE M O1 V O b O rl 01 W N I� O W N l0 M bl� ti h VtiN M'� O U rl tiQ O1 N' h Q 1� M b O O T l0 b Ot O W l0 M Q'N M m b O1 AN VIM N N Q O� M CO b N 01 I" A N'.Q pt IQ p1 N N O I� rl'M N rl M M M M 01 m M M h M O. V'bl M N''. O pl "N O Q. Ot O Q M Q h M VI Q V I!1 V Vf Vf V11 V Vl VI Vf 'i V ' V V V VI Q V1 Vl Vf V1 V1 V1 N V1. Vf N '. LL X M ti LL W N W J C G O' Q OI rl, N ti ff N� l:J iIl ti U M Y M m b . In 3, w w w N > 3 ' 3 b .'M Q lD N O O O O N M O,N O O O O m I U I S i w Z Q P: < Z m '?III ¢ ¢ W = W iW � JIM Q W U af' ¢ Z W' ?I a U O m r O Z�'. u Q >.. g O pI LL N a W F J'', D O Z a'. Z o oIZ ul O Z Z= QI, Q �I c Q O w¢ J c u u 1= O m e vi b n M m o N m e �n b n M m o N M e vi b n M rn o N m e 75C -10 M N o m a X O0 w i RESOLUTION NO. 2013 -xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING UNCOLLECTED ADMINISTRATIVE CITATION FINES: MAKING, CONFIRMING AND LEVYING ASSESSMENTS FOR SUCH FINES; AND ORDERING A COPY THEREOF TO BE FILED WITH THE COUNTY AUDITOR, ASSESSOR AND TAX COLLECTOR BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby, finds, determines and declares as follows: A. Pursuant to Section 17 -40 of the Santa Ana Municipal Code, the Executive Director of Planning and Building Agency has submitted an itemized report, Administrative Citation Program Report, a copy of which is on file with the Clerk of the Council and which is attached hereto as Exhibit 1 and is incorporated by this reference as though fully set forth herein, which sets forth the amount of uncollected administrative citation fines imposed for property related Santa Ana Municipal Code violations upon each individual lot or parcel of land where such violation occurred or was maintained. B. The Executive Director of the Planning and Building Agency has given notice as required by law, that the 5th day of August, 2013, at the hour of 6:00 p.m. is the time, and 22 Civic Center Plaza, Santa Ana is the place, where any and all persons interested in said report might be heard. C. The City Council of the City of Santa Ana, at said time and place received, heard, and considered said report and all objections thereto submitted by property owners liable to be assessed for the administrative citation fines, and directed such modification of said report as it has deemed necessary. Section 2. Each and every objection to said work and the costs thereof is hereby overruled; Exhibit 1 is hereby made and confirmed as an assessment against such lots or parcels respectively, said assessments are hereby levied, and shall constitute liens on the respective lots or parcels of real property as shown on said report until paid. Lss7/24/13 75C -11 Section 3. The Planning and Building Agency is hereby directed to file a certified copy of said report and this Resolution with the County Auditor, County Assessor, and County Tax Collector on or before August 10, 2013. Section 4. The County Auditor is requested to enter the assessments on the county tax rolls. Section 5. The County Tax Collector is requested to collect the assessment at the time and in the manner of ordinary municipal taxes. Section 6. The City of Santa Ana hereby certifies that the special assessments, special taxes, parcel taxes, charges and /or fees which are to be placed on the fiscal year 2013 -2014 property tax roll have been duly adopted in accordance with State law and are legally valid. ADOPTED this day of 12013. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney 0 Laura S. Sheedy Assistant City Attorney Miguel A. Pulido Mayor AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 75C -12 Lss7/24/13 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No.2013 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: 75C -13 Clerk of the Council City of Santa Ana Lss7/24/13 EXHIBIT 1 CITY OF SANTA ANA FISCAL YEAR 2012 -2013 ADMINISTRATIVE CITATION PROGRAM REPORT AC621-05A - FORM B2 Jurisdiction: Santa Ana Type of Tax: C -2 Special Assessment Add Transactions Date: August 2013 PARCEL NUMBER 6 -15 ASSESSMENT AMOUNT 16 -23 002 - 094 -29 800.00 398 - 162 -08 800.00 400 - 221 -04 500.00 398- 257 -05 500.00 007 - 202 -22 200.00 398 - 071 -05 100.00 198- 161 -25 500.00 011 - 154 -30 500.00 930 - 014 -64 100.00 430 - 173 -21 500.00 930 - 014 -59 300.00 930 - 014 -60 200.00 400 - 251 -03 500.00 014 - 323 -25 1,000.00 014- 262 -36 600.00 014- 323 -08 500.00 010- 154 -19 1,300.00 010- 154 -17 100.00 016- 112 -25 300.00 007 - 320 -02 700.00 Lss7/24/13 75C -14 011 - 154 -05 200.00 011 - 061 -58 1,100.00 407 - 041 -14 200.00 398 - 521 -27 800.00 010- 223 -13 200.00 405 - 163 -18 300.00 405 - 163 -17 800.00 398 - 133 -09 100.00 410 - 301 -22 400.00 007 - 211 -03 700.00 TOTAL $14,800.00 Lss7/24/13 75C -15 75C -16