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HomeMy WebLinkAbout FULL PACKET_2013-10-21MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA SEPTEMBER 16, 2013 CLOSED SESSION MEETING CALLED TO ORDER ATTENDANCE PUBLIC COMMENTS -None COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:17 P.M. COUNCILMEMBERS Present: SAL TINAJERO, Mayor Pro Tern P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: ANGELICA AMEZCUA MIGUEL A. PULIDO, Mayor STAFF Present: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CONFERENCE WITH LEGAL COUNSEL--EXISTING LITIGATION pursuant to Government Code Section 54956.9(a) Barry Davies v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ8410116 CITY COUNCIL MINUTES 1 SEPTEMBER 16, 2013 1 0A-1 2 LIABILITY CLAIMS pursuant to Government Code Section 54956.95 Claimants: Hignacio Hernandez Claim 3. PUBLIC EMPLOYEE - APPOINTMENT AND PERFORMANCE EVALUATION pursuant to Government Code Section 54957(b)(1) Title: Interim City Manager CLOSED SESSION REPORT - See Item 19A. for Report. ADJOURNED THE CLOSED SESSION MEETING AT 5:54 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES 2 SEPTEMBER 16, 2013 1 0A-2 REGULAR OPEN SESSION CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:00 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor (6:04 p.m.) SAL TINAJERO, Mayor Pro Tern P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: ANGELICA AMEZCUA STAFF Present: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PLEDGE OF ALLEGIANCE MAYOR PULIDO INVOCATION TOM JONES, POLICE CHAPLAIN PRESENTATIONS PROCLAMATION presented by CITY COUNCIL to Interim City Manager, Kevin O'Rourke. CERTIFICATE OF RECOGNITIONS presented by MAYOR PULIDO to Southern California Edison and Jim Hodge, Project Manager with Southern California Edison for contributing to the success in educating residents and businesses on energy efficiency, delivering energy saving programs, and reducing energy use. PROCLAMATION presented by MAYOR PRO TEM TINAJERO to Orange County Fire Authority in recognition of Fire Prevention Week, October 6-12, 2013. CITY COUNCIL MINUTES 3 SEPTEMBER 16, 2013 1 0A-3 CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SARMIENTO to Silvia Edwards, Hispanic Chamber of Commerce representative, for her many years of service on the Environmental and Transportation Advisory Committee (ETAC). CLOSED SESSION REPORT - City Attorney Carvalho reported that by a vote of 5-0 (Amezcua and Pulido absent) items listed under Consent Calendar, Agenda Item 19A were approved. PUBLIC COMMENT • George Estrada, opined that rules and regulations on public comment card may restrict first amendment rights when criticizing elected officials, attended town hall meeting hosted by Congresswoman Loretta Sanchez on amnesty programs. • Veronica Alexander, presented University of Irvine's School of Law's program to support Santa Ana Unified School District students called the Saturday School of Law. • Barbara Lemere, concerned that land use discussion on Centennial Park are in Closed Session for Rancho Santiago Board and City Council; opposed to Santa Ana College parcel at Centennial Park not used for recreational purposes; proposed Citizens Advisory Committee to review park use. • Rene Guzman, opined that Fourth of July celebration should be as grand as Fiestas Patrias. • Connie Hamilton, thanked Interim City Manager Kevin O'Rourke for efforts; invited all to attend the "Winds of Change" forum on September 18th at 6:30 p.m. • Jason Wildman, spoke on miscellaneous homeless issues. • Alex Vega, supports Fourth of July celebration. • Julio Perez, representing the Orange County Labor Federation, spoke on recent amnesty forum; also spoke in support of community meetings on Five-Year Strategic Plan - offered resources and commitment from various non-profit organizations to assist with outreach forums (Agenda Item 65A). • Nyexi Trejo, spoke in support of community meetings by Ward (Agenda Item 65A). • Sarai Arpero, proposed additional forums and at various times on the City's Strategic Plan (Agenda Item 65A). • Zabdi & Paula Alvarez, presented petitions from various community organizations regarding Strategic Plan. • Irma Macias, thanked Kevin O'Rourke for his leadership and opportunity to engage community. • Anthony Balabuena, opined that gang injunction efforts should be refocused on other community programs such as recreational opportunities. CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 31C as recommended by staff with the following modifications: CITY COUNCIL MINUTES 4 SEPTEMBER 16, 2013 1 0A-4 • Councilmember Reyna corrected Minutes of the September 3, 2013 City Council meeting to record an abstention on item 11 B due to a campaign contribution; • Excuse the absence of Councilmember Amezcua from the City Council, Housing Authority and Successor Agency meetings; • Councilmember Martinez pulled Agenda Items 25B and 25E; • Councilmember Sarmiento pulled Agenda Item 31B and abstained on Agenda Item 31C due to a campaign contribution; • Councilmember Benavides pulled Agenda Item 20A for a 30-day continuance and abstained on Agenda Item 31 C due to campaign contribution; and • Councilmember Reyna pulled Agenda Item 22C for separate discussion. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua (1) ADMINISTRATIVE MATTERS MINUTES 10A MINUTES OF THE REGULAR MEETING OF SEPTEMBER 3, 2013 - Clerk of the Council Office MOTION: Approve Minutes. *Councilmember Reyna corrected his vote on Agenda Item 11 B. BOARDS / COMMISSIONS / COMMITTEES 13A COUNCIL COMMITTEE REPORTS - Planning & Building Agency MOTION: Receive and file the Minutes of the Development and Transportation Council Committee of June 4, 2013. CITY COUNCIL MINUTES 5 SEPTEMBER 16, 2013 1 0A-5 13B COUNCIL COMMITTEE REPORTS - City Manager's Office MOTION: Receive and file the Minutes of the Legislative Council Committee meeting held September 9, 2013. MISCELLANEOUS ADMINISTRATION 19A CONFIRMATION OF CLOSED SESSION ACTION(S) - City Attorney's Office MOTION: Approve settlement agreement. Barry Davies v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ8410116 - Settlement in the amount of $49,135.40. Claimant: Hignacio Hernandez, Claim No. 2012-134; Settlement in the amount of $275,000 (AGMT NO. A-2013-146) 19B EXCUSED ABSENCES - Clerk of the Council Office MOTION: Excuse the absence of Councilmember Amezcua from the City Council, Housing Authority and Successor Agency meetings. BUDGETARY MATTERS Councilmember Benavides noted that matter would be discussed at upcoming Public Safety Council Committee meeting and would defer action until after discussion. MOTION: Continue consideration of matter for 30 days. MOTION: Benavides SECOND: Martinez VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) CITY COUNCIL MINUTES 6 SEPTEMBER 16, 2013 1 0A-6 APPROPRIATION ADJUSTMENTS ABSTAIN: None (0) ABSENT: Amezcua(1) 20B APPROPRIATION ADJUSTMENT ACCEPTING REAL ESTATE FRAUD TRUST FUNDING - Police Department MOTION: Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2014-034 - Approve an appropriation adjustment recognizing Orange County Real Estate Fraud Trust funds of $50,000 in the Police Special Revenue account and appropriate same to the Police Special Revenue expenditure account to support the Police Department's efforts in investigating real estate fraud. GRANTS / APPLICATIONS 21A SANTA ANA DELHI CHANNEL DIVERSION PROJECT GRANT EXTENSION REQUEST - Public Works Agency MOTION: Authorize the Public Works Agency to request a one-time, two-year extension of Measure M2 Environmental Cleanup Program (ECP) funding for construction of the Santa Ana Delhi Channel Diversion Project from Orange County Transportation Authority (OCTA). SPECIFICATIONS - PURCHASE OF EQUIPMENT AND SERVICES MOTION: Award in accordance with Request for Council Action. (Items 22A and 22B and 22D through 22G) 22A SPEC NO. 11-012 - MAINTENANCE AND SERVICE OF CHILLERS, COMPRESSORS AND HVACS - Renew the contracts for a one-year period in an annual aggregate amount not to exceed $130,000, with the following vendors: - Finance & Management Services Vendor: Location: ACCO Engineered Systems Costa Mesa Johnson Controls Whittier CITY COUNCIL MINUTES 7 SEPTEMBER 16, 2013 1 0A-7 22B SPEC NO. 11-020 -WATERWORKS FITTINGS AND SUPPLIES - Renew the contracts for a one-year period in an aggregate amount of $225,000, with the following vendors: Finance & Management Services Vendor: Location: Ferguson Enterprises, Inc. Santa Ana H.D. Supply Waterworks Ltd. Santa Ana S & J Supply Company, Inc. Santa Fe Springs Wells Supply Co. Santa Ana Z2G' S.P 0f5m , ....SEADFD Councilmember Reyna requested clarification on fuel use and users. Finance and Management Services Executive Director Francisco Gutierrez indicated that all city vehicles serviced at the Corporate Yard through this contract. MOTION: Award in accordance with Request for Council Action. Renew the contract with SC Fuels for a one-year period in an amount not to exceed $1,325,000 - Finance & Management Services MOTION: Reyna SECOND: Martinez VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua(1) 22D SPEC. NO. 12-054 - ON-GOING HOMELAND SECURITY PROJECTS - Renew the contract with Mallory Safety & Supply Company for one-year in an amount not to exceed $750,000 (UASI Grant Funds) - (Police Department) Finance & Management Services Agency 22E SPEC NO. 13-025 - LIBRARY CATALOGING AND PURCHASE OF BOOKS AND MATERIALS - Award a contract to Brodart Company for a two year period with provision for three, one-year renewals in an annual amount not to exceed $285,000 - (Library) Finance & Management Services CITY COUNCIL MINUTES 8 SEPTEMBER 16, 2013 1 0A-8 22F SPEC NO. 11-042 - ON-CALL SEWER REPAIR SERVICES - Renew the contract with Dominguez General Engineering, Inc. for a one-year period in an amount not to exceed $500,000 - (Public Works Agency) Finance & Management Services 22G SPEC. NO. 12-073 - TREATMENT OF SANITARY SEWER MANHOLES - Renew the contract to Golden Bell Products, Inc. in an amount not to exceed $50,000 - (Public Works Agency) Finance & Management Services AGREEMENTS 25A AGMT NO. 2013-147 - POLICY MANUAL MAINTENANCE AND SUPPORT- Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Lexipol, LLC, for a three-year period in an amount not to exceed $84,350, 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. Councilmember Martinez requested details of contract and funding requirements. Interim Public Works Director William Galvez indicated that no additional funds required. Councilmember Sarmiento noted Council's commitment; Project to have regional impact and provide for economic development. Contractor committed to delivering project on- time. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Evan Brooks Associates, to provide project management and advocacy services for the Santa Ana- Garden Grove Fixed Guideway (Streetcar) project in an amount not to exceed $75,000, 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. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) CITY COUNCIL MINUTES 9 SEPTEMBER 16, 2013 1 0A-9 NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua (1) 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. (Items 25C, 25D, and 25F through 25H) 25C AGMT NO. 2013-149 - AMENDMENT - ENERGY CONSULTING SERVICES - With Edward K. Aghjayan in an amount not to exceed $75,000 - Public Works Agency 25D AGMT NOS. A-2013-150 AND A-2013-151 - 2013 BID ASSESSMENT FUNDS PROGRAMMING - Operating Agreements with Downtown Inc. and the Santa Ana Business Council Inc., respectively for the programming and distribution of the Downtown Santa Ana Business Improvement District (BID) assessment funds for 2013 - Community Development Agency Councilmember Martinez requested staff report. Parks and Recreation Executive Director Mouet provided status of project, funding source, and joint use and collaborative efforts with school district. MOTION: Authorize the City Manager and Clerk of the Council to execute a reimbursement agreement, not to exceed $70,000, with Santa Ana Unified School District (SAUSD), 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. MOTION: Martinez SECOND: Benavides VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) CITY COUNCIL MINUTES 10 SEPTEMBER 16, 2013 1 0A-10 ABSTAIN: None (0) ABSENT: Amezcua (1) 25F AGMT NO. A-2013-153 - U.S. GEOLOGICAL SURVEY WESTERN ECOLOGICAL RESOURCE CENTER AT THE SANTA ANA ZOO - Execute a five year agreement with the U.S. Geological Survey Western Ecological Resource Center (USGS) - Parks, Recreation & Community Services Agency 25G AGMT NO. 2013-154 - STATE MANDATED COST REIMBURSEMENT CLAIM SERVICES FOR FISCAL YEARS 2013, 2014 AND 2015 - With MGT of America Inc, for aggregate amount not to exceed $34,300 for the three-year period - Finance & Management Services Agency 25H AGMT NO. 2013-155 - POLICE FACILITY FIRE SYSTEM MAINTENANCE AND CITY-WIDE HVAC SYSTEM REPAIRS - With Siemens Industry, Inc. for a one-year period in an amount not to exceed $61,660 - Police Department LAND USE MATTERS CONDITIONAL USE PERMITS 31A CONDITIONAL USE PERMIT NO. 2013-24 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR A BOUDIN RESTAURANT LOCATED AT 2800 NORTH MAIN STREET, SUITE 1038 - JARED TAYLOR, APPLICANT - Planning & Building Agency Recommended action approved by the Planning Commission on August 26, 2013 by a vote of 7-0. MOTION: Receive and file the staff report approving Conditional Use Permit No. 2013-24 as conditioned. CITY COUNCIL MINUTES 11 SEPTEMBER 16, 2013 1 0A-11 Executive Director of Planning and Building Jay Trevino noted that applicant seeking permit for use on 2nd floor. Councilmember Sarmiento thanked applicant and staff for creative and mixed use opportunity. Recommended action approved by the Planning Commission on August 26, 2013 by a vote of 7-0. MOTION: Receive and file the staff report approving Conditional Use Permit No. 2013-15 as conditioned, Conditional Use Permit No. 2013- 16 as conditioned, and Conditional Use Permit No. 2013-17 as conditioned. MOTION: Sarmiento SECOND: Martinez VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua(1) 31C CONDITIONAL USE PERMIT NO. 2013-26 AND VARIANCE NO. 2013- 09 TO ALLOW THE BAT NHA BUDDHIST MEDITATION CENTER AT 803 SOUTH SULLIVAN STREET - STEVEN LETRAN, APPLICANT -- Planning & Building Agency Recommended action approved by the Planning Commission on August 26, 2013 by a vote of 7-0. MOTION: Receive and file the staff report approving Conditional Use Permit No. 2012-16 as conditioned and Variance No. 2012-05 as conditioned. *Councilmembers Benavides and Sarmiento abstained on Agenda Item 31 C due to a campaign contribution. **END OF CONSENT CALENDAR** CITY COUNCIL MINUTES 12 SEPTEMBER 16, 2013 1 0A-12 BUSINESS CALENDAR ITEMS RESOLUTIONS 55A RESOLUTION - CONSENTING TO THE INCLUSION OF SANTA ANA PROPERTIES IN THE CALIFORNIA HERO PROGRAM - Planning & Building Agency MOTION: 1. Adopt a resolution. RESOLUTION NO. 2013-045 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, CONSENTING TO THE INCLUSION OF PROPERTIES WITHIN THE CITY'S JURISDICTION IN THE CALIFORNIA HERO PROGRAM TO FINANCE DISTRIBUTED GENERATION RENEWABLE ENERGY SOURCES, ENERGY AND WATER EFFICIENCY IMPROVEMENTS AND ELECTRIC VEHICLE CHARGING INFRASTRUCTURE AND APPROVING THE AMENDMENT TO THAT CERTAIN JOINT POWERS AGREEMENT RELATED THERETO 2. AGMT NO. 2013-156 - Amendment to the related Western Riverside Council of Governments Joint Powers Agreement. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua(1) 55B RESOLUTION - APPROVING GRANT AWARD CONTRACT FROM MOBILE SOURCE AIR POLLUTION REVIEW COMMITTEE (MSRC) FOR LOCAL GOVERNMENT MATCH PROGRAM FOR ALTERNATIVE ENERGY PROJECTS - Finance & Management Services MOTION: 1. Adopt resolution. CITY COUNCIL MINUTES 13 SEPTEMBER 16, 2013 1 0A-13 RESOLUTION NO. 2013-046 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING GRANT AWARD CONTRACT NUMBER ML 12014 FROM MOBILE SOURCE AIR POLLUTION REVIEW COMMITTEE (MSRC) FOR ALTERNATIVE ENERGY PROJECTS 2. AGMT NO. 2013-157 - Authorize City Manager and Clerk of the Council to execute an agreement with MSRC for the implementation of Clean Air Transportation Local Government Match Program Grant Award Contract Number ML 12014 which will reimburse City an amount not to exceed $384,000, subject to non-substantive changes approved by the City Manager and City Attorney. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua (1) REPORTS 65A FIVE-YEAR STRATEGIC PLAN COMMUNITY ENGAGEMENT PROCESS - City Manager's Office Councilmember Benavides, member of ad hoc committee on strategic plan along with Councilmember Martinez and Reyna, noted that community forum held, survey underway, motion to approve option 2 to offer additional feedback noticed at least a month in advance. Councilmember Martinez seconded the motion. Councilmember Reyna proposed Option 1 to allow all Wards of the City to contribute. Councilmember Martinez concerned with budget constraints; community has opportunity to comment on other components of the Strategic Plan such as the General Plan, Vision Plan; encouraged residents to participate in survey and remark on importance of community engagement component. Councilmember Sarmiento mentioned strides taken to improve transparency and communication; concur with recommendation of Ad Hoc CITY COUNCIL MINUTES 14 SEPTEMBER 16, 2013 1 OA-14 Committee; Plan will include community opinion on priorities and process for updates. Mayor Pro Tern Tinajero thanked all for community engagement; proposed amendment to option 2 as recommended to allow for two meetings on same day in the morning and afternoon, on a Saturday and 30 day advance notice; community organizations to assist with child care. Interim City Manager O'Rourke clarified that cost to conduct meetings would double; direct and indirect cost to the City to options 1 and 2. Maker of the motion, Councilmember Benavides, accepted the friendly amendment to the motion; further noted that ad hoc committee would discuss implementation; okay to allow for additional meeting and budget allocation. Option 1: Conduct 5 additional Community Forums simultaneously. ACTION REQUIRED: Authorize the City Attorney to prepare and the City Manager to execute a contract amendment with Management Partners in the amount of $20,000 for the purpose of conducting five additional Community Forums and direct staff to provide the services necessary to support these meetings and authorize the Finance Director to reallocate the necessary funding from the Visioning Process Project account. Option 2: Convene a Community Meeting after the survey is completed. ACTION REQUIRED: Authorize the City Attorney to prepare and the City Manager to execute a contract amendment with Management Partners in the amount of $6,500 for the purpose of conducting a Community Meeting on Survey Results and direct staff to provide the services necessary to support this meeting and authorize the Finance Director to reallocate the necessary funding from the Visioning Process Project account. Option 3: Continue the current plan which includes a public Council Workshop, a public meeting with the City Manager, and the consideration of adoption of the plan at a regular Council meeting. MOTION: 1. Convene a Community Meeting after the survey is completed. 2. Authorize the City Attorney to prepare and the City Manager to execute a contract amendment with Management Partners in the amount of $13,000 for the purpose of conducting a Community CITY COUNCIL MINUTES 15 SEPTEMBER 16, 2013 1 0A-15 Meeting on Survey Results and direct staff to provide the services necessary to support this meeting and authorize the Finance Director to reallocate the necessary funding from the Visioning Process Project account. (AGMT NO. A-2013-159) MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: PUBLIC HEARINGS SECOND: Martinez Benavides, Martinez, Pulido, Sarmiento, Tinajero (5) Reyna (1) None (0) Amezcua (1) 75A PUBLIC HEARING - AMENDMENT TO DEVELOPMENT AGREEMENT NO. 2007-01, VESTING TENTATIVE TRACT MAP NO 2013-04 AND SITE PLAN REVIEW NO. 2013-03 FOR A NEW MULTI-FAMILY RESIDENTIAL DEVELOPMENT AT 1901 EAST FIRST STREET - LYON COMMUNITY DEVELOPMENT, APPLICANT - Planning & Building Agency Recommended Action approved by the Planning Commission on August 26, 2013 by a 7-0 vote. Legal Notice published in the Orange County Reporter and notices mailed on September 6, 2013. Executive Director of Planning and Building, Jay Trevino, presented staff report. Project Description • New 254 unit multi-family development • Three and five story buildings • Mixture of flats and townhome units • Extensive project amenities ? Recreation facilities ? Open space ? Retail component Site Description • C-5 Zoning with MEMU Overlay • GP Designation of DC CITY COUNCIL MINUTES 16 SEPTEMBER 16, 2013 1 0A-16 • Surrounded by office, retail and vacant parcels Landscape and Pan and Project Rendering depicted Amendment to Development Agreement • Modify existing agreement to reflect new applicant • Addition of public art requirement • Extend length of agreement • Other terms to remain Vesting Tentative Tract Map • Map for condominium purposes to allow the sale of units • Project consistent with City and State provisions • CC&R to address occupancy, outdoor storage and common area maintenance Site Plan Review • Required for all development projects with MEMU Overlay Zone • Review ensures compatibility with design principles of MEMU document: ? Parking ? Setbacks ? Architecture ? Massing ? Facades Addendum to Certified EIR • Reviewed impacts of new project • Analysis determined that no new significant impacts result from new plan • Fewer vehicle trips generated from reduced project Project Analysis • Project in compliance with provisions of the MEMU zone • Amenity package consistent with similar projects citywide • Project will serve as catalyst for investment in the MEMU Overlay Zone area Planning Commission recommends for approval. Councilmember Reyna asked if units would be initially rentals but as market allows sold at market rate. Mayor Pulido opened the Public Hearing. • Michael Keith Pratt, OHM Scuba, concerned with pedestrian accessibility, sidewalk improvements needed. Peter Zak, spoke on behalf of Lyon Community Development; provided highlight of recreational amenities. CITY COUNCIL MINUTES 17 SEPTEMBER 16, 2013 1 0A-17 Mayor Pulido closed the Public Hearing. Councilmember Reyna spoke in support of project and applauded features of development. Councilmember Sarmiento noted ratio of open space and recreational amenities being proposed by developer; concerned with in-lieu fee (as it relates to affordable housing) - proposed re-negotiation of fee and; City Attorney Carvalho recommended that staff be provided negotiation parameters of in-lieu fee. Councilmember Sarmiento noted for the record that he had met with developer on the matter prior to meeting. Mayor Pulido suggested that item be continued to approve whole package. MOTION: Continue consideration of matter to the October 21, 2013 City Council meeting and convene Ad Hoc Committee (Sarmiento and Tinajero) to negotiate the term of the in-lieu fee and any other matters that may be pending. MOTION: Sarmiento SECOND: Pulido VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua(1) RECESSED THE CITY COUNCIL MEETING AT 8:13 P.M. AND CONVENED A JOINT MEETING OF THE CITY COUNCIL AND THE HOUSING AUTHORITY. 80A SUBSTANTIAL AMENDMENTS TO NEIGHBORHOOD STABILIZATION PROGRAMS 2 & 3 AND LOAN AGREEMENT WITH 815 N HARBOR, LP The Community Redevelopment and Housing Commission at its regular meeting on September 3, 2013, by a vote of 5-0 (Aguinaga, Verino absent) conducted a public hearing and approved the recommended actions. MOTION: CITY COUNCIL MINUTES 18 SEPTEMBER 16, 2013 1 0A-18 1. Approve a substantial amendment to the Neighborhood Stabilization Program 2 application to add redevelopment activity and allow incomes up to 60 percent Area Median Income, and authorize its submittal to the U.S. Department of Housing and Urban Development. 2. Approve a substantial amendment to the 2013-14 Annual Action Plan revising the Neighborhood Stabilization Program 3 to add redevelopment activity, and authorize its submittal to the U.S. Department of Housing and Urban Development. 3. AGMT NO. A-2013-158 - Authorize the City Manager and the Clerk of the Council to execute a loan agreement with 815 N Harbor, LP in the amount of $2,000,000 subject to non-substantive changes approved by the Interim Executive Director and City Attorney. MOTION: Martinez SECOND: Benavides VOTE: AYES: Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Amezcua (1) JOINT MEETING ADJOURNED AND CONVENED THE HOUSING AUTHORITY MEETING AT 8:14 P.M., CONVENED THE SUCCESSOR AGENCY MEETING AT 8:15 P.M. AND RECONVENED THE CITY COUNCIL MEETING AT 8:15 P.M. WITH SAME MEMBERS PRESENT. COMMENTS 90A CITY MANAGER'S COMMENTS Interim City Manager, O'Rourke thanked City staff for tremendous efforts and support in the past 7 months. 90B CITY COUNCILMEMBER COMMENTS: Councilmember Martinez: • Adjourn Meeting in Memory of Raul Amezcua; • Thanked outgoing Interim City Manager O'Rourke for hard work. CITY COUNCIL MINUTES 19 SEPTEMBER 16, 2013 1 0A-19 Councilmember Sarmiento: • Condolences to Amezcua family on the loss of her brother; • Commented on the success of the Fiestas Patrias festivities; and • Happy Mexican Independence Day to all. Mayor Pro Tem Tinajero: • Condolences to Amezcua family; • Congratulated and thanked Parks and Recreation Executive Director Gerardo Mouet and all of his staff for hard work; and • Thanked Interim City Manager O'Rourke and leaving mark in the City. Councilmember Reyna: • Extend prayers to Amezcua family; • Invited all to attend the Convoy of Hope event at Jerome Park on October 5th; • October 16th Adult Leadership Forum; • October18-20 hosting Youth Leadership; • Encouraged all to shop in Sana Ana; • Continue to conserve water; and • Thanked Templo Calvario for hosted General Counsel of Israel at prayer ceremony. Councilmember Benavides: • Thanked Kevin O'Rourke; • Thanked Parks staff for successful Fiestas Patrias event; and • Shop in Santa Ana. Mayor Pulido: • Adjourned in Memory of Raul S. Amezcua. ADJOURNED- 8:22 P.M. - October 7, 2013 City Council Meeting Cancelled. The next meeting of the City Council is scheduled for Monday, October 21, 2013 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. ADJOURN MEETING IN MEMORY OF RAULS.AMEZCUA Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Street Car Project Locally Preferred Alignment Public Hearing on Sexlinger Property Adoption of Strategic Plan Harbor Blvd. Mixed-Use Plan CITY COUNCIL MINUTES 20 SEPTEMBER 16, 2013 1 OA-20 REQUEST FOR COUNCIL ACTION' CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: BOARDS AND COMMISSIONS BIANNUAL ATTENDANCE REPORT APRIL 2013 THROUGH SEPTEMBER 2013 CITY MANAGER 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 RECOMMENDED ACTION Receive and file Boards and Commissions Biannual Attendance Report. DISCUSSION The Boards and Commissions Attendance Report is prepared biannually to inform the City Council of member attendance at Board or Commission meetings. Pursuant to Council policy, the City Council may remove board or commission members who incur four unexcused absences within the six-month reporting period. Additionally, City Charter Section 901 provides that three consecutive unexcused absences would result in the vacation of a board or commission seat. Examination of attendance reports reveals that no current members warrant vacation of a board or commission seat. Therefore, the only action required is to receive and file the report. FISCAL IMPACT There is no fiscal impact associated with this action. G Maria D. Huizar, Clerk of the Council Attachments: Biannual Attendance Reports (8) 13A-1 13A-2 J_ V z 0 0 U (? M QON Q Y. 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I 1 1 r w o Z c m m 0 Y ?w J G 4 c a? ,? d m W m m c r z ?p N Q ' J L t0 Q U v Y m E > 10 > € 0 Y _ di s C c N 0 c U _ N o m 0 W (3 V z? ~ e ) W d V C d N a v N x d w a a x w w v V V d a u x w Y W U a z z w 0 a 13A-19 y r 2 W O U C a m L a E E 3 m c m m L r M O I m J° c m E Y m CL m in 0 N A a 13A-20 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT MINUTES June 18, 2013 CALL TO ORDER: Santa Ana Police Department 60 Civic Center Drive, Police Community Room Santa Ana, California 6:00 PM ATTENDANCE: Council Committee members: David Benavides Michele Martinez Roman Reyna MEMBERS ABSENT: (None) STAFF PRESENT: Carlos Rojas, PD Jay Trevino, PBA Laura Rossini, CAO Scott Brown, OCFA Doug McGeachy, PD Ann Matulin, PD Ken Gominsky, PD Karen Haluza, PBA Eileen Greene, PD PUBLIC SIGN-INS: Evangeline Gawronski Pierre Desjardins Jennifer Teodoro Alexis Nava Teodoro Natali Rodriguez Jose Ventura Marilynn Montano Carlos Perez Abraham Medina Erika Pintor Dave Hoen Darren Shippen AGENDAITEMS 1. By Laws Assistant City Attorney Laura Rossini proposed a final draft of the By-laws which the full City Council would vote on for the various subcommittees. Chairman Benavides moved to have the By-Laws item brought back for further discussion at the next Public Safety Meeting. 13B-1 (Item 4 is taken out of order.) 4. Jail Operations Overview A discussion was held regarding the operations of the City Jail. An overview and update of jail operations and its history was given by Jail Administrator Ann Matulin. Administrator Matulin mentions that we currently have contracts with Irvine PD, ICE, and the U.S. Marshall's. The contract with ICE is not a part of Secure Communities. PUBLIC COMMENTS Evangeline Gawronski states that Alvaro Nunez, Code Enforcement for the City, said there is a new ordinance which will allow garages to be turned into apartments. She is very concerned about parking, among other things. Jay Trevino, Executive Director, Planning & Building, explains that the process to get approval would be very, very difficult. Pierre Desjardins, owner Bistro 400, says that he supports all the changes being made regarding the alcohol and entertainment permits. He provides the Committee with letters he has received from the different organizations within Santa Ana who also support these changes. Jennifer Teodoro, resident, speaks about the trauma that she and her family have experienced with ICE coming to their home in the middle of the night. She says that she learned that children of undocumented parents are not taken into account in conversations about immigration enforcement. She further addresses Chief Rojas and Councilman Benavides directly saying, in part, that "your cooperation with ICE causes irreversible damage. I know you have the power to say no to ICE, and you can keep families together. And I know that the City Councilmembers have the power to pass the city's ordinance cancelling the ICE contract and saying Santa Ana will no longer honor any ICE hold requests. I would like to end with a question for the City Councilmembers. How would you like it if ICE came pounding at your door and traumatized your children? Think about it." Alexis Nava Teodoro talks about the jail administration and the relationship that this city has with the Department of Homeland Security, via ICE and Customs enforcement. He states that this city government entered into an agreement with ICE to house detainees, but they are actually parents and mothers. He says that there have been several counties and cities that have passed ordinances where their jail administrations and their county officers do not honor ICE hold requests because of the controversy that they carry. He says there is an amendment in the Constitution that talks about the commandeering doctrine that says the federal government cannot impose its programs on local jurisdictions. Teodoro addresses the Council Committee 13B-2 saying, in part, "you guys have the power because you guys own the jail to tell the Santa Ana Police Department that you don't have to honor ICE hold requests because there's no law on the books in this nation that you have to honor these requests or you have to hold detainers." In closing, he states that when dealing with the issue of immigration enforcement, the Committee should be listening to the people that are most affected by it: community members who are undocumented or part of an undocumented family. Natali Rodriguez talks about ICE detainers and the issue of community members feeling safe in their neighborhoods. She says that the last thing the Police Department would want is a community afraid to trust the police, afraid to call and report crime. Ms. Rodriguez states that Santa Ana is a city of immigrants who need protection. She does not believe in subcontracting the Santa Ana jail, as it would be a form of collaborating with ICE. In closing, she directs a question to Chief Rojas, to City Councilmen Benavides and all other city representatives, "what will the City Council do, as well as the Santa Ana Police Department, to protect our undocumented residents who are afraid to trust the police and are afraid to trust in their own city representatives?" Chairman Benavides explains that this part of the meeting is strictly public comment; however, she could set up meetings to follow-up directly with any of the committee members. Chief Rojas also assures her that she may contact his office to discuss her concerns. Jose Ventura talks about Secure Communities and how it actually creates the opposite: a community afraid to report crimes and to give their testimony to the Santa Ana Police because they are afraid of the police sharing information with ICE. He quotes research showing that 45% of Latinos surveyed stated that they are less likely to contact officers if they've been a victim of a crime, because they fear that police officers will use this interaction to inquire into their immigration status or that of people they know. 70% of undocumented immigrants reported that they are less likely to contact law enforcement authorities if they were victims of a crime and, lastly, they fear that police contact is not confined to immigrants. Marilyn Montano is a resident attending Santa Ana College. Ms. Montano is part of an undocumented family. She shares her story of ICE knocking on her family's door and how they had to move many times because of the fear of her parents being deported. She says her parents only wanted to provide a better life for her but is questioning what is being done to provide the safety for her and her parents. Carlos Perez says he is advocating not just for the people of Santa Ana, but also families in the southern region of California. He states that the contract with the City says that the ICE contract should never be relied on to be one of the main sources of income or money for the jail to continue to operate. He believes that what the City is doing is contrary to humanity; making a profit out of immigrants to keep the jail afloat. Perez calls for an end to the contract with ICE. 13B-3 Abraham Medina is a resident who talks about the information shared with ICE and how it categorizes people in three levels. The low level category is for driving without a license, maybe being a day laborer, maybe being criminalized for being a street vendor. ICE made a report that 80% of the people in the ICE detention center in Santa Ana from 2008-2013 had not committed a crime. They were picked up through Secure Communities who share this information with ICE who, in turn, also pick up people in the communities. Medina says the city jail shouldn't be solely dependent on the ICE contract. He says the contract was not to cover salaries of elected officials or staffing of employees, and there is an injustice occurring in the communities. Mr. Medina is asking that the contract with ICE be terminated. Erika Pintor is a resident who spoke about ICE and her concern for the youth in Santa Ana who are afraid to go to school for fear of being deported. She said if students were tardy or truant, their information is shared with ICE, and they can be deported. She called for an end to the contract with ICE. Dave Hoen is a longtime member of the Forest Park neighborhood in Santa Ana. He wanted to commend the Planning Department for going back and listening to the input of the public regarding the new procedures for the alcohol and entertainment permits. He was also concerned to hear that rates for the parking permit program might be raised. Chairman Benavides stated that Council took action regarding the rate increase by reducing what was proposed to $60.00 flat; it was $86.00 proposed by the City. Darren Shippen supports the new alcohol/entertainment updates and appreciates that all the rules are across the board in equality. AGENDA ITEMS (Cont'd.) Chairman Benavides acknowledges the brief update by Jail Administrator Matulin in regards to jail operations and comments from the public in regards to the jail. Chairman Benavides requests the jail operations analysis study continue and that the City Manager, Chief of Police and jail staff come back with jail operations and whether or not we will stay in business. Further, that for the next meeting some type of action options are offered to recommend to the City Council on processing recommended detentions by the federal government and contracts. (Item 3 was taken out of order.) 3. Alcohol and Entertainment Permit Processing Update Karen Haluza, Planning Manager, provided a PowerPoint presentation with an update on the alcohol and entertainment permit process as well as a handout with a copy of the draft ordinance and standard conditions for businesses who are applying for alcohol licenses and entertainment 13B-4 options. A discussion was held whereby it was stated that any public hearings will go directly to the Planning Commission. A set of standardized conditions has been created and will be part of the Santa Ana Municipal Code. A new category of business being proposed will be called a concert venue with its own conditional use permit. The entertainment permit will have different Categories depending on the type of entertainment; all will have a standard set of conditions. The issuing authority for the entertainment permits will be the City Manager's Office. Chairman Benavides had the following modifications: 1) Section 11-1, extending after hours to 4:00am. No alcohol served after 2:00am but allowing food and entertainment until 4:00am. No entertainment between 4-8:00am; 2) Section 13, subsection 11-11, allow entertainment after 2:00am, push out to 4:00am; 3) Section 41-191. Regulated uses, subsection (b) (5), currently the proposed ordinance says that bars as defined in Section 41-25.5 are regulated by certain restrictions and ultimately not permitted. Recommend to strike that and add subsection (e), which is currently stricken from the ordinance, to state it shall be lawful for bars defined under Section 41-25.5 to be established within the separation requirement of 500 feet of any other bar or any property zoned to be used for park purposes or schools primarily attended by minors; 4) Section 41-196 (g)1 - strike item 1, of the proposed Ordinance; and 5) Section 41-196(g)2 - add language of an eating establishment, essentially making the distinction between a bar and a restaurant. Motion: Accept the Alcohol/Entertainment Ordinance with the proposed modifications/changes; move this to full council with the modifications for Council's approval. MOTION: Benavides SECOND: Martinez VOTE: AYES: Benavides, Martinez, Reyna NOES: None (0) ABSENT: None (0) (Council Committee member Martinez excuses herself.) (Item 2 was taken out of order.) 2. Red Light Camera Enforcement Program Deputy Chief McGeachy provided a PowerPoint presentation with an overview of the Red Light Camera Enforcement Program. The contract is with Redflex since the beginning of the program in 2003. On average, there are 4,000 activations a month and about 2,100 citations. In terms of costs, there is a flat fee of $78,000 a month for the system and that doesn't include performance 13B-5 credits if the system is down. That's down from about $107,000 a month in the prior contract. The reason for that reduction was due to amortization of equipment. The fine is $100; that is set by the legislature; it is mandatory, the judge cannot reduce that fine. The Court makes penalties and assessments so a $100 fine is $390. The total fine for a red light violation today is $490. This is how it breaks down: the City gets $153.71 of every violation that somebody pays to the Court and then break down the rest of the money that goes to the state and the county. The cameras record 24 hours a day, 7 days a week, on a 30-day loop. Footage is used to look at an accident at an intersection and for criminal investigations when it's appropriate. (Council Committee member Reyna excuses himself.) 5. City of Santa Ana Fire Services Update Chairman Benavides continues this item to the next Public Safety Meeting. 6. Committee Member Comments Chairman Benavides mentioned that there would be further discussion and information needed on Jail Options and the Red Light Camera Enforcement Program. 7. Items for Next Meeting A. City of Santa Ana Fire Services Update Adj777?;- CARLOS ROJAS Acting Chief of Police 13B-6 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT MINUTES August 27, 2013 CALL TO ORDER: Santa Ana Police Department 60 Civic Center Drive, Police Community Room Santa Ana, California 6:00 PM ATTENDANCE MEMBERS ABSENT: STAFF PRESENT: GUEST SPEAKER: PUBLIC SIGN-INS: PUBLIC COMMENTS Council Committee members: David Benavides Roman Reyna Michele Martinez Carlos Rojas, PD Scott Brown, OCFA Laura Rossini, CAO Ann Matulin, PD Pete Semelsberger, PD Brian Sheldon, PD Danell Mercado, PWA Pedro Guillen, PWA Eileen Greene, PD William Romesburg, Cit Com, Inc. Alexis Teodoro Juan Plascencia Abraham Medina Carlos Perea Hairo Cortes Marilyn Montano Karen Miranda Connie Hamilton Richard Barasch Alison Stanley Scott Sink Theresa Dang Thomas Gordon Alexis Teodoro - supports "Keeping Our Families Together" campaign. Mr. Teodoro turned in a document of a policy proposal that his group developed with their legal team to address the issue of protecting undocumented families from being separated. Mr. Teodoro believes that the 13B-7 City and the Santa Ana Police Department should not be honoring any ICE hold requests and that the ICE contract should be terminated. Juan Plascencia - supports the "Keep Our Families Together" campaign. Mr. Plascencia acknowledged that police are doing their job but by honoring the ICE contract, he said people don't even know who to contact, because they don't know who is going to show up at their doorstep. Undocumented students at school feel intimidated. When families separated, it takes a toll not only personally and emotionally, but also financially. Abraham Medina - supports the "Keep Our Families Together" campaign. Mr. Medina said they proposed an ordinance at the State level through assembly bill AB84 to no longer honor ICE detainers, but wants to pass a City ordinance to make Santa Ana a safe place for undocumented families. Orange County has the highest rate of youth deportations in the state because ICE and Secure Communities share information. Asking for City Council to pass the ordinance. Carlos Perea - talks about Bill 84 at the State level dealing with ICE hold detainers. Mr. Perea says the City needs to take leadership because cannot rely on whether or not it will be signed by the governors. ICE detainers should target people who commit serious crimes. Regarding privatizing the jail; this usually results in serious human infractions. Haim Cortes - supports "Keeping Families Together" campaign and the termination of police collaboration with Immigrations & Customs Enforcement. State-wide cases of victims of domestic violence are ending in deportation hearings. If police collaborate with ICE in communities of immigrant families, public safety will suffer. Families will hesitate to call police; they will live with abuse in their lives, with danger in their environments because of fear of being sent out of the country. Mr. Cortes said to stop using the Santa Ana City Jail as a detention center for ICE. Privatizing is not the answer either. Marilynn Montano - here as part of the "Keeping Families Together" campaign and a few things: 1) police shouldn't honor ICE holds; 2) my parents are undocumented and I have to worry every day because of police collaboration with ICE; and 3) Council Members and Chief Rojas need to listen to and stand by their community. Karen Miranda - resident and high school student who came in support of the "Keeping Families Together" campaign and ordinance. She is an undocumented student who lives with a single mom. She worries about what would happen if her mom gets deported. Connie Hamilton - alarming number of pedestrian fatalities here in Santa Ana. Spoke with Chief Carlos Rojas and Commander Ibarra. There's going to be a new public awareness campaign for pedestrians and drivers which is sorely needed. Also need to do public education, 13B-8 bilingual, some PSA'S. I would be willing to be on any type of citizen's committee to brainstorm this issue. Other cities that are just as dense have PSA's up on YouTube; I didn't see any for Santa Ana so we need to step up and do something. Richard Barasch and Alison Stanley - concerned about the discharge of illegal and safe and sane fireworks in Santa Ana on both July 4t' and New Year's Eve. They provided a handout and said they met with members of both the Police and Fire Department to discuss concerns. These are the suggestions they propose: 1) phone hotline to report illegal fireworks; 2) should be unmarked police cars to cite violators throughout the city; 3) safe and sane fireworks only on private property; 4) increase maximum fine for violators to $1,000; and 5) cites be served on property owners as well as the violators. Willing to participate in a joint task force to implement any or all of the proposals. Scott Sink - wants a new ordinance to direct SAPD to decline all ICE hold requests. Honoring detainers erodes community trust, rewards criminals, unjustly punishes migrants, separates families, and drains city resources. Anaheim and Costa Mesa partnered with immigration to make sure the worst criminals remain locked up, but there was no guarantee. In fact, the first people deported were for very minor crimes. Sharing data with ICE in not necessary to identify deportable felons, it usually affects non-criminals or those convicted of minor offenses. Felons are sent to county or state facilities where their status is checked. Theresa Dang - talked about local law enforcement collaboration with the Feds regarding the city jail. Secure Communities was sold as a program that would only go after dangerous criminals to make our communities safer. What we know from statistics of years of its implementation is that the vast majority of people that are targeted by ICE do not have a criminal record or convictions. Believes the jail should stay within local control. Suggests a possibility to re-purpose it; perhaps to meet the needs of the homeless community in Orange County. Thomas Gordon - Graffiti Protective Coatings got the contract 2.5 years ago with the city of Santa Ana. In that time, despite being promised that there would be several paint out events throughout the year; we've had only two. Graffiti is one of the big concerns in the city, and the residents are ready to commit to these events as well as Graffiti Protective Coatings. We would like to do at least two of these a year, not one in 2.5 years. Invest in our community, our children, our parks. AGENDAITEMS 1. Approval of Minutes of 6-18-13 Meeting Motion: Approve the Minutes of 6-18-13 meeting. 13B-9 MOTION: Reyna SECOND: Benavides VOTE: AYES: Benavides, Reyna NOES: None (0) ABSENT: Martinez Motion carries. 2. City of Santa Ana Fire Services Update Division Chief Scott Brown, OCFA, provided a PowerPoint presentation "A Year in Review" to discuss the new partnership between the City of Santa Ana and the Orange County Fire Association. Since April, 2012, OCFA has taken over the operation of ten fire stations in Santa Ana. All trucks have apparatus for firefighters and paramedics so they can provide EMS as well as respond to fires. Contracting with private ambulance services has provided a major cost savings for those who need to be transported to hospitals. OCFA will continue to engage with the community and is hosting a community safety day on September 8t' at Station 75 on Walnut Street. OCFA has a new website which can be found under the City's webpage. (Item 7 was taken out of order.) 7. Jail Options A discussion was held regarding options being considered for changing the operations of the Santa Ana city jail. Jail Administrator Ann Matulin gave an update: Option #1) obtaining total cost recovery from the present contract agencies - Federal guidelines preclude the reimbursement of certain costs, indirect costs, so unlikely to receive total cost recovery. Going through process of increase review will take approximately six weeks or 90 days. Option #2) leasing the building - met with Sheriff s personnel who indicated an interest; however, the organization is currently going through their own cost analysis. Any decision is about a year out. Option # 3) outsourcing jail services - three companies contacted. One said no. Another interested in a hybrid operation where Santa Ana would provide management and they would provide line employees; we would still have to provide medical and food services. The last company expressed an interest in total operation. Option #4) closing the jail. An RFP would be the best vehicle to find out what definitive options are out there. Jail staff created its own committee to look at and review how we might be able to do things more cost effectively. ACTION: Committee Chairman Benavides requests Chief Rojas prepare a memo for the full City Council briefly summarizing the jail options presentation. 13B-10 3. Integrated Software A discussion was held about the integrated software project being considered for implementation at the Police Department and the impact it would have. Bill Romesberg, a representative for Cit Com, a consulting firm, gives a report on his findings. Mr. Romesburg provided a PowerPoint presentation with an overview of existing software, the infrastructure of the Police Department from a technology standpoint and options going forward to replace antiquated, obsolete, and discontinued software. Recommendation was to acquire an integrated software system provided by a single vendor who could guarantee a degree of compatibility among shared systems throughout the different City agencies. The Police Department is looking at asset forfeiture funds as a potential funding source, as well as grant opportunities. ACTION: Chief Rojas will provide an update letter to City Council. 4. Review and Approve By-Laws Assistant City Attorney Laura Rossini proposed a final draft of the By-laws for the Committee to review and add their input. The City Attorney's Office has been gathering final drafts as the goal is to have uniform by-laws for all the various City Council sub-committees. MOTION: Move By-laws forward to City Council. MOTION: Reyna SECOND: Benavides VOTE: AYES: Reyna, Benavides NOES: None (0) ABSENT: Martinez 5. CERT Program: Update, Future Plans Sergeant Brian Sheldon, Santa Ana Police Department, provided a PowerPoint presentation with an overview of the City's CERT (Community Emergency Response Team) Program, where it is going, how we are getting there, and the current status of the program. The CERT Program is a partnership between SAPD and OCFA, coordinated by a Citizen Board appointed by the Police Department. A discussion was held regarding training residents to become CERT members and to be prepared to respond to emergency situations in their communities and work places. CERT members can also help with non-emergency projects that help improve the safety of their community. Currently working with a vendor to secure a course and drafting program polices and guidelines. 13B-11 6. Graffiti Paint Out Day A discussion was held regarding a graffiti paint-out day. Danell Mercado, PWA Projects Manager, announced that the next graffiti paint-out day would be held on Saturday, October 5s, 9:OOAM - 12:00 Noon. The meeting location is Madison Park and the contractor is Graffiti Protective Coating. There will be t-shirts and other giveaways for the volunteers. Fall and Spring were determined to be the best time to do these events so students can be involved. Announcements will be going out on Nixle, the City website, the September Com-Link meeting, and there will be a press release. Recommendation was to identify future dates, and to have it as a semi-annual event. 8. Parking Enforcement/Routes A discussion was held regarding parking enforcement/routes. Pedro Guillen, PWA Acting Maintenance Manager, spoke about the routes. After consulting with Parking Enforcement as to the areas of highest tickets, the City is looking at different options such as street sweeping alternatives along these routes. Eligibility requirements are it has to be a designated area in the city, street has to be close to 100 percent capacity, and on-site parking limited. In the next phase, the neighborhood is the applicant and they vote for the program. There would be a cost recovery for signs and staff work paid by the residents. Staff has met with the schools and adjusted street sweeping so it does not impact pick-up and drop-off for students. Chief Rojas spoke on enforcement side and said that violations were reviewed and they were accurate. He addressed the question of how to alleviate some of the problems with being in a densely populated area. The second go around component was eliminated because residents would check the signs, move the cars when the street sweeper was coming around, and then park their cars back on the street. The problem with the schools was a lack of communication between the Police Department, the City and the schools. The Police Department met with the school district, identified six schools that have chronic problems related to street sweeping or having not enough spaces, an assessment was done, and they came up with optional mitigation measures. 9. Items for Next Meeting on 9-24-13 A. OTS Grant/DUI Checkpoints Committee Member Comments Committee Chairman Benavides commented on pedestrian fatalities. He explained that action that was taken on this matter. Chief Rojas and Traffic Commander Ibarra set up an operation utilizing police officers in plainclothes crossing streets. Many times vehicles did not stop for 13B-12 them and within 2.5 hours, 87 citations were given out. Chairman Benavides stressed that education needs to be for everyone: pedestrians, drivers, mothers and children, especially since school is back in session. Councilmember Reyna briefly discussed a revision to the policy regarding ICE detainers that will be available to the public. Committee Chairman Benavides read from the report forwarded by City Staff. Ad i ournment - 8:40 P.M. r?CARLOSROJAS Acting Chief of Police 13B-13 13B-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: DESTRUCTION OF OBSOLETE CITY RECORDS CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2ntl Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER 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: Sonia R. Carvalho Date: October 1, 2013 From Maria D. R of the Council Subject: REQUEST FOR DESTRUCTION OF RECORDS L,T-1 nr. -? £ I ; 3[ 31 The Clerk of the Council 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 Maria D. Huizar Attachments I IRECORDS,RETENTION & DESTRUCTIONICLERN 20131MEMO DEPT RECORDS DESTR REODf§D CAAAQ7013DOC Request for Destruction of Records October 1, 2013 Page 2 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES RETENTION PERIOD ABATEMENTS Abatement of various Files on Dangerous Buildings, Garbage, 2005-2011 (Items Hardcopy - 2 undesirable conditions Trash, & Weed Abatement, Public Nuisance included in Council years, LaserFiche and other related Council actions including Agenda Packets) Imaging - correspondence and Requests for Council Permanent Action (RFCA) CLERK- Miscellaneous Includes both incoming and outgoing 2008 2 years ADMINISTRATION Correspondence general correspondence, including letters and e-mail along with citizen feedback; Various files, not related to specific cases and not otherwise specifically covered by the retention schedule. COUNCIL Agendas Original Meeting Agendas: City Council, 2005-2011 Hardcopy - 2 MEETINGS Redevelopment Agency, Successor years; Imaging Agency, Santa Ana Financing Authority, Copy- Special Meetings, Commissions - agendas Permanent (2004 and packets can be imaged immediately for to present) permanent retention, if desired. A paper copy can be maintained for one year, if desired. Agenda Notices Notices - Public Meetings including Special 2005-2011 2 years Meetings. Agenda Publications Affidavits of Publication I Posting - Proof of 2005-2011 2 years publication or posting of legal notices - examples of legal notices: Notice of Public Hearing, Notice of Lien, etc. Agenda Packets Council Meeting, Successor Agency, Santa 2005-2011 Hardcopy - 2 Ana Financing Authority, Commissions years, Imaging - agenda packet materials, e.g., Requests for Permanent Council Action (RFCA's) and backup (available from information on Council Agenda items - 2004 to present Originals can be imaged immediately for only) permanent retention, if desired. The imaged record can serve as the permanent record, if desired. FINANCE Clerk of the Council Copies of Direct Payment Vouchers 2003-2011 2 Years (Financial Operating Budget, (DPV's), Materials Releases (MR's), Documents) Purchasing, Purchase Orders (PO's) and other Clerk Requisitions, Purchase expenditure records Orders r! S Alcoholic Beverage Control (ABC) 2008-2011 3 Years 19C-4 Request for Destruction of Records October 1, 2013 Page 3 RECORD RECORD SERIES RECORD DESCRIPTION RECORD DATES RETENTION CATEGORY PERIOD PUBLIC RECORDS Public Records Requests from the public for documents 2008-2010 2 Years REQUESTS Requests retained by the City PREPARED BY: Norma Mitre Date Sr. Deputy Clerk of the Council CONSENT BY: A) 4v, Maria D. Huizar Date J Clerk of the Council RECORDS DESTROYED: Number of Boxes APPROVED BY: Sonia R. Carvalho Date City Attorney 19C-5 19C-6 r MEVIORANDUNI To: Laura Shcedy, Assistant City Attorney Date: August 9, 2013 City Attorney's Office From: Executive Director of Finance & b[anagement Services Subject: REQUEST FOR DESTRUCTION OF RECORDS The Finance & Management Services Agency requests your consent to destroy city records relating to the Treasury Division on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2006-045. Thank you. Francisco Gutierrez VW Attachments C: Christine C. Duarte, Treasury Division 19C-7 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE FINANCE & MANAGEMENT SERVICES AGENCY - TREASURY DIVISION 2013 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES BANKS Daily Bank Balance Reports of daily banking activity. Jun 2010 Report and Prior Deposit Slips Treasury's copy of all City deposit slips sent to bank Jun 2010 and Prior Returned Checks Copies of customer checks returned by bank, letters sent Jun 2010 and Prior to customers and other miscellaneous documents Statements Statements relating to investment banking. 9 Jun 2010 and Prior Transfer Activity Records Documents pertaining to the wiring of funds to/from bank Jun 2010 accounts and Prior Jun 2010 BUSINESS Monthly Register Miscellaneous Business License Account Summary and Prior LICENSE TAX Reports Information reports. Deletion Records Deleted and/or cancelled accounts. Jun 2010 and Prior Gross Receipts & Business License Tax statements filed by business Jun 2010 Variable Assessments operators. and Prior Statements Miscellaneous Receipts Receipts for miscellaneous payments. Jun 2010 and Prior Original Applications Original business license tax applications. Jun 2010 and Prior Payment Records Statements relating to calculation and payment of Jun 2010 business license tax, and Prior Renewal Registration Statements relating to business owner information Jun 2010 Records and Prior Payments / Daily Cash Business License Tax payments received and processed Jun 2010 Receipts via Treasury cashiers. and Prior CHECKS Voided / Canceled Checks voided/canceled; issued by the City, includes Jun 2008 Checks & Related Housing Authority, Workers Compensation, Payroll and and Prior Reports Vendor, includes checks voided as a result of printer misali nment. 19C-8 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES CHECKS (cont.) Paid Paid checks issued by the City; includes Housing Authorit Workers Com en at P ll d V d Jun 2008 d P i y, p s ion, ayro an en or an r or checks. Transmission of all List of all City checks issued to allow bank to clear checks Jun 2011 checks issued by City to through account for Positive Pay purposes, and Prior Bank. DOG LICENSES Original Applications Application for Dog License; Including Rabies Vaccination Jun 2010 records, and Prior Reports Daily payment information; unpostables; renewals; Jun 2010 noncompliance; tag list, penalties and Prior Payments / Daily Cash Dog License payments received and processed via Jun 2010 Receipts Treasury Cashiers. and Prior Cancellations Dog Licenses cancelled Jun 2010 and Prior HOTEL Filing Records Original Registration Jun 2010 TAX VISITORS and Prior Payment Records Monthly filings and remittances Jun 2010 and Prior WATER Applications for Service Original copies of applications for installation of new water Jun 2010 ACCOUNTS service originated by Public Works and Prior MUNICIPAL Billing Register Reports Computerized reports detailing accounts billed 8 Jun 2010 ACCOUNTS respective charges and Prior Work Orders Investigations of water meter notices and meter Jun 2010 exchanges and Prior Customer files Miscellaneous information / correspondence regarding Jun 2010 customer accounts and Prior Deposit Reports List of Municipal Utility Service accounts that have a Jun 2010 deposit and Prior Payment Report Lists daily receipts processed via Treasury Cashiers to i M i ili U i Jun 2010 un c pal t ty Serv ce accounts by account number and Prior Payments Daily receipts processed to Municipal Utility accounts by Jun 2010 Services account number and Prior Municipal Utility Services Municipal Utility service Refunds requests and backup Jun 2010 information and Prior Aging Report Lists balances of all Municipal Utility Service accounts Jun 2010 and Prior PARAMEDIC Billing Payments Paramedic Billing payments received by Treasury Jun 2010 and Prior PARKING CITATIONS Collections Iteimzation of citation payments collected by contract Jun 2010 servce a enc and Prior 19C-9 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES Register Parking Citation Payments process by Treasury Staff Jun 2010 PARKING and Prior CITATIONS (cont.) Amounts Written-off List of parking citations written-off by DMV Jun 2010 Report and Prior Citations Referred to Itemization of citations referred to DMV for collection Jun 2010 DMV and Prior DMV Collections DMV parking citation Collections Jun 2010 and Prior REFUND Business Tax Office: Refund requests to Treasury Division: includes supporting Jun 2010 REQUESTS Utility Users Tax; & Misc. documentation and Prior Refunds TREASURY Daily Treasurer's Report of daily revenues received with detail payment Jun 2010 Reports information and related working papers and Prior Treasury Investment All documents pertaining to Investment Activity Jun 2010 Activity Records and Prior UTILITY USERS Exemption Applications Homeowners low income exemptions applications Jun 2010 TAX (UUT) and Prior Filing Records Original registrations Jun 2010 and Prior Maximum Tax Filings Annual registration and maximum tax payment records Jun 2010 and Prior Payment Records Monthly filings and remittances Jun 2010 I I and Prior PREPARED BY: Minerva H. Mancha Date Treasury Services Supervisor CONSENT BY: Francisco Gutierrez Date Executive Director Finance & Management Services APPROVED BY, Sonia R. Carvalho Oate City Attorney 19C-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: OCTOBER 21, 2013 TITLE: REQUEST FOR PROPOSALS FOR AFFORDABLE RENTAL HOUSING DEVELOPMENT CI NAGER APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2ntl Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER RECOMMENDED ACTION Authorize the Community Development Agency to release a Request for Proposals to qualified affordable housing developers seeking proposals for federal HOME funded affordable rental project(s) to be developed in Santa Ana. The City annually receives federal grant funds through the HOME Investment Partnership Program (HOME) for the development of affordable housing. These funds must be committed by July 31, 2014 or risk deobligation by the Department of Housing and Urban Development (HUD). Staff is requesting authorization to distribute a Request for Proposals (RFP) (Exhibit 1) for affordable rental project(s) to be developed in Santa Ana. The project types that are being solicited are for acquisition and rehabilitation of existing rental projects in Santa Ana. The maximum funding available is $1.5 million in federal HOME Program funds. The selected developer(s) will be responsible for contributing additional funds as may be necessary, for securing the land and constructing the improvements, as well as be responsible for lease-up and operation of the projects. The RFP is scheduled for release on October 22, 2013 with first round proposals due January 6, 2014, and second round proposals for remaining funds tentatively due February 19, 2014. Notices of funding availability will be placed on the City's website, published in a general circulation newspaper, and directly mailed to local housing developers who have previously shown an interest in housing development projects. Following review of the proposals received, the recommendations will be submitted for the City Council's final approval. 1901-1 RFP Affordable Housing October 21, 2013 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Interim Executi e'Direc Community De elopment Agency NF/SLB/kg Exhibit: 1. Request for Proposals 19D-2 EXHIBIT 7 REQUEST FOR PROPOSALS RFP 13-052 AFFORDABLE HOUSING DEVELOPMENT CITY OF SANTA ANA Community Development Agency 20 Civic Center Plaza Santa Ana, CA 92701 Natalie Verlinich Housing Programs Analyst (714) 667-2267 Office NVerlinichC&santa-ana.org KEY RFP DATES: Issue Date: Deadline to Submit Questions: Response Posted on City Website: Proposal Due Date (First Round): First Round Presentation/Interviews First Round Finance, Economic Development & Technology Committee Review Date First Round CRHC Review Date First Round City Council Approval Date Second Round Proposal Due Date(Remaining Funds) Second Round Presentation/Interviews: Second Round Finance, Economic Development & Technology Committee Review Date Second Round Projected CRHC Review Date: Second Round Projected City Council Approval Date: Tuesday, October 22, 2013 Monday, December 2, 2013 Wednesday, December 4, 2013 Monday, January 6, 2014 Tentative, January 2014 Monday January 13, 2014 Tentative February/March 2014 Tentative March/April 2014 Tentative, February 19, 2014 Tentative February 2014 Tentative March/April 2014 Tentative, March/April 2014 Tentative, April/May 2014 at 5:00 p.m. at 5:00 p.m. at 12:00 p.m. at 12:00 p.m. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 1901-3 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for development of affordable housing projects. Responses to this Request for Proposals will be accepted until Monday, January 6, 2014 at 12:00 noon. Proposals for available funds not awarded through the first round (if any) will be accepted until Wednesday, February 19, 2014 at 12:00 noon If further information is required regarding this Request for Proposals, contact Ms. Natalie Verlinich, Housing Programs Analyst at (714) 667-2267 or NVerlinich(a)santa-ana.org. MAILED, DELIVERED BY HAND, OR COURIERED proposals will be accepted as follows: City of Santa Ana Natalie Verlinich, Housing Programs Analyst Community Development Agency 20 Civic Center Plaza, Third Floor Santa Ana, CA 92701 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding the Request for Proposals shall be made in writing via e-mail to Natalie Verlinich at NVerlinich(a)santa-ana.org. The time the proposal is received in the Community Development Agency, 20 Civic Center Plaza, 3`d Floor, Santa Ana, CA 92701 will be the governing time for acceptance of proposals. Late proposals will NOT be considered and will be returned to proposer unopened Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED RFP RESPONSES ARE ACCEPTABLE. DO NOT E-MAIL RFP RESPONSES. DO NOT FAX RFP RESPONSES. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 1 19014 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT (RFP) PAGE 1. INTRODUCTION 4 II. SCOPE OF WORK/SERVICES 4 III. GENERAL INFORMATION 4 IV. COORDINATION 5 V. DEVELOPER RESPONSIBILITIES 5 VI. CITY BUSINESS LICENSE 5 VII. RULES FOR PROPOSALS 5 VIII. PRE-PROPOSAL MEETING 5 IX. E-MAIL COMMUNICATIONS AND INTERPRETATIONS/CLARIFICATIONS 5 X. ADDENDA 6 XI. SUBMITTAL REQUIREMENTS INFORMATION AND DEADLINE 6 XII. MINIMUM QUALIFICATIONS 6 XIII. SUBMITTAL REQUIREMENTS 6 XIV. DEVELOPER SELECTION - PROPOSAL AND EVALUATION 8 XV. PUBLIC RECORDS 9 XVI. FILING A PROTEST 9 EXHIBIT A - SCOPE OF SERVICES 1. INTRODUCTION 11 A. DEVELOPMENT SITE PREFERENCES 11 B. AVAILABLE FUNDS 12 C. TERM OF AFFORDABILITY AND MAXIMUM ALLOWABLE RENTS 12 D. LOAN TERMS 13 E. DISCLOSURES 13 II. DEVE LOPER REQUIREMENTS AND RESPONSIBILITIES 15 A. INSURANCE 15 B. HOLD HARMLESS/ INDEMNIFICATION 16 C. NOTICE 16 D. TERMINATION 17 City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19f=v E. DEVELOPER OPTION FOR TERMINATION 17 F. EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS 17 G. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS 17 H. ASSIGNMENT 17 1. JURISDICTION - VENUE 18 J. FINES 18 Attachment 1 Cornerstone Village Project Area 19 Attachment 2 Transit Zoning District 20 Attachment 3 Townsend-Raitt Project Area 21 Attachment 4 Cedar-Evergreen 22 Attachment 5 1900-2000 Block of W. Myrtle Street 23 Attachment 6 Early Outreach Community Meeting 24 Attachment 7 Rehabilition Standards 25 EXHIBIT B ADDITIONAL INSURED ENDORSEMENT FOR GENERAL LIABILITY POLICY 33 EXHIBIT C PROPOSER'S STATEMENT: PROPOSAL AND CONTRACT AGREEMENT 34 EXHIBIT D PROPOSAL CONTRACT AND AGREEMENT - CERTIFICATION OF NONDISCRIMINATION 35 EXHIBIT E NON-COLLUSION AFFIDAVIT 37 City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19PD-6 A. C. D. CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT (RFP) The City of Santa Ana is issuing this Request for Proposals (RFP) for development of affordable housing within the City. Proposed developments may be acquisition and rehabilitation of existing multifamily rental units. SCOPE OF WORK/SERVICES The scope of work will include any and all work efforts related to the Affordable Housing Development per EXHIBIT A - SCOPE OF SERVICES. This Exhibit A will be included in the final Loan Agreement. The Developer shall be an independent developer capable of providing experienced, knowledgeable and professional staff. The Developer shall be responsive and maintain excellent working relationships with city residents, businesses, government officials and City staff. The Developer shall provide adequate staffing levels at all times and adhere to established schedules. The Developer shall be knowledgeable of and comply with federal, state and local laws, including the Santa Ana Municipal Code and the federal HOME Investment Partnership Act Program as it applies to their proposal. Please note the new HOME regulations and Final Rule published on July 24, 2013. GENERAL INFORMATION The term of the Loan Agreement will begin after the contract is awarded by the City Council. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. The Developer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information and/or any aspect of a proposal prior to award of a written contract will be borne by the respondent. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in proposal. All data, documents and other products used, developed or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. The City reserves the right to reject, replace and approve any and all subcontractors. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19EY-7 All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the Developer and the City shall assume no liability of such subcontractors. IV. Coordination by the awarded Developer with the City, other contractors and agencies will be required to achieve satisfactory and timely delivery of the required services. Coordination may include, but not be limited to, coordination with impacted businesses, neighborhood and civic groups, local and/or state agency boards, and attendance at Community Redevelopment and Housing Commission meetings and City Council meetings. The City will decide the manner in which the coordination efforts will be conducted. At the City's option, coordination efforts may be performed by the Developer's direct contact, by the Developer acting through the City or by the City only. When coordination efforts require agreements, such agreements shall be coordinated through the City. V. DEVELOPER RESPONSIBILITIES The selected Developer will assume responsibility for all aspects of the development, and for insuring that the project is developed and operated in accordance with applicable federal and state laws and HOME and CDBG regulations. The selected Developer will ensure that the project is developed and operated in accordance with the City of Santa Ana laws, regulations, and the planning and development process. VI. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within 30-days of selection and must provide a copy to the City project manager or designee prior to commencing any work in Santa Ana. VII. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud; and, that the signer of the proposal has full authority to bind the proposer (Exhibit E). VIII. PRE-PROPOSAL MEETING The City will not have a pre-proposal meeting for this Affordable Housing RFP. IX. E-MAIL COMMUNICATIONS AND INTERPRETATIONS/CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor and respond to e-mail requests within 48 hours. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein including the Scope of Service. Every request for such an interpretation must be made in writing via e-mail to the Housing Programs Analyst no later than Monday, December 2 at 5:00 p.m. Significant interpretations or clarification will be made by an addendum to this RFP, which City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19 Lg=B will be posted to the website. Addenda may become part of the agreement documents. X. ADDENDA If clarification or interpretation of this RFP is considered necessary by the City, a written addendum shall be issued and the information will be posted on the City's website at www.santa-ana.orq/bids-rfps. It is the responsibility of each proposer to periodically check the City's website to ensure that they have received and reviewed any and all addenda to this RFP. XI. SUBMITTAL REQUIREMENTS INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time and location set forth on the Notice Inviting Proposals. Faxed and E-mail proposals will not be accepted. XII. MINIMUM QUALIFICATIONS Proposers shall have at minimum of five (5) years recent experience in the development and operation of affordable housing projects similar to their proposed project. XIII. SUBMITTAL REQUIREMENTS Proposers shall submit five complete hard copies of their proposal, and one additional copy on a compact disc, USB flash drive or equivalent. All five copies of the proposal must include a signed cover letter. This cover letter must include a declaration that the only person, persons, company, or parties interested in the proposal as principals are named herein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer has full authority to bind the proposer. It must also include an email address and contact information for the signer. The letter must be signed in blue ink. All proposals submissions shall be on 8-1/2" x 11" white paper. Statement of Qualifications (SOQ). The SOQ must include the following components: Developer Team. An organizational chart showing lines of responsibility, as well as a list of team members and their duties as part of the team. If the developer is a nonprofit corporation, or if a nonprofit is one of the team members, the SOQ must include documentation that the corporation is certified by the U.S. Internal Revenue Service as a 501(c)3 tax exempt non- profit corporation, and is in good standing with both state and federal compliance. Nonprofits who wish to be considered for funding under the Community Housing Development Organization (CHDO) component of the HOME Program must complete and include a CHDO checklist, as well as the required supporting documentation. The CHDO checklist is available on HUD's website. CHDO certification from another jurisdiction is not acceptable. They must also describe their ability to comply with the new HUD requirements for CHDOs. Developer needs to identify if any contractor(s) and/or subcontractor(s) are a subsidiary to any member of the development team. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 1 9Jy=§ 2. Developer Experience. A narrative describing recent affordable residential development and management experience, with an emphasis on experience gained in the last five years on projects similar to the one being proposed. a. Include project name and type (special needs, senior, large family, etc.), project address, developer team members, unit count and bedroom type, affordability requirements, and funding sources in your description. b. Include a description of how neighborhood input was solicited and utilized in the development of these projects. 3. Financial Capacity. Description of financial strength and ability to obtain project financing, and to provide sufficient equity for the successful completion of the proposed project. a. Include a description of current relationships with major lending institutions. b. The developer which is selected for recommendation to City Council, or if a partnership the team members who will retain an ownership interest in the project, will be required to submit complete financial statements for the last three years. Because of the possibility of public records requests, the City cannot guarantee that these statements will remain confidential. 4. References. Include a list of at least three references from public agency partners and professional lenders and investors with full names, contact information, and identification of the project(s) worked on. SOQs must be limited to a maximum of 25 pages, excluding front and back covers, section dividers, and exhibits. All project proposals must contain the following minimum submission requirements: 1. Project Description. Detailed and concise narrative describing the proposed project, including at a minimum and as appropriate the development concept for the site or a description (with photographs) of the building to be acquired, proposed building square footage, number of units/bedrooms, total parking spaces, proposed ingress and egress, proposed rents and tenant incomes, any special needs groups to be served, amenities to be provided to the tenants, and resident manager's unit. If there will not be a resident manager for a rental project, describe in detail how the project will be managed. For all projects, the narrative must also address site control, current zoning and any required zoning changes, anticipated development cost, City funds required and required City loan terms, developer access to additional funds required by the project, and must provide proof that the property is under contract. This narrative should be accompanied by a site map showing the project's location. 2. Development Pro Forma that identifies the sources and uses of all funds necessary to complete the project, and that includes the project's anticipated cash flows over a period of years equal to 15 years and 30 years. The pro forma should identify important underlying assumptions that govern the cash flows, including but not necessarily limited to the amounts and frequency of loan repayments (all sources), annual rent increases, occupancy levels, operating costs as a percent of revenue, timing and amounts of replacement costs. The City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 7 19D-10 developer should indicate whether the cost estimates in the Sources and Uses budget assume the payment of Davis Bacon wages and relocation benefits, if applicable. The pro forma must include a calculation of the return on investment to the developer. This will enable the City to comply with the new HUD requirement that it evaluate the reasonableness of the "level of profit or return on owner's or developer's investment in a project." To date, HUD has provided no further guidance on the required evaluation. 3. Projected Rental Income. Include evidence that the rental income shown in the pro forma is reasonable and achievable. If proposing all rents to be at low-income, include a market study that supports that this is achievable. Section 3 and Section 504 Compliance. Describe the steps to be taken to comply with the federal requirement for maximum feasible participation of local low income residents and businesses in the development of federally funded projects. Describe how the project will be developed and operated so as to insure compliance with all relevant components of the Americans with Disabilities Act. Proposed Development Schedule. Taking as a starting point City Council approval of the proposed City loan, provide a proposed development schedule that includes the following milestones at a minimum: Site acquisition, additional required loan commitments and funding from all other funding sources, zoning change approvals if necessary, preparation and approval of construction plans, start of construction, completion of construction, and lease-up. The schedule must reflect the fact that under the new HOME Program regulation the City cannot commit HOME funds to the project until it has completed its own underwriting, until the developer has obtained firm commitment for all additional required funds, and until the City and the developer have signed a loan agreement. 6. Current Tenants. Provide a listing of all tenants currently residing in units. Exhibit B - Additional Insured Endorsement for Commercial General Liability Policy. Not required until after Developer selection. 8. Exhibit C - Proposer's Statement 9. Exhibit E - Certification of Nondiscrimination 10. Exhibit F - Non-Collusion Affidavit The proposal must be completely responsive to the RFP. Incomplete proposals will be deemed as nonresponsive and will be rejected. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. XIV. DEVELOPER SELECTION - PROPOSAL AND EVALUATION Immediately following the submission deadline, the Community Development Agency will create a review panel composed of City staff from relevant City departments. Each member of this panel will City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19Pacl=? 1 evaluate and rank each proposal using the evaluation criteria listed below: 1. Demonstrated ability of the developer team to develop. Capacity to obtain such additional funding as may be necessary, to obtain the necessary entitlements, to successfully manage and complete the construction process as quickly as possible. (20 percent) 2. Demonstrated ability to manage affordable rental units so as to insure both ongoing compliance with affordability requirements and long term financial solvency. (15 percent) 3. Demonstrated readiness of the proposed project to proceed. Demonstrated site control and availability of financing. Appropriate zoning. (30 percent) 4. Proposed levels of affordability. (15 percent) 5. Extent to which City funds will be leveraged by outside funds as shown by sources and uses budget. (10 percent) 6. Anticipated cash flows as shown by pro forma. (10 percent) Bonus Points: The City's desire is for the developer to have an office located in Orange County, California. Additionally, the City wishes to have a project located in one of the five target areas identified in this RFP, and to have a project which incorporates two and three bedroom units suitable for larger families. Once the panel has completed its review of the submitted material it will invite the top rated proposers to an interview with the panel. XV. PUBLIC RECORDS Proposals will become public record after award of agreement. Interested offerors may submit a written request, with a self-addressed stamped envelope to receive results of the evaluation. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. Submit your request to, City of Santa Ana Community Development Agency, Attn: Natalie Verlinich, 20 Civic Center Plaza M-37, Santa Ana, CA 92701. XVI. FILING A PROTEST Proposers may file a "protest" with the City's Community Development Agency. In order for a proposer's protest to be considered valid, the protest must: 1. Be filed in writing within five (5) business days of either the RFQ/RFP posted date or before 5:00 p.m. of the 5th business day following the posting of RFQ/RFP 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. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19,5,1 2 If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the Agency's Housing Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Housing Manager will provide a written decision to the protestor within fourteen (14) calendar days from receipt of protest. The decision from the Housing Manager, or her designee, is final and no further appeals will be considered. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19PD=13 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT EXHIBIT A- SCOPE OF SERVICES The City of Santa Ana (City) has adopted a Consolidated Five Year Plan (Plan) that governs its expenditure of formula grant funds received from the U.S. Department of Housing and Urban Development (HUD). The Plan identifies the development of affordable rental housing as a high priority. It further stipulates that HOME Investment Partnership Act funds (HOME) may appropriately be used to meet these goals. As of the date of this Request for Proposals (RFP) the City has approximately $1.5 million in HOME funds available to commit to such activities. In order to meet these goals, the City is soliciting proposals for the development of affordable housing projects from developers who are experienced, very knowledgeable of the HOME Program and its requirements, financially creative and capable of developing, managing and maintaining high quality housing. The City will entertain proposals for the following type of projects: • Acquisition and Rehabilitation of Existing Residential Rental Projects The selected developer will also have a demonstrated history of working cooperatively with surrounding neighborhoods in all phases of project development. Both nonprofit and for profit developers are eligible to apply, either individually or in partnership with other entities. Due to HUD's commitment deadlines for the City's funds, it is imperative that applicants be able to demonstrate site control for the existing facility they propose to acquire and rehabilitate. HUD policy generally discourages the use of federal grant funds as the only financing source for housing projects. As a consequence, developers who can demonstrate the capability to make non-federal funds a significant part of the financing mix for their proposed project will score higher in the selection process than those who cannot. The City intends and expects to award all available funds to a single developer for a single project selected from the proposals submitted by the January 6, 2014 deadline. Should it be unable to do so, it will announce the availability of the remaining funds and accept applications for those funds up to a deadline tentatively identified as February 19, 2014. A. DEVELOPMENT SITE PREFERENCES The City is not making any parcels it owns available for development through this RFP, and it will entertain proposals for suitable properties located anywhere in the City. However, the City prefers to maximize the positive impact of its limited federal housing development funds by concentrating their expenditure in targeted areas of the City. The City has identified five geographical areas where it has targeted significant public resources in the past, and where it would like to see additional resources targeted in the future. The five are known as follows: Cornerstone Village (Attachment 1), Transit Zoning District (Attachment 2), Townsend-Raitt (Attachment 3), Cedar-Evergreen (Attachment 4), and 1900-2000 Myrtle Street (Attachment 5). Please note that one of the bonus rating criteria of this RFP is location of the proposed project. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 196-'4 Both the Plan and the City's Housing Element identify affordable rental housing suitable for larger households as a high priority for the City. One of the rating criteria is the bedroom size of the proposed units. Project design and construction will be subject to and carried out in accordance with established City standards and procedures. In accordance with the City's Early Outreach policy (Attachment 5), the selected developer may be required to solicit significant neighborhood input during the design process. B. AVAILABLE FUNDS As of the release date of this RFP, the City has approximately $1.5 million in HOME Investment Partnership Act funds that may be used for development of HOME eligible projects. HOME Program expenditures are limited to an amount equal to the maximum subsidy limit established by HUD for units based on bedroom size times the number of such units. The maximum subsidy limits are as follows: # of Bedrooms HOME Maximum Subsidy 0 $128,000 1 $148,000 2 $180,000 3 $235,000 4 $255,000 Only HOME assisted units count toward the calculation of the HOME Program funds that may be invested in a project. HOME assisted units are deed restricted to rents and incomes eligible under the HOME Program. C. TERM OF AFFORDABILITY AND MAXIMUM ALLOWABLE RENTS The selected developer shall enter into a Loan Agreement with the City of Santa. This Agreement and other attendant documents shall provide for repayment of the loan. They shall also impose affordability covenants of no less than fifteen (15) years for acquisition/rehabilitation projects or until the City loan is repaid whichever is longer. HOME funded units must, at a minimum be affordable to very low and low income households. For projects located in the Transit Zoning Code area, at least ten (10) percent of the units must be affordable to and occupied by households with incomes at or below 30 percent of the area median income. As of the date of this RFP allowable rents were as follows: # of Bedrooms Maximum 30% Rent Maximum 50% Rent (Very Low Maximum 65% Rent Low 0 $480 $843 $1,061 1 $514 $903 $1,154 2 $618 $1,083 $1,387 3 $714 $1,252 $1,594 4 $796 $1,397 $1,759 Allowable rents must be reduced by a utility allowance for tenant paid utilities. HUD now requires that City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 12 196-15 utility allowances be calculated for each project, and recommends using the model found at the following location: http://hudttser.org/portal/resources/utilmodel.html. D. LOAN TERMS City assistance will be offered in the form of a long term loan secured by a promissory note and a deed of trust recorded against the property. If necessary, this loan may be subordinated to loans from other lenders. The loan will carry a 3 percent interest rate payable through residual receipts over a period of thirty (30) years. At the close of each fiscal year and as part of a required annual audit, the developer will calculate the amount of residual receipts, and make an annual payment to the City in an amount equal to 50 percent of the residual receipts. E. DISCLOSURES • HUD has recently adopted significant changes to the rules governing the HOME Program. The full implications of these changes are not yet clear. The new rule can be accessed at: http://Portal.hud.gov/hudoortal/HUD?src=/program offices/comm plan ning/affordablehousi ng/programs/home/ • All documents submitted to the City in response to the requirements of this RFP are subject to public records requests. This includes Financial Statements, pro formas and other information submitted in response to the new HUD requirement that the City review and evaluate the reasonableness of the return on the developer's investment in the project. The City cannot guarantee that these records will be kept confidential. • The City will require developers to enforce the federal occupancy standard of two persons per bedroom plus one. • The City utilizes rent and income tables developed by HUD, and for 30 percent of median rents, tables developed by the California Tax Credit Allocation Committee. Allowable rents and incomes may remain unchanged or may go down from one year to the next. Attainable rents may be significantly less than allowable rents. The City anticipates that HUD may release new rent and income tables for the HOME Program at some time during the next several months. Both may be lower than the current tables. The City utilizes an Information Bulletin released annually by HUD to determine the maximum per unit HOME subsidy limits. The last such Bulletin was released May 31, 2012 with an effective date of January 1, 2012. When released, the new bulletin may increase or decrease the HOME subsidy limits applicable to this RFP. • Projects with more than 11 (11) HOME Assisted units are subject to Davis Bacon wage requirements. HUD regulations prohibit the use of federal funds to pay relocation costs for tenants without a legal right to reside in the United States. State law requires that they be paid for those costs. Consequently the City will require that they be paid out of a nonfederal funding source. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 0 1 ra For acquisition/rehabilitation projects the City will require that the developer hire a professional relocation firm to develop and implement a relocation plan. The selected firm must be acceptable to the City. • Unless it will be rent and income restricted, HOME funds cannot be used to pay for the development of a resident manager's unit. Under the newly revised HOME Program final rule, the City may not enter into a written agreement that commits HOME funds until all other required funding has been secured by means of a firm commitment, a budget and production schedule has been established, and underwriting completed. In order to facilitate this process, the City will require the selected developer to provide evidence of firm commitment for any additional funds required by the project within 30 days of their selection by staff. If the selected developer cannot provide the financing commitments, their proposal will be denied. The City must commit approximately half of its available HOME funds by July 30, 2014. As a consequence it is imperative that proposed projects be ready to move forward and additional required funding be readily available. Proposed development schedules must reflect this deadline. Under the newly revised HOME Program final rule, nonprofits wishing to be certified as CHDOs must have paid staff whose experience qualifies them to undertake CHDO activities. To act as a "developer," a CHDO must be in sole charge of all aspects of the development process, including design, financing and construction. CHDO rental projects "developed" by a CHDO must be owned by the CHDO. Two other CHDO roles and their requirements ("owner' and "sponsor") are described in Section 92.300 of the revised rule which is available on HUD's website. Nonprofits seeking HOME funding as CHDOs must identify which of these three roles they will play, and how they meet HUD's requirements. The newly revised HOME Program final rule includes several mandated progress-related deadlines that will be incorporated into the developer's loan agreement, and that must be incorporated into the project's proposed timeline: o Construction must be underway within a year of the commitment of HOME funds o HOME assisted rental units must be occupied by income-eligible tenants within 18 months of project completion. o HOME projects must be completed within four years of the commitment of HOME funds II. DEVELOPER REQUIREMENTS AND RESPONSIBILITIES City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 10-147 A. INSURANCE Prior to undertaking performance of work under this Agreement, Developer shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: Commercial General Liability Insurance. Developer 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 there from and damage to property, resulting from any act or occurrence arising out of Developers 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, $2,000,000 in the aggregate. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $2,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non- owned automobiles. 3. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Developer 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, Developer 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 Developer pursuant to this section: a. Commercial general liability and business automobile insurance policies 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. A sample additional insured endorsement is attached hereto as Exhibit B. Developer shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. b. Certificates of insurance shall be furnished to the City upon execution of this Contract and shall be approved in form by the City Attorney. c. 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. If Developer 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 Contract. Such termination shall not affect Developers right to be paid for its time and materials expended prior to notification of termination. Developer waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. B. HOLD HARMLESS/ INDEMNIFICATION City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 1P9 i5 ='`8 To the fullest extent permitted by law, Developer shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the 'Indemnified Parties') from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a Claim; collectively, "Claims'), which may arise from or in any manner relate (directly or indirectly) to any work performed or services provided under this Contract (including, without limitation, defects in workmanship and/or materials) or Developer's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and/or omissions of Developer, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Developer to indemnify the Indemnified Parties from any Claim arising from the sole negligence or willful misconduct of the Indemnified Parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of the Agreement. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Developer. C. NOTICE Any notice, tender, demand, delivery or other communication pursuant to this Contract shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714-647-6956 With courtesy copy to: Shelly Landry-Bayle City of Santa Ana Community Development Agency 20 Civic Center Plaza (M37) Santa Ana, CA 92701 Fax 714-667-2225 D. TERMINATION The City reserves the right to terminate the contract, without penalty, for cause immediately or without cause. 1. In the event Developer fails or refuses to timely perform any of the provisions of this Agreement in the manner required, or if Developer violates any provision of this Agreement, Developer shall be deemed in default. City shall provide written notice of such default to Developer's Project Manager. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19P6-19 Developer shall cure said default within a period of two (2) working days. If such cure is not completed in a timely manner, City may assess liquidated damages or terminate the Agreement forthwith by giving written notice to Developer's Project Manager. 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. Developer shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during Developer's default. 2. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the Developer either personally or by mail. Upon termination, City shall pay to Developer that portion of compensation specified in the Agreement that is earned and unpaid prior to the effective date of termination. E. DEVELOPER OPTION FOR TERMINATION The Developer 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, Developer shall give the City thirty (30) working days to cure the alleged breach. F. EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS Developer shall solicit and advertise employment opportunities to Santa Ana residents. The City shall inform the Developer of areas to publicize recruitment opportunities, such as work centers and community centers. Such effort and procedure will be provided to the City for review. G. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS Developer 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. 2. Developer 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. H. ASSIGNMENT Inasmuch as the Agreement is intended to secure the specialized services of Developer, Developer may not assign, transfer, delegate or subcontract any interest herein without the prior written consent of City and any such assignment, transfer; delegation or subcontract without the City's prior written consent shall be considered null and void. 1. JURISDICTION -VENUE This Contract has been executed and delivered in the State of California and the validity, interpretation, performance and enforcement of any of the clauses of this Contract shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19P?-20 be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Contract. J. FINES The Developer shall be liable for all violation fines levied against the City by State or Federal Agencies and the Courts such as, but not limited to, oil or fluid leaks. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 18 19D-21 f# r 1 4 II y 1 4 10 W -7 v ?a fi" LL t s .1 G' A ?' 9s . f _ ?V o "061'; 47* QS"Y X -- V \ ? Was U, I v Sect-Y t ATTACHMENT 1 )NE VILLAGE PROJECT AREA City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 19 19D-22 ATTACHMENT 2 TRANSIT ZONING DISTRICT A map of the Transit Zoning District can be accessed at the following location: hftp://www.santa-ana.org/pba/planning/documents/tzc deir/12 Sec4-7 LandUse.pdf City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 20 19D-23 ? a ss g „ r ALd- r r} ? 3 ? a s a ' T 10, ? f'" ? N t qq ATTACHMENT 3 TOWNSEND - RAITT PROJECT AREA City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 21 1901-24 a7. :ma Imr H kv 1910 (n tA11 X vs fa11 + '? a tav _ 7J, Madison a' Park HOOD AV ?. MADISON 4 71 TI-1 ` 4" iv 0 EDINGER AV yy i ? ? rw i- __, Io+o ` a1T --- laaa } iflp aa. ?IJ IMT - ?' /y aa, {{ wt) - lab ?` `7 y MIO 11 N7f Q wi , NN-.-- h aTl I I j _ aa?? URi G7 rwl Im: Iwl twl POMONA ST au 1! ?u-i - -- IIM; + Wool '? +Tq j p, 9? Ital .Iwo r ^ Itn J. r--? Itroj rt6o 1 1144' IM i ?----trwj /tqI It ?.-- 1II]] I~ IH? iry1 na Int It7o I1M I a Im r lf.a Iris low as _ _ Isn a01 + •'I _ I'. itlt --1 tpl - f- _ _ - -I Pala + t11a6 Z fly > fw ff . _.i W - 0 tapf Y ??`-- 4 raw rafo ar Q 10 trft na1... taf$ 'I ala 1x11 IoI J ? _ 11W W -- tomitI OCCIDENTAL ST ow: Iaf Iii I"' 1101 --- alt loos _ qp aw I? lw - -- ', - } ITT ?_ ?? ro $ 14a a10 ql/ InI' aft T Iota lal Ina - - _ Ival l 4417 to" nul Cedar Evergreen Co-op SOW Parks w F 206 AND s Fog ATTACHMENT 4 - CEDAR-EVERGREEN City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 22 1 9Q-2v ATTACHMENT S 1900.2000 WEST MYRTLE STREET City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 23 19Q-26 ATTACHMENT 6: EARLY OUTREACH COMMUNITY MEETING Information regarding the City's Early Outreach Community Meeting requirement can be accessed here: http://www.santa-ana.orq/pba/planning/documents/Sunshine Ordinance-Guide to Community Meetings.pdf City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 190-27 ATTACHMENT 7: CITY OF SANTA ANA REHABILITATION STANDARDS PREFACE The primary purpose of these standards is to address the quality of workmanship and materials expected, and to achieve consistency throughout the program activities administered by the City of Santa Ana. These standards are not intended to reduce or exclude the requirements of any federal, state or local codes, standards, ordinances and regulations that apply to residential rehabilitation. WORKMANSHIP • All work shall be performed in a professional and workmanlike manner. • The quality and durability of the work shall meet or exceed the standards established by the construction industry and various trades. MATERIALS & EQUIPMENT • All materials and equipment shall comply with and be installed in accordance with the manufacturer's requirements and all applicable codes, standards, ordinances and regulations. If a discrepancy occurs between the requirements, the more stringent shall prevail. • Unless otherwise specified, all materials and equipment shall be medium grade. • Economy grade materials and equipment are unacceptable. • All materials and equipment shall be new, in excellent condition, and delivered to the job in the manufacturer's original packaging. • The description of materials and equipment found in this document establish a minimum standard. ENERGY EFFICIENCY, WATER CONSERVATION & RECYCLED MATERIALS To the extent possible and practical, standard measures related to energy conservation, energy efficiency, water conservation and the use of recycled materials have been incorporated herein. Gut rehabilitation or new construction of residential buildings up to three stories will be designed to meet the standard for Energy Star Qualified New Homes. Gut rehabilitation or new construction of mid or high rise multi-family housing must be designed to meet the American Society of heating, Refrigerating and Air-Conditioning Engineers (ASHRAE) Standard 90.1-2004, Appendix G plus 20 percent. LEAD-BASED PAINT All housing built before 1978 must comply with 24 CFR Part 35 Subpart 1 and HUD's Lead Safe Housing Rule regarding the evaluation and control of lead-based paint hazards. HUD's guidelines are available at http://www.hud.aov/offices/lead/lbp/hudguidelines /index.cfm. BUILDING STANDARDS Minimum Standard • The site shall be hazard-free and sanitary. • The site and all paving shall drain away from the dwelling and accessory buildings, but not onto adjacent properties. • Paving and walkways shall be hazard-free and intact. • Landscaping and irrigation systems shall be hazard-free and in relatively good condition. All dead vegetation shall be removed. • Fencinq, walls and gates hazard-free and intact. All gates shall be in good City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19D-28 working order. • The site shall be free from trash, debris and hazardous materials. • Accessory buildings shall be safe and sound. Paving • All new paving and walkways shall be constructed with concrete (2,000 PSI @ 28 days). • Driveways shall be reinforced with wire mesh. Sawn expansion- contraction joints shall be placed every 8 feet in both directions. • All paving and walkways shall be finished with a light broom texture. • All walkways shall be at least 3 feet wide. Sawn expansion-contraction joints shall be laced eve 4 feet. Landscaping & Irrigation • To the extent possible and practical all new landscaping shall be drought resistant. • When a lawn is being replaced, the new lawn area shall be reduced to aid in the reduction of water consumption. • New irrigation controllers shall be weather or sensor based and EPA Water- Sense qualified. • All new irrigation systems shall be designed to conserve water. Fences, Walls & Gates • All new wood fences shall be made from good quality materials. They shall be properly supported with 4X4 pressure treated posts (8 feet O.C.) and 2X4 rails (top and bottom). The posts shall be embedded in a concrete footing at least 18" deep. • All new block walls shall be constructed with 6X8X16 concrete block. They shall be properly supported by a continuous footing and reinforced with steel bar. ROOFS •• COVERINGS GUTTERS AND DOWNSPOUTS Minimum Standard • Roofs shall be safe and structurally sound. • Roof coverings shall be intact and watertight. • Roofing metal and flashing shall be intact and rust free. • Gutters and downspouts shall be intact and rust free. • Roof coverings with five or less ears of useful life shall be replaced. Rehabilitation • Roofs that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • The replacement of roofing includes the replacement of all metal (roof jacks and flashing). • Gutters and downspouts shall be installed to properly discharge rain water run- off. Roof Coverings • 25-year, 3-tab, self-sealing composition shingle. Built-up membrane (hot mop) system on all flat roofs. • Lighter colored coverings are preferred for energy efficiency. Minimum Standard • Safe, structurally sound and watertight. Rehabilitation Decks, balconies and railing that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. I Finishes Zero or low VOC orimers. paint and coatinas. I City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19ij= 9 P Minimum Standard • Safe and structurally sound. Rehabilitation • Ext. steps, stairways and railing that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Finishes • Zero or low VOC primers, paint and coatings. minimum manaaro • pare ana srruaurauy sauna. Rehabilitation Foundations that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • If the project involves a gut rehab, raised foundations shall be completely insulated. Concrete • 2.000 PSI (minimum). Minimum Standard • Safe, structurally sound and watertight. Rehabilitation • Exterior walls that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • If the Droiect involves a cut rehab. all exterior walls shall be insulated. Minimum Standard • Safe, sound, weather-tight and in good working order. Rehabilitation • Exterior doors that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. New Doors EPA Energy Star qualified, zero or low VOC finish. New Hardware Reputable manufacturer, lifetime finish. GARAGE DOORS / GARAGE DOOR OPENERS Minimum Standard Safe, sound and in good working order. Doors shall be impermeable (primed and painted). • Five or more ears of practical utility. Rehabilitation • Garage doors and openers that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. WINDOWS / WINDOW SCREENS Minimum Standard • Windows shall be safe, sound, weather-tight and in good working order. Windows that can be opened shall have a tight-fitting insect screen. • Five or more ears of practical utility. Rehabilitation Windows that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. New Windows Reputable manufacturer. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19P==50 • EPA Energy Star qualified. Minimum Standard • Homes built before 1978 must comply with 24 CFR Part 35 Subpart J and HUD's Lead Safe Housing Rule regarding the evaluation and control of lead-based paint hazards. • All exterior paint shall be intact and free of corrosion. • Five or more years of practical utility. Rehabilitation • All surfaces to be painted shall be prepared properly. All loose material and peeling paint shall be removed. • All holes and cracks shall be filled and finished so that they blend into the surrounding area. • All stucco surfaces to be painted shall receive a complete and even coverage of stucco paint. • All wood surfaces to be painted shall receive a complete and even coverage of flat exterior paint. • Poor workmanship will not be tolerated. New Paint • Reputable manufacturer. • Highest quality available. • Zero or low VOC paint, caulkinq and fillers. Minimum Standard • Safe and structurally sound. • All plaster, drywall and paneling shall be safe and intact. Rehabilitation Walls and wall coverings that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • If the project involves a gut rehab, the attic, walls and floor on raised foundations shall be insulated. FLOORS / FLOOR COVERINGS Minimum Standard • Safe, sound and sanitary. • Five or more ears of practical utility. Rehabilitation Floor coverings that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement Floor Coverings • Carpet & Pad (Reputable manufacturer, recycled materials). • Resilient Flooring (Reputable manufacturer, 10 year wear warranty). • Ceramic Tile (Reputable manufacturer) Minimum Standard • Safe, sound and in good working order. • Five or more years of practical utility. Rehabilitation • Interior doors that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the Replacement Doors & Doors (Reputable manufacturer, masonite, raised panel). Hardware • _ Hardware (Reputable manufacturer, lifetime finish). City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pace 19D- 1 INTERIOR PAINT Minimum Standard Homes built before 1978 must comply with 24 CFR Part 35 Subpart J and HUD's Lead Safe Housing Rule regarding the evaluation and control of lead-based paint hazards. • All interior paint shall be intact and corrosion-free. • Five or more ears of practical utility. Rehabilitation • All surfaces to be painted shall be prepared properly. All loose material and peeling paint shall be removed. • All holes and cracks shall be filled and finished so that they blend into the surrounding area. • All surfaces to be painted shall receive a complete and even coverage of flat paint (semi-gloss in kitchens, bathrooms and laundry rooms). • Poor workmanship will not be tolerated. New Paint • Reputable manufacturer. • Highest quality available. • Zero or low VOC paint, caulking and fillers. KITCHEN CABINETS / COUNT ERTOPS Minimum Standard • Cabinets shall be safe, sound, sanitary and in good working order. • Countertops shall be safe, sound, sanitary and watertight. • Five or more ears of practical utility. Rehabilitation • Cabinets and countertops that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement Cabinets • Reputable manufacturer. • Solid hardwood face-frames, door-frames and drawer fronts. • Metal and nylon drawer guides. • Low or zero VOC adhesives and finishes. Replacement Countertops • Reputable manufacturer. • 4" ceramic tile, 6" backs lash, bull-nose edge. KITCHEN EQUIPMENT AND APPU ANC ES Minimum Standard Safe, sound, sanitary and in good working order. • Faucets shall (at a minimum) be equipped with a low-flow aerator. • Five or more ears of practical utility. Rehabilitation Kitchen fixtures, equipment and appliances that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement Sinks • Reputable manufacturer. • 18- ua a (minimum) stainless steel. Replacement Faucets • EPA Water-Sense qualified. • Reputable manufacturer. • Brass construction, metal housing. Replacement Disposals • Reputable manufacturer. • 1/2 HP motor (minimum). • Stainless steel swivel lugs. Replacement Dishwashers EPA Energy Star qualified. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19D-32 • Reputable manufacturer. Replacement Range Hoods • EPA Energy Star qualified. • Reputable manufacturer. Replacement Ranges • Reputable manufacturer. • Pilot-free ignition. • Four sealed burners. • Self-cleaning oven with timer. Replacement Cook Tops • Reputable manufacturer. • Pilot-free ignition. • Four sealed burners. Wall Ovens • Reputable manufacturer. • Pilot-free ignition. • Self-cleaning oven with timer. BATHROOM FIXTURES AND EQUI PME NT Minimum Standard • Safe, sound, sanitary and in good working order. • Faucets shall (at a minimum) be equipped with a low-flow aerator. • Showerheads shall (at a minimum) be equipped with low-flow aerator. • Porcelain sinks shall be free from any cracks or chips. • Steel sinks shall be free from any rust or corrosion. • Five or more ears of practical utility. Rehabilitation . Bathroom fixtures and equipment that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as lon g as compliance with the minimum standard will be achieved. • Toilets that require more than 1.6 GPF shall be replaced regardless of their co ndition. Replacement Sinks • Reputable manufacturer. • Cast iron, white enamel finish. Replacement Faucets • EPA Water-Sense qualified. • Reputable manufacturer. • Brass construction, metal housing. Replacement Toilets • Reputable manufacturer. • EPA Water-Sense qualified (1.28 GPF) Replacement Tubs • Reputable manufacturer. • Cast iron body, white enamel finish, slip resistant bottom. • EPA Water-Sense qualified plumbing fixtures. Replacement Combination • Reputable manufacturer. Tub-Showers • Cast iron body, white enamel finish, slip resistant bottom. • 4" ceramic tile surround. Anodized aluminum doors with tempered glass. • EPA Water-Sense qualified plumbing fixtures. Replacement Showers • Reputable manufacturer. • 4" ceramic tile. • Anodized aluminum door with tempered glass. EPA Water-Sense qualified plumbing fixtures. Replacement Reputable manufacturer. Medicine Cabinets . Steel body, beveled mirror door. Towel Bars & Toilet Paper Reputable manufacturer. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 19?-33 Holders Metal construction, polished chrome finish. WATER SUPPLY / WASTE AND VENT PIPING Minimum Standard • Safe, sound and leak-free. Rehabilitation Piping (supply, waste and vent) that does not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement • Copper, type "U. Water Supply Piping Replacement • Schedule 40 ABS. Waste & Vent Piping WATER HEATERS Minimum Standard • Safe, sound and in good working order. • Five or more ears of practical utility. Rehabilitation Water heaters that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement Reputable manufacturer. Water Heaters (Tank) • EPA Energy Star qualified. • 40-gallon insulated tank. Replacement Reputable manufacturer. Water Heater EPA Energy Star qualified. (Tank-Less) Minimum Standard • Safe, sound and in good working order. • 100-ampere minimum service. Rehabilitation • Electrical service panels, breakers and wiring that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • Knob and tube wiring shall be replaced regardless of its condition. • Overhead wiring from a dwelling to a detached garage or accessory building shall be installed underground regardless of its condition. Replacement • Reputable manufacturer. Service • 100-ampere (minimum). Replacement • Romex (NM cable). ELECTRICAL SWITCHES / OUTLETS LIGHTING FDCTURES Minimum Standard Safe, sound and in good working order. • Light fixtures shall (at a minimum) be equipped with CFL bulbs. • Exterior lighting fixtures used for security shall be equipped with a motion sensor. Rehabilitation • Electrical switches, outlets and lighting fixtures that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 1901=?4 • All new light fixtures shall be U.L. approved and Energy Star qualified. • Outlets located within 6 feet of a source of water shall be ground fault protected. • Exterior switches and outlets shall be weatherproof. Replacement U.L. approved. Replacement • Reputable manufacturer. Lighting Fixtures • U.L. approved and EPA Energy Star qualified. Minimum Standard • Safe, sound and in good working order. • Five or more ears of practical utility. Rehabilitation HVAC that does not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the mi nimum standard will be achieved. • Tune-up all HVAC equipment (as a minimum). • Seal all ducts (as a minimum). • All new HVAC equipment shall be sized properly. Furnaces Reputable manufacturer. • EPA Energy Star qualified. Central Air Conditioners Reputable manufacturer. • EPA Energy Star qualified. Thermostats • Reputable manufacturer. • EPA Energy Star qualified. • Programmable. Minimum Standard • Additions and alterations that were constructed without a building permit and are clearly substandard shall be removed. • Garages converted to living quarters shall be returned to their original use. • Additions and alterations that were constructed without a building permit, but appear to be compliant, shall be inspected by the City's Building Official to determine if a building permit can be issued and they can be saved. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 196-35 EXHIBIT B ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY AND BUSINESS AUTOMOBILE POLICIES Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza M-25, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza M-25, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective this endorsement form as part of Policy # Issued to Name Insured Countersigned by: Authorized Representative City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 196=56 EXHIBIT C TO BE INCLUDED IN PROPOSAL CITY OF SANTA ANA COMMUNITY DEVELOPMENT REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT PROPOSAL & CONTRACT AGREEMENT PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting here on the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting her approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificates of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to enter into an Agreement and/or furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the Specifications, the Certification of Non-Discrimination by Developers, and the Workers' Compensation Insurance Certificate are to be incorporated by reference into this Agreement and are made specifically as part of this RFP. FIRM SIGNED AND PRINTED NAME DATE City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 196-37 EXHIBIT D TO BE INCLUDED IN PROPOSAL CITY OF SANTA ANA COMMUNITY DEVELOPMENT REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY DEVELOPER The undersigned Developer or corporate officer, during the performance of this contract, certifies as follows: The Developer shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Developer shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Developer agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Developer shall, in all solicitations or advertisements for employees placed by or on behalf of the Developer, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Developer shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Developers commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Developer shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Developer shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Developer's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Developer may be declared ineligible for further Government contracts or federally assisted construction/services contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The Developer shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 35 1901-38 noncompliance; provided, however, that in the event the Developer becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the 8. Developer may request that the United States enter into such litigation to protect the interests of the United States. 9. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Slats. 1039, and as amended, No discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any Developer violating this Section is subject to all the penalties imposed for a violation of the Chapter. FIRM AND PRINTED NAME TITLE EXHIBIT D DATE City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 36 19D-39 EXHIBIT E TO BE INCLUDED IN PROPOSAL CITY OF SANTA ANA COMMUNITY DEVELOPMENT REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT NON-COLLUSION AFFIDAVIT CITY OF SANTA ANA PROPOSAL AND CONTRACT AGREEMENT NON-COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the PROPOSER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the PROPOSER has not directly or indirectly induced or solicited any other PROPOSER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any PROPOSER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the PROPOSER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the PROPOSER or any PROPOSER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other PROPOSER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the PROPOSER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non-collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non-collusion Affidavit. PROPOSERS are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California County of Subscribed and sworn to (or affirmed) before me on this day of 20 , by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal EXHIBIT E City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 37 19D-40 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 16, 2013 TITLE: AGREEMENT AND APPROPRIATION ADJUSTMENT ACCEPTING OFFICE OF TRAFFIC SAFETY, Sq.!?RIETY CHECKPOINT GRAAT FUNDS CONTINUED TO 10-?1-13 CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s' Reading ? Ordinance on 2n° Reading ? Implementing Resolution ? Set Public Hearing For FILE NUMBER 'CITY MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute a one-year agreement with the State Office of Traffic Safety for Sobriety Checkpoint Grant funds, in an amount not to exceed $157,800, subject to non-substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment accepting State of California, Office of Traffic Safety, Sobriety Checkpoint Grant funds in the amount of $157,800 in the Office of Traffic Safety revenue account and appropriate same to expenditure accounts. DISCUSSION The Santa Ana Police Department has been awarded a $157,800 grant from the State of California, Office of Traffic Safety (OTS) under the Sobriety Checkpoint Grant Program. This grant funding will allow the Police Department's Traffic Division to conduct a total of 22 DUI checkpoints with specific enforcement occurring during the Winter Holiday (2013) and Labor Day (2014) enforcement periods. The goal of this grant is to reduce the number of victims of alcohol- involved crashes in the City of Santa Ana. In addition, this grant is intended to reduce the number of night-time accidents, and the number of hit and run accidents. The total grant amount of $157,800 includes program materials and supplies. This one-year October 1, 2013 through September 30, 2014. $154,000 for officer overtime and $3,800 for agreement will cover the program period from 20A-1 Agreement with OTS for Sobriety Checkpoint Program September 16, 2013 Page 2 FISCAL IMPACT The appropriation adjustment will enhance the Office of Traffic Safety revenue account (no. 16514002 52001) by $157,800 and appropriate same to expenditure accounts (nos. 16514410 - various). APPROVED AS T FUND fiNDACCOUNTS: Carlos Rojas Francisco Gutierrez Acting Chief of Police Executive Director Police Department Finance & Mgt. Services Agency :RVL. 20A-2 Op The Regents of the University of California School of Public Health, Berkeley, GRANT NUMBER with Primary Funding from the California Office of Traffic Safety SC14385 •?aea• GRANT 1. Title of Program SOBRIETY CHECKPOINT GRANT PROGRAM FOR 2013-2014 2. Name of Applicant Agency 4. Period of Grant SANTA ANA, CITY OF Month - Day - Year 3. University of California Berkeley, Safe Transportation Research and Education Center From: 10101113 DAVID RAGLAND, PRINCIPAL INVESTIGATOR, UC BERKELEY SAFE TRANSPORTATION RESEARCH AND EDUCATION CENTER To: 09130114 5. Description of Program The goal of the Sobriety Checkpoint Grant Program for 2013-2014 is to reduce the number of victims killed and injured in alcohol-involved crashes in participating cities. The period of this grant contract ("contract'), October 01, 2013 to September 30, 2014, encompasses two national mobilization periods: the Winter Holiday Mobilization period, December 13, 2013 - January 01, 2014, and the Labor Day Mobilization period, August 15, 2014 - September 01, 2014. The Santa Ana Police Department will conduct sobriety checkpoints in Santa Ana in accordance with this contract. The contract includes the attached Schedule A - Descriptions, Schedule B - Detailed Budget Estimate, Schedule B-1 - Budget Narrative, and Schedule C - Terms and Conditions. 6. Federal Funds Allocated Under This Grant Shall Not Exceed: $157,800.00 7. Approval Signatures (By signing this page, Agency agrees to the terms and conditions which follow and are attached) A. The Regents of the University of California Authorized B. Authorizing Official For Applicant Agency Signature Name: David Ragland Phone: (510) 642-065 Name: Paul Walters Phone: (714) 245-8001 Title: Director, SafeTREC Fax: (510) 643-992 Title: City Manager Fax: (714) 647-6956 Address: UC Berkeley Address: 20 Civic Center Plaza, 8th Floor Safe Transportation Research and Education Center Santa Ana, CA 92702 2614 Dwight Way #7374 Berkeley, CA 94720-7374 Email: davidr@berkeley.edu Email: pwalters@santa-ana.org (Signature) (Date) (Signature) (Date) C. Agency Office Authorized to Receive Payments D. Optional: Individuals Authorized to Sign Claims (in addition to the Authorizing Official For Applicant Agency) Agency: Santa Ana, City of Phone: (714) 647-5434 Name: Ruben Ibarra Title: Traffic Commander Office: Finance Department (Signature) (Date) Address: 20 Civic Center Plaza, 2nd Floor Santa Ana, CA 92702 Name: Norman Gielda Title: Traffic Sargent Tax ID #: 95-6000785 Contact Person: Bich Ta Email: bta@santa-ana.org (Signature) (Date) Page 1 20A-3 Santa Ana, City of Schedule A - Description Sobriety Checkpoint Grant Program for 2013-2014 GOALS 1. To reduce the number of victims killed in alcohol-involved crashes. 2. To reduce the number of victims injured in alcohol-involved crashes. 3. To reduce nighttime (2100 hours to 0259 hours) fatal crashes. 4. To reduce nighttime (2100 hours to 0259 hours) injury crashes. 5. To reduce hit and run fatal crashes. 6. To reduce hit and run injury crashes. AGENCY OBJECTIVES Grant No. SC14385 1. To conduct a total of 22 sobriety checkpoints by September 30, 2014 (should be a minimum of one checkpoint per mobilization). NOTE: If a department elects to combine a Driver License (DL) checkpoint with a sobriety checkpoint, the department should: 1) inform the public (via the press release) that driver licenses will be checked and 2) conduct DUI/DL checkpoint operations with signs reading, "DUI/Driver License Checkpoint Ahead". To better identify and apprehend drug-impaired drivers in addition to alcohol-impaired drivers, it is highly recommended that all personnel assigned to staff the greeting lane of the checkpoint be Drug Recognition Experts (DREs) and/or Advanced Roadside Impaired Driving Enforcement (ARIDE) trained sworn officers. At the very minimum, all officers contacting drivers in the greeting lane should be National Highway Traffic Safety Administration (NHTSA) Standardized Field Sobriety Test (SFST) trained and certified. To maximize effectiveness, checkpoint operations may be conducted at more than one location on any evening. Each checkpoint should be highly publicized and visible. The Office of Traffic Safety (OTS) does not fund or support independent DL checkpoints. Only on an exception basis and with OTS pre-approval will OTS fund checkpoint operations that begin prior to 1800 hours. When practicable it is recommended that checkpoint operations run until 0300 hours. 2. If appropriate, a supervisor(s) should attend OTS-sponsored "DUI Checkpoints - Planning and Management" eight-hour, POST-certified training by December 31, 2013. Officers are encouraged to attend this training as well. 3. To collect and report checkpoint statistics on-line for checkpoints conducted during the Winter and Labor Day mobilization periods and submit the data by the deadlines established by the Safe Transportation Research and Education Center (SafeTREC). 4. To collect and report checkpoint statistics on-line for checkpoints conducted outside the mobilization periods and to submit the data by the end of the applicable quarter(s). page 2 20A-4 Santa Ana, City of Schedule A - Description (continued) Sobriety Checkpoint Grant Program for 2013-2014 MEDIA OBJECTIVES Grant No. SC14385 1. After the statewide kick-off press event, issue a press release announcing the kick-off of this grant, using the OTS kick-off press release template provided by SafeTREC. 2. During the mobilization periods (December 13 - January 1 and August 15 - September 1), if an AVOID media campaign is active in the county, grantee should notify the AVOID Coordinator of checkpoint locations, dates and times at least fourteen (14) days in advance of all planned checkpoints. The AVOID Coordinator should issue press releases including checkpoints conducted during the mobilization periods to all maior media outlets in the region. 3. For each checkpoint operation, grantee should distribute a separate press release using the OTS template provided by SafeTREC unless multiple checkpoints are to be conducted within a seven (7) day period, in which case one press release covering the seven (7) day period that covers all operations will suffice. When using the OTS press release template provided by SafeTREC, grantee should forward press releases, media advisories, alerts and other press materials to SafeTREC concurrently with distribution to the media. If any other press release format or copy is used, grantee should submit the press release to the OTS Public Information Officer at pio(a)ots.ca.gov for his review. Optimum lead-time would be 10 - 20 days prior to the operation. The approved press release should also be sent to SafeTREC. For post-operational media communications that report the results of checkpoints, grantee does not need to have the release approved by OTS. 4. Grantee should use OTS's tagline "Report Drunk Drivers. Call 911" on all news releases and checkpoint publication materials. 5. To use the following standard language in all press, media, and printed materials: "Funding for this program was provided by a grant from the California Office of Traffic Safety, through the National Highway Traffic Safety Administration." 6. Grantee should issue to the media a post-operational news release reporting the results of the checkpoint (do not submit to OTS media communications reporting the results of checkpoints). Any drug-impaired driving arrests (23152(a)) and other drug arrests (possession, transportation, for sale) made as the result of the checkpoint operation should be incorporated into the post-operational media release. METHOD OF PROCEDURE Phase I: Program Preparation (October 1, 2013 - December 12, 2013) 1. Review the contract to ensure compliance with contract provisions. 2. Notify SafeTREC of any changes in contact information. The contract, purchase order number, and Fact Blasts are emailed to the contact person listed in the agency application. 3. Attend OTS-sponsored "DUI Checkpoints - Planning and Management" eight-hour, POST-certified training by December 31, 2013. 4. Plan checkpoint staffing, e.g., supervisors, officers, clerical staff, or community service officers as needed to staff each sobriety checkpoint on an overtime basis. 5. Send a written request to SafeTREC to seek approval of any changes to grant funded work or deliverables. 6. Order grant approved checkpoint supplies, if applicable. page 3 20A-5 Santa Ana, City of Grant No. SC14385 Schedule A - Description (continued) Sobriety Checkpoint Grant Program for 2013-2014 Phase II: Mobilization (December 13, 2013 - January 1, 2014 and August 15, 2014 - September 1, 2014) 7. After the statewide kick-off press event in December, grantee should issue a press release announcing the kick-off of this grant using the OTS kick-off press release template provided by SafeTREC. 8. If an AVOID media campaign is active in the county, grantee should notify the AVOID Coordinator of checkpoint locations, dates and times at least fourteen (14) days in advance of all planned checkpoints. The AVOID Coordinator should issue press releases including checkpoints conducted during the mobilization periods to all major media outlets in the region. should distribute a separate press release using the OTS template provided re to be conducted within a seven (7) day period in which case one press at covers all operations will suffice. When using the OTS press release ould forward press releases, media advisories, alerts, and other press tribution to the media. If an other Press release format or copy is used, he OTS Public Informs ion icer a io o s.ca. ov or his review. Optimum operation. The approved press releases ou a so a sent to SafeTREC. Llo that report the results of checkpoints, grantee does not need to have the 10. Use OTS's tagline, "Report Drunk Drivers. Call 911" on all news releases and checkpoint publication materials. 11. Conduct roll call training. Roll call training costs are not reimbursable. 12. To better identify and apprehend drug-impaired drivers in addition to alcohol-impaired drivers, it is highly recommended that all personnel assigned o staff the greeting lane of the checkpoint be Drug Recoggnition Experts (DREs) and/or Advanced Roadside Impaired Driving Enforcement (ARIDE) trained sworn officers. At the very minimum, all officers contacting drivers in the greeting lane should be NHTSA SFST trained and certified. 13. Begin the checkpoint no earlier than 1800 hours and if possible and practicable, operate the checkpoint until 0300 hours. 14. Conduct the last checkpoint no later than September 30, 2014. Phase III: Post Operational Data Reporting (at the end of each mobilization period and each applicable calendar quarter) 15. Submit post-operational data on-line for checkpoints conducted during the Winter Holiday and Labor Day mobilizations. Submit data by the SafeTREC deadlines. 16. Submit post-operational data on-line for checkpoints conducted outside the mobilization periods. Submit the data by the end of the applicable quarter. If multiple checkpoints are conducted during a quarter, summarize(total) the checkpoint statistics. 17. Issue to the media a post-operational news release reporting the results of the checkpoint. Any drug impaired driving arrests (23152(a)) and other drug arrests (possession, transportation, for sale) made as the result of the checkpoint operation should be incorporated into the post-operational media release. Phase IV: Claim Submission (at the end of the applicable calendar quarter) 18. Compile actual overtime and checkpoint supply costs incurred for operating the grant-funded checkpoints. 19. Download the claim form from the SafeTREC web site at: http://www.safetrec.berkeley.edu/checkpointgrants/2013 - 2014checkpoint. htm I 20. Complete the claim form for the applicable quarter in accordance with Schedule B - Detailed Budget Estimate and Schedule B-1 - Budget Narrative. 21. Mail the claim forms for the quarter, with the required supporting documentation (specified in Schedule B-1) to SafeTREC following the end of the applicable calendar quarter. page 4 20A-6 Santa Ana, City of Schedule B - Detailed Budget Estimate Sobriety Checkpoint Grant Program for 2013-2014 Grant No. SC14385 The Santa Ana, City of will conduct a total of 22 sobriety checkpoints in Santa Ana as described in Table B below. Table B Number of Cost Per Checkpoint Total Cost Checkpoints Winter Holiday Mobilization, December 13, 2013 - January 01, 2014 (should be a minimum of one 2 $7,000.00 $14,000.00 checkpoint) Labor Day Holiday Mobilization, August 15, 2014 - September 01, 2014 (should 2 $7,000.00 $14 000.00 be a minimum of one , checkpoint) Number of checkpoints outside the mobilization periods 18 $7,000.00 $126,000.00 Total Number of 22 Maximum Reimbursable $154,000.00 Checkpoints Amount for Checkpoints The cost per checkpoint includes overtime benefits. Only actual benefits accrued from overtime hours will be covered (e.g., retirement, medical/dental/vision insurance, uniform allowances will not be covered). Allowable benefits include: Social Security (OASDI), Workers Compensation, Medicare, State-run disability, and unemployment insurance. Maximum Reimbursable Amount for Checkpoint Supplies $3,800.00 Only OTS-approved supplies will be reimbursed. The prices of supplies will be reimbursed in accordance with policies established by the OTS. Grant Total Amount $157,800.00 (Maximum Reimbursable Amount for Checkpoints + Maximum Reimbursable Amount for Checkpoint Supplies) page 5 20A-7 Santa Ana, City of Schedule B-1 - Budget Narrative Sobriety Checkpoint Grant Program for 2013-2014 Grant No. SC14385 Santa Ana, City of will be reimbursed for overtime personnel costs and checkpoint supplies to conduct the checkpoints. Overtime reimbursement will reflect actual costs (overtime hourly rate and overtime benefit rates) of the personnel conducting the appropriate operation s) up to the amount of the approved cost per checkpoint and the grant total stated in Schedule B- Detailed Budget Estimate. Only actual benefits accrued from overtime hours will be covered (e.g., retirement, medical/dental/vision insurance, uniform allowances will not be covered). Allowable benefits include: Social Security (OASDI), Workers Compensation, Medicare, State-run disability, and unemployment insurance. Budgeted grant activities will be conducted by personnel on an overtime basis, supplanting is not allowable. The grant covers only the costs of police department personnel. Grants do not cover contractual services. Grant-funded operations may be conducted by personnel such as an officer, sergeant, corporal, deputy, community service officer, dispatcher, clerical/administrative, etc. depending on the titles used by the agency. Personnel will be deployed as needed to accomplish the grant goals and objectives. Administrative/clerical personnel are allowable only if they worked on the checkpoint operation, e.g., to process the larger than normal volume of citations, towing records, and arrest/incident reports. These reports must be a result of the operation and required to be processed quickly for distribution to the courts and the District Attorney's Office, or to meet statutory time limits. Clerical overtime incurred before the checkpoint or more than one business day after the last day of the checkpoint is not allowable. Costs for preparing claims are not reimbursable. OTS-approved checkpoint supplies (cones, signage, vests, PAS devices/supplies and lighting equipment) are reimbursable provided that: 1) the total cost of supplies, including tax and shipping, does not exceed the awarded amount specified in Schedule B; and 2) the unit prices of checkpoint supplies do not exceed OTS-established unit costs. Download the Checkpoint Supply Policy from the SafeTREC website to ensure compliance of checkpoint supply purchases. Other direct costs are not reimbursable, except for OTS-approved checkpoint supplies. Indirect costs are not reimbursable. Reimbursements are contingent upon the following (exceptions must be approved by SafeTREC): i. The applicable post-operational data have been submitted using SafeTREC's on-line reporting system. ii. The claim form is correctly filled out, using the SafeTREC Excel-based form. iii. The claim amounts do not exceed the limits set forth in Schedule B -Detailed Budget Estimate. iv. The information in the overtime slips and the ledger report are consistent and fully support the claim. V. A ledger report(s) supporting the claim amount is attached to the claim. Only source documents are accepted to support the claim amount. Explanatory documentation such as spreadsheets may be submitted to provide additional information but cannot be accepted in lieu of a ledger report(s). vi. An invoice(s) for the amount of checkpoint supplies is attached to the claim. The invoice must contain a sufficient description of the purchased item(s), quantity, and unit cost. vii. The claim is signed by the Authorizing Official (Box B of the grant cover page) or Individuals Authorized to Sign Claims (Box D) as designated in the grant cover page. viii. Changes in the Authorizing Official For the Applicant Agency or the designation of any other additional individual(s) to sign claims are documented in accordance with SafeTREC documentation requirements. ix. The final claim is submitted no later than October 31, 2014. page 6 20A-V Santa Ana, City of Schedule C - Terms and Conditions Sobriety Checkpoint Grant Program for 2013-2014 A. INDEMNIFICATION Grant No. SC14385 Applicant Agency agrees to indemnify, defend, and save harmless the State of California, its officers, agents, and employees, the Regents of the University of California, its officers, agents, and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, suppliers, laborers, and any other person, firm, or corporation furnishing or supplying work services, materials, or supplies in connection with the performance of this contract, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by Applicant Agency in the performance of this contract. B. GOVERNING LAW This Contract shall be governed by and construed in accordance with the laws of the State of California. C. NON-ASSIGNABILITY The obligations of the applicant agency under this Contract are not assignable to any third party. D. USE OF UNIVERSITY NAMEITRADEMARKS Applicant Agency shall not use the name of the University of California, or any abbreviation thereof, or any name of which "University of California" is a part, or any trademarks of the University, in any commercial context, such as may appear on products, in media (including web sites) and print advertisements in cases when such use may imply an endorsement or sponsorship of the Applicant Agency, its products, or services. All uses of the University's name and trademarks, therefore, must first receive prior written consent of The Regents of the University of California through the Office of Marketing & Business Outreach. This policy is in compliance with the State of California Education Code Section 92000. E. TERMINATION Each party has the right to suspend, terminate or abandon the execution of any work by the Applicant Agency without cause at any time upon giving prior written notice. In the event that this contract is suspended, terminated, or abandoned, the Regents of the University of California shall pay the Applicant Agency for services provided hereunder prior to the effective date of said suspension, termination, or abandonment. Said payment shall be computed in accordance with Schedules B and B-1, provided that the maximum amount payable to the Applicant Agency for its services shall not exceed the Grant Total Amount on Schedule B for services provided hereunder prior to the effective date of suspension, termination, or abandonment. F. STATE OF CALIFORNIA TERMS, CONDITIONS, AND CERTIFICATIONS Applicant Agency agrees to abide by the General Terms, Conditions, and Certifications contained in OTS Grant Program Manual, Chapter 8. page i 20A-9 20A-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AWARD A CONTRACT TO ? As Recommended PARKIA, INC ENGINEERING & El As Amended I" CONSTRUCTION FOR SPORTS ? Ordinance on t Reading ? Ordinance on 2nd Reading LIGHTING REPLACEMENT ? Implementing Resolution AND REPAIR ? Set Public Hearing For (SPEC. 13-0 5) CITY MANAGER CONTINUED TO FILE NUMBER RECOMMENDED ACTION Award a contract to Parkia, Inc. Engineering & Construction to provide sports lighting replacement and repair services at City owned parks and joint used fields for a one-year period with provision for three, one-year renewals, in an annual amount not to exceed $60,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Parks, Recreation and Community Services Agency is responsible for the maintenance and operation of 22 lighted sport fields. General maintenance staff continually evaluates the condition of the sport lights at all locations and performs minor repairs. At the Dan Young Soccer Complex over half of the lamps are slated to be replaced and the reflectors scheduled to be cleaned. The contract will replace 213 lamps, clean reflectors, and repair ballast and fixtures as required. Additionally, the City establishes an annual blanket order list consisting of vendors that provide supplies and services that are required by agencies on a consistent basis. As such, staff recommends additional funds for sports lighting replacement and repair services required throughout the year to maintain the City's lighted sport fields. The notice inviting bids was advertised on October 2, 2013 and bids were solicited. A summary of the bid invitations and bids received is as follows: 4 Invitations for Bid mailed 1 Invitation for Bid mailed to a Santa Ana vendor 4 Bids received 2 Bids received from Santa Ana vendors 22A-1 Contract Award for Sports Lighting Replacement and Repair October 21, 2013 Page 2 Bids were solicited, opened on October 15, 2013, and evaluated (Exhibit 1). The bid received from Parkia, Inc. Engineering & Construction is responsive to the specifications and meets the City's requirements. FISCAL IMPACT Funding for this contract is available in the Park Services M&R Buildings and Grounds account (no. 01113250-62320). APPROVED AS TO FUNDS AND ACCOUNT: u Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency Francisco Gutierrez, Executive Director Finance and Management Services Agency EG 22A-2 Contract Award for Sports Lighting Replacement and Repair October 21, 2013 Page 3 13-055 SPORTS LIGHTING REPL. & REPAIR ABSTRACT Parkia, Inc. Williams & AJ Kirkwood & Engineering & Maher Illumitech Associates, Construction Inc. Brea, CA Santa Ana, CA Santa Ana, CA Tustin, CA Descri tion Hourly Rate Total $153.69 $95 $165 $188 Add'I fees none none none Mark up & h d 15% over ea Base Offer w/o LIFT $28,719.71 $34,950.00 $38,354.70 $55,155.00 Base Offer $32,619.71 $42,750.00 $45,854.70 $66,211.00 *1% local vendor preference applied **$31,314.92 *$42,322.50 -$45,396.15 $66,211.00 **4% small OC preference applied Exhibit 1 22A-3 22A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT RENEWAL WITH OFFICE DEPOT FOR OFFICE SUPPLIES (SPEC. NO. 10-052) I CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on ts' Reading ? Ordinance on 2"' Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Renew the contract with Office Depot for the purchase of office supplies in an annual amount not to exceed $170,000 subject to non substantive changes by the City Manager. DISCUSSION City departments require an assortment of office products for their daily operations including specialized paper, binders, and an assortment of various office supply items. Office Depot offers on- line ordering with next day delivery service at no additional charge, with tracking and payment information for the requesting departments. The contract offers a range of 40-70 percent discounts through the Los Angeles City Cooperated Contract Program. By using the contract, the City benefits from the quantity pricing. Additionally, since the introduction of managed print services through C3 Office Solutions, desktop printer toner costs have declined 42 percent or the equivalent of $41,000 over the past nine month period. Furthermore, the introduction of managed print services has helped reduce the Office Depot office supplies contract by $45,000 when compared to the prior year. On January 4, 2011, the City Council awarded the office supplies contract to Office Depot for a one year period, with provisions for four one-year renewals. Office Depot has exceeded performance expectations, and has agreed to renew the contract without an increase in pricing. Staff recommends the second renewal option. FISCAL IMPACT Funds are available in various departmental Office Supplies account no. (63001) Francisco Gutierrez Executive Director Finance and Management Service Agency SH 22B-1 22B-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT RENEWAL WITH SAFEWAY SIGN COMPANY FOR SIGNS, HARDWARE AND ACCESSORIES (SPEC. NO. 11-044) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2ntl Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Renew the contract with Safeway Sign Company for traffic signs, hardware and accessories for a one-year period in an amount not to exceed $125,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Sign Maintenance Services Division maintains a wide array of traffic and street name signs throughout the City. 5,100 signs were replaced during fiscal year 2012-13. The U.S. Department of Transportation established new regulations to improve highway and street safety by replacing less reflective signs with higher retro-reflectivity signs. The regulation includes a mandated replacement deadline of January 2015. The Public Works Agency has a replacement schedule in place to comply with the new regulation. The materials necessary for ongoing sign maintenance operations, including signs, posts and mounting hardware, are purchased through the Central Stores warehouse for distribution. On October 11, 2011 the City awarded Safeway Sign Company a contract for traffic signs, as well as hardware and accessories for a one-year period, with provisions for two one-year renewals. The vendor has agreed to renew the contract without an increase in pricing. Staff recommends the final renewal of the contract. FISCAL IMPACT Funds are available in the Public Works Roadway Marking/Signs account (no. 01117625-63001). Edwin "William" Gal z, P.E. Interim Executive Director Public Works Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency V 22C-1 22C-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT RENEWAL WITH AQUA- METRIC SALES COMPANY FOR MULTI-JET WATER METERS (SPEC. .11- 49) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL 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 Renew the contract with Aqua-Metric Sales Company for the purchase of multi-jet water meters for a one-year period in an amount not to exceed $125,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Water Resources Division regularly performs installation, maintenance, and replacement of residential and commercial water meters. The three types of meters used by the City are positive displacement, multi-jet and turbine meters. Positive displacement meters are used primarily for residential applications. Multi-jet meters are used for multi-family residential, irrigation and commercial applications. Turbine meters are used for high volume water users, including industrial, commercial, irrigation, and large multi-family residential applications. There are approximately 45,000 metered service locations in the City and water meters are typically replaced every 15 years. The meters are purchased through the Central Stores warehouse for distribution to the Public Works Agency as needed. On October 17, 2011 the City awarded a contract to Aqua-Metric Sales Company for a one-year period with provisions for three, one-year renewals. Staff recommends the second renewal of the contract. The recommended action will allow replacement of approximately 650 water meters. FISCAL IMPACT Funds are available in the Public Works Water System Maintenance and Water Quality & Measurement accounts (nos. 06017641-63001 and 06017644-63001). APPROVED AS TO FUNDS AND ACCOUNTS: Edwin "William" GaM Interim Executive Dire Public Works Agency P. E. Francisco Gutierrez ?tYy] it Executive Director 22 •F'in1tce & Management Services Agency 22D-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACTS RENEWAL FOR MISCELLANEOUS PLUMBING SUPPLIES (SPEC. N 12- 1) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2od Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Renew the contracts for miscellaneous plumbing supplies for a one-year period in an annual aggregate amount not to exceed $90,000, subject to non-substantive changes approved by the City Manager and City Attorney with the following vendors: Vendor Location Ferguson Enterprises, Inc. Pomona Irvine Pipe & Supply, Inc. Santa Ana DISCUSSION The City maintains in excess of 30 buildings, including City Hall, Corporate Yard, the Police Administration and Holding Facility, recreation and senior centers, libraries, and park facilities. Various departments require a wide range of materials for repair or improvement projects. Plumbing supplies such as pipes, valves, couplings and tools are used extensively in the maintenance of City facilities. The contracts are designed to provide quality products at significant savings based on quantity pricing. To ensure that necessary materials are available when required, staff recommends awarding contracts to both local suppliers. On May 7, 2012 the City awarded contracts to Ferguson Enterprises, Inc. and Irvine Pipe & Supply, a Santa Ana vendor, for a one-year period with provisions for four, one-year renewals. Staff recommends the first renewal of the contract. FISCAL IMPACT Funds are available in the various departmental Miscellaneous Operating Expenses account (no. 63001). 22E-1 Contracts Award for Misc. Plumbing Supplies October 21, 2013 Page 2 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director i Finance & Mgmt. Services Agency b? 11 sp 22E-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACTS RENEWAL FOR ELECTRICAL SERVICES (SPEC..NNO. 12-061) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on god Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Renew the contracts for electrical services for a one-year period in an aggregate amount of $200,000, subject to non-substantive changes approved by the City Manager and City Attorney, with the following vendors: Vendor Location A.J. Kirkwood & Associates, Inc. Tustin Williams & Maher, Inc. Santa Ana The City maintains in excess of 30 buildings including City Hall, Corporate Yard, Regional Transportation Center, Police Administration and Holding Facility, recreation and senior centers, libraries, and park facilities. Electrical services are required at times by all City departments for the purpose of rewiring, installing electrical outlets and general electrical maintenance. In addition, electrical emergencies may arise requiring immediate response to maintain safety or vital operations running. The contracts for electrical service provide for both maintenance and emergency services for all City departments. On October 15, 2012, the City awarded contracts to A.J. Kirkwood & Associates, Inc. and Williams & Maher, Inc., a Santa Ana vendor, for a one-year period with provisions for three, one-year renewals. A.J. Kirkwood & Associates, Inc. has agreed to renew the contract without an increase in pricing; however, Williams & Maher, Inc. has requested an average of five percent increase. Staff recommends the first renewal of the contract. 22F-1 Contracts Award for Electrical Services October 21, 2013 Page 2 FISCAL IMPACT Funds are available in the various departmental Maintenance & Repair of Buildings & Grounds account (no. 62320). Francisco Gutierrez Executive Director Finance and Management Services Agency sp 22F-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT RENEWAL WITH WEST COAST SAND AND GRAVEL, INC. FOR WASH AND FILL SAND (SPEC. NO. 12-0 6) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL 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 Renew the contract with West Coast Sand and Gravel, Inc. for wash and fill sand for a one-year period in an amount not to exceed $75,000, subject to non-substantive changes approved by the City Manager and City Attorney. The Public Works Maintenance Services Division performs maintenance and repair on the City's streets. In order to perform these duties, the agency requires an assortment of road materials including wash and fill sand. These base materials are used when repairing asphalted surfaces. Road materials are purchased through the Central Stores warehouse for distribution to the City Maintenance Services Division staff. The contract for wash and fill sand is designed to provide a quality product at significant savings based on quantity pricing. On January 22, 2013, the City Council awarded a contract to West Coast Sand and Gravel, Inc. for a one-year period with provisions for four, one-year renewals. The vendor has agreed to renew the contract without an increase in pricing. Staff recommends the first renewal of the contract. FISCAL IMPACT Funds are available in the Public Works Sanitary Sewer Service account (no. 05617640-63001). APPROVED AS TO FUNDS AND ACCOUNT: Edwin "William" Ga ez, P.E. Interim Executive Director I1x mn%r Francisco Gutierrez y? Executive Director J" 22G-1 22G-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT AWARD TO WATERLINE TECHNOLOGIES FOR WATER TREATMENT SALT (SPEC. NO. 13-043) L CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Waterline Technologies for water treatment salt for a one-year period, with provision for three, one-year renewals in the annual amount not to exceed $45,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Water Resources Division produced 26,730 acre-feet of water last fiscal year from 21 groundwater wells. In addition, another 12,454 acre-feet of treated water was purchased from the Metropolitan Water District of Southern California for delivery to businesses and residents in Santa Ana. In compliance with the National Sanitation Foundation Standard 60 requirements for safety, salt is used in a non-hazardous disinfection process at the well sites. This process ensures the City meets the California Department of Public Health public drinking water regulations and makes the water potable for human consumption. Salt is purchased through the Central Stores warehouse for distribution to the City Water Resources Division staff. The contract provides a quality product at a significant savings based on quantity pricing. The notice inviting bids was advertised on August 9, 2013, and bids were solicited. A summary of the bid invitations and bids received is as follows: 4 Invitations For Bid mailed 2 Invitations For Bid mailed to Santa Ana vendors 3 Bids received 2 Bid received from Santa Ana vendors Bids were received, opened on August 20, 2013 and evaluated (Exhibit 1). The bid received from Waterline Technologies, a Santa Ana vendor, is responsive to the specifications and meets the City's requirements. The annual amount is based upon past usage and staffs projection for the next contract period. 22H-1 Contract Award for Water Treatment Salt October 21, 2013 Page 2 FISCAL IMPACT Funds are available in the Public Works Water Production & Supply account (no. 06017640- 63001). APPROVED AS TO FUNDS AND ACCOUNTS: Edwin "William" Ga vez, .E. Francisco Gutierrez Interim Executive Director Executive Director Public Works Agency Finance & Mgmt. Services Agency 22H-2 ABSTRACT OF BIDS WATER TREATMENT SALT (SPEC. NO. 13-043) Gallade Chemical, Bidder Inc. Univar USA, Inc. Waterline Technologies Location Santa Ana, CA Delivery Bid Total $38,574.90 $385.75 $38,189.15 (a) 1 % Local Vendor Preference (b) 7% Small Santa Ana Business Preference Kent, WA 2-5 days $45,945.90 EXHIBIT 1 22H-3 Santa Ana 24 -48 hrs. $38,378.34 (b) $2686.48 $35,691.86 22H-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT AWARD TO CART- AWAY CONCRETE SYSTEMS, INC. FOR A CONCRETE MIXER SYSTEM (SP NO 13- i CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL 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 Award a contract to Cart-Away Concrete Systems, Inc. a concrete mixer system in an amount not to exceed $55,500, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Water Systems Maintenance Division performs a variety of maintenance and repairs to City's water distribution system which consists of approximately 480 miles of water mains, 6,000 distribution valves, 4,815 fire hydrants and other water related assets. System disruptions, such as water main breaks or leaks, require street and/or sidewalk excavation. Currently, staff rents the equipment necessary to patch street and sidewalks. Occasionally the equipment is not available and staff is required to mix concrete manually. The concrete mixer system will ensure the equipment to mix concrete is available when required allowing for a more efficient and cost-effective way to perform trench repairs. The notice inviting bids was advertised August 28, 2013, and bids were solicited. A summary of the bid invitations and bids received is as follows: 3 Invitations For Bid mailed 1 Bid received Bids were received, opened on September 10, 2013, and evaluated. The bid from Cart-Away Concrete Systems, Inc. is responsive to the specifications and meets the City's requirements. FISCAL IMPACT Funds are available in the Public Works Water Systems Maintenance account (no 06017641- 66400). 221-1 Contract Award for Concrete Mixer System October 21, 2013 Page 2 APPROVED AS TO FUNDS AND ACCOUNTS: Edwin "William alve , P.E. Interim Executive Director Public Works Agency BI/sp Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 221-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AWARD A CONTRACT TO ? As Recommended CERTIFIED TRANSPORTATION ? Or Amended ? Ordinance on 1"Reading SERVICES, INC ? Ordinance on 2ndReading FOR CHARTER BUS SERVICE ? Implementing Resolution (SPEC. NO. 13-048) ? Set Public Hearing For_ CITY MANAGER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Award a contract to Certified Transportation Services, Inc. for charter bus service for a one-year period with provision for four, one-year renewals, in an annual amount not to exceed $55,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Parks, Recreation and Community Services Agency utilize charter bus services for youth excursions and OCTA Senior Mobility Program transportation needs. Coach buses with restroom facilities are used for excursions that require one hour or more of travel time. Shuttle or school buses are used for trips lasting less than one hour. Additionally, the Police Athletic and Activities League (PAAL) utilize charter bus services for youth program excursions throughout the school year. The notice inviting bids was advertised September 25, 2013, and bids were solicited. A summary of the bid invitations and bids received is as follows: 5 Invitations for or Bid mailed 1 Invitation for Bid mailed to Santa Ana vendor 4 Bids received 1 Bid received from a Santa Ana vendor Bids were received, opened on October 7, 2013, and evaluated (Exhibit 1). The bid from Certified Transportation Services, Inc. is responsive to the specifications and meets the City's requirements. 22J-1 Contract Award for Charter Bus Services October 21, 2013 Page 2 FISCAL IMPACT Funds are available in the Parks & Recreation OCTA Senior Mobility Program account (no. 16913202-62300), Youth Guidance account (no. 01113230 62300) and Police Special Revenues account (no. 02414410- 62300). APPROVED AS TO FUNDS AND ACCOUNTS: Gerardo Mouet Executive Director Parks, Rec. and Com. Svcs. Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency ;vv? Carlos Rojas Acting Chief of Police Police Department 22J-2 ?b I Contract Award for Charter Bus Services October 21, 2013 Page 3 13-048 CHARTER BUS SERVICES ABSTRACT Certified Transportation Services, Inc. Silverado Stages, Inc. Transportation Charter Services First Student Description Santa Ana, CA San Luis Obispo, CA Orange, CA City of Industry, CA Deluxe Tour Coach $105/per hour $90/per hour $128/per hour No Bid Deluxe Tour Coach w/lift $105/per hour $90/per hour $128/per hour No Bid Regular School/Activity Bus $62.50/per hour $90/per hour $128/per hour $75/per hour Regular School/Activity Bus w/lift $70/per hour $90/per hour No Bid No Bid Additional fees Tolls & Parking as charged $4.10 per mile after 100 miles 3% fuel charge PUC.025% Average Hourly Rate Average Hourly Rate Average Hourly Rate Average Hourly Rate *1% local vendor preference applied *$84.77 $90.00 $128.00 $75.00 TQS Statement x x x x cent of Nondiscrimination x x x x List of buses x x x x D.O.T cert/license x x x x Safety Record x x X x List of references x x x x Vendor Contact info x x x x Exhibit 1 22J-3 22J-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT AWARDS FOR THE GARFIELD COMMUNITY CENTER (SPEC. NO. 13-047,13-049, 13-058 AN 13-059) y CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on I" Reading ? Ordinance on 2otl Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER 1. Award a contract to Apple, Inc. for the purchase of personal computers, laptops and video editing software in an amount not to exceed $110,300; and increase the aggregate limit for miscellaneous purchases in an amount not to exceed $25,000 annually. 2. Award a contract to Siemens Industry, Inc. for the purchase of a video surveillance system in an amount not to exceed $69,000. 3. Award a contract to Digital Networks Group, Inc. for the purchase audio/video equipment in an amount not to exceed $58,000. 4. Award a contract to CDS Office Products for classroom furniture in an amount not to exceed $43,700. The above contracts are subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION As part of the City's community outreach efforts to enhance the Lacy Neighborhood, the City entered into a joint use agreement with the Santa Ana Unified School District for the construction and use of a community center on Garfield Elementary School grounds. The Garfield Community Center, a 10,000 square foot two story facility is scheduled to complete construction in October 2013. Fully-equipped, the center will provide services to students and residents with access to professionally equipped computer labs where patrons will learn about video production, editing, 22K-1 Contract Awards for the Garfield Community Center October 21, 2013 Page 2 and broadcast. In addition, the center will assist in the production of essential content for Santa Ana's government TV station CTV-3. In order to facilitate these services and programs, the Parks, Recreation and Community Services Agency will fully equip three classrooms on the second floor of the community center. The computer classrooms will be outfitted with computer equipment, video editing software and high performance audio/video equipment. Additionally, the computer classrooms will include ceiling mounted projectors, screens, personal desktop and laptop computers with video editing software. To complete the full utilization of the classrooms, computer desks, chairs and tables will be purchased in order to provide a high functioning training environment, as well as accommodations for City meetings to be aired on CTV3. To enhance public safety and provide a secure learning environment, a video surveillance system will be installed to provide security monitoring. The surveillance system will be joined to the existing Santa Ana Police Department system allowing the use of the same video management system. All equipment and furniture will be acquired utilizing three methods of procurement; competitive formal bid, sole source and cooperative contract purchasing. Staff recommends the approval of the recommended actions. Classroom furniture: The notice inviting bids was advertised on September 9, 2013, and bids were solicited. A summary of the bid invitations and bids received is as follows: 4 Invitations For Bid emailed 3 Bids received ABSTRACT OF BIDS - CLASSROOM TRAINING FURNITURE (13-049) CDS OFFICE Burkett's Office Furniture by Bidder PRODUCTS Products William Webb Location Costa Mesa Sacramento Carrollton, TX Terms Net 30 Net 30 Net 30 Delivery 30 Days 120-180 Days 35-40 Days Bid Total $43,631.88 $44,841.91 $48,937.04 The bid received from CDS Office Products is responsive to the specifications and meet's the City's requirements. 22K-2 Contract Awards for the Garfield Community Center October 21, 2013 Page 3 Computers, laptops and software: Apple, Inc. provides the industry standard for professional digital video editing software as well as a streamlined and efficient operating system. By purchasing direct from Apple, Inc., the City is able to take advantage of Apple's special government pricing for state and local government agencies. The purchase of the computer items for the Garfield Community Center, when combined with citywide purchases during the current fiscal year, will exceed the $25,000 aggregate limit. In order to facilitate continued purchases, staff recommends an increase in the Apple Inc. aggregate limit. Audio/Video Equipment: Santa Ana City Ordinance No. NS-2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. Digital Networks Group, Inc. contract for audio/video equipment under the California Multiple Award Schedule and Siemens Industry, Inc. contract for surveillance systems under the National Joint Powers Alliance were awarded as a result of open, competitive bidding and meet the City's requirement. FISCAL IMPACT Funds are available in the Parks, Recreation, and Community Services Agency's PEG capital equipment account (no. 02113200-63001) in the amount of $271,000 and fee and Parks and Recreation Special account (no. 02213200-63001) in the amount of $10,000. APPROVED AS TO FUNDS AND ACCOUNT: Gerardo Mouet Francisco Gutierrez Executive Director Executive Director Parks, Recreation and Community Finance and Management Services Agency _tyvL Services Agency 22K-3 22K-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: REJECT THE PROPOSAL FOR A NEW PROPANE FUELING STATION AT THE SANTA ANA CORPORATE YARD (PROJECT NO.111300) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2ntl Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Reject the proposal for the new propane fueling station, service agreement, and propane supply at the Corporate Yard. DISCUSSION Rejecting the one bid that was submitted authorizes the closure of this current bid cycle and allows staff to re-bid or re-scope the project so that the City receives competitive pricing within available funds. The City of Santa Ana Corporate Yard was constructed in 1994 with gasoline and diesel fueling stations. In response to the availability and growing popularity of alternative fuels, compressed natural gas and hydrogen fueling stations were later added. In February 2011, Fleet Services prepared the City of Santa Ana Green Facilities, Fleet and Central Stores Strategic Plan (Strategic Plan) in an effort to continue and expand the process of creating environmentally responsible facilities, fleet, and stores operations. The provision of alternative fuels and fuel efficiency are the cornerstones of this plan. In 2012, Fleet Services was successful in receiving Clean Transportation funding through the Mobile Source Air Pollution Reduction Review Committee (MSRC), in the New Expanded or Upgraded Alternative-Fuel Infrastructure category to install a propane fueling station. Through the provision of this alternative fuel, the City could continue progress toward the goals of the Strategic Plan. On June 19, 2013, a Request for Proposals (RFP) was published via the City website, e-mail, and an online planning room. The Scope of Work consisted of three parts: (1) design and build a propane fueling facility, including concrete work, fencing, tank, dispensing unit, and related infrastructure; (2) a five-year service agreement; and (3) a propane supply. Although two Letters of Intent had been received prior to publishing the RFP, only one proposal was received. The proposal received was submitted by Arro Autogas for a lump sum cost of $205,000 for the design- build component of the project. This exceeded the Engineer's Estimate of $80,000. 23A-1 Rejection of Proposal for a new Propane Fueling Station at the Santa Ana Corporate Yard October 21, 2013 Page 2 As part of the proposal and fee evaluation process, and in an effort to investigate why fees exceeded the estimate, the proposer was interviewed and a request was made for a cost breakdown. The proposer refused this request. As a result, staff finds the proposer to be nonresponsive, and recommends rejecting the proposal and advertising the project again. Following Council approval to reject the proposal, two new RFPs will be issued, separating the design-build component from the service agreement/propane supply component. It is anticipated that this approach will increase interest and competiveness. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Edwin "William" alve , P. E. Interim Executive Director Public Works Agency Francisco Gutierrez Executive Director Finance & Management Services Agency EWG/SF Exhibit 1: Project Location Map 23A-2 imam rROAW L0CA710N EXHIBIT 1 a SANTA ANA CITY COUNCIL 1 ' F AGENDA ?` DATES PROJECT (11-1300) PROPANE FUELING OCTOBER 21. STATION AT CORPORATE YARD „., c ms. w. 2013 23A-3 23A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT AWARD FOR 2013/2014 OMNIBUS CONCRETE REPLACEMENT CONTRACT (PROJECT NO. 146798) L4 CITY MAN ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2n0 Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER 1. Award a contract to Y&M Construction, Inc., the lowest responsible bidder, in accordance with unit bid prices, totaling $283,875 for the construction of the Omnibus Concrete Replacement Project. 2. Approve the Cost Analysis, as shown in Exhibit 1, for a total estimated project delivery cost of $369,038. DISCUSSION The recommended action will allow the City to enter into a contract with Y&M Construction, Inc., and proceed with construction of the Omnibus Concrete Replacement Project. The project is part of the City's 2013/2014 Capital Improvement Program. Project design is complete and bid procedures have been followed as established by the City's Municipal Code and in adherence with the Public Contracts Code. The Omnibus Concrete Replacement Project will provide for replacement of damaged and deteriorated concrete sidewalk, curbs, gutters, cross gutters, wheelchair ramps, driveway approaches, and concrete pavement at various locations throughout the city. Project locations are identified through repair requests and are subsequently scheduled for replacement on a first- come-first-served basis. The Notice Inviting Bids was advertised on August 14 & 15, 2013, and bids were opened on September 4, 2013. The following is a summary of the bid invitations mailed and received, and the bid results: Contractor Participation Data Santa Ana contractors receiving notices 11 Contractors requesting bidding documents 9 Bids received 5 Bids received from Santa Ana contractors 1 2313-1 Contract Award for Omnibus Concrete October 21, 2013 Page 2 Bid Results Summary RANK BIDDERS NAME LOCATION BID AMOUNT 1 Y&M Construction, Inc. Gardena $283,875.00 2 Golden State Contractors, Inc. Placentia $351,800.00 3 Hardy and Harper, Inc. Santa Ana $368,381.25 4 Nobest Incorporated Westminster $544,600.00 5 Excel Paving Company Long Beach $825,675.00 A total of five bids were received and all were deemed responsive, with Y&M Construction, Inc. submitting the lowest responsive bid. The bid amount of $283,875 is 32.1 percent over the Engineer's Estimate of $214,825. A sixth bid from Super Technical Engineering & Construction was not accepted because it was delivered after the 2:00 p.m. deadline. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from future review. Categorical Exemption Environmental Review No. 2013-66 will be filed for the project. FISCAL IMPACT The Cost Analysis shows a total estimated project delivery cost of $369,038. Funds are available in the Measure M2T Street Construction Fund (Accounting Unit 03217662-66220), Traffic Congestion Relief HUT Fund (Accounting Unit 05917663-66220), Water Systems Maintenance Fund (Accounting Unit 06017641-63001), Sanitary Sewer Services Fund (Accounting Unit 05617640-63001), Federal Clean Water Protection Fund (Accounting Unit 05717640-66220), and Parks Maintenance Fund (Accounting Unit 01113250-62320). Edwin "William ez, P.E. Interim Executive Director Public Works Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency EWG/TC Exhibit: 1. Cost Analysis 23B-2 COST ANALYSIS PROJECT NO. 146798 2013-2014 OMNIBUS CONCRETE REPLACEMENT CONTRACT Construction Contract $283,875 Contract Administration $7,097 Inspection and Testing $14,194 Survey Staking $7,097 Contingencies $56,775 TOTAL ESTIMATED CONSTRUCTION COSTS Exhibit 1 23B-3 23B-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONTRACT AWARD FOR GARFIELD EXERCISE PARK (PROJECT NO.107557) CITY MANAGER 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 1. Award a contract to Hondo Company, Inc., the lowest responsible bidder, in accordance with unit bid prices, totaling $265,259 for the construction of Garfield Exercise Park. 2. Approve the Cost Analysis, as shown in Exhibit 1, for a total estimated project delivery cost of $331,603. The recommended action will allow the City to enter into a contract with Hondo Company, Inc., and proceed with construction of the Garfield Exercise Park. 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 Garfield Exercise Park (Exhibit 2) is being developed in response to a growing concern expressed by residents for childhood obesity rates and the need to provide teens with positive alternative activities. A vacant City-owned lot on Garfield Street, across from Garfield Elementary School, was determined to be the ideal location for the development of an exercise park with the amenities to meet the fitness needs of the community. The park will be open to the public, and will also serve as an anchor for the evolving Wellness Corridor in the Downtown Santa Ana area. The project scope provides for the installation of exercise equipment over rubber tile surfacing, a decomposed granite walkway, river rock dry stream bed, security lighting, drought tolerant landscaping and irrigation, fencing, pilasters, benches, drinking fountain, and a bike rack. 23C-1 Contract Award for Garfield Exercise Park October 21, 2013 Page 2 A Notice Inviting Bids was advertised on July 24 & 25, 2013, and bids were opened on August 21, 2013. The following is a summary of the bid invitations mailed and received, and the bid results: Contractor Participation Data Santa Ana contractors receiving notices 17 Contractors requesting bidding documents 11 Bids received 14 Bids received from Santa Ana contractors 1 Bid Results Summary RANK BIDDERS NAME LOCATION BID AMOUNT 1 Hondo Company, Inc. Santa Ana $265,259.00 2 Y & M, Inc. Gardena $269,658.00 3 Micon Construction, Inc. Placentia $272,548.00 4 Avi-Con, Inc. Riverside $277,000.00 5 STL Landscape Los Angeles $290,000.00 6 ACE CD Inc. Glendora $290,824.37 7 KASA Construction, Inc. Ontario $293,944.00 8 Unique Performance Construction, Inc. Anaheim $296,061.00 9 Green Giant Landscape, Inc. La Habra $309,060.00 10 TED Enterprises, Inc. San Clemente $315,195.00 11 Aghapy Group, Inc. Bakersfield $315,352.00 12 Mode Engineering Laguna Niguel $326,730.00 13 ARAMEXX Construction Ontario $359,249.00 14 Pacific Winds Building, Inc. Irvine $388,333.00 A total of 14 bids were received and all were deemed responsive, with Hondo Company, Inc., submitting the lowest responsive bid. The bid amount of $265,259.00 is 11.6 percent under the Engineer's Estimate of $300,000. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemptions Environmental Review No. 2013-68 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. 23C-2 Contract Award for Garfield Exercise Park October 21, 2013 Page 3 FISCAL IMPACT The Cost Analysis for this project shows a total estimated delivery cost of $331,603, which includes construction, construction administration, inspection, testing, survey, and contingencies. Funding is available to cover costs in the Community Development Block Grant Fund (Account 13518783- 66220). Edwin "William Galvez, P.E. Interim Executive Director Public Works Agency Gerardo Mouet Executive Director Parks, Recreation, and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: "F1?MC t l?r . ?t Francisco Guberrez Executive Director Finance & Management Services Agency Nancy Fong, AqP Interim Executi Direct M_- r Community Dev ent Agency EWG/SF Exhibit 1: Cost Analysis 2: Garfield Exercise Park Location Map 23C-3 23C-4 COST ANALYSIS PROJECT 107557 GARFIELD EXERCISE PARK Construction Contract Contract Administration Inspection and Testing Survey Staking Contingencies TOTAL ESTIMATED CONSTRUCTION COSTS EXHIBIT 1 $265,259 $5,500 $14,555 $6,500 $39,789 $331,60 3 23C-5 23C-6 Contract Award for Garfield Exercise Park Project No. 10-7557 September 16, 2013 Page 5 i ? J I 5, ? O tt ao s? (III ru s Ii LEENO PROJECT LOCATION MTA WA CITY COUNCIL AGENDA MCATE. EXHIBIT 2 Title: 21, 2013 CAREIEL? EXERCISE PARK (PROJECT NO. 10-7557) 23C-7 23C-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: AGREEMENT WITH THE POLICE OFFICERS ASSOCIATION CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL 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 Approve a side letter agreement to the Memorandum of Understanding with the Police Officers Association regarding wages and other terms and conditions of employment. DISCUSSION The City and the Police Officers Association (POA) recently completed contract negotiations resulting in a new, two-year Memorandum of Understanding (MOU) (Attachment 1). The MOU covers the period July 1, 2013 through June 30, 2015. This agreement will modify the existing MOU (Attachment 2) and will be part of a comprehensive MOU to be brought forward at a later date. The provisions of this agreement include: 1) Term: A two-year term, from July 1, 2013 through June 30, 2015. 2) Salary Increase: Effective July 1, 2013, the base salary of Sworn employees covered by this MOU shall be increased by one percent (1 %). 3) CALPERS Retirement: POA Sworn employees will contribute an additional 1.08% to CaIPERS for the cost of the 3% at 50 service retirement benefit, for a total contribution of 9%. Non-sworn employees will reduce their payment for the 2.7% at 55 retirement benefit from 11.8% to 10.5%. 4) Medical Insurance: Effective January 1, 2013, the City will pay $1,335.00 per month towards employee medical insurance. 25A-1 Agreement with the Police Officers Association October 21, 2013 Page 2 5) Computation of Workweek for Overtime: Amend overtime language to more closely mirror FLSA guidelines by not counting Sick leave and Personal Necessity leave as hours worked. 6) Assignment Seniority: POA members shall not lose departmental seniority for absences of less than 12 weeks. 7) Compensatory Time Banks: The POA and City agree to take employees' existing compensatory time bank and divided into two banks; one to be used as it currently is, as time off or to be cashed out as allowed; the other to be used as time off only. 8) Vacation Carryover: Request for vacation carryover will require signatures of Police Chief, Personnel Director and City Manager. 9) Catastrophic Leave: The City will allow POA members to donate Vacation time, Compensatory time and Holiday time to eligible employees. 10) Detective Assignment: Current employees assigned to perform the duties of Detective/Investigator assigned to the Investigations Bureau shall be subject to an annual review, subject to organizational needs, to determine whether to continue the employee in the assignment. 11) Career Development Pay: Employees hired after January 1, 2014 shall be eligible for a modified Career Development Pay. 12) Court Appearance: Employees assigned to Watch 3 who are required to appear in court following the end of his/her shift shall receive an additional two hours of pay at time and one half for the inconvenience of having to go to court after the end of his/her shift. 13) Personal Necessity Time: Increase the sick leave time that may be used for Personal Necessity from 48 hours to 66 hours per calendar year. 14) Vacation and Holiday Banks: The parties agree to modify the maximum annual holiday leave benefit carryover as follows: 2014 - 160 hours; 2015 - 140 hours; 2016 - 120 hours; 2017 - 100 hours; and in 2018 - 80 hours. 15) Joint Labor Management Team: The City and the POA agree to meet to discuss implementation of a new salary matrix. 16) Release Time: The City will provide the POA with a quarterly analysis of the POA use of union time. 25A-2 Agreement with the Police Officers Association October 21, 2013 Page 3 FISCAL IMPACT Funds are available in the various Police Department salary accounts (no. 61000). It is estimated that the agreement will result in an annual cost savings of $515,000 to the City. APPROVED AS TO FUNDS AND ACCOUNTS: ?S?n-LI ? E and S. Raya Francisco Gutierrez Executive Director Executive Director Personnel Services Agency Finance and Management Services Agency 25A-3 25A-4 SIDE LETTER TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SANTA ANA POLICE OFFICERS ASSOCIATION The City of Santa Ana (City) and the Santa Ana Police Officers Association (SAPOA) have met and conferred over the terms of a successor Memorandum of Understanding (MOU). This document represents the agreement of the parties reflecting all of those changes to the parties' current MOU. These changes once ratified by the SAPOA and then approved by the City Council of the City will go into effect as set forth herein. It is then the intent of the parties to incorporate these changes into their MOU (which will be a comprehensive MOU incorporating all the parties agreements) which will include any and all side letters of agreement entered into between the parties which are not currently contained in the MOU. This will include updating language currently in the existing MOU which has been subsequently modified by side letters entered into between the parties prior to the negotiations for the successor MOU but after the last MOU was signed off by the parties. The parties anticipate there will also be updates to the MOU language to sections other than those set forth below which are necessitated by the parties' agreements below. 1. Term 26.1 The term of this Agreement shall be from July 1, 2013 through June 30, 2015. 2. Retirement: 13.5 3% at 50 Service Retirement Benefit for Classic Safety Members. The City contracts with Ca1PERS to provide Classic Safety employees (classic members as that term is defined by the Public Employees' Pension Reform Act of 2013) represented by this bargaining unit with the 3% at 50 Service Retirement benefit. Commencing July 1, 2013, all classic member safety employees covered by this Agreement shall pay nine percent (9%) of their salary to pay for the employer portion of the City's CalPERS contribution. This payment shall be paid in accordance with Government Code Section 20516(f). For "New Members" within the meaning of the California Public Employees' Pension Reform Act (PEPRA) of 2013. The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Retirement Formula: Per Government Code Section 7522.25(d), also known as 2.7% at 57 retirement formula for sworn. Attachment 1 1 25A-5 Final compensation will be based on the highest annual average compensation earnable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Effective July 1, 2013, employees shall pay one half of the normal cost rate, as established by CalPERS. 13.7 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. Effective July 1, 2009, the City amended its retirement contract with CalPERS to provide Classic Miscellaneous employees covered by this Agreement with the 2.7% at 55 Service Retirement benefit. Pursuant to Ca1PERS regulations, this formula applied to employees who were in active status on that date. Commencing July 1, 2013, all classic non-safety employees covered by this agreement (i.e., those subject to the Miscellaneous Ca1PERS formula) shall pay ten and one half (10.5%) percent of their salary to pay for the employer portion of the City's Ca1PERS contribution. This payment shall be paid in accordance with Government Code section 20516(f). Pre-Taxable Benefit. To the extent permitted by Ca1PERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. For "New Members" within the meaning of the California Public Employees' Pension Reform Act (PEPRA) of 2013 The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Retirement Formula: Per Government Code Section 7522.20(a), the 2% at 62 retirement formula for non-sworn. Final compensation will be based on the highest annual average compensation eamable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Effective July 1, 2013, employees shall pay one half of the normal cost rate, as established by CalPERS. 3. Health Insurance 12.1 During the term of this Agreement the City will contribute toward the payment of premiums for health, dental and long-term disability insurance plans administered by the Association for the benefit of the employees represented by the Association as follows: 25A-6 A. Medical Insurance. Effective January 1, 2014, the City will contribute $1,335.00 per month for Health insurance. 4. Overtime 8.2 Definition. A. Standard Work Period Overtime. Overtime for those employees assigned to the Standard Work Period shall be authorized for required time worked in excess of those hours assigned to their particular Standard Work Period Schedule workday or hours in excess of 40 hours per Work Period. However, subject to Article 8.3 below, commencing on the first day of the pay period following City Council approval of this MOU, if an employee uses sick leave or personal necessity leave as provided for in this MOU in the same Standard Work Period in which he/she works hours in addition to his/her regular hours, the sick leave and/or personal necessity leave shall not count as work hours which shall mean that the additional hours worked shall be paid at straight time if they are less than or equal to the number of sick leave or personal necessity leave hours used in the Standard Work Period. The use of such leave hours shall not affect overtime earned in accordance with Article 8.16 of this MOU. B. Alternative Work Period Overtime. Pursuant to this Agreement, employees assigned to the Alternate Work Period shall earn overtime for authorized or required time worked in excess of those hours assigned to their particular Alternative Work Period Schedule workday or hours in excess of his or her Alternative Work Period Schedule hours in a consecutive 28 day, 672 hour period. However, subject to Article 8.3 below, if an employee uses sick leave or personal necessity leave as provided for in this MOU in the same Alternative Work Period in which he/she works hours in addition to his/her regular hours, the sick leave and/or personal necessity leave shall not count as work hours which shall mean that the additional hours worked shall be paid at straight time if they are less than or equal to the number of sick leave or personal necessity leave hours used in the Alternative Work Period. The use of such leave hours shall not affect overtime earned in accordance with Article 8.16 of this MOU. 8.3 Computation of a Workday and Work Period. Paid leave for holidays, vacation, and other time off with pay except for sick leave and personal necessity leave whose use (effective on the first day of the pay period following City Council approval of this MOU) does not count as hours worked shall be credited towards the total time worked in computing a regular workday, and/or a work period, as defined herein. Work amounting to less than six (6) minutes shall not be considered time worked. Overtime worked for six (6) or more minutes shall be calculated in six (6) minute intervals. Leave without pay shall not be credited towards the total time worked in computing a regular workday, and/or a work period, as defined herein. 3 25A-7 5. Compensatory Time Off Banks 8.4 Compensation for Overtime. A. The preferable method by which overtime shall be compensated is by monetary payment, at one and one-half (1 1/2) times the employee's regular rate of pay. B. Should the Police Chief determine that the best interests of the City will be served thereby, he or his designee may permit an employee to be compensated for overtime work by earning compensatory time off at the rate of one and one-half (1 1/2) hours for each hour of overtime worked. C. Effective on the first day of the pay period after City Council approval of this MOU, all comp time banks in existence for employees represented by this agreement shall be split into two separate banks. 1. The first bank, which will be called the "Non-FLSA Comp-Time Bank", shall have deposited into it all comp time earned as of that date in excess of one-hundred (100) hours. All employees with comp time balances below one-hundred (100) hours will not have a Non-FLSA Comp-Time bank created for them. The Non-FLSA Comp Time Bank can never have hours added to it. The hours in that bank can only be used as leave time and when using such leave will not cause the City to have to pay another employee overtime to fill behind the employee using the leave. The comp time in this bank cannot be cashed out during employment, only at the time the employee leaves City employment. If an employee uses the comp time in this bank during employment and exhausts the entire accrual in this bank, the employee's Non-FLSA Comp Time Bank will be closed as no additional hours may accrue into this bank. 2. The second bank will be called the "FLSA-Comp time Bank". This bank will have deposited into it comp-time employees have accrued up to one- hundred (100) hours. The FLSA Comp Time Bank has a maximum accrual of one-hundred (100) hours. An employee who has 100 hours in this bank will earn overtime paid at time and one half the employee's regular rate of pay for overtime earned in accordance with this MOU. An employee who works overtime and who has less than 100 hours in his/her FLSA Comp Time Bank may be able to accrue hours (at the rate of 1.5 hours for each hour of overtime worked) in accordance with subdivision (B) above. The Comp time in this bank can be cashed in accordance with the provisions detailed in Section 9.3. 4 25A-8 D. Use of Comp Time from the FLSA Comp Time Bank. 1. When an employee submits a request for time off using accrued compensatory time, and that employee has found a qualified replacement, the time off request will be granted. A qualified replacement means that the replacement officer or employee is able to fulfill the requirements of the position to which the requesting officer is assigned. a. Compensatory time off requests made for consideration during the monthly scheduling meetings will be treated as any other time off and granted only on the basis of seniority. b. Pursuant to the 3-12 Operating Rules, officers may trade work days with other officers within the 28-day deployment period. Any trades must be approved by the affected Lieutenants and the Field Operations Bureau Commander. 2. When an employee submits a request to take time off using accrued compensatory time and the officer deployment is above minimum staffing for the day requested, then the request will be granted without further conditions. However, if the number of officers scheduled to work on the day(s) of the request is at or below minimum staffing as defined by the department, the compensatory time off request will be granted only if a qualified replacement has volunteered and committed to work the assignment left open by the request for time off. The volunteer may exchange days off with the requesting employee within the 28-day deployment period, whichever applies, or may elect to receive overtime compensation. 3. Requests for use of compensatory time off during holidays as defined by this MOU must be submitted in time to be considered during the monthly scheduling meeting held by bureau and division commanders for the upcoming month. These requests will be considered by seniority and will be granted only if officer deployment is above minimum staffing. The policy of the department has been, and will continue to be, that compensatory time off requested during a City-designated holiday will be treated as any other time off request and will be granted in order of seniority as long as minimum staffing levels are met. The replacement policy in 8.4134 below will not apply to compensatory time off requests submitted for consideration during monthly scheduling meetings. 4. Although it is always preferable for the officer to find a qualified replacement when requesting the use of compensatory time off, if provided sufficient notice of a request for time off, the department will work with employees to find a qualified replacement. Sufficient notice and reasonable period will be defined as follows: 5 25A-9 a. Seventy-two (72) hours notice for one (1) day or less of time off requested. b. Five (5) calendar days notice for more than one (1) workday up to one (1) workweek. c. Fourteen (14) calendar days notice for more than one (1) week compensatory time off request. 5. If an employee has provided sufficient notice of a compensatory time off request, the department will work with the employee to find a qualified replacement in the following manner: a. The watch commander will maintain a calendar of time off that has been requested in accordance with the guidelines listed above. Qualified employees will be allowed to volunteer to work these shifts. In the future, the department may develop, at its own discretion, an automated schedule that will contain this information. b. If an employee volunteers and signs up to work for another employee who has requested compensatory time off, that volunteering employee will be held responsible for working that full shift without further reminder. Employees who do not show up to work, or retract their offer to replace another officer, may be subject to disciplinary action and may not be permitted to volunteer to work in this manner in the future. 6. The watch commander shall send out an e-mail message to all officers requesting a volunteer to cover the shift by switching days off or working on overtime. 7. When a compensatory time off request is made in a manner that does not comply with this policy, and granting that request would unduly disrupt the operations of the department, the department may deny that request. 6. Assignment Seniority 11.12 Assignment Departmental Seniority Effective July 1, 2013, employees covered by this agreement who are authorized to be on an unpaid medical leave for twelve (12) weeks or less shall continue to accrue seniority related to their particular assignment, as it relates to the badge number list or for any other purpose concerning Police Department operations for which seniority is considered. Once such leave of absence exceeds twelve (12) weeks, the employee will no longer accrue seniority (for all purposes, including, but not limited to his/her classification, assignment or rank). While such employee will not lose any of the seniority he/she has 6 25A-10 previously earned, by not continuing to accrue seniority at that point, others who previously were less senior may become more senior than such employee for seniority purposes in the Department. 7. Limits on Vacation Carryover 10.4 Limitation on Vacation. A. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take, any vacation leave with pay in excess of 400 hours in any one year by any combination of the vacations granted in this Agreement. Further, no employee may carry over from one calendar year to the next more than the equivalent of one longevity vacation period and the equivalent of one regular vacation period from the previous two (2) years, and vacation not taken beyond that amount is forfeited. Therefore, the maximum vacation that an employee with less than six (6) years service could accumulate is 240 hours and only an employee with more than 20 years of service could carry over and take the authorized maximum of 400 hours in any one year. B. For the calendar year period ending on December 31, 2013, an employee's maximum year-to-year vacation carry over shall be increased by one (1) additional longevity vacation period. Therefore, through December 31, 2015, an employee may carry over from one calendar year to the next no more than the equivalent of three (3) longevity vacation periods and the equivalent of one regular vacation period from the previous two (2) years, and vacation not taken beyond that amount is forfeited. C. Effective January 1, 2016, the maximum yearly vacation carryover shall revert back to that as set forth in subsection "A", above, and any accumulated vacation in excess of that maximum allowable carry over not used prior to January 1, 2017, shall be forfeited. D. Notwithstanding the foregoing, for any affected employee who is in jeopardy of losing vacation because of department staffing needs, employee may, with approval of the Police Chief, Executive Director of Personnel and City Manager, receive a 30-day extension beyond the normal cutoff date so that such employee will not lose vacation time. 8. Catastrophic Leave 11.11 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non-industrial medical condition or injury, the City and Association agree to implement a Catastrophic Leave Donation Program. 7 25A-11 A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation or compensatory time or holiday leave time to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two-week period to submit donations. Donations received after this two-week period shall not be processed. The two-week period for each case shall be designated by the Police Chief or his designee as provided herein below. 3. Donations shall be for a minimum of two (2) hours and a maximum of eight (8) hours per donor. All donations must be made in two-hour increments, except in lieu holidays must be for eight (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and may be used pursuant to Article XI, Sections 11.1 A through 11.1 K above. B. Eligibility. Full-time employees shall be eligible for catastrophic leave donations if the following criteria are met: 1. When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time, vacation, and in lieu holidays, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The Police Chief or his designee has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. Upon receipt of a valid request for donations from an eligible employee, the Police Chief or his designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 8 25A-12 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a. His or her name, department name, and employee number; b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above; C. The name, department, and employee number of the recipient; d. A statement indicating that the donor understands such donation of time is irrevocable. 3. At the close of the two-week donation period, the department shall verify that each donating employee has accrued vacation and/or comp time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Section A, herein. 5. The City shall add the donated time to the recipient's sick leave account. D. Upon the death of any active employee receiving a benefit under this provision, the City agrees to pay any unused Catastrophic Leave Donations remaining on the books to the surviving beneficiary. E. For those current employees with unused catastrophic leave on the books, the City agrees to convert said unused catastrophic leave to sick leave for use in accordance with the provisions of Article XI, Sections ILIA through ILIK above. 9. Release Time 8.14 Creation of Association Comp Time Bank. A. Any member of the Association who works overtime, or has accrued but unused holidays, can designate that he or she will contribute the value of such time to a bank for use by members of the Association for the purposes and subject to the restrictions provided herein. B. Any member of the Association may receive time off for the welfare of officers, community service and any lawful activity of the Association with pay drawn 9 25A-13 from the bank described in Subsection A of this Section, provided that said employee first gains approval for said use by the executive board of the Association in the manner specified by its rules as adopted from time to time, and subject to the approval or disapproval of the Police Chief consistent with the operational needs of the Police Department. C. No withdrawal or use of such bank may be made by or on behalf of an employee ordered to take time off without pay for discipline imposed by the Police Chief or his designee. D. The City agrees that effective January 1, 2014, it will provide the SAPOA with a quarterly accounting of all Association Comp Time accrued and used. 10. Joint Labor Management Study of Salary Schedule 4.14 Joint Labor Management Study - Salary Schedule. The parties agree that at any time during the term of this MOU either the City or the Association may ask the other party to meet and negotiate over the implementation of a new salary schedule. 11. Court Appearance Pay 8.13 Court Appearance. Compensation for court appearance by personnel covered by this Agreement shall be as follows: A. For each required court appearance made by an employee during his or her off- duty time in regard to City business, employees shall be paid overtime for the period of time from their arrival at court until they are released from court or the court session closes for that day. However, in no case, shall an employee receive less than two (2) hours overtime for a court appearance. If court appearances are made both in the morning and afternoon of a particular day, two (2) hours overtime will be allowed for each session attended. If the employee is not released and must remain available for afternoon court, the employee shall be paid overtime for all hours the court is in session that day. The employee must provide a copy of the subpoena requiring his or her attendance to initiate payroll procedures. B. A subpoenaed employee scheduled to appear in court on City business during off- duty time may be placed on stand-by status by the Police Chief or his authorized representative if the employee can respond to the court, if called, within 60 minutes of the employee's notification. In the event such off-duty employee is on stand-by status during any court session and is not required to appear in court, such employees shall be compensated two (2) hours on a straight time basis, for each court session. Such employee may elect, in lieu of paid time, two (2) hours 10 25A-14 of comp time off for standby time and not appearing in court, with the approval of the Police Chief. If such off-duty employee on stand-by actually appears in court, he or she shall be compensated as provided in Subsection A, supra. C. Employees assigned to the 3/12.5 or 7/12.5 Work Schedule who appear in court during their regularly scheduled workweek, and as a result do not receive adequate rest, will be allowed to flex their scheduled shift start time up to four hours, with the approval of the employee's immediate supervisor and watch commander, or immediate supervisor and section commander. Alternatively, the employee may be allowed to use up to four hours from his/her "Comp Time Banks" or at the beginning of their scheduled shift to ensure adequate rest. 1. An employee whose work shift ends or starts within thirty minutes of a mandatory court appearance shall be compensated for those thirty minutes at an overtime rate. 2. Effective on the first day of the pay period following approval of this MOU by the City Council, employees assigned to a Watch 3 who are required to appear in court following the end of his/her shift shall receive an additional two hours of pay at time and one half for the inconvenience of having to go to court after the end of his/her shift. D. Employees who are on call for court during off-duty time, and who are called to testify, will be paid at the overtime rate of time and a half of their regular hourly rate, to include actual travel time from their home to court and back, or until their regularly scheduled shift begins. Travel time will be limited to a maximum of one (1) hour each way. Only that period of time devoted to work will be compensated. Time spent on personal pursuits or other non-work related activity will not be compensated. E. Those employees who have advance notice of their required appearance in court, have arranged an appearance time with the District Attorney's Office, or who otherwise have advance notice of mandatory court appearances, will not be compensated for travel time in any manner. F. Employees who appear in court during off-duty hours may elect to start their normal work shift early as specified herein. G. A subpoenaed employee scheduled to appear in court on City business during off- duty time and placed on standby status by the Police Chief or his authorized representative will be compensated two (2) hours on a straight time basis if he or she is not advised of the cancellation of his or her appearance within five (5) Court business days of said appearance. 12. Personal Necessity Leave 11.1 Sick Leave. 11 25A-15 J. Personal Necessity Leave. Each employee shall be afforded the opportunity to use up to 66 hours of sick leave per calendar year, on a non-cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this section, "child" means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; and "parent" means a biological, foster, adoptive parent, a stepparent, or a legal guardian. Up to three (3) days of this personal necessity leave may be used: (a) to attend to a serious accident to members of the employee's immediate family; (b) childbirth; (c) to cope with imminent danger to the employee's home or other valuable property; or (d) when the existence of external circumstances beyond the employee's control make it impractical for him or her to report for duty. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. 13. Holiday and Vacation Banks 10.3 Longevity Vacation. A. Each permanent employee is granted additional hours of vacation leave with pay for each computed year of full-time, continuous city service as set forth in the following table. This additional vacation shall be designated longevity vacation. Completed Hourly Equivalent Years of Additional Days 6 4 7 8 8 12 9 16 10 20 II 24 12 28 13 32 14 36 15 40 12 25A-16 16 48 17 56 18 64 19 72 20 80 B. No employee becomes eligible for longevity vacation until completion of the sixth year of continuous service, and each employee continues to earn the maximum of 80 hours of longevity vacation for each completed year of service in excess of 20 years. C. A period of earlier service does not apply toward longevity vacation accumulation when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-114 of the Santa Ana Municipal Code or by reemployment from layoff within one (1) year. D. Leave of absence without pay, as provided in Article XI, Section 1 E (Sick Leave- Extended) and Section 10.8 (Authorized Absence Without Pay - Long Term) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of longevity vacation. Absence on military leave followed by reinstatement, as provided in Section 9-143 of the Santa Ana Municipal Code does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of longevity vacation. Such option may be eliminated or modified at the discretion of the Department to the extent it is construed as overtime under Department of Labor guidelines implementing provisions of the Fair Labor Standards Act (FLSA). 9.2 A. Holiday Leave Carryover - The parties agree to modify the maximum annual holiday leave benefit carryover as follows: In 2014, 160 hours; 2015, 140 hours; 2016, 120 hours; in 2017, 100 hours; in 2018, 80 hours. By January 1, 2018, the maximum annual holiday leave benefit carryover shall revert back to that as set forth in subsection "92", above, and that any accumulated holiday leave benefits in excess of that maximum allowable carryover limit not used or cashed out per the provision below prior to December 31s` each year, shall be forfeited. Said hours shall be cashed out upon separation from employment, not to exceed a maximum as follows: In 2014, 240 hours; 2015, 220 hours; 2016, 200 hours; 2017, 180 hours; 2018, 160 hours. 9.3 Cash Option. Employees covered by this Agreement shall be given an option twice per calendar year to receive cash compensation ("cash out") computed on a straight time basis in exchange for eighty (80) hours of their annual holiday leave benefits set forth in Section 9.2 above. Specifically, employees may cash out up to 40 hours of holiday leave 13 25A-17 benefits in April of each calendar year and an additional 40 hours of holiday leave benefits in November of each calendar year. An employee that does not cash out holiday leave benefits in April may cash out a maximum of 80 hours of holiday leave benefits in November. Such option may be eliminated or modified to the extent it is construed as overtime under Department of Labor guidelines implementing provisions of the Fair Labor Standards Act (FLSA). 14. Salary 4.3 Salary Adjustments. A. The base salaries of Sworn employees covered by this Agreement shall be adjusted as follows: Effective July 1, 2013, the base salary of Sworn employees covered by this MOU shall be increased by one percent (1%). 15. Detective Assignments 3.5 DETECTIVE REDEPLOYMENT For the period July 1, 2010 through June 30 2012, all employees assigned as detectives (investigators) shall work one (1) day per month in the patrol function of the Field Operations Bureau pursuant to a schedule as determined by the Chief of Police or his designee. 5.1 Assignment Pay Differentials. K. An incumbent, identified by the Police Department, who is continuously and regularly assigned to and actually performing duties of a Detective/Investigator assigned to the Investigations Division or Special Investigations Units as well as Police Investigative Specialist, Background Investigator, Collision Investigator, and Graffiti Task Force Investigator, will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. Notwithstanding the foregoing, the parties agree that effective on the pay period following approval of this MOU by the City Council, employees assigned to perform the duties of Detective/Investigator assigned to the Investigations Bureau shall be subject to an annual review subject to organizational needs to determine whether to continue the employee in the assignment. The annual review shall occur prior to the annual patrol deployment sign-ups. An employee who is informed that he/she will be removed from the assignment may appeal to the Police Chief, but such appeal shall not be in accordance with the Public Safety Officers' Procedural Bill of Rights as the parties agree that the Police Chief has discretion to remove employees from the assignment as part of an annual rotation in the assignment. The appeal will consist of a meeting with the Police Chief 14 25A-18 whereby the employee has the right to try and convince the Chief why he/she should not be removed from the assignment, but shall not be a formal hearing. 16. 6.10 Career Development Pay Career Development Pay. Employees hired on or after January 1, 2014 shall be eligible to receive Career Development Pay as follows: A. Associate of Arts Degree. Upon attainment of an Associate in Arts Degree and five (5) years of municipal police experience in the Police Officer or Police Sergeant classification, of which thirty (30) months must be with the City of Santa Ana Police Department, and attainment of "E" step, said employee will be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. B. Bachelor's Degree. Upon attainment of a Bachelor of Arts or Science Degree and seven (7) years of municipal police experience in the Police Officer or Police Sergeant classification, of which thirty (30) months must be with the City of Santa Ana Police Department, and attainment of `E" step, said employee will be paid at a rate set an additional (10) salary rate ranges (approximately 5%) for a total of 20 salary rate ranges (approximately 10 %) above his or her then current base monthly salary step. If said employee obtains a Bachelor's Degree without attaining an Associate in Arts Degree, he or she will be paid at a rate set twenty (20) salary rate ranges (approximately 10%) above his or her then current base monthly salary step. C. Master's Degree. Upon attainment of a Masters of Arts or Science Degree and ten (10) year of municipal police experience in the Police Officer or Police Sergeant classification, of which thirty (30) months must be with the City of Santa Ana Police Department and attainment of "E" step, said employee will be paid at a rate set an additional (10) salary rate ranges (approximately 5%) for a total of 30 salary rate ranges (approximately 15 %) above his or her then current base monthly salary step. Agreed: Edward Raya, Executive Director of Personnel Date 15 Agreed: John Franks, SAPOA President Date 25A-19 25A-20 POA MOU Accompanying Side Letters 1 - 2 2008 - 2013 Attachment 2 25A-21 FIRST SIDE LETTER AMENDMENT TO THE CONSOLIDATED MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SANTA ANA POLICE OFFICERS ASSOCIATION FOR FISCAL YEARS 2012-13 Effective upon the signing of this Side Letter, The City of Santa Ana (City) and the Santa Ana Police Officers Association (SAPOA) agree that they have met and conferred, and agree to the following: Elimination of the Employer Paid Member Contributions (EPMC) for POA Members hired after January 1, 2013 and determined to be new CaIPERS Members enrolled in the 2% @ 62 Service Retirement Benefit for Miscellaneous Members or the 2% @ 50 Service Retirement Benefit for Safety Members. Article X1II of the previously amended 2011-2013 Memorandum of Understanding (MOU) between the City and SAPOA is amended as follows: 13.1 General. The City shall continue to make contributions to the California Public Employees' Retirement System (CAPERS) in accordance with its contract with CaIPERS for employees covered by said contract as amended. 13.2 Employer Paid Member Contributions (EPMC). The City shall contribute the member contribution on behalf of each employee covered by this Agreement in accordance with the following schedule: A. With respect to "safety-member" employees enrolled in the 3% at 50 benefit, the City shall pay an amount equal to nine percent (9%) of the member's compensation ea nable as reported to CaIPERS . B. With respect to "miscellaneous-member" employees covered by this Agreement enrolled in the 2.7% at 55 benefit, the City shall pay an amount equal to eight percent (80/6) of the member's compensation eamable as reported to CaIPERS. C. With respect to "safety-member" employees enrolled in the 2% at 50 benefit, this EPMC contribution is eliminated. D. With respect to "miscellaneous-member" employees enrolled in the 2% at 62 benefit, this EPMC contribution is eliminated. Edward Raya, D' for of Personnel John Franks, 3AP0 President (-:? (- I-) Date i- 3o-13 Date 25A-22 SECOND SIDE LETTER AMENDMENT TO THE CONSOLIDATED MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SANTA ANA POLICE OFFICERS ASSOCIATION FOR FISCAL YEARS 2011-13 The following provisions of the parties' MOU are amended as set forth below: Article XIV - Release Time for Association Representative Section 14.1 The Association shall reimburse the City for one hundred percent (100%) of salary (including any salary additives, such as career incentive pay) and benefit costs. Such reimbursement may be from the bank established pursuant to Section 8.14 of Article VIII of this Agreement. Effective July 1, 2012, the parties agree as follows: A) The PDA President will be compensated at a rate consistent with his or her departmental rank including all - assignment pay, pay additives, and premiums In place at the time he or she assumes the position of PDA President. B) The value of the President's pay will include base salary, pension, premiums, and medical only. C) The value of the Floating Holiday donations will Include base salary, pension, premiums, and medicare. D) The balance in the Floating Holiday bank as of August 1, 2012 has been agreed upon by the parties as $121,116.24. E) Effective July 1, 2012, the City shall pay the POA President a "Confidential Premium," in lieu of 20 hours per pay period at time and one-half. This premium is contained in the California Public Employees' Retirement Law (PERL) and is described as "compensation to rank and file employees who are routinely and consistently assigned to sensitive positions requiring trust and discretion." The parties agree that the value of this premium shall be equivalent to 28 hours of pay at straight time per pay period. The rate paid shall be tied to the Incumbents rank. The POA agrees that the acceptance of said compensation as described in section E as "PERSable" is subject to PERS approval and if It is determined that said compensation Is not "PERSable" the City is not obligated to provide additional benefits. F) Total annual salary and benefits for the current POA President for FY 2012-13 are projected at approximately $204,488.64, assuming 28 hours per pay period at straight time for President's pay. Total projected value of Floating Holiday donations for 2012 is $196,904.21. This does not include additional Union time usage by Board members. G) PDA agrees to reduce the number of board meetings from two to one per month and require their members who are on duty to attend during lunch. For those not on duty (graveyard), time spent will be considered "voluntary" in nature. This will reduce significantly the amount of additional Union time being deducted from the Floating Holiday bank. H) The Police Chief shall approve days off for five board members, twice per year, to attend the Peace Officers' Memorial and FOP, respectively. POA will pay for the training itself, Including per diem, travel, hotel, etc. Raya John Franks Executive Director of Personnel President, SAPOA City of Santa Ana _(C tC)-zz- lZ Date Date 25A-23 JULY 1, 2008 -JUNE 30, 2013 MEMORANDUM OF UNDERSTANDING CITY OF SANTA ANA AND SANTA ANA POLICE OFFICERS ASSOCIATION 25A-24 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SANTA ANA POLICE OFFICERS ASSOCIATION FOR FISCAL YEARS 2008-09 THROUGH 2012-13 TABLE OF CONTENTS ARTICLE I ARTICLE II ARTICLE III ARTICLE IV ARTICLE V ARTICLE VI ARTICLE VII ARTICLE VIII ARTICLE DI ARTICLE X ARTICLE XI ARTICLE X11 ARTICLE XIII ARTICLE XIV ARTICLE XV ARTICLE XVI ARTICLE XVII ARTICLE XVIII ARTICLE XIX ARTICLE XX ARTICLE XXI ARTICLE XXII ARTICLE XXEI ARTICLE XXIV ARTICLE XXV ARTICLE XXVI ARTICLE XXVII EXHIBIT A EXHIBIT B RECOGNITION NON-DISCRIMINATION CLAUSE ATTENDANCE, WORK PERIOD, WORK SCHEDULE & WORKDAY SALARIES ASSIGNMENT AND OTHER SPECIAL PAY ADDITIVES CAREER DEVELOPMENT PROGRAM TRAINING AND EDUCATIONAL ASSISTANCE PROGRAM OVERTIME HOLIDAYS VACATION OTHER LEAVES OF ABSENCE EMPLOYEE INSURANCE RETIREMENT RELEASE TIME FOR ASSOCIATION REPRESENTATIVE SAFETY RESIDENCY DISCIPLINE GRIEVANCE REVIEW PROCEDURE DUES DEDUCTION AND INDEMNIFICATION CITY RIGHTS STRIKES AND WORK STOPPAGES LAYOFFS SOLE AND ENTIRE AGREEMENT WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT SEPARABILITY PROVISION TERM OF AGREEMENT RATIFICATION AND EXECUTION BASIC SALARY AND WAGE SCHEDULE ASSIGNMENT OF CLASSES TO SALARY RATE RANGES 16 21 25 28 35 38 42 50 52 55 57 58 59 60 62 63 65 66 67 68 69 70 71 73 75 25A-25 ARTICLE I 1.0 RECOGNITION 1. ] Pursuant to the provision of the Meyers-Milias-Brown Act,Govemment Code Section 3500, et seq., the City of Santa Ana (hereinafter called the "City") has recognized the Santa Ana Police Officers Association (herein called the "Association") as the recognized representative of the bargaining unit which includes police department employees in the sworn, "safety- member" classifications and assignments of Police Officer, Senior Police Officer, Police Sergeant, Senior Police Sergeant and in the non-sworn, "miscellaneous-member" classifications and assignments of Animal Service Officer I and II, Background Investigator, Communications Services Officer, Crime Research Analyst, DARE Officer, Darkroom Technician, Detention Officer, Firearms Examiner, Forensic Specialist I and II, Forensic Services Supervisor, Parking Control Officer, Police Communications Supervisor, Police Community Services Specialist, Police Evidence and Supply Specialist, Police Investigative Specialist, Police Property and Evidence Specialist, Police Property and Evidence Supervisor, Police Recruit, Police Service Assistant, Police Service Officer, Police Services Dispatcher, Range master, Detention Supervisor, Senior Parking Control Officer, and Traffic Services Specialist and excludes all other employees of the Police Department. 25A-26 ARTICLE II 2.0 NON-DISCRIMINATION CLAUSE 2.1 The City and Association agree that they shall not discriminate against any employee in violation of State or Federal law. The City and the Association shall reopen any provision of this Agreement for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in any provisions of this Agreement in compliance with State or Federal anti-discrimination laws. 2.2 Whenever reference is made to the masculine gender it shall be understood to include the feminine gender, unless expressly stated otherwise. 25A-27 ARTICLE III 3.0 ATTENDANCE, WORK PERIOD, WORK SCHEDULE & WORKDAY 3.1 Attendance. Employees covered by this Agreement shall be in attendance at their work location during hours prescribed by the Police Chief or his designee(s) and shall not absent themselves during prescribed hours without approval of the Police Chief or his designee(s). 3.2 Definitions. A. Standard Work Period. The Standard Work Period shall consist of a consecutive seven (7) day, 168 hour period. B. Alternative Work Period-207(k) Exempt Employees. The Alternative Work Period shall apply to all members of the Association who are peace officers, detention officers or detention supervisors who are exempt from the overtime provisions of the Fair Lahor Standards Act (FLSA) pursuant to Section 207(k). The 207(k) employees' Work Period shall consist of a consecutive 28 day, 672 hour time period. In conformance with the FLSA, members who are peace officers, detention officers, or detention supervisors shall not be eligible for FLSA overtime, as defined under the FLSA for employees assigned to the Alternate Work Period until they have worked in excess of 171 hours in the Alternate Work Period. Nothing in this section shall prevent a peace officer, detention officer or detention supervisor from earning overtime and being compensated for overtime based on the overtime provisions of this Agreement as stated in Article VIII of this Agreement. All overtime shall be paid at one and one-half (1 1/2) times the regular rate of pay. C. Work Hours, Work hours are the regularly scheduled hours of work as determined by the Police Chief or his designee, A "day" is defined as any consecutive 24 hour period. D. Work Schedules. At this time, the Police Chief has established the following work schedules. These schedules may be changed by the Police Chief subject to the provisions of the Meyers-Milias-Brown Act. Unless exigent circumstances exist, the Police Chief, or his designee, shall inform the Association prior to the changing of the below designated Work Schedules, Standard Work Period Schedules. a. 5/40 Work Schedule. Employees shall work five (5) eight hour workdays per seven (7) consecutive day, 168 hour Standard Work Period. Each workday shall consist of eight (8) hours of work and a 30 minute unpaid meal period. b. 4/10 Work Schedule. Employees shall work four (4) 10 hour days per seven (7) consecutive day, 168 hour Standard Work Period. Each workday shall consist of 10 hours of work, and either a 30 minute or 25A-28 one (1) hour unpaid meal period. The determination as to a 30 minute or one (1) hour unpaid meal period shall be made by the Police Chief or his designee. C. 9/80 Work Schedule. Employees shall work four (4) nine hour days and one (1) four hour day in each seven (7) consecutive day, 168 hour Standard Work Period. Each nine (9) hour workday shall consist of nine (9) hours of work and either a 30 minute or one (1) hour unpaid meal period. The eight hour workday shall consist of four (4) hours applied to the first seven (7) day period and four (4) hours applied to the second seven (7) day period divided by either a 30 minute or one (1) hour unpaid meal period. The determination as to a 30 minute or one (1) hour unpaid meal period shall be made by the Police Chief or his designee. d. 12/40 Work Schedule. Employees shall work three (3) 12 hour and 30 minute workdays and one (1) four hour workday in each seven (7) consecutive day, 168 hour Standard Work Period. Effective November 1, 2004, each workday shall consist of 11 hours and 30 minutes of work, and a one (1) hour meal period, 30 minutes of which shall be paid and 30 minutes of which shall be unpaid, for a total of 12 hours and 30 minutes. The four (4) hour workday shall consist of four (4) hours of work. 2. Alternate Work Period Schedules-207(k) Exempt Employees. a, 2Q2 k)3/12.5 Work Schedule-Patrol/Canine. Employees shall work thirteen 12 hour and 30 minute workdays in each 28 day FLSA Work Period. Of the 13 workdays, an employee assigned to this schedule shall be required to work one (1) 12 hour and 30 minute "payback" day each 28 day FLSA Work Period, scheduled or assigned pursuant to the Department's work schedule policy. Each workday shall consist of 12 hours of work and a 30 minute paid meal period. During each 28 day FLSA Work Period, employees shall work 162.5 hours. Upon completion of this work schedule, employees will earn an additional two (2) hours and 30 minutes of vacation time, provided they do not take leave without pay during that Work Period. Employees assigned to this schedule are compensated for their meal periods. Consequently, if an employee is unable to take his or her meal period, or is interrupted during his or her meal period, he or she shall not receive further compensation. b. 207(k) 7/12.5 Work Schedule - Detention. Employees shall work three (3) 12 hour and 30 minute workdays in one (1) seven day period and four (4) 12 hour and 30 minute workdays in the next seven (7) day period, or alternatively, four (4) 12 hour and 30 minute workdays in the first seven (7) day period and three (3) 12 hour and 30 minute 25A-29 workdays in the following seven (7) day period. This cycle shall be repeated twice each 28 day FLSA Work Period. Effective November 1, 2004, each workday shall consist of 11 hours and 30 minutes of work and a one (1) hour meal period, 30 minutes of which shall be paid and 30 minutes of which shall be unpaid, for a total of 12 hours and 30 minutes. During each 28 day FLSA Work Period, employees assigned to the 207(k) 7/12.5 Work Schedule shall earn one (1) hour of vacation time if they do not take leave without pay during that Work Period. Detention Officers will be compensated at the time and a half overtime rate for all time worked in excess of their regular work shift of 12.5 hours per workday. The overtime compensation will apply only to actual time worked beyond the regular shift and calculated in increments of six (6) minutes. C. 207(k)4/10.5 Work Schedule-Detention Administration. Employees shall work seven (7) ten hour and 30 minute workdays and one (1) ten hour workday during each two (2) week period. This pattern will recur twice during the 28 day FLSA Work Period. Each 10 hour and 30 minute workday shall consist of 10 hours and 30 minutes of work and either a 30 minute or one (1) hour unpaid meal period. The 10 hour workday shall consist of 10 hours of work and either a 30 minute or one (1) hour unpaid meal period. The determination as to a thirty (30) minute or one (1) hour unpaid meal period shall be made by the Police Chief or his designee. d. 207(k) 4/10 Work Schedule. Employees shall work 16 ten hour workdays in each 28 day FLSA Work Period. Each workday shall consist of 10 hours of work and either a 30 minute or one (1) hour unpaid meal period. The determination as to a 30 minute or one (1) hour unpaid meal period shall be made by the Police Chief or his designee. e. 207(k) 9/80 Work Schedule. Employees shall work five (5) nine hour workdays in one (1) seven (7) day span and three (3) nine hour workdays and one (1) eight hour workday in the second seven (7) day span, or alternatively three (3) nine hour workdays and one (1) eight hour workday in the first seven (7) day span and five (5) nine hour workdays in the second span. This cycle shall be repeated twice each 28 day FLSA Work Period. Each nine (9) hour workday shall consist of nine (9) hours of work and either a 30 minute or one (1) hour unpaid meal period. The eight (8) hour workday shall consist of eight (8) hours of work and either a 30 minute or one (1) hour unpaid meal period. The determination as to a 30 minute or one (1) hour unpaid meal period shall be made by the Police Chief or his designee. f. 207(k) 9/81 Work Schedule. Employees shall work 81 hours in a consecutive 14 day, 336 hour period. This cycle shall be repeated 25A-30 twice each 28 day FLSA Work Period. Employees shall work five (5) nine hour workdays in one (1) seven (7) day span and four (4) nine hour workdays in the second seven (7) day span. Each nine hour workday shall consist of nine (9) hours of work and either a 30 minute or one (1) hour unpaid meal period. While assigned to the 9/81 schedule, an officer shall earn two (2) hours of overtime during each 28 day FLSA Work Period, unless he or she takes leave without pay during the 28 day, 672 hour period. 3.3 Part Time Employment. During the term of this Agreement, no presently existing full-time positions will be eliminated as the result of the use of part-time employee(s) and, to the extent possible, when the workload of any one or more part-time employee(s) would justify the addition of a full-time position or positions, the parties will meet and confer regarding the addition of a full-time position or positions, subject to City Council approval. 3.4 Code Seven. Except for those employees assigned to Patrol, other employees whose meal periods are interrupted by the performance of job related duties, will receive another full, uninterrupted lunch period or will be compensated for their lunch period at their overtime rate of pay at time and one-half their regular rate of pay. For purposes of this section, "interrupted" shall mean a significant interruption of more than a few minutes (deminimus). For employees who receive a one-hour lunch period (half of which is paid) overtime compensation shall apply only to the unpaid half-hour. Unless exigent circumstances exist beyond the Department's control, employees assigned to Patrol shall be provided a 30 minute paid meal period. Should an employee's meal period be interrupted, every effort shall be made to allow the affected employee to resume his/her meal period for the remaining unused time, not to exceed the 30 minute total meal period. 3.5 For the period July 1, 2010 through June 30 2012, all employees assigned as detectives (investigators) shall work one (1) day per month in the patrol function of the Field Operations Bureau pursuant to a schedule as determined by the Chief of Police or his designee. 25A-31 ARTICLE IV 4.0 SALARIES 4.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all members of the Santa Ana Police Officers Association who are now employed or will in the future be employed in any of the designated classifications of employment listed in this Agreement and its attachments. 4.2 Salary Schedule. The basic salary schedule, attached hereto in a matrix format as Exhibit A, and made a part hereof as though set forth in full herein, provides numerous salary rate ranges, each comprised of five (5) steps or rates of pay. The respective rate ranges are identified by a three (3) digit munber. The steps within each range are identified by the letters "A" through "E" inclusive, with the "A" step being the lowest step in the range. The purpose of each step and the length of service required for advancement to the next higher step within a particular salary rate range are set forth in Section 4.7 below, 4.3 Salary Adjustments. A. The base salaries of employees covered by this Agreement shall be adjusted as follows: Effective July 1, 2008, the base salary of employees covered by this Agreement shall be increased by eight (8) salary rate ranges (approximately 4%). Effective January 1, 2009, the base salary of employees covered by this Agreement shall be increased by five (5) salary rate ranges (approximately 2.5%). Effective July 1, 2010, the base salary of employees covered by this Agreement shall be increased by zero (0) salary rate ranges. Effective January 1, 2011, the base salary of employees covered by this Agreement shall be increased by zero (0) salary rate ranges. Effective July 1, 2011, the base salary of employees covered by this Agreement shall be increased by six (6) salary rate ranges (approximately 31/6). Effective December 1, 2011, employees shall contribute 2% (of the 3% salary increase received on July 1, 2011) of their salary increase to pay for employer portion of the City's PERS contribution as more fully addressed below in Section 13.5. This contribution shall be paid in accordance with Government Code section 20516(f). Effective July 1, 2012, the base salary of employees covered by this Agreement shall be increased by seven (7) salary rate ranges (approximately 3.5%). Effective on July 1, 2012, employees covered by this Agreement shall contribute the increase received on that date to pay for employer portion of the City's PERS contribution as more 25A-32 fully addressed below in Section 13.5. This contribution shall be paid in accordance with Government Code section 20516(f). City agrees that if, upon completion of negotiations for a successor MOU with the FBA and all other safety units/employees, the City has not agreed to (or imposed) an employee retirement contribution (either as cost sharing or employer paid member contribution) at the same or greater percentage as to that paid by safety employees who are covered by this Agreement, the City will return the 3.5% salary increase (retroactive to July 1, 2012) to employees covered by this Agreement. B, An employee covered by this Agreement who provides written notice to the City's Benefits and Compensation Manager prior to June 30, 2009, of his or her express intention to retire from City employment on or before January 1, 2011, shall be governed by the following: Effective July 1, 2009, the base salary of an employee who has notified the City of his or her intent to retire from City employment on or before January 1, 2011, shall be increased by eight (8) salary rate ranges (approximately 4%); 2. Effective January 1, 2010, the base salary of an employee who has notified the City of his or her intent to retire from City employment on or before January 1, 2011, shall be increased by five (5) salary rate ranges (approximately 2.5%); In exchange for the salary increases as set forth in 43-A-1 -a and 4.3-A-1-b, above, an employee who has notified the City in writing ofhis or her intent to retire from City employment on or before January 1, 2011, as set forth in 4.3- A-1, above, shall take unpaid furlough hours off from work during the period July 1, 2009 to June 30, 2010 ("the furlough period") as set forth below: POA Furlough Hours In-lieu of MOU Salary Increase Deferral Bases salary increase as of 7/1109: 4.00% Base salary increase as of 1/1/10: 2.50% Furlough equivalent value of 6.5% MOU base salary increase: Number of 8/hour Days: 17 Number of hours: 135 1 furlough hr (% of salary): 0.0481% 711109 1/1/2010 1/1/2010 7/1/2010 to to to to Schedule 12131/09 6130110 6130110 12131110 Work Retirement (kr. per 4% 4% 2.5% 2.S% Ii 3/12 12/31/2009 12 42 42 Iii 3/12 6/30/2010 12 42 42 26 109 1iii 3/12 12/31/2010 12 42 42 26 26 135 liv 4/10 12/3112009 10 42 42 Iv 4/10 6/30/2010 10 42 42 26 109 Ivi 4/10 12/31/2010 10 42 42 26 26 135 10 25A-33 Note: Furlough equivalency table reflects the true value associated with swapping furlough hours in-lieu of MOU salary increase deferral. Furloughs should be based on number of hours not number of days (provides flexibility when employees move across schedules). Number of furlough hours will be the some across all schedules. The required furlough hours shall be monitored by the City payroll department. Any affected employee is required to take the equivalent of at least one (1) furlough day per month during the furlough period. Any affected employee who fails to take the required furlough day in any month shall incur a deduction from his or her gross pay in the succeeding pay period in an amount equal to the hours of his or her regular daily shift, computed at base rate plus premiums. Any employee who notifies the City of his or her intent to retire under these provisions and receives the salary increases as set forth in 4.3"A" "1" subsections "a" and "b" above, and who does not retire on or before January 1, 2011, shall not receive the salary increases scheduled for July 1, 2010 and January 1, 2011, respectively. C. The assignment of classes to salary rate ranges is listed in Exhibit B, which is attached and made a part hereof as though set forth herein. D. Effective July 1, 2001, and in the event the City incurs an employer cost, safety employees covered by this Agreement will contribute up to 1.42% of their salary toward the 3% at 50 retirement benefit. Due to excessive employer contribution rates, effective July 1, 2004 and during the term of this Agreement, the agreed upon employee contribution rate shall be the maximum of 1.42%. Effective July 1, 2007, Miscellaneous employees covered by this Agreement shall contribute 2% of their salary toward the 23% at 55 retirement benefit. To the extent permitted by Ca1PERS and Internal Revenue Service regulations, this 2% contribution shall be implemented through payroll deduction on a pre-tax basis, Effective July 1, 2008, Miscellaneous employees covered by this Agreement shall contribute an additional 2% of their salary (for a total of 4%) toward the 2.7% at 55 retirement benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, this additional 2% contribution shall be implemented through payroll deduction on a pre-tax basis. Effective July 1, 2009, Miscellaneous employees covered by this Agreement shall contribute an additional 2.3% of their salary (for a total of 6.3%) toward the 2.7% at 55 retirement benefit. To the extent permitted by Ca1PERS and fntemal Revenue Service regulations, this additional 2.3 % contribution shall be implemented through payroll deduction on a pre-tax basis. E. Effective July 1, 1998, employees will contribute one-half percent (.5%) of their base salary plus pay additives through payroll deduction to a fund maintained by the Santa 11 25A-34 Ana Police Officers Association for the purpose of providing retiree health insurance premium reduction assistance. Effective July 1, 1999, employees will contribute an additional one-half percent (.5%) for a total of one percent (1%) of their base salary plus pay additives through payroll deduction to a fund maintained by the Santa Ana Police Officers Association for the purpose of providing retiree health insurance premium reduction assistance. This payroll deduction for retiree health insurance premium reduction assistance will continue until such time as the parties may mutually agree to end said deduction. Additionally, effective October 1, 2006, the City shall contribute an amount equal to one-half percent (.5%) of the bargaining unit's annual base salary, including pay additives, for the purpose of providing retiree health insurance premium reduction assistance. Effective October 1, 2008, and each October 1' thereafter, the City shall contribute an additional amount equal to one-quarter percent (.25%) for a total City contribution of three-quarters' percent (.75%) of the bargaining unit's annual base salary, including pay additives (excluding overtime), for the purpose of providing retiree health insurance premium reduction assistance. The parties agree that the City's payment due on October 11 2011 (which the parties previously agreed would not be due until January 1, 2012) shall not be required to be made until October 1, 2012. In addition, the payment due on October 1, 2012 will be due on January 1, 2013. 4.4 Application of Basic Compensation Plan. The salary rate ranges and steps contained in Exhibit A are monthly salary rates. All officers and employees working in classifications of employment covered by this Agreement shall be compensated at a monthly rate, except that an employee hired for temporary work in a position which has an anticipated duration of less than six (6) months shall be paid at a rate per hour for actual time spent in the performance of the duties ofhis or her employment. Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate plus pay additives by 173.33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole cent and a computation resulting in exactly one-half cent or higher shall fix the rate at the next higher whole cent. 4.5 Beginning Rates. A new employee of the City of Santa Ana shall be paid the rate shown as Step "A" in the salary rate range allocated to the class of employment for which he or she has been hired, In special instances where such new employee possesses unique and exceptional education, training and/or experience qualifications, the department head under whom the employee will serve, may submit a written request and justification to the City Manager for authorization to place such new employee on Step "B" or Step "C" within the allocated salary rate range, provided that such employee shall be assigned such salary step upon the commencement of his or her service in the classification of employment to which the salary rate range applies and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of this Article. 12 25A-35 4.6 Service. The word "service" as used in this Agreement shall be deemed to mean continuous, full-time service in the classification in which the officer or employee is being considered for salary advancement, service in the higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Employees hired after the first (1st) working day of the month shall not be credited with "time-in-service" for that month when determining the length of service required for salary step advancement. A lapse of service by an officer or employee for a period of time longer than thirty (30) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such officer or employee for the purpose of this Agreement and any such officer or employee reentering the service of the City shall be considered as a new officer or employee, except that he or she may be reappointed within one (1) year and may be placed in the same salary step in the appropriate salary range as he or she was at the time of termination of employment. 4.7 Advancement Within Ranees. The following regulations shall govern salary advancement within rate ranges: A. Len0h of Service Advancements. After the salary of an officer or employee has been first established and fixed under this plan, such officer or employee shall be advanced from Step "A" to Step "B" or from Step "B" to Step "C" or from Step "C" to Step "D," whichever is the next higher step to that on which the officer or employee has been previously paid, effective the first day of the month following the date of completion of the length of service for such advancement as provided in Exhibit B of this Agreement. B. Merit Advance. An officer or employee shall be considered for advancement from Step "D" to Step "E" upon the completion of the required length of service as provided in Section 4.2 and Exhibit A of this Agreement. The effective date of such merit increase, if granted, shall be on the first day of the month following the completion of such required length of service. Advancement to Step "E" may be granted only for continued meritorious and efficient service and continued improvement by the officer or employee in the effective performance of the duties of his or her position. Such merit advancement shall require the following: There shall be on file in the office of the chief personnel officer a copy of each periodic efficiency or performance report required to be made on the officer or employee by the Santa Ana Municipal Code and/or the City Manager during the period of service time of such officer or employee subsequent to this last salary advancement. 2. The Police Chief, at least twenty (20) calendar days prior to the anticipated completion of such officer's or employee's required length of service, shall file with the City Manager a statement recommending the granting or denial for the merit increase and supporting such recommendations with specific reasons therefore. No advancement in salary above Step "D" shall become effective until 13 25A-36 approved by the City Manager, except when placement on a salary step above Step "D" results from promotion under the provisions of Section 4.9 of this Article. C. Length of Service Required When Advancement Denied. When an officer or employee has not been approved for advancement to the merit step E, lie or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for such advancement after the completion of six (6) months of additional service. This reconsideration shall follow the same steps and shall be subject to the same actions as provided in Subparagraphs B (2) and B (3) of this Section. 4.8 Reduction in Salary Steps, Any officer or employee who is being paid on merit step E may be reduced to Step "D" of the appropriate salary range, upon the recommendation of the Police Chief, and the approval of the City Manager. Procedure for such reduction shall follow the same procedure as outlined for merit advancements in Section 4.7 above, and such officer or employee may be considered for re-advancement under the same provisions as contained in Subsection C of Section 43. 4.9 Promotional Salary Advancement. When an officer or employee is promoted to a position in a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to Step "A" in the appropriate salary rate range for the higher classification; provided however, that if the base salary step currently being paid such officer or employee is already equal to or higher than said Step "A," he or she will be placed in the lowest step in the appropriate salary rate range as will grant that officer or employee an increase of at least one (1) salary step over his or her current base salary step including any additive or additives such as career development or educational incentive pay, but excluding shift differential, assignment pay and bilingual pay. 4.10 Demotion. When an officer or employee is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) step. B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the officer or employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. D. If the salary rate recommended by the Police Chief is lower than the maximum step permissible under Subsection C above, such recommendation shall be considered a reduction in pay in addition to the demotion and shall be handled in accordance with the provisions for salary reductions (Section 4.8, above). 4.11 Reallocation of Salary Rate Ranges. Any officer or employee who is employed in a 14 25A-37 classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 4.12 Direct Paycheck Deposit. The City and Association agree to form a Citywide task force to determine the feasibility of implementing a direct paycheck deposit system. If agreed to by all parties, the new system will be implemented by January 1, 2001, or as soon as practicable thereafter. 4.13 Deferred Compensation. If, during the term of this Agreement, the City agrees to match employee Deferred Compensation contributions for members of any other bargaining unit, then employees covered by this Agreement shall receive the same benefit. is 25A-38 ARTICLE V 5.0 ASSIGNMENT AND OTHER SPECIAL PAY ADDITIVES 5.1 Assignment Pay Differentials. Effective the first day of the first full month following Council approval of this Agreement, assignment pay differentials, as listed herein and throughout the contract, will, in each case, be added individually and separately to the employee's base salary. In no event shall one assignment pay differential be added to the employee's base salary as a basis for the calculation of an additional pay differential. A. An incumbent in the class of Police Services Dispatcher who is continuously and regularly assigned to and actually performing in a lead supervisory and trainer capacity over an assigned shift of Police Services Dispatchers will be paid at a rate set ten (10) salary rate ranges (approximately 5.0%) above his or her then current base monthly salary step. B. Personnel in the class of Forensic Specialist I, who are regularly and continuously assigned to and actually performing duties in a "lead" supervisory capacity over a primary functional unit of Forensic Specialist I employees, will be paid at a rate set ten (10) salary rate ranges (approximately 5.0%) above their then current base monthly salary step. C. An incumbent in the class of Police Officer who is continuously and regularly assigned to and actually performing duties of a Corporal will be paid at a rate set five (5) salary rate ranges (approximately 2.51/D) above his or her then current base monthly salary step. Effective July 1, 2005, if a Corporal is assigned to lead a work unit without a Sergeant, he or she will be paid an additional five (5) salary rate ranges (approximately 2.5%) above his or her base monthly salary step for such assignment. At the present time, Directed Patrols and Civic Center Patrol units are examples of such assignments. D. An incumbent in the class of Detention Officer who is continuously and regularly assigned to and actually performing duties of a Senior Detention Officer will be paid at a rate set five (5) salary rate ranges approximately 2.5%) above his or her then current base monthly salary step. E. The Police Chief at his discretion and based on the department's need may assign sworn officers to standby status for non-work days or other days as determined by the Police Chief. Officers thus assigned will be compensated at the rate of two (2) hours of straight time per day of standby duty. Officers assigned to standby status on non- work days will not lose their standby pay when called to duty, if they have been on call for at least six (6) hours when called. If officers on standby status are called to duty after having been on call for less than six (6) hours, they will be paid for their 16 25A-39 response to work, but not for their standby status. F. An employee who is continuously and regularly assigned as a Training Officer working in Field Operations, the Detention facility, or as a Forensic Specialist II will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step, G. An employee who is continuously and regularly assigned to and actually performing duties of an Internal Affairs Officer will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. H. Effective July 1, 2003, an employee who is continuously and regularly assigned to perform training functions as a Parking Control Officer will be paid at a rate set five (5) salary rate ranges (approximately 2.51/6) above his or her then current base monthly salary step. Effective November 1, 2004, an incumbent in the class of Police Officer who is continuously and regularly assigned as a Canine Officer will be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. This pay shall be considered compensation for the care and feeding of the dog and will be in lieu of the thirty (30) minutes of time each day currently provided for such purpose. J. Effective July 1, 2005, an incumbent in the class of Police Officer who is continuously and regularly assigned to and actually performing duties of a Motor Officer assigned to the Traffic Division will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or herthen current base monthly salary step. K. Effective July 1, 2005, an incumbent, identified by the Police Department, who is continuously and regularly assigned to and actually performing duties of a Detective/Investigator assigned to the Investigations Division or Special Investigations Units as well as Police Investigative Specialist, Background Investigator, Collision Investigator, and Graffiti Task Force Investigator, will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. L. Effective November 1, 2004, each employee in the class of Detention Officer or Detention Supervisor, who is continuously and regularly assigned to either the 207(k) 7/12.5 Detention Work Schedule, or the 4/10.5 Detention Administration Work Schedule, shall be paid at a rate set six (6) salary rate ranges (approximately 3%) above his or her then current base monthly salary step. This assignment pay is compensation for the additional 30 minutes work or briefing time each day. M. Personnel in the class of Firearms Examiner who are regularly and continuously assigned to and actually performing duties in a "lead" supervisory capacity over a primary functional unit, will be paid at a rate set ten (10) salary rate ranges (approximately 5.0%) above their then current base monthly salary step. 17 25A-40 N. Notwithstanding the specific provisions of Article V, Section 5. 1, A - M, supra, an incumbent who is regularly and continuously assigned to lead a functional unit which includes positions in the same or lower classifications as the incumbent, may be compensated for said duties upon mutual agreement of the City and POA and approval of the Police Chief and the Executive Director of Personnel Services. This compensation shall be referred to as "lead pay." 0. Effective September 1, 2006, an incumbent in the class of Forensic Specialist I or Forensic Specialist It who is continuously and regularly assigned as a Tenprint - AFIS Technician will be paid at a rate set five (5) salary rate ranges (approximately 2.51/o) above his or her then current base monthly salary step. P. Effective September 1, 2006, an incumbent in the class of Forensic Specialist I or Forensic Specialist II who is continuously and regularly assigned as a Fingerprint Analyst will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. In no event shall an incumbent receive more than ten (10) salary rate ranges (approximately 5%) more than his or her then current base monthly salary step for performing the duties of both the Tenprint - AFIS Technician and Fingerprint Analyst. 5.2 Shift Differential. Non-Sworn Personnel. Each employee in the classes of Animal Service Officer I, Animal Service Officer II, Forensic Specialist I, Crime Research Analyst, Forensic Specialist II, Police Communications Supervisor, Police Investigative Specialist, Police Property & Evidence Specialist, Police Service Officer, Police Evidence and Supply Specialist, Police Services Dispatcher, Communications Services Officer, Detention Officer, Detention Supervisor and Parking Control Officer who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (41 /2) hours between the hours of 5:00 P.M. and 7:00 A.M. will be paid a shift differential at a rate set ten (10) salary rate ranges (approximately 5.0%) above his or her then current base monthly salary step. 5.3 Bilingual Pay, Qualified employees who meet the following criteria shall be paid a monthly pay differential, above his or her base monthly salary step, as follows: A. Assignment by the Police Chief or his designee to a position requiring bilingual capability in both English and one of the following languages: Spanish, Samoan, Vietnamese, Cambodian, Korean, Hmong or other language designated by the City Manager; and B. Certification by the chief personnel officer as having satisfactorily demonstrated the required level of fluency in both languages. C. Sworn: Street Level Proficiency in Spanish. A Police Officer or Sergeant who successfully demonstrates the required level of bilingual fluency as determined by the chief personnel officer shall be paid a bilingual pay differential in an amount equal to the product obtained by multiplying the Step "E" base salary rate ofPolice Officer by 18 25A-41 five (5) salary rate ranges (approximately 2.5%). Employees receiving "Street Level Proficiency" incentive pay may be required, as a condition of continued eligibility to receive such incentive pay, to successfully complete an eight (8) hour refresher course once every twelve months from the date of initial certification. D. Sworn: Complex Level Proficiency in Designated Languages. A Police Officer or Police Sergeant who successfully demonstrates the required level ofbilingual fluency as determined by the chief personnel officer shall be paid a bilingual pay differential in an amount equal to the product obtained by multiplying the Step "E" base salary rate of Police Officer by ten (10) salary rate ranges (approximately 5%). E. Non Sworn: Secondary Level Proficiency in Designated Languages. A non-sworn employee who successfully demonstrates the required level of bilingual fluency as determined by the chiefpersonnel officer shall be paid a monthly differential of forty dollars ($40) above his or her then current base monthly salary step. F. Non-sworn: Primary Level Proficiency in Designated Languages. A non-sworn employee who successfully demonstrates the required level of bilingual fluency as determined by the chief personnel officer shall be paid a monthly differential of one hundred seventy-five dollars ($175) above his or her then current base monthly salary step. 5.4 All assignments to positions set forth in Sections S. 1, 5.2, 5.3 above of sworn and non-sworn personnel shall be made or revoked in a fair manner at the discretion of the Police Chief. 5.5 Temporary Upgrade Assignment Pay. The parties acknowledge that from time to time it may be necessary for the department to fill a vacant, full-time budgeted, higher-level position. The parties agree that such a position may be filled by an eligible unit member for an initial period of up to six (6) months, and at the discretion of the Chief of Police, for an additional six (6) months; and that the employee assigned to fill such a position shall receive Temporary Upgrade Assignment Pay as set forth below: A. Eli ibili . Full-time employees shall be assigned to fill a vacant, full-time budgeted, higher- level position, and shall receive Temporary Upgrade Assignment Pay for filling that position, when the occupier of that position is not performing the duties of that position for a period of two (2) consecutive calendar weeks or more. An employee filling a position under this section who is absent for two (2) days or less during the two (2) consecutive calendar week period will not lose his or her eligibility for Temporary Upgrade Assignment Pay; however, the days of absence shall not be counted in the computation of the two week period. In computing qualifying service or temporary upgrade assignment pay only full days of actual duty shall be included. Partial days shall not be combined to make full days 19 25A-42 unless they are holiday hours. Holiday time off will be included in computing actual duty days. Employees holding the position immediately subordinate to the vacant, full-time, budgeted, higher-level position to be filled shall be given first consideration to said position consistent with the operational needs ofthe department. When there is more than one (1) employee holding the position immediately subordinate to the vacant, full-time, budgeted, higher-level position to be filled, the most senior employee holding one of the immediately subordinate positions shall be assigned to said position consistent with the operational needs of the department. Non-permanent employees (probationary, part-time, seasonal, etc.) and employees performing work above their regular class in a training capacity shall not be assigned to a vacant, full-time, budgeted, higher-level position in accordance with this section unless specifically authorized by the City Manager. B. Compensation. 1. After an employee has served two (2) consecutive calendar weeks in a vacant, full-time, budgeted, higher-level position, he shall be compensated at the Temporary Upgrade Assignment Pay rate for each full day that he is assigned to the higher-level position, retroactive to the first (1a) day of said assignment. 2. An employee serving in a Temporary Upgrade Assignment will be paid a temporary assignment pay premium at a rate set ten (10) salary rate ranges (approximately 5%) above their then current base monthly salary step. 3. An employee assigned to a vacant, full-time budgeted, higher-level position not represented by this bargaining unit will retain all fringe benefits afforded to members of this bargaining unit, if the employee remains eligible for such pay while in the temporary assignment, in accordance with this MOU, but will not be eligible for any benefits afforded to members of the bargaining unit for the position to which he or she is temporarily assigned. 4. An employee assigned to a vacant, full-time, budgeted, higher-level position will continue to accrue, and have recorded, general, special, or normal salary step increases in the employee's permanent position; however, such salary increase will be paid only to maintain the minimum ten (10) salary rate range (approximately 5%) differential required by this section. 20 25A-43 ARTICLE VI 6.0 CAREER DEVELOPMENT PROGRAM 6.1 Definitions. For the purpose of clarifying the criteria for the Police Career Development Program designations set forth in Sections 6.2 through 6.8 of this Article, the following definitions apply: A. Educational Units. One (1) completed "semester" unit in an academic course of instruction approved by the Police Chief and in an accredited college or university shall equal one (1) educational unit. One (1) "quarter" unit achieved in an educational institution as above shall equal two-thirds (2/3) of an educational unit. "Trimester" units or other standards of measurement used as a basis in awarding scholastic credits will be accorded the same evaluation and weight as provided by the respective accredited college or university. Only completed coursework credited with a letter grade "C" or better or a grade of "Pass" when evaluated by the "Pass/Fail" method will be accepted. If such ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. B. Training Units. Twenty (20) classroom hours or its equivalent of approved police training shall equal one unit. Regular, periodic, on-the-job training programs shall not be considered as fulfilling this requirement. Neither shall the special training required for Crime Scene Investigators and Advanced Officers or other similar mandatory training (e.g., First Aid, C.P.R. Recertification, etc.) nor the basic introductory training or similar training given an employee during his or her probationary period be given credit for the awarding of training units. When college credit is awarded for special training in police work, such units of credit may be counted for either training units or educational units as the officer may select. 2. Training units may be earned by the assignment to and performance of sworn police officer duties (other than uniformed field patrol work in Field Operations Division) with one (1) full and continuous month of such assignment equal to one (1) training unit. Credit for experience in assignments other than patrol work in Field Operations shall not be given, unless at least three (3) full and continuous months of such assignment have been completed. Not more than six (6) units oftraining through assignment to non- patrol duties may be earned in any one (1) year and not more than fifteen (15) such training units by assignment shall be used in meeting the criteria for the Police Career Development Program designations as set out in this Article, 6.2 Crime Scene Investigator (C.S.L). Any sworn, safety-member Police Officerwho attains the following educational and experience requirements and the approval as set out below shall be paid an additional five (5) salary rate ranges (2.5"/") above his or her then current base 21 25A-44 monthly salary step. The criteria for such designation shall be as follows: A. Completion of two (2) years of experience as a sworn Police Officer, at least one of which shall be in the Santa Ana Police Department. B. Completion (acquisition) of at least thirty (30) educational and/or training units. C. Assignment to and actual performance of the duties and responsibilities of a C.S.I. D. Completion of a special training course for Crime Scene Investigators as developed and administered by the Santa Ana Police Department or such alternative course as designated for such purpose by the Police Chief. E. Approval of the Police Chief. The number of such designations as C. S.I. shall be no larger than the requirements of the department as determined by the Police Chief. 6,3 Senior Police Officer I. Any swom, safety-member Police Officer, regardless of duty assignment, who fulfills the requirements established in this section shall be designated as a Senior Police Officer I and shall be paid at a rate set fifteen (15) salary rate ranges (approximately 7.5%) above his or her then current base monthly salary step, The criteria for such designation shall be as follows: A. Completion of five (5) years of municipal police experience in the Police Officer classification, of which thirty (30) months must be with the Santa Ana Police Department. B. Completion (acquisition) of at least sixty (60) educational and/or training units. C. Approval of the Police Chief. 6.4 Senior Police Officer II, Any swom, safety-member Police Officer, regardless of duty assignment, who fulfills the requirements established in this section shall be designated as a Senior Police Officer II and shall be paid at a rate set twenty-five (25) salary rate ranges (approximately 12.5%) above his or her then current base monthly salary step in the Police Officer classification. The criteria for such designation shall be as follows: A. Completion of seven (7) years of municipal police experience in the Police Officer classification, of which thirty (30) months must be with the Santa Ana Police Department. B. Completion (acquisition) of at least ninety (90) educational/training units; or possession of an Associate of Arts degree from an accredited college with an additional thirty (30) or more educational/training units. C. Approval of the Police Chief. 6.5 Senior Police Officer III. Any sworn, safety-member Police Officer, regardless of duty 22 25A-45 assignment, who fulfills the requirements established in this section shall be designated as a Senior Police Officer III and shall be paid at a rate set thirty (30) salary rate ranges (approximately 15%) above his or her then current base monthly salary step in the Police Officer classification. The criteria for such designation shall be as follows: A. Completion of nine (9) years of municipal police experience in the Police Officer classification, of which thirty (30) months must be with the Santa Ana Police Department. B. Completion (acquisition) of at least one hundred twenty (120) educational/training units; or possession of an Associate of Arts degree from an accredited college with an additional sixty (60) or more educational/training units. C. Approval of the Police Chief. 6.6 Senior Police Sergeant I. Any officer holding the rank of Police Sergeant in the Santa Ana Police Department, regardless of duty assignment, who fulfills the requirements established in this section shall be designated as a Senior Police Sergeant I and shall be paid at a rate set fifteen (15) salary rate ranges (approximately 7.5%) above his or her then current base monthly salary step. The criteria for such designation shall be as follows: A. Completion of five (5) years of municipal police experience and be eligible for "E" step of the base salary rate range of the Police Sergeant class. "Eligible" as defined only for Section 6.6(A) means that a Police Sergeant shall be considered for advancement from Step "D" or "E" to Senior Police Sergeant I upon the completion of the required length of service as provided in Section 4.2 and Exhibit A of this Agreement; the effective date of such increase shall be on the first day of the month following completion of such required length of service, B. Completion (acquisition) of at least sixty (60) educational and/or training units. C. Approval of the Police Chief. 6.7 Senior Police Sergeant H. Any officer holding the rank of Police Sergeant in the Santa Ana Police Department, regardless of duty assignment, who fulfills the requirements established in this section shall be designated as a Senior Police Sergeant II and shall he paid at a rate set twenty-five (25) salary rate ranges (approximately 12.5%) above his or her then current base monthly salary step in the Police Sergeant class. The criteria for such designation shall be as follows: A. Completion of seven (7) years of municipal police experience and be eligible for "E" step of the base salary rate range of the Police Sergeant class. "Eligible" as defined only for Section 6.7(A) means that a Police Sergeant shall be considered for advancement from Step "D" or `B" to Senior Police Sergeant II upon the completion of the required length of service as provided in Section 4.2 and 23 25A-46 Exhibit A of this Agreement; the effective date of such increase shall be on the first day of the month following completion of such required length of service. B. Completion (acquisition) of at least ninety (90) educational and/or training units; or possession of an Associate of Arts academic degree from an accredited college with an additional thirty (30) or more education or training units. C. Approval of the Police Chief. 6.8 Senior Police Sergeant III. Any officer holding the rank of Police Sergeant in the Santa Ana Police Department, regardless of duty assignment, who fulfills the requirements established in this section shall be designated as a Senior Police Sergeant III and shall be paid at a rate set thirty (30) salary rate ranges (approximately 15%) above his or her then current base monthly salary step in the Police Sergeant class. The criteria for such designation shall be as follows: A. Completion of nine (9) years of municipal police experience and be eligible for "E" step of the base salary rate range of the Police Sergeant class. "Eligible" as defined only for Section 6.8(A) means that a Police Sergeant shall be considered for advancement from Step "D" or "E" to Senior Police Sergeant ill upon the completion of the required length of service as provided in Section 4.2 and Exhibit A of this Agreement; the effective date of such increase shall be on the first day of the month following completion of such required length of service. B. Completion (acquisition) of at least one hundred twenty (120) educations /training units; or possession of an Associate of Arts academic degree from an accredited college with an additional sixty (60) or more educational/training units. C. Approval of the Police Chief. 6.9 _Career Development Program - Non-Sworn. Effective the fast day of the first full month following Council approval of this Agreement, an incumbent in one of the classes designated as "non-sworn" covered by this Agreement shall earn an additional amount as follows: A. Upon attainment of an Associate in Arts Degree and five (5) years' experience with the City of Santa Ana, said employee will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. B. Upon attainment of a Bachelor of Arts or Science Degree and with five (5) years' experience with the City of Santa Ana, said employee will be paid at a rate set an additional (5) salary rate ranges (approximately 2.5%) for a total of 10 salary rate ranges (approximately 5%) above his or her then current base monthly salary step. If said employee obtains a Bachelor's Degree without attaining an Associate in Arts Degree, he or she will be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. 24 25A-47 ARTICLE VII 7.0 TRAINING AND EDUCATIONAL ASSISTANCE PROGRAM 7.1 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses which will better enable them to perform their present duties and prepare them for increased responsibilities. B. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided. 7.2 Eli ibili . A. Applications for tuition reimbursement will be considered only from full-time, permanent City employees who have completed probation. B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance from other sources such as G.I. Bill, scholarships, etc. C. Applications will be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his or her job may be reimbursable only after all required occupationally related courses have been completed. E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. F. Approval will be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of the various Boards of Education. Workshops, seminars, conferences and similar activities not identifiable as a formal course of instruction within the curriculum of a recognized educational institution, do not fall within the purview of this program but may be authorized and funded by the interested department without coordination with the Personnel Services Department, G. When an employee is required by the Police Chief to attend a particular course or seminar, the expense shall be bome entirely by the City. H. For specifics regarding this Article, please refer to Santa Ana Police Department 25 25A-48 Training Bulletin 02-07 - Scheduling of Training Days and Travel Time Compensation. 7.3 Reimbursement. A. Reimbursement will be based on the cost of tuition or registration fees and all required texts and related material for each course. Additional expenses such as meals and parking fees are not reimbursable. B. Costs for required texts are eligible for one hundred percent (1001/6) reimbursement subject to the following conditions: 1. That a duplicate of the required text(s) was unavailable for loan from the departmental libraries prior to the commencement of coursework; 2. That any textbook(s) purchased by the City shall be submitted to the employee's respective departmental library in order that such text(s) may be made available to all employees. C. Tuition or registration costs of one hundred dollars ($100.00) or less are eligible for one hundred percent (100%) reimbursement. Tuition costs in excess of one hundred dollars ($100.00) are eligible for seventy-five percent (75%) reimbursement. Maximum tuition reimbursement per semester is five hundred dollars ($500.00) with a maximum of $1,500 a year. NOTE: Summer and winter sessions shall be counted as separate "semesters" for purposes of the program. D. Employees shall be limited, for purposes of tuition reimbursement, to a maximum of two (2) collegiate level courses of not more than a total number of units which is equivalent to six (6) "semester" units per semester. One (l) "quarter" unit shall equal two-thirds (2/3) of one (1) "semester" unit. 7.4 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete an Application for Training and Educational Assistance form and submit it to the Police Chief. B. The Police Chief will recommend approval or disapproval and forward the application to the Personnel Services Department. It is advisable that the applicant accomplish the procedures so far described prior to the inception of the course or disbursement of personal funds in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy. C. Within three months after he/she has completed the course and received his/her final grade, the employee must include official verification of his/her final grade with appropriate receipts for tuition and textbook costs to the Personnel Services Department. These will be returned to the employee upon request. Applications not 26 25A-49 submitted to the Personnel Services Department within three months following completion of the course become void. D. Upon receipt ofthe required documentation, the Personnel Services Department will determine whether the completed course of instruction is compatible with the provisions of Sections 2 and 3 of this Article. If found to be compatible, the Personnel Services Department will compute the amount of reimbursement, authenticate the application, and forward it to the Police Chief. E. The Police Chief will then authorize the Finance and Management Services Department to reimburse the employee the approved amount out of the budget of the Police Department. 27 25A-50 ARTICLE VIII 8.0 OVERTIME 8.1 General Policy for Overtime Work. Whenever it shall be determined to be in the public interest for employees to perform overtime work, or in an emergency situation, the City Manager, the Police Chief, or an authorized representative of the City Manager or Police Chief, may require an employee to perform overtime work. 8.2 Definition. A. Standard Work Period Overtime. Overtime for those employees assigned to the Standard Work Period shall be authorized or required time worked in excess ofthose hours assigned to their particular Standard Work Period Schedule workday or hours in excess of 40 hours per Work Period. B. Alternative Work Period Overtime. Pursuant to this Agreement, employees assigned to the Alternate Work Period shall earn overtime for authorized or required time worked in excess of those hours assigned to their particular Alternative Work Period Schedule workday or hours in excess of his or her Alternative Work Period Schedule hours in a consecutive 28 day, 672 hour period. 8.3 Computation of a Workday and Work Period. Paid leave for holidays, sickness, vacation, and other time off with pay shall be credited towards the total time worked in computing a regular workday, and/or a work period, as defined herein. Work amounting to less than six (6) minutes shall not be considered time worked. Overtime worked for six (6) or more minutes shall be calculated in six (6) minute intervals. Leave without pay shall not be credited towards the total time worked in computing a regular workday, and/or a work period, as defined herein. 8.4 Compensation for Overtime. A. The preferable method by which overtime shall be compensated is by monetary payment, at one and one-half (11/2) times the employee's regular rate of pay. B. Should the Police Chief determine that the best interests of the City will be served thereby, he or his designee may permit an employee to be compensated for overtime work by earning paid compensatory time off at the rate of one and one-half (1 1/2) times the employee's regular rate of pay. The employee will be credited with time off at the rate of one and one-half 1 1 /2) hours of time for each hour of overtime worked. This time, hereinafter identified as "comp time" will be accrued in a comp time bank for each employee, The hours in this bank shall reflect the converted time value of each hour worked. Effective January 1, 2010, employees are limited to the accumulation of 160 hours of comp time. Effective July 1, 2010, employees are limited to the accumulation of 200 hours of comp time. 28 25A-51 2. For the period of July 1, 2010 to June 30, 2011, employees covered by this Agreement agree to defer the cash out of any comp time. The cash out option, as modified below, shall be reinstated effective July 1, 2011. The designated periods for cash out shall be September 15 and ending September 30; December 15 and ending December 31; March 15 and ending March 31; and June 15 and ending June 30. a. For the period July 1, 2010 to June 30, 2011, employees paid out of the General Fund of the City agree that compensation to them for overtime earned by them shall be in the form of compensatory time off (comp time) unless and until they have accumulated a maximum of 200 hours of comp time. Any accumulation of compensatory time in excess of 200 hours shall be paid in cash. 3. Beginning July 1, 2011, each affected employee who has accrued comp time credits, may elect to convert up to twenty (20) hours of such accrued time each calendar year quarter to the cash equivalent thereof, to a maximum of eighty (80) hours per calendar year. 4. For the period December 1, 2011 and ending June 30, 2013, all employees covered by this Agreement who work overtime hours shall have those hours accrue as compensatory time off, not overtime pay. To ensure that overtime pay is not paid by the City during this time period, effective December 1, 2011, for all safety employees in the unit, their compensatory time off accrual bank is increased to 480 hours. For non-safety employees their compensatory time off accrual bank is increased to 240 hours. 5. For the period December 1, 2011 and ending June 30, 2013, all employees covered by this Agreement are encouraged to use their compensatory time off so that the City will not be required to pay overtime pay, The raising of the compensatory time accrual cap to 480 hours (safety) and 240 hours (non- safety) is intended to ensure that virtually all overtime worked will be accrued as compensatory time off and be used as such. 6. For the period December 1, 2011 and ending June 30, 2013, no employees covered by this Agreement will be permitted to cash out any compensatory time off except if leaving the employ of the City, The deferral of the cash out option shall not affect an employee's ability to be compensated for all accumulated comp time upon separation from employment with the City. C. Use of Como Time. When an employee submits a request for time off using accrued compensatory time, and that employee has found a qualified replacement, the 29 25A-52 time off request will be granted. A qualified replacement means that the replacement officer or employee is able to fulfill the requirements of the position to which the requesting officer is assigned. a. Effective August 7, 2005, compensatory time off requests made for consideration during the monthly scheduling meetings will be treated as any other time off and granted only on the basis of seniority. b. Pursuant to the new 3-12 Operating Rules, officers may trade work days with other officers within the 28-day deployment period. Any trades must be approved by the affected Lieutenants and the Field Operations Bureau Commander. 2. When an employee submits a request to take time off using accrued compensatory time and the officer deployment is above minimum staffing for the day requested, then the request will be granted without further conditions. However, if the number of officers scheduled to work on the day(s) of the request is at or below minimum staffing as defined by the department, the compensatory time off request will be granted only if a qualified replacement has volunteered and committed to work the assignment left open by the request for time off. The volunteer may exchange days off with the requesting employee within the 28-day deployment period, whichever applies, or may elect to receive overtime compensation. a. For the period July 1, 2010 through June 30, 2011, requests under this section will be granted only if the volunteer agrees to exchange days off within the 28-day work period, and agrees that he or she will not be subject to payment for overtime as a result of the exchange. 3. Requests for use of compensatory time off during holidays as defined by the current MOU, must be submitted in time to be considered during the monthly scheduling meeting held by bureau and division commanders for the upcoming month, These requests will be considered by seniority and will be granted only if officer deployment is above minimum staffing. The policy of the department has been, and will continue to be, that compensatory time off requested during a City-designated holiday will be treated as any other time off request and will be granted in order of seniority as long as minimum staffing levels are met. The replacement policy in 8AC4 below will not apply to compensatory time off requests submitted for consideration during monthly scheduling meetings. 4. Although it is always preferable for the officer to find a qualified replacement when requesting the use of compensatory time off, if provided sufficient notice of a request for time off, the department will work with employees to find a qualified replacement. Sufficient notice and reasonable period will be defined as follows: 30 25A-53 a. Seventy-two (72) hours notice for one (1) day or less of time off requested. b. Five (5) calendar days notice for more than one (1) workday up to one (1) workweek. C. Fourteen (14) calendar days notice for more than one (1) week compensatory time off request. 5. If an employee has provided sufficient notice of a compensatory time off request, the department will work with the employee to find a qualified replacement in the following manner: a. The watch commander will maintain a calendar of time off that has been requested in accordance with the guidelines listed above. Qualified employees will be allowed to volunteer to work these shifts. In the future, the department may develop, at its own discretion, an automated schedule that will contain this information, b. If an employee volunteers and signs up to work for another employee who has requested compensatory time off, that volunteering employee will be held responsible for working that full shift without further reminder. Employees who do not show up to work, or retract their offer to replace another officer, may be subject to disciplinary action and may not be permitted to volunteer to work in this manner in the future. 6. The watch commander shall send out an e-mail message to all officers requesting a volunteer to cover the shift by switching days off or working on overtime. 7. When a compensatory time off request is made in a manner that does not comply with this policy, and granting that request would unduly disrupt the operations of the department, the department may deny that request. 8.5 Incremental Usage. Time off with pay to compensate for overtime worked may be taken in increments as small as one-half (1/2) hour. 8.6 Excess Usage. If compensatory time off is used in excess of that available, such excess compensatory time off will first be deducted from any available vacation benefits and finally, deducted ftom the next scheduled wage or salary payment. 8.7 No Effect on Other Benefits. Overtime work shall not apply to the earning of employee benefits (retirement, holidays, vacation accrual, sick leave accrual and employee insurance benefits), toward the completion of probationary period or to progression within a salary rate range. 31 25A-54 8.8 Overtime Work to be Anoortioned. To the extent that he is reasonably able to do so, the Police Chief shall arrange work programs to minimize overtime work; necessary overtime work shall be apportioned among employees of like classification and assignment. 8.9 Advance Compensation for Overtime. Time off with pay as compensation for overtime may not be granted or taken in advance of the overtime work for which the time off compensates. Before compensatory time off with pay may be taken, as herein provided, the overtime worked must have been recorded on official payroll records at or about the time the overtime work was performed. In the absence of such recording, no compensatory time off with pay will be permitted. 8.10 Compensation for Overtime: Exclusions. Overtime pay or comp time shall be allowed an employee for attendance at conventions, conferences, seminars or the like, as long as prior authorization is received. Overtime pay or comp time pay shall be permitted only for attendance which is ordered on such employee's normal days off or for time beyond a normal workday's duration. Please refer to Santa Ana Police Department Training Bulletin 02-07 for details. 8.11 Call-Back-Duty. A. Employees who are on call during their off-duty time due to their assignment (i.e., Homicide Investigators, Internal Affairs Sergeants, Crimes Against Persons Sergeants, etc,) and are called back to work will be paid for their travel time at the overtime rate from the time they leave their home until the time they return home, or until their regularly scheduled shift begins. Only that period of time devoted to work will be compensated. B. Employees who are ordered back to work while off-duty because of an emergency or other unforeseen event will be paid for travel time at the overtime rate from the time they leave their home until they return home, or until their regularly scheduled shift begins. Only that period of time devoted to work will be compensated. C. Employees who are called at home and offered voluntary overtime work, and elect to accept the offer, will not be compensated for travel time in any manner, Similarly, employees who sign up for voluntary overtime, or who have advance notice that they will have to work during their off-duty time on an overtime basis, will not be compensated for travel time. 8.12 Accrued Overtime Paid Upon Promotions or Upon Separation. Upon an employee's appointment to a position in which overtime may not be earned or upon an employee's separation from employment with the City by resignation, retirement, layoffor otherwise, he or she shall forthwith be compensated for any overtime accumulated to the time immediately preceding such promotion or separation. 8.13 Court Appearance. Compensation for court appearance by personnel covered by this Agreement shall be as follows: 32 25A-55 A. For each required court appearance made by an employee during his or her off-duty time in regard to City business, employees shall be paid overtime for the period of time from their arrival at court until they are released from court or the court session closes for that day. However, in no case, shall an employee receive less than two (2) hours overtime for a court appearance. If court appearances are made both in the morning and afternoon of a particular day, two (2) hours overtime will be allowed for each session attended. If the employee is not released and must remain available for afternoon court, the employee shall be paid overtime for all hours the court is in session that day. The employee must provide a copy of the subpoena requiring his or her attendance to initiate payroll procedures. B, A subpoenaed employee scheduled to appear in court on City business during off- duty time may be placed on stand-by status by the Police Chief or his authorized representative if the employee can respond to the court, if called, within 60 minutes of the employee's notification. In the event such off-duty employee is on stand-by status during any court session and is not required to appear in court, such employees shall be compensated two (2) hours on a straight time basis, for each court session. Such employee may elect, in lieu of paid time, two (2) hours of comp time off for standby time and not appearing in court, with the approval of the Police Chief, If such off-duty employee on stand-by actually appears in court, he or she shall be compensated as provided in Subsection A, supra. C. Employees assigned to the 3/12.5 or 7/12.5 Work Schedule who appear in court during their regularly scheduled workweek, and as a result do not receive adequate rest, will be allowed to flex their scheduled shift start time up to four hours, with the approval of the employee's immediate supervisor and watch commander, or immediate supervisor and section commander. Alternatively, the employee may be allowed to use up to four hours from his/her "Time Off Bank" or from compensatory time off at the beginning of their scheduled shift to ensure adequate rest. 1. An employee whose work shift ends or starts within thirty minutes of a mandatory court appearance shall be compensated for those thirty minutes at an overtime rate. D. Employees who are on call for court during off-duty time, and who are called to testify, will be paid at the overtime rate of time and a half of their regular hourly rate, to include actual travel time from their home to court and back, or until their regularly scheduled shift begins. Travel time will be limited to a maximum of one (1) hour each way. Only that period of time devoted to work will be compensated, Time spent on personal pursuits or other non-work related activity will not be compensated. E. Those employees who have advance notice of their required appearance in court, have arranged an appearance time with the District Attorney's Office, or who otherwise have advance notice of mandatory court appearances, will not be 33 25A-56 compensated for travel time in any manner. F, Employees who appear in court during off-duty hours may elect to start their normal work shift early as specified herein. G. A subpoenaed employee scheduled to appear in court on City business during off- duty time and placed on standby status by the Police Chief or his authorized representative will be compensated two (2) hours on a straight time basis if he or she is not advised of the cancellation of his or her appearance within five (5) Court business days of said appearance. 8.14 Creation of Association Comp Time Bank, A. Any member of the Association who works overtime, or has accrued but unused holidays, can designate that he or she will contribute the value of such time to a bank for use by members of the Association for the purposes and subject to the restrictions provided herein. B. Any member of the Association may receive time off for the welfare of officers, community service and any lawful activity of the Association with pay drawn from the bank described in Subsection A of this Section, provided that said employee first gains approval for said use by the executive board of the Association in the manner specified by its rules as adopted from time to time, and subject to the approval or disapproval of the Police Chief consistent with the operational needs of the Police Department. C. No withdrawal or use of such bank may be made by or on behalf of an employee ordered to take time off without pay for discipline imposed by the Police Chiefor his designee, 8.15 Declaration of State of Emergency. Emergencies shall be governed by the provisions of Santa Ana Municipal Code Section 9-194. 8.16 Compensation of Voluntary Contract Overtime. Exclusive of other provisions of this Article, except Section 8.7 (No Effect on Other Benefits) supra, Police Officers andPolice Sergeants who voluntarily agree to perform contract security services at games, parades, dances and similar public events shall be compensated at the rate of one and one-half (1 1/2) times the employee's regular rate of pay, The Police Chief shall determine how many off-duty police officers should serve as security officers at each event. Police Officers and Sergeants represented by the Association shall be given first opportunity to volunteer for said off-duty assignments. If, after a reasonable period of time, an insufficient number of police officers have volunteered to work such assignments, the Police Chief may offer the remaining "openings" to any person(s) he deems capable of performing the work at whatever straight-time pay rate the City considers to be appropriate, 34 25A-57 ARTICLE IX 9.0 HOLIDAYS 9.1 Legal holidays observed by full-time permanent and probationary employees covered by this Agreement are as follows: • January 1 st -New Year's Day. • Third (3rd) Monday in January - In observance of Martin Luther King Jr.'s Birthday. • Third (3rd) Monday in February - In observance of Presidents' Day. • Last Monday in May - In commemoration of Memorial Day, • July 4th - In observance of Independence Day. • First (1st) Monday in September - In observance of Labor Day. • November 11th - In observance of Veteran's Day. • Fourth (4th) Thursday in November - In observance of Thanksgiving Day. • The Friday immediately following Thanksgiving Day. • December 25th - In observance of Christmas Day. • Last working day before Christmas Day, unless Christmas falls on a Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof. • One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor. • Every day proclaimed by the Mayor of the City as a holiday for City employees Any holiday which falls on a Sunday will be observed on the following Monday. Any holiday which falls on a Saturday will be observed on the Friday preceding the Holiday. 9.2 Full-time, permanent and probationary employees covered bythis agreement shall be entitled to receive 96 hours off during the calendar year in lieu of the twelve (12) holidays specified in Section 9. 1, supra. Said hours, up to a maximum of 80 hours, may be carried over from one calendar year to the next and shall be cashed out upon separation from employment, not to exceed a maximum of 160 hours. An employee required to work on a City observed "legal" holiday shall be paid at his or her straight time rate. 35 25A-58 However, if an employee who separated from the service of the City has taken time off for holidays in advance of the date or day the holiday actually occurred, he or she must pay the City the cash value for such used but unearned holiday time off benefits prior to or at the time of separation. 9.3 Cash Option. Employees covered by this Agreement shall be given an option twice per calendar year to receive cash compensation ("cash out") computed on a straight time basis in exchange for eighty (80) hours of their annual holiday leave benefits set forth in Section 9.2 above. Specifically, employees may cash out up to 40 hours of holiday leave benefits in April of each calendar year and an additional 40 hours of holiday leave benefits in November of each calendar year. An employee that does not cash out holiday leave benefits in April may cash out a maximum of 80 hours of holiday leave benefits in November. The following terms and conditions apply to the Cash Option set forth above for the period of time beginning July 1, 2009 and ending June 30, 2013. Effective July 1, 2013, the cash out limits set forth in subparagraph "B" below shall no longer apply and the Cash Option cash out limits shall be revised as set forth in 9.3C below. A. The Cash Option is deferred for that period of time beginning July 1, 2009 and ending June 30, 2010. The Cash Option, as modified below, is reinstated effective July 1, 2010. The deferral of the Cash Option shall not affect an employee's ability to be compensated for accumulated leave upon separation from employment with the City, up to a maximum of 160 hours. B. For that period of time beginning July 1, 2010, and ending June 30, 2013, employees shall be given the option twice per calendar year to receive cash compensation ("cash out") computed on a straight time basis in exchange for 106 hours of their annual holiday leave benefits set forth in Section 9.2 above. Specifically, employees may cash out up to 53 hours of holiday leave benefits in November, 2010; November, 2011; and November 2012; and an additional 53 hours of holiday leave benefits in April, 2011; April, 2012; and April, 2013. An employee that does not cash out holiday leave benefits in the November period may cash out a maximum of 106 hours of holiday leave benefits in the April period. C. For the period December 1, 2011 and ending June 30, 2013, all employees covered by this Agreement shall defer, for the duration of Fiscal Years 2011-12 and 2012-13, an employee's ability to cash out annual holiday leave benefits. The ability to cash out annual holiday leave benefits shall be re-instated July 1, 2013. Specifically, employees may cash out up to 67 hours of holiday leave benefits in November, 2013; April, 2014; November, 2014; April, 2015; November, 2015; and April, 2016, respectively. An employee that does not cash out holiday leave benefits in the November period may cash out a maximum of 134 hours of holiday leave benefits in the April period for each fiscal year. Such deferral shall not affect an employee's ability to be compensated for all accumulated leave upon termination of employment with the City. 36 25A-59 Such option may be eliminated or modified to the extent it is construed as overtime under Department of Labor guidelines implementing provisions of the Fair Labor Standards Act (FLSA). 9.4 A newly-appointed employee must actually work at least one day preceding the day a holiday listed in Section 9. 1, supra, actually occurs in order to receive credit for such holiday. The employee will then be credited with all remaining holidays in the year occurring after the appointment. An employee separating from the service of the City must actually work at least one day following the day a holiday listed in Section 9. 1, supra, actually occurs in order to receive credit for that holiday. A newly-appointed employee must complete six (6) months of continuous, full-time service in order to receive credit for the Floating Holiday listed in Section 9.1 above. 9.5 This "time off," as defined in Article X, Section 10.6, may be taken in increments as small as one half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one half (1/2) hour. 9.6 Effective July 1, 2009, a maximum of one (1) year of Holiday benefits may be carried over from one calendar year to the next. An employee terminating employment with the City may cash out accumulated, unused Holiday leave benefits, not to exceed a maximum of 160 hours. 37 25A-60 ARTICLE X 10.0 VACATION 10.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule, and this purpose will be used as a guide in the administration of the provisions of this Article. 10.2 Regular Vacation Period, A. Full time employees shall be granted regular vacation at the rate of 80 hours for each ofhis or her first and second completed year of service, accrued on a monthly basis at the rate of 6 2/3 hours for each completed month of service. Thereafter, all such employees shall be granted regular vacation at the rate of 120 hours for each completed year of service, accrued at the rate of 10 hours for each completed month of service. B. An employee who has completed less than one year's service during the calendar year shall receive aproportionate fraction in accordance with the amount of service to his or her credit during the year; provided, however, no employee shall be entitled to, or receive payment for, any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (1st) day of the month following completion of six (6) months of continuous full-time service, an employee may be allowed to take all or a proportionate fraction of his or her earned vacation, subject to scheduling approval of the employee's supervisor. D. Absence on sick leave for aperiod in excess of fifteen (15) consecutive calendar days shall not be considered as service for vacation accrual purposes. E. Computation of Regular Vacation. 1. In computing regular vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that ten (10) additional hours of regular vacation shall be allowed to the employee unless departmental practice provides some other manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approval of the Police Chief, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. No employee may carry over from one calendar year to the next, more than the equivalent of two (2) regular vacation periods from the previous two (2) years, and vacation not taken beyond that amount is forfeited. A regular 38 25A-61 vacation period is defined as the maximum amount of vacation earned in a calendar year as provided in Subsection A, supra. 3. No employee shall have a right to accumulate or split his or her vacation, but the same may be allowed or required by the Police Chief. 10.3 Longevity Vacation. A. Each permanent employee is granted additional hours of vacation leave with pay for each computed year of full-time, continuous city service as set forth in the following table. This additional vacation shall be designated longevity vacation. Completed Hourly Equivalent Years of Additional Days 6 4 8 12 9 16 10 20 11 24 12 28 13 32 14 36 15 40 16 48 17 56 18 64 19 72 20 80 B. No employee becomes eligible for longevity vacation until completion of the sixth year of continuous service, and each employee continues to earn the maximum of 80 hours of longevity vacation for each completed year of service in excess of 20 years. C. A period of earlier service does not apply toward longevity vacation accumulation when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-114 of the Santa Ana Municipal Code or by reemployment from layoff within one (1) year. D. Leave of absence without pay, as provided in Article Xl, Section lE (Sick Leave- Extended) and Section 10.8 (Authorized Absence Without Pay - Long Tenn) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of longevity vacation. Absence on military leave followed by reinstatement, as provided in Section 9-143 of the Santa Ana Municipal Code does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of longevity vacation. 39 25A-62 E. Effective July 1, 2005, employees covered by this Agreement shall be given an option once per calendar year, to receive cash compensation computed on a straight time basis in lieu of up to a total of forty (40) hours of their longevity vacation leave benefits set forth in Subsection A above. F. Effective July 1, 2009, all employees covered by this Agreement shall defer for the duration of Fiscal Years 2009-10 and 2010-11 an employee's ability to cash out longevity vacation time. The ability to cash out longevity vacation time shall be re- instated July 1, 2011. Such deferral shall not affect an employee's ability to be compensated for all accumulated leave upon termination of employment with the city. G. For the period July 1, 2011 through June 30, 2014, employees covered by this Agreement shall be given an option once per fiscal year, to receive cash compensation computed on a straight time basis in lieu of up to a total of sixty-seven (67) hours of their longevity vacation leave benefits set forth in subsection A above. H. For the period December 1, 2011 and ending June 30, 2013, all employees covered by this Agreement shall defer, for the duration of Fiscal Years 2011-12 and 2012-13 an employee's ability to cash out longevity vacation time. The ability to cash out longevity vacation time shall be re-instated July 1, 2013. Specifically, employees may cash out up to 76 hours of annual longevity vacation benefits during Fiscal Years 2013-14, 2014-15, and 2015-16, respectively. Such deferral shall not affect an employee's ability to be compensated for all accumulated leave upon termination of employment with the City. Effective July 1, 2016, the yearly longevity cash-out provisions shall revert back to that as set forth in section 10.3"E", above. Therefore, effective July 1, 2016, employees covered by this Agreement shall be given an option once per calendar year to receive cash compensation computed on a straight time basis in lieu ofup to a total of forty (40) hours of their longevity vacation leave benefits. Such option may be eliminated or modified at the discretion of the Department to the extent it is construed as overtime under Department of Labor guidelines implementing provisions of the Fair Labor Standards Act (FLSA). 10.4 Limitation on Vacation. A. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take, any vacation leave with pay in excess of 400 hours in any one year by any combination of the vacations granted in this Agreement. Further, no employee may carry over from one calendar year to the next more than the equivalent of one longevity vacation period and the equivalent of one regular vacation period from the previous two (2) years, and vacation not taken beyond that amount is forfeited. Therefore, the maximum vacation that an employee with less than six (6) years service could accumulate is 240 hours and only an employee with more than 20 40 25A-63 years of service could carry over and take the authorized maximum of 400 hours in any one year. B. For the calendar year period of 2010 through 2013, an employee's maximum year-to- year vacation carry over shall be increased by one (1) additional longevity vacation period. Therefore, for the calendar period 2010 through 2013, an employee may carry over from one calendar year to the next no more than the equivalent of three (3) longevity vacation periods and the equivalent of one regular vacation period from the previous two (2) years, and vacation not taken beyond that amount is forfeited. C. Effective January 1, 2016, the maximum yearly vacation carryover shall revert back to that as set forth in subsection "A", above, and any accumulated vacation in excess of that maximum allowable carry over not used prior to January 1, 2017, shall be forfeited. D. Notwithstanding the foregoing, for any affected employee who is in jeopardy of losing vacation because of department staffing needs, the Police Chief may provide for a 30-day extension beyond the normal cut off date so that such employee will not lose vacation time. 10.5 Excess Usage. If vacation time off is used in excess of that available, such excess vacation time off will be, first, deducted from any available compensatory time off accrual; finally, deducted from the next scheduled wage or salary payment. 10.6 Time Off Banks. Employee Time Off Banks exist for each employee in the unit. Time off will be computed on an annual basis, Separate banks will be maintained for vacation, holidays, and compensatory time, respectively, based on existing policies applicable to each. Time off from each bank may be taken in increments as small as one half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one half (1/2) hour. Each affected employee shall be afforded the opportunity to submit time off selection(s) and the Police Chief or his designee shall make every reasonable effort to accommodate the employee's preference(s). The time at which an employee shall take his or her leave time shall be determined by the Police Chief, with due regard for the wishes of the employee and particular regard for the needs of the service. NOTE: All other policies and procedures described in Article VIII, "Overtime", Article IX, "Holidays", and Article X, "Vacation" will apply to the Time Off Banks. However, no employee will be allowed to carry a negative balance in any Time Off Bank. 41 25A-64 ARTICLE XI 11.0 OTHER LEAVES OF ABSENCE 11.1 Sick Leave. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of non-industrial illness or injury that prevents the employee from performing the duties of his or her position and shall be deemed to include time in quarantine resulting from non-duty related exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, eight (8) hours of sick leave for each full calendar month of service in which he or she is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. Notwithstanding the foregoing, employees on leave of absence for service-connected illness or injury who are covered by the provisions of Labor Code Section 4850, shall continue to accumulate eight (8) hours of sick leave for each full calendar month of service for which he or she is employed by the City with full pay during said absence for service- connected illness or injury. C. Authorized Only When Necessary. Use of sick leave by City employees shall be authorized as follows: Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. 2. With respect to "miscellaneous-member" employees covered by this Agreement, when such an employee's absence is caused by an industrial illness or injury, for which benefits are required to be provided under the State Workers' Compensation Insurance and Safety Act, the City shall pay 100% of salary for the first three (3) days of such absence and sick leave shall not be debited. D. Limit. The maximum total accumulation of sick leave with pay shall be 1600 hours. Sick leave usage of less than a full day shall be charged in minimum increments of one-half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one-half (1/2). E. Extended. The City Manager may grant leave up to six months without pay to an employee who has exhausted all of his or her accrued sick leave if the City physician or a licensed physician designated by the City Manager indicates that the employee 42 25A-65 will be sufficiently recovered to return to his or her employment within a six (6) months period. Prior to the expiration of the additional time, the employee may return to his or her position provided that he or she has a certificate from one of the above mentioned physicians stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to take any earned vacation he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor not less than one (1) hour prior to the time he or she is scheduled to report for duty. When the absence is more than three (3) consecutive working days, the employee must present to the Police Chief a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the chief personnel officer with the report of the return of the employee to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration of less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. 1. Excess Usage. If sick leave is used in excess of that due and available to an employee, such excess sick leave, will first be deducted from any available compensatory time off benefit; second, from any available vacation leave benefit; third, from any available holiday leave benefits; and finally, deducted from the next scheduled wage or salary payment. Personal Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non-cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this section, "child" means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; and "parent" means a biological, foster, adoptive parent, a stepparent, or a legal guardian. Up to three (3) days of this personal necessity leave may be used: (a) to attend to a serious accident to members of the employee's immediate family; (b) childbirth; (c) to cope with imminent danger to the employee's home or other valuable property; or (d) when the existence of external circumstances beyond the employee's control 43 25A-66 make it impractical for him or her to report for duty. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. Definition. All employees, except for those involved in disciplinary termination, shall be entitled to payment under the following provisions: 1. After ten (10) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for one-third (1/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 427 hours, at the rate of pay in effect on the date of such termination, a. At his or her option, an employee may convert the above lump sum payment option into health insurance or long term care insurance premiums to the extent necessary to provide the employee and his or her designated eligible dependents, if any, with benefits under the health insurance program maintained by the Association. The City's obligation to pay such premiums shall be terminated when the sum of premiums paid equals one-hundred fifty percent (150%) of the amount of the lump sum payment that the employee would have received for unused sick leave benefits had this option not been elected, not to exceed a maximum of 640 hours. 2, After 15 years of cumulative full-time service with the City, each qualified employee shall be entitled to credit for two-thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 1,066 hours, calculated at the rate of pay in effect on the date of such termination. This credit shall be applied toward monthly health insurance premiums or toward long-term care insurance premiums, beginning on the effective date of termination. The City's obligation to pay such premiums to the Association on behalf of the employee shall be terminated when the total credit as described above has been exhausted. 3. After 20 years of cumulative full-time service with the City, each qualified employee shall be entitled to one of two options: (a) payment for 1/3 of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 533 hours, at the rate of pay in effect on the date of such termination, or (b) credit for 2/3 of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 1,066 hours, as defined in "2" above. 4. After 25 years of cumulative full-time service with the City, each qualified 44 25A-67 employee shall be entitled to one of two options: (a) payment for 2/3 of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 1,066 hours, at the rate of pay in effect on the date of such termination, or (b) credit for 2/3 ofthe total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 1,066 hours, as defined in "2" above, 5. At the employee's election, payment for unused sick leave in the above provisions may be received in either a lump sum of money, or in equal monthly payments for a period of up to five (5) years. 6. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of 1/3 of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of death. 7. Upon the death of any retired employee receiving a benefit under this provision said benefit will continue to be provided on behalf of said retired employee to his or her beneficiary. 11.2 Bereavement Leave. An employee shall be granted up to three (3) days leave without loss of pay in case of death of a member of the employee's immediate family. For purposes of this Section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his/her specific workday schedule. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: A. Any relative by blood or marriage who is a member of the employee's household; B. A parent, parent-in-law, spouse, child, brother, sister, grandparent or grandchild of the employee, regardless of residence; C. Any other relative of the employee by blood or marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required. 11.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Chief Personnel Officer satisfactory proof ofhis or her orders to report for duty. Upon return and upon showing proof of actual service pursuant to such orders, he or she will be reinstated as provided in Section 9-143 of the Santa Ana Municipal Code. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in accordance with the 45 25A-68 Military and Veterans Code and Section 9-144 of the Santa Ana Municipal Code, will be granted leave with pay not to exceed thirty (30) working days in each calendar year after one year's service with the City upon presenting satisfactory proof of orders to and from such temporary active duties, 11.4 Jury and Witness Leave. When an on-duty employee is called to serve as a juror or a non- party witness in any court action he or she shall be allowed leave for the time actually required for such service, without loss of pay. Each on-duty employee called for such service shall present to the Police Chief for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. Refer to Departmental Order 396 - Jury Duty for specifics. 11.5 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana will be granted leave with pay for the time actually required, without loss of any accrued vacation or compensatory time off benefits. 11.6 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Absence from duty without leave for five (5) consecutive working days shall be deemed a resignation from the service; provided, however, if upon return to duty the person so absenting himself makes an explanation satisfactory to the Police Chief of the cause of his absence, the Police Chief may restore him to his position, with the City Manager's approval. 11.7 Authorized Absence Without Pay. Absence without pay not to exceed five (5) consecutive working days, may be authorized by the Police Chief. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the department with the approval of the City Manager. Such absences may be authorized only if in the judgment of the Police Chief they serve the best interest of the City. 11.8 Authorized Absence Without Pay - Long Term. Upon receipt of a written request from an employee having permanent status plus action by the Police Chief recommending approval of the request, the City Manager may grant a leave of absence for up to six (6) months. An employee returning to duty with the City shall inform the Police Chief and chief personnel officer of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) months period or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Police Chief will take steps necessary to restore the employee to his or her former position. 11.9 Administrative Leave. The City Manager is authorized to grant, at his discretion, administrative leave with or without pay for permanent employees if, in his opinion, such a leave is in the interests of the City. 46 25A-69 11.10 Industrial Leave. A. Each "safety member" employee covered by the provisions of Labor Code Section 4850 who is compelled to be absent from duty because of anillness or injury covered by the State of California Workers' Compensation Insurance and Safety Act shall, in lieu of temporary disability compensation payable under the aforementioned Act, continue to be paid his or her normal salary and accrue other benefits in accordance with the provisions of Labor Code Section 4850. B. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustment or to the accrual of vacation and seniority. 11.11 Catastrophic Leave Donation, In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non-industrial medical condition or injury, the City and Association agree to implement a Catastrophic Leave Donation Program. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation or compensatory time or one in-lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two-week period to submit donations. Donations received after this two-week period shall not be processed. The two-week period for each case shall be designated by the Police Chief or his designee as provided herein below. 3. Donations shall be for a minimum of two (2) hours and a maximum of eight (8) hours per donor. All donations must be made in two-hour increments, except in lieu holidays must be for eight (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and may be used pursuant to Article XI, Sections 11.1A through 11.1K above. B. Eli ig bility. Full-time employees shall be eligible for catastrophic leave donations if the following criteria are met: 47 25A-70 1. When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time, vacation, and in lieu holidays, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The Police Chief or his designee has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. 1. Upon receipt of a valid request for donations from an eligible employee, the Police Chief or his designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a. His or her name, department name, and employee number; b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above; C. The name, department, and employee number of the recipient; d. A statement indicating that the donor understands such donation of time is irrevocable. At the close ofthe two-week donation period, the department shall verify that each donating employee has accrued vacation and/or comp time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Section A, herein. 5. The City shall add the donated time to the recipient's sick leave account. D. Upon the death of any active employee receiving a benefit under this provision, the City agrees to pay any unused Catastrophic Leave Donations remaining on the books 48 25A-71 to the surviving beneficiary. E. For those current employees with unused catastrophic leave on the books, the City agrees to convert said unused catastrophic leave to sick leave for use in accordance with the provisions of Article XI, Sections 11.1A through 11.1K above. 49 25A-72 ARTICLE XII 12.0 EMPLOYEE INSURANCE 12.1 During the term of this Agreement the City will contribute toward the payment ofpremiums for health, dental and long-term disability insurance plans administered by the Association for the benefit of the employees represented by the Association as follows: A. Medical Insurance. During the term of this Agreement, the City will contribute the following amounts to the Santa Ana Police Officers Association Medical Insurance Trust Fund for each affected employee enrolled in medical insurance plans provided by the Association for its bargaining unit members and their eligible dependents: Effective 1-1-07: $767/month per employee (represents an 8% increase). Effective January 1, 2008, January 1, 2009, and January 1, 2010, respectively, the City shall contribute toward medical premiums an amount equal to the percentage increase associated with the Kaiser California CalPERS HMO plan. Any contributions necessary to maintain benefits under said medical plans in excess of the amounts referenced shall be bome entirely by the Association and/or the enrollees. Effective January 1, 2011, January, 12012 and January 1, 2013, respectively, the City shall contribute toward medical premiums an amount equal to the percentage increase associated with the Kaiser California CalPERS HMO plan. Any contributions necessary to maintain benefits under said medical plans in excess of the amounts referenced shall be borne entirely by the Association and/or the enrollees. B. Dental Insurance. During the term of this Agreement, the City will contribute the following amounts to the Santa Ana Police Officers Association Medical Insurance Trust Fund for each affected employee enrolled in dental insurance plans provided by the Association for its bargaining unit members and their eligible dependents: Effective 1-1-06 thm 12-31-09: $80/mo per employee. Effective 1-1-10: $90/mo per employee. Any contributions necessary to maintain benefits under said dental plans in excess of these amounts per month shall be borne entirely by the Association and/or the enrollees. C. Lou-Term. Disability (L.T.D.) Insurance. The City shall continue to contribute to the Santa Ana Police Officer Medical Insurance Trust Fund an amount toward the payment of premiums for each employee who is enrolled in the long-term disability insurance plan provided by the Association for employees covered by this Agreement in accordance with the following schedule: With respect to sworn, "safety-member" police personnel, up to a maximum 50 25A-73 of sixty-eight dollars ($68.00) per month per enrollee. 2. With respect to non-sworn, "miscellaneous-member" personnel, up to a maximum of sixty-four dollars ($64.00) per month per enrollee, Any contribution necessary to maintain benefits under such long-term disability insurance plan provided by the Association for covered employees in excess of the amounts set forth as above shall be borne by the Association and/or the enrollees. D. Life Insurance. The City shall maintain in effect for the term of this Agreement its existing life insurance plan for employees covered by this Agreement on the same basis as said plan was offered to employees as of December 31, 1988 except the term life insurance coverage for each affected employee will be in the amount of twenty thousand dollars ($20,000), plus twentythousand dollars ($20,000) accidental death and dismemberment (AD + D) coverage, at no cost to the employee. 12.2 Retiree Health Insurance Plan. Members retiring on or after July 1, 1997, will be provided health insurance premium reduction assistance. All bargaining unit employees and the Association shall hold the City harmless, defend and indemnify the City for any claims regarding the administration of, or the payment of, claims under any Association designed retiree health insurance benefit plan. 12.3 Employees on unpaid leave of more than fifteen (15) calendar days shall not receive the City's contribution toward any insurance coverage. The Police Department will notify the Association of all employees on unpaid leave or who separate from City employment within three (3) working days. The City will continue the payment of contribution for insurance coverage until the end of the month in which the Association had received notice from the City of the employee's separation from employment. 51 25A-74 ARTICLE XIII 13.0 RETIREMENT 13.1 General. The City shall continue to make contributions to the California Public Employees' Retirement System (CaIPERS) in accordance with its contract with Ca1PERS for employees covered by said contract as amended. 13.2 Deferred Retirement. The City shall continue to make payment to CalPERS on behalf of each employee covered by this Agreement in accordance with the following schedule: A. With respect to "safety-member" employees, the City shall pay an amount equal to nine-ninths (9/9ths) of his or her individual employee retirement contribution. B. With respect to "miscellaneous-member" employees covered by this Agreement, the City shall pay an amount equal to eight-eighths (8/8ths) of his or her individual employee retirement contribution. Such payments shall be credited to the individual employee's Ca1PERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this Agreement shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary income and thus, will not withhold federal or state income tax from said payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, not ordinary income. In the event that the City receives a subsequent ruling from the internal Revenue Service that such payments are ordinary income ofthe employees instead ofdeferred compensation, the City s obligation to make such payments shall discontinue and in place thereof the base salary of each affected employee shall forthwith be increased by eighteen (18) salary rate ranges (9.0%) for "safety-member" and sixteen (16) salary rate ranges (8.0%) for all "miscellaneous-member" employees covered by this Agreement. For the purpose of reporting an employee's compensation to CaIPERS, the City shall include these payments as if they were a part of the employee's base salary. 13.3 Ca1PERS Fourth Level of 1959 Survivors Benefits. Effective November 7, 2002, the City will provide CaIPERS fourth level of 1959 Survivors Benefit to all eligible employees in the unit. 13.4 CalPERS Pre-Retirement Optional Settlement 2 Death Benefit. Effective July 5, 2000, the City shall provide the CaIPERS Pre-Retirement Optional Settlement 2 Death Benefit to all employees covered by this Agreement. 52 25A-75 13.5 3% at 50 Service Retirement Benefit for Safety Members. The City agrees to amend its contract with CalPERS to provide Safety employees represented by this bargaining unit with the 3% at 50 Service Retirement benefit effective July 1, 2001. Payment of 3% at 50 Service Retirement Benefit. The actual cost for the benefit shall be determined upon receipt of the annual actuarial valuation setting forth employer rates for the 2001-02 fiscal year and every subsequent year thereafter. Commencing July 1, 2011, all safety members in the Association shall contribute an additional one percent (1%) of payroll to CalPERS for the cost of the service retirement benefit, for a total contribution of 2.42%. This 2.42% is paid pursuant to Government Code Section 20516(f). Commencing December 1, 2011, all employees covered by this Agreement shall pay an additional 2% of their salary to pay for employer portion of the City's PERS contribution. This contribution shall be paid in accordance with Government Code section 20516(t). With this additional 2% for cost sharing, for the period of December 1, 2011 through June 30, 2012, safety employees in the unit shall pay a total of 4.42% of their salary to pay for employer portion of the City's PERS contribution in accordance with Government Code section 20516(1). During this same period, non-safety employees, who, prior to December 1, 2011, in accordance with Section 13.7 of the parties' MOU, paid 6.3% of their salary to pay for the employer portion of the City's PERS contribution, will pay 8.3% of their salary to pay for the employer portion of the City's PERS contribution. Commencing on July 1, 2012 all safety employees covered by this Agreement shall pay an additional 3.5% of their salary to pay for employer portion of the City's PERS contribution. This contribution shall be paid in accordance with Government Code section 20516(f). With this additional 3.5% for cost sharing, effective July 1, 2012, safety employees in the unit shall pay a total of 7.92% of their salary to pay for employer portion of the City's PERS contribution in accordance with Government Code section 20516(f). 13.6 Military Service Credit as Public Service. Effective January 2, 2001, Safety employees, and April 5, 2002, Miscellaneous employees, respectively, may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. The City agrees that, as soon as practicable following Council approval of this Agreement, and amendment to the Ca1PERS contract, employees who elect to purchase service credit may do so on a "pre-tax" basis. 13.7 2.7% at 55 Service Retirement Benefit for Miscellaneous Members. The City agrees to amend its retirement contract with CalPERS to provide Miscellaneous employees covered by this Agreement with the 2.7% at 55 Service Retirement benefit to be effective January 1, 2009. Pursuant to CalPERS regulations, this new formula will applyto employees that are in active status on the date this amendment takes effect. This new formula will apply to each year of eligible service credited with the City of Santa Ana. 53 25A-76 Payment of New 2.7% at 55 Service Retirement Benefit, Miscellaneous employees covered by this Agreement agree to pay 6.3% of CalPERS reportable compensation toward the cost of the 2.7% at 55 enhanced retirement formula in the following manner; A. Effective July 1, 2007, the City shall deduct from each employee covered by this Agreement two percent (2%) of CalPERS reportable compensation to pay toward the cost of the new enhanced retirement formula. B. Effective July 1, 2008, the City shall deduct from each employee covered by this Agreement an additional two percent (21/o) of CalPERS reportable compensation (4% total) to pay toward the cost of the new enhanced retirement formula. C. Effective July 1, 2009, the City shall deduct from each employee covered by this Agreement an additional two point three percent (2.3%) of CalPERS reportable compensation (6.3% total) to pay toward the cost of the new enhanced retirement formula. D. Commencing December 1, 2011, all employees covered by this Agreement shall pay an additional 2% of their salary to pay for the employer portion of the City's PERS contribution. This contribution shall be paid in accordance with Government Code section 20516(f). With this additional 2% for cost sharing, for the period of December 1, 2011 through June 30, 2012, non- safety employees, who, prior to December 1, 2011, in accordance with Section 133C of the parties' MOU, paid 6.3% of their salary to pay for the employer portion of the City's PERS contribution, will pay 8.3% of their salary to pay for the employer portion of the City's PERS contribution. E. Commencing on July 1, 2012, all non-safety employees covered by this Agreement shall pay an additional 3.5% of their salary, who, prior to July 1, 2012, in accordance with Section 133D of the parties' MOU, paid 8.3% of their salary to pay for the employer portion of the City's PERS contribution, will pay 11,8% of their salary to pay for the employer portion of the City's PERS contribution in accordance with Government Code section 20516(f), Pre-Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 13.8 Credit for Unused Sick Leave. Effective January 1, 2002, a non-sworn employee covered by this Agreement can have unused accumulated sick leave at the time of retirement converted to additional service credit, pursuant to regulations prescribed by PERS. The City must report only those hours of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. Effective July 1, 2007, the provisions of this section will also apply to sworn employees covered by this Agreement. 54 25A-77 ARTICLE XIV 14.0 RELEASE TIME FOR ASSOCIATION REPRESENTATIVE During the term of this Agreement, the City agrees to grant full-time release from duty for one (1) Association representative for the conduct of Association affairs subject to the following: 14.1 The Association shall reimburse the City for one hundred percent (100%) of salary (including any salary additives, such as career incentive pay) and benefit costs. Such reimbursement may be from the bank established pursuant to Section 8.15 of Article VIII of this Agreement. 14.2 The Association shall provide an insurance policy or policies, or certificate of such insurance, naming the City of Santa Ana, its officers, employees and agents as insured or additional insured, which provides coverage against liability for any and all claims and/or suits for damages or injuries to persons or property resulting from or arising out of any act or omission of said Association representative. Said policy or policies of insurance shall provide coverage for both bodily injury and property damage in not less than the following minimum amounts: One million dollars ($1,000,000.00) combined single limit or its equivalent. Said policy or policies shall also contain a provision that no termination, cancellation or change of coverage of insured or additional insured shall be effective until thirty (30) days notice thereof has been given in writing to the City of Santa Ana. 14.3 The Association shall provide the City of Santa Ana with an insurance certificate from a workers' compensation insurance carrier certifying that it carries primary workers' compensation insurance on behalf of said Association representative and the policy shall not be cancelled nor the coverage reduced except upon ten (10) days' prior notice to the City of Santa Ana. 14.4 The Association shall indemnify and save harmless the City of Santa Ana, its officers and employees, from and against any and all damage to property or injuries to or death of any person or persons, including property and employees or agents of the City of Santa Ana, and shall defend, indemnify and save harmless the City of Santa Ana, its officers and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors, or omissions, or arising out of the intentional or malicious acts of Association's representative. 14.5 The Association and the City of Santa Ana agree that the Association's representative will not be required to carry out any peace officer's duties during such time that the Association's representative is on such full-time release from duty. The Association's representative will be required to comply with the Rules and Regulations of the Santa Ana Police Department as they apply to off-duty employees, except such representative will not be required to report for duty for any purpose. 14.6 Upon return to duty from such full-time release, the Association's representative shall be restored to the same position without loss of any benefits as he or she would have occupied or accrued if there had been no disruption in duty status. 55 25A-78 The Association agrees that since the Association representative does not report for duty or account to the City for his or her sick leave or vacation time, that vacation and sick leave accruals shall be treated as follows: A. The Association representative shall accrue eight (8) hours of sick leave each month until the accrued sick leave total reaches a maximum of 1600 hours. B. Vacation shall be accrued consistent with existing POA MOU provisions. The Association representative may not carry over from one (1) calendar year to the next more than the equivalent of one (1) longevity vacation period and the equivalent of one (1) regular vacation period from the previous two (2) years. Regular vacation in excess of that accrued during the previous two (2) year period will be forfeited. C. The Association representative may not donate his/her accrued vacation or holiday time. 56 25A-79 ARTICLE XV 15.0 SAFETY 15.1 The City and the employees of the City agree to comply with all applicable federal, state and local laws, and City of Santa Ana regulations, which relate to health and safety. 57 25A-80 ARTICLE XVI 16,0 RESIDENCY 16.1 To the extent possible, the City shall perform any and all acts necessary to remove limitations upon where employees reside who are covered by this Agreement. At the discretion of the Police Chief, selected special duty assignments may be designated as rapid response assignments. In those instances, the Police Chief may apply specific residency requirements upon members assigned to those positions. 58 25A-81 ARTICLE XVII 17.0 DISCIPLINE 17.1 Any permanent employee covered by this Agreement may only be disciplined in accordance with the standards and procedures and subject to all rights of appeal set forth in Santa Ana Municipal Code Sections 9-9, 9-10, 9-118.1, et seq. Any probationary employee covered by this Agreement may be disciplined in accordance with the standards and procedures set forth in Santa Ana Municipal Code Sections 9-90, 9-91, 9-118, and subject to review in accordance with the grievance review procedure contained in this Agreement. 17.2 In addition, a new section shall be added to the Municipal Code to provide as follows: A. In the event an employee is ordered to absent himself from the job based on probable cause and it is subsequently determined by the Police Chief, the City Manager, Personnel Board or a court of competent jurisdiction, that cause did not exist for the ordered absence, the employee shall have restored to him any paid leaves of absence against which such absence may have been charged, and he shall be granted a retroactive leave of absence with pay for the time during which he was prohibited from performing the duties of his position, less any compensation paid to him by the City during such ordered absence unless such employee waives his/her rights to retroactive pay. B, In the event an employee is reduced, suspended and/or discharged, and upon appeal the City Manager, Personnel Board or a court of competent jurisdiction does not sustain such reduction, suspension, and/or discharge, the employee shall be entitled to his base rate or salary including all additives, vacation, and sick leave as if such unsustained reduction, suspension, or discharge had not been invoked. However, in no event shall an employee be entitled to any salary or credit for vacation and sick leave for any period of time covered by a suspension sustained on appeal or for any period of time waived by the employee as a condition to the granting of a continuance of any hearing on appeal. C. If, during an absence for which an employee is paid pursuant to this Section, he earned any money which he would not have earned had he continued to perform the duties of his position, such sum shall be deducted from the salary otherwise payable to him pursuant to this Section. 59 25A-82 ARTICLE XVIII 18.0 GRIEVANCE REVIEW PROCEDURE 18.1 Definition of Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or the Association concerning the interpretation or application of specific provisions of this Agreement, or of the rules and regulations governing personnel practices or working conditions of the City; except, however, those matters specifically assigned to thejurisdiction of the City Personnel Board by provision of the City Charter and the Civil Service Rules and Regulations. No employee shall suffer any reprisal because of filing or processing of a grievance or participating in the Grievance Review Procedure. 18.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond aperiod often (10) calendar days after the occurrence ofthe alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. If the employee's grievance is directed against the actions of his or her immediate supervisor, the employee may initiate his or her grievance with his or her Division Commander. In such cases, the employee shall file his or her grievance directly with the Division Commander within ten (10) calendar days of the event. Response time lines will continue as designated for Division Commander and above. If the grievance is directed toward the Division Commander, the employee may file directly with the Bureau Commander. B. The Supervisor will respond to the grievance within seven (7) calendar days of receiving the grievance, C. If the grievance is not resolved at the immediate supervisor level, the employee, within ten (10) calendar days of the supervisor's response, will attempt to resolve the grievance on an informal basis through discussion with his or her Division Commander. The Division Commander will respond to the grievance within seven (7) calendar days of receiving the employee grievance. D. Every effort shall be made to find an acceptable solution to the grievance through this informal process. E. If the grievance is not resolved at the informal level, the employee shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to his or her Bureau Commander. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within ten (10) calendar days after receiving the response 60 25A-83 from his or her Bureau Commander, the grievance shall be barred and waived. 18.3 Formal Process. A. If the grievance is not resolved through the informal process, and a written grievance is filed within the time limits set forth above, the grievant's immediate supervisor and Division Commander will add their comments and any justificationthey consider proper, sign it, and forward it to their Bureau Commander without undue delay, or in no case, more than seven (7) calendar days after receiving the formal grievance. A copy shall be provided to the employee. B. The Bureau Commander, after study of the case, shall attach his or her decision and reasons therefore, and return them to the employee within seven (7) calendar days after receipt of the written grievance. C. If no satisfactory settlement has been reached at the division level, the employee may, within seven (7) calendar days after receipt of the Bureau Commander's decision may, in writing, request a meeting with the Police Chief to pursue the employee's grievance. Failure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on the basis of the Bureau Commander's response. D. If the grievant files a written grievance to the Police Chief in the matter and within the time limits specified in "C" above, then a conference shall be held at the request of the employee or the Police Chief. E. The Police Chief shall inform the employee of his action within fourteen (14) calendar days of the filing of the written grievance with the Police Chief or the date the conference is held between the employee and the Police Chief. F. If no satisfactory settlement has been reached at the departmental level, the employee may, within seven (7) calendar days after being informed by the Police Chief of his decision on the matter, and the reasons thereof, submit the grievance in writing to the City Manager, or his duly authorized representative, for determination. Failure ofthe grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on the basis of the Police Chief s response. The City Manager, or his representative, after careful review, shall render a final decision on the merits of the grievance, in writing, and return it to the grievant within twenty-one (21) calendar days after receiving the grievance. A copy of the written grievance to the City Manager, and of the City Manager's decision, shall be filed in the Personnel Records of the department and the grievant's personnel jacket maintained in the Personnel Services Department. G. After the procedure set forth in this Article has been exhausted, the grievant, the Association, and the City shall have all rights and remedies to pursue said grievance under the law. 61 25A-84 ARTICLE XIX 19.0 DUES DEDUCTION AND INDEMNIFICATION 19.1 Dues Deduction. The City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by the Association, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to the Association within thirty (30) days following their deduction. 19.2 Indemnification. The Association agrees to hold the City harmless and indemnify the City against any claims, causes of actions, or lawsuits instituted by a member or members of the Association arising out of the deductions or transmittal or such funds to the Association, except the intentional failure of the City to transmit, to the Association, monies deducted from the employees pursuant to this Article. 62 25A-85 ARTICLE XX 20.0 CITY RIGHTS 20.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of Management which have not been expressly abridged by specific provision of this Agreement or by law to manage the City, as such rights existed prior to the execution of this Agreement. The sole and exclusive rights of Management, as they are not abridged by this Agreement or by law, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or non-existence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and/or change the facilities, methods, technology, means, and size of the work force by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions including, but not limited to, the right to contract for or subcontract any work or operation of the City. 1. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. J. To relieve employees from duties for lack of work or similar non-disciplinary reason, subject to the provisions of the City Charter, Municipal Code, federal and state law and this Agreement. K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in accordance with the provisions and procedures set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. 63 25A-86 N. To hire, transfer, promote, and demote employees for non-disciplinary reasons in accordance with this Agreement. 0. To determine policies, procedures, and standards for selection, training, and promotion of employees. P. To establish employee performance standards including, but not limited to, quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and/or modify rules and regulations to maintain order and safety in the City which are not in contravention with this Agreement. To take any and all necessary action to cant' out the mission of the City in emergencies. 20.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Association regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in the Agreement. The City and Association agree that upon the expiration of this contract and during the good faith negotiations for a subsequent contract, salary and benefits shall continue at the then current rate. 64 25A-87 ARTICLE XXI 21.0 STRIKES AND WORK STOPPAGES 21.1 Prohibited Conduct. A. The Association, its officers, agents, representatives, and/or members agree that during the term of this Agreement, they will not cause or condone any unlawful strike, walkout, slowdown, sick-out or any other unlawful job action by withholding or refusing to perform services. B. Any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the appointing authority. C. In addition to any other lawful remedies or disciplinary actions available to the City, if the Association fails, in good faith, to perform all responsibilities listed below in Section 21.2, Association Responsibility, the City may suspend any and all rights and privileges, accorded to the Association in this Agreement, including but not limited to suspension of the Grievance Review Procedure and dues deduction. 21.2 Association Responsibility. In the event that the Association, its officers, agents, representatives, or members engage in any of the conduct prohibited in Section 21.1A of this Article, Prohibited Conduct, the Association shall immediately instruct anypersons engaging in such conduct that their conduct is in violation of this Agreement and unlawful, and they must immediately cease engaging in conduct prohibited in said Section 21.1 A, and return to work. 65 25A-88 ARTICLE XXII 22.0 LAYOFFS 22.1 All layoffs within the competitive service occasioned by abolishment of a position, the combination of duties of two (2) or more positions, or the reduction in numbers of employees in a given class, shall be governed by seniority in the class. Reemployment shall be in reverse order of layoff. 22.2 Any promotional probationary employee laid offunder these procedures who held permanent status in a lower class shall retain seniority rights in the previously held classification provided that it is still listed in the City's current basic classification and compensation plan. 22.3 Any permanent, full-time employee laid off under the above provisions may request a demotion to a position in a lower class provided he/she meets reasonably related qualifications required for placement in the class and the position is vacant. 22.4 In lieu of layoff, an employee may elect to work in a lower level classification, in which he or she has served, providing that classification is within the same job family/career ladder. In that event, the employee's length of service in the next lower classification will be added to his or her length of service in the affected classification, and said combined seniority shall be used to bump down into the next lower classification. This method of combining seniority shall be applied to subsequent lower classifications. 22.5 For positions that were advertised in the Police Department as "open and promotional" or "promotional only" which are open to Police Department employees only, there will be created a "job ladder" such that those employees in positions to be eliminated through layoff shall be entitled to return to the POAj ob classification in the Police Department from which they promoted, "bumping" any employee in that job class with less cumulative years of service in that job class than the bumping employee had in that j ob class prior to promotion. 22.6 Notice of Service. On request, a laid off employee shall receive a statement certifying that his/her services have been satisfactory. Layoff shall not be used in lieu of a disciplinary dismissal. 22.7 The City agrees that there shall be no layoffs of members of this bargaining unit during the fiscal years 2009-2010 and 2010-2011. 22.8 The City agrees that there will be no layoffs of members of this bargaining unit during fiscal year 2011-2012 except upon the occurrence of a five percent (5%) or greater decline in the 2010-2011 general fund revenues of the City. For purposes of this provision, general fund revenues of the City will not include one-time revenues to the City or transfers between other existing City funds and the general fund. 22,9 During Fiscal Year 2012-13, the City will not layoff any employees in the unit without first meeting and conferring with the Association on the decision, not just the impact of the decision. 66 25A-89 ARTICLE XXIII 23.0 SOLE AND ENTIRE AGREEMENT 23.1 It is the intent of the parties hereto that the provisions of this Agreement shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral and written, expressed or implied, between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This Agreement is not intended to conflict with federal or state law or the City Charter. 23.2 The City will continue to administer its employee relations and its personnel policies and procedures in accordance with duly-adopted ordinances and resolutions, and the affected employees will continue to be governed thereby during the term of this Agreement. 67 25A-90 ARTICLE XXIV 24.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT 24.1 During the tern of this Agreement, the parties mutually agree that they will not seek to negotiate or bargain with regard to wages, hours, and terms and conditions of employment, whether or not covered by the Agreement or in the negotiations leading thereto, unless required by specific provisions of this Agreement, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this Agreement. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this Agreement. 68 25A-91 ARTICLE XXV 25.0 SEPARABILITY PROVISION 25.1 Should any provision of this Agreement be found to be inoperative, void, or invalid by a court of competent jurisdiction, all other provisions of this Agreement shall remain in full force and effect for the duration of this Agreement, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. 69 25A-92 ARTICLE XXVI 26.0 TERM OF AGREEMENT 26.1 The term of this Agreement shall be from July 1, 2008 through June 30, 2013. 70 25A-93 ARTICLE XXVII 27.0 RATIFICATION AND EXECUTION 27.1 The City and the Association have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and the Association acknowledge that this Agreement shall not be in full force and effect until ratified by the membership of the Association and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this Agreement is hereby executed by the authorized representatives of the City and the Association and entered into this 19TH day of November, 2012. JIM 15 2018 Dated: Dated: t / S Dated: I "Z'1 - 1'7- ATTEST: CLERK OF THE COUNCIL,.:) APPROVED AS TO FORM: CITY OF SANTA ANA, a Municipal Corporation of the State of California YOR C By: CITY MANAGER By: X4'1,6 vt 2 EXECUTIVE DIRECTOR - PERSONNEL SERVICES J? TY ATTORNE 71 25A-94 This Agreement has been ratified by the membership of the Santa Ana Police Officers Association. SANTA ANA POLICE OFFICERS ASSOCIATION Dated: X04 affA, ao 12 By: _ 14tESIDENT 72 25A-95 EXHIBIT A 0 1 2 41 1542 1549 1557 42 1619 1627 1635 43 1700 1708 1717 44 1785 1793 1802 45 1874 1883 1892 46 1968 1977 1987 47 2066 2076 2086 48 2169 2179 2190 49 2277 2288 2299 50 2391 2402 2414 51 2511 2523 2536 52 2637 2650 2663 53 2769 2782 2796 54 2907 2921 2936 55 3052 3067 3082 56 3205 3221 3237 57 3365 3381 3398 58 3533 3550 3568 59 3710 3728 3747 60 3896 3915 3935 61 4091 4111 4132 62 4296 4317 4339 63 4511 4533 4556 64 4741 4764 4787 65 4978 5002 5026 66 5226 5252 5278 67 5488 5515 5542 68 5762 5790 5818 69 6050 6080 6110 BASIC SALARY AND WAGE SCHEDULE 3 1565 1643 1725 1811 1902 1997 2097 2201 2311 2427 2548 2676 2810 2950 3098 3253 3415 3586 3765 3954 4152 4360 4579 4810 5051 5304 5569 5847 6140 4 1573 1651 1734 1820 1911 2007 2107 2212 2322 2439 2561 2690 2824 2965 3113 3269 3432 3604 3784 3974 4173 4382 4601 4834 5076 5330 5596 5876 6170 5 6 1580 1588 1659 1668 1742 1751 1830 1839 1921 1930 2017 2027 2118 2128 2223 2234 2334 2346 2451 2463 2574 2587 2703 2717 2838 2853 2980 2995 3129 3144 3285 3302 3449 3467 3622 3640 3803 3822 3994 4014 4194 4215 4404 4426 4624 4648 4858 4882 5101 5126 5356 5382 5623 5650 5905 5934 6200 6230 7 8 9 1596 1604 1612 1676 1684 1693 1760 1769 1778 1848 1857 1866 1940 1950 1960 2037 2048 2058 2139 2150 2160 2246 2257 2268 2357 2369 2381 2475 2488 2500 2600 2613 2626 2730 2744 2758 2867 2881 2896 3010 3025 3040 3160 3176 3192 3318 3335 3352 3484 3501 3519 3658 3676 3695 3841 3861 3880 4034 4054 4074 4236 4257 4278 4448 4470 4493 4671 4694 4718 4906 4930 4954 5151 5176 5201 5408 5434 5461 5678 5706 5734 5963 5992 6021 6260 6291 6322 73 25A-96 70 6353 6384 6415 6446 6478 6510 6542 6574 6606 6638 71 6670 6702 6735 6768 6801 6835 6869 6903 6937 6971 72 7005 7039 7073 7107 7141 7176 7211 7247 7283 7319 73 7355 7391 7427 7463 7499 7535 7571 7609 7647 7685 74 7723 7761 7799 7837 7875 7913 7951 7989 8029 8069 75 8109 8149 8189 8229 8269 8309 8349 8389 8431 8473 76 8515 8557 8599 8641 8683 8725 8767 8809 8853 8897 77 8941 8985 9029 9073 9117 9161 9205 9250 9296 9342 78 9388 9434 9482 9529 9577 9625 9673 9721 9770 9819 79 9857 9906 9955 10005 10055 10105 10156 10207 10258 10309 80 10350 10401 10453 10506 10558 10611 10664 10717 10771 10825 81 10868 10922 10976 11031 11086 11142 11198 11254 11310 11366 82 11411 11468 11525 11583 11640 11699 11757 11816 11875 11934 83 11982 12041 12102 12162 12223 12284 12345 12407 12469 12532 84 12581 12643 12707 12770 12834 12898 12963 13027 13093 13158 85 13210 13275 13342 13409 13476 13543 13611 13678 13748 13816 86 13871 13939 14009 14079 14150 14220 14292 14362 14435 14507 87 14565 14636 14709 14783 14858 14931 15007 15080 15157 15232 88 15293 15368 15444 15522 15601 15678 15757 15834 15915 15994 74 25A-97 ASSIGNMENT OF CLASSES TO SALARY RATE RANGES 7/1/2012 RANGE JOB TITLE NO. Min Max POLICE OFFICER 688 5992 7283 POLICE SERGEANT 731 7391 8985 ANIMAL SERVICE OFFICER 1 626 4426 5382 ANIMAL SERVICE OFFICER II 656 5126 6230 BACKGROUND INVESTIGATOR 641 4764 5790 COMMUNICATIONS SERVICES OFFICER 621 4317 5252 CORRECTIONAL OFFICER 641 4764 5790 CORRECTIONAL SUPERVISOR 690 6050 7355 CRIME RESEARCH AIDE 652 5026 6110 CRIME RESEARCH ANALYST 678 5706 6937 DARE OFFICER 621 4317 5252 FIREARMS EXAMINER 697 6260 7609 FORENSIC SERVICES SUPERVISOR 728 7283 8853 FORENSIC SPECIALIST 1 652 5026 6110 FORENSIC SPECIALIST II 671 5515 6702 PARKING CONTROLOFFICER 591 3728 4533 POLICE ATHLETIC/ACTIVITIESLEAGUE ASSISTANT DIR 620 4296 5226 POLICE COMMUNICATIONS SUPERVISOR 686 5934 7211 POLICE COMMUNITY SERVICES SPECIALIST 641 4764 5790 POLICE EVIDENCE AND SUPPLY SPECIALIST 624 4382 5330 POLICE EVIDENCE AND SUPPLY SUPERVISOR 644 4834 5876 POLICE INVESTIGATIVE SPECIALIST 641 4764 5790 POLICE PHOTO/VIDEO SPECIALIST 621 4317 5252 POLICE PROPERTY AND EVIDENCE SPECIALIST 624 4382 5330 POLICE PROPERTY AND EVIDENCE SUPERVISOR 644 4834 5876 POLICE RECRUIT 650 4978 6050 POLICE SERVICE ASSISTANT 605 3994 4858 POLICE SERVICE OFFICER 621 4317 5252 POLICE SERVICES DISPATCHER 646 4882 5934 RANGEMASTER 621 4317 5252 SENIOR PARKING CONTROL OFFICER 611 4111 5002 TRAFFIC SERVICES SPECIALIST 641 4764 5790 75 EXHIBIT B 25A-98 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: AGREEMENT WITH THE SERVICE EMPLOYEES INTERNATIONAL UNION CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL 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 Approve a side letter agreement to the Memorandum of Understanding with the Service Employees International Union regarding wages and other terms and conditions of employment. DISCUSSION The City and the Service Employees International Union (SEIU) recently completed contract negotiations resulting in a new, two-year Memorandum of Understanding (MOU) (Attachment 1). The MOU covers the period July 1, 2013 through June 30, 2015. This agreement will modify the existing MOU (Attachment 2) and will be part of a comprehensive MOU to be brought forward at a later date. The provisions of this agreement include: 1) Term: A two-year term from July 1, 2013 through June 30, 2015. 2) Salary Increase: Effective July 1, 2013, the base salary of employees covered by this MOU shall be increased by one percent (1 %). 3) CALPERS Retirement: Effective April 1, 2013, employee contribution toward the cost 2.7% at 55 service retirement benefit will be reduced from 13% to 9%. 4) Medical Insurance: For the period July 1, 2013 through June 30, 2015, the City shall continue to make health insurance contributions at the rates in effect for 2013 or at the rate of the lowest cost HMO medical plan for the Other Southern California Region plan, whichever amount is greater. 25B-1 Agreement with the Service Employees International Union October 21, 2013 Page 2 5) Water Department Study: The City shall conduct a salary study comparing the compensation practices, including certification pay, of surrounding cities and water districts relative to City water department positions. 6) Banked Holiday Hours: Holiday time off may be taken in increments of one-half (1/2) hour. 7) Tuition Reimbursement: Maximum tuition reimbursement shall be increased from $1,575 to $2,000 per fiscal year. 8) Catastrophic Leave: There is no limit to the amount of vacation and compensatory time donations that can be made to eligible employees. 9) Joint Labor Management Teams: The City and the SEIU agree to continue to use the Joint Labor Management Team process for those issues cited in the previous MOU but not completed and including additional items. 10) Stand-by Pay: Stand-by Pay shall be increased from $200 to $300 per week when assigned to such duty. 11) Assignment Pay: The City agrees that incumbents in the classifications of Fleet Equipment Technician I, II and III who possess nationally recognized certifications for Automotive Service Excellence Master Certification (ASE) and ASE Alternative Fuel, will be paid an assignment pay differential at a rate set five (5) salary rate ranges (approximately 2.5%) above their then current base monthly salary for said certification. 12) Tool Allowance: The City will increase the allowable tool allowance from $900 to $1,000 per year for eligible employees. 13) Uniform Allowance: Effective the first pay period following Council approval of the MOU, the uniform allowance will be discontinued and the City shall no longer report to CalPERS. FISCAL IMPACT Funds are available in the affected departmental salary accounts (no. 61000). It is estimated that this agreement will result in an annual cost of $882,000, including $120,000 in one-time costs to the City. APPROVED AS TO FUNDS AND ACCOUNTS: Dtug?_? Edward S. Raya Executive Director Personnel Services Agency Francisco Gutierrez Executive Director Finance & Management Services Agency`"'? 25B-2 SIDE LETTER TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION, LOCAL 721 The City of Santa Ana (City) and the Service Employees International Union, Local 721(SEIU) have met and conferred over the terms of a successor Memorandum of Understanding (MOU). This document represents the agreement of the parties reflecting all of those changes to the parties' current MOU. These changes once ratified by the SEIU and then approved by the City Council of the City will go into effect as set forth herein. It is then the intent of the parties to incorporate these changes into their MOU (which will be a comprehensive MOU incorporating all the parties agreements) which will include any and all side letters of agreement entered into between the parties which are not currently contained in the MOU. This will include updating language currently in the existing MOU which has been subsequently modified by side letters entered into between the parties prior to the negotiations for the successor MOU but after the last MOU was signed off by the parties. The parties anticipate there will also be updates to the MOU language to sections other than those set forth below which are necessitated by the parties' agreements below. 1. Term 28.1 Term The term of this Agreement shall be from July 1, 2013 through June 30, 2015. 2. Salaries 4.3 Salaries. A. Effective July 1, 2013 employees covered by this Agreement shall receive a 1% salary increase. 3. Pers Contribution 12.6 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. Effective January 1, 2009, the City agrees to amend its retirement contract with Ca1PERS to provide Miscellaneous employees covered by this agreement with the 2.7% at 55 Service Retirement benefit. Pursuant to Ca1PERS regulations, this new formula will apply to employees that are in active status on the date this amendment takes effect. This new formula will apply to each year of eligible service credited with the City of Santa Ana. Employee Contribution for Retirement Benefit. Effective April 1, 2013 the employee's contribution rate will be reduced from 13% to 9%. All employee contributions for retirement benefits are paid to the employer cost (i.e., employer contribution) in accordance with Government Code section 20516(f). The parties acknowledge that this provision has been mutually negotiated and incorporated as 1 25B -3 Attachment 1 an essential element of the parties' MOU. In the event that either party wishes to modify this provision in a successor MOU, the parties intend for this provision to remain unchanged until a successor MOU is ratified or impasse procedures have been concluded. Pre-Taxable Benefit. To the extent permitted by Ca1PERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. For "New Members" within the meaning of the California Public Employees' Pension Reform Act (PEPRA) of 2013 The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Retirement Formula: Per Government Code Section 7522.20(a), the 2%@ 62 retirement formula for non-swom. Final compensation will be based on the highest annual average compensation earnable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Effective April 1, 2013, employees shall pay one half of the normal cost rate, as established by CalPERS. 4. Medical/Dental Insurance Contributions 11.1 Health Insurance C. Effective January 1, 2013 the City contributed towards medical premiums an amount consistent with the rates then in effect for each tier of the lowest priced available CalPERS approved HMO medical plan for the Other Southern California Region plan. Additionally, employees hired after January 1, 2012 reimburse the City for the purchase of medical insurance through the City through a payroll deduction in an amount equal to the lesser of ten percent (10%) of the value of the rates then in effect for each tier of the lowest priced available Ca1PERS approved HMO medical plan for the Other Southern California Region plan, or $50 per month. For the period July 1, 2013 through June 30, 2015 the City shall continue to make health insurance contributions at the rates in effect for 2013 or at the rate of the lowest cost HMO medical plan for the Other Southern California Region plan, whichever amount is greater. 2 25B-4 11.2 Dental Insurance. Effective January 1, 2007, the City contribution amount was increased to a maximum of up to ninety ($90) dollars per month per employee. This contribution amount of ninety ($90) dollars per month per employee shall remain in effect during the term of the Agreement, which expires June 30, 2015. Any contribution necessary to maintain benefits under said dental plans in excess of the amount set forth above shall be borne entirely by the employee. 5. Water Department Study 4.14 The City shall conduct a salary study comparing the compensation practices, including certification pay, of surrounding cities and water districts with the City relative to water department positions. The study will be completed by January 1, 2014 and the parties agree to meet and confer over the potential implementation of any of the study findings. 6. Banked Holiday Hours 8.5 Holiday time off may be taken in increments of one-half (1/2) hour. 7. Tuition Reimbursement 7.2 Eli ibility. A. Applications for tuition reimbursement will be considered only from full- time, permanent City employees who have completed probation. B. Employees receiving financial assistance from other sources such as the G.I. Bill, scholarships, etc. shall be eligible for reimbursement, subject to Section 7.3 C, in an amount not to exceed the difference between the cost of tuition and the amount of the other financial assistance received. C. Applications will be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his or her job, may be reimbursable only after all required occupationally related courses have been completed. E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. 25B-5 F. Approval will be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education. Workshops, seminars, conferences and similar activities not identifiable as a formal course of instruction within the curriculum of a recognized educational institution, do not fall within the purview of this program but may be authorized and funded by the interested department without coordination with the Personnel Services Department. G. When an employee is required by his or her Department Head to attend a particular course or seminar, the expense shall be borne entirely by the department. 7.3 Reimbursement. A. Reimbursement will be based on the cost of tuition or registration fees and all required texts and related material for each course. Additional expenses such as meals and parking fees are not reimbursable. B. Costs for required texts are eligible for one hundred percent (100%) reimbursement subject to the following conditions: 1. That a duplicate of the required text(s) was unavailable for loan from the departmental libraries prior to the commencement of course work; 2. That any textbook(s) purchased by the City shall be submitted to the employee's respective departmental library in order that such text(s) may be made available to all employees. C. Maximum tuition reimbursement is two thousand dollars ($2,000) per fiscal year, which the employee may claim either as costs are incurred during the year or as one lump sum. D. Employees shall be limited, for purposes of tuition reimbursement, to a maximum of two (2) collegiate level courses of not more than a total number of units which is equivalent to six (6) "semester" units per semester. One (1) "quarter" unit shall equal two-thirds (2/3) of one (1) "semester" unit. 8. Catastrophic Leave Donation 23.3 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non- 4 25B-6 industrial medical condition or injury, the City and Union agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this Agreement with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non-industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for the L.T.D. benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two-week period to submit donations. Donations received after this two-week period shall not be processed. The two-week period for each case shall be designated by the Department Head or his or her designee as provided herein below. 3. All vacation and compensatory time donations must be made in two (2) hour increments. In lieu holiday donations must be for eight (8) hours. There is no limit on the amount of the donation that can be made. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, Subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and may be used pursuant to Article X, Sections 10. IA through 10.1 K. 9. Joint Labor Management Team 23.4 Joint Labor Management Teams. The City and the Union previously formed Joint Labor Management _teams for the purpose of exploring issues of mutual concern. Each team was to be comprised of an equal number of labor and management employees and was to be chaired by the Employee Relations Manager or his 5 25B-7 designee. The Parties agreed that in no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. The Parties agree to continue to use the Joint Labor Management Team process, including for those issues cited in the previous MOU but not completed. Those consisted of Teams for Job Classification Studies, Web Page Hosting and Career Ladder/Job Family study. The scope and purpose of these JLM's remains unchanged from their previous description in prior MOU's. The Parties hereto agree to form new Joint Labor Management Teams to discuss the following: 1. The potential implementation of a new city-wide salary matrix; and 2. The adoption of language complying with the Public Employees' Medical and Hospital Care Act (PEMHCA). 10. Standby Pay 5.4 Shift Differential. A. General. An employee in a classification represented by the Union who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (4 1/2) hours between the hours of 5:00 p.m. and 7:00 a.m., will be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then current base monthly salary step; except, however, such shift pay differential shall not be applicable to employees in the classification of Park Ranger and Supervising Park Ranger. B. Library Employees. Employees hired and assigned to the Library prior to December 1, 1987, who work evening shifts until closing time, but who are not otherwise eligible for shift differential as provided under Subsection A above, shall receive, as special shift pay, an amount equal to one-half (1/2) of one hour's pay for each day they work an evening shift until closing time. Said special shift pay shall be computed on the hourly equivalent of the base monthly salary step. Such half-hour's pay shall not be counted toward the computation of overtime. Such special library shift pay differential shall not be applicable to library employees hired on or after December 1, 1987. C. Early Morning Street Crews. A Street Maintenance employee who is assigned to traffic painting or downtown cleanup crews who is continuously and regularly assigned to a schedule of work which requires that he or she actually work at least fifty percent (50%) of his or her normal daily work shift between the hours of 1:00 a.m. and 7:00 a.m., will 6 25B-8 be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then current base monthly salary step. D. Park Maintenance Worker. Employees in the classification of Park Maintenance Worker who are regularly and continuously assigned to a schedule of work which requires that they actually work a minimum of two (2) weekend night shifts (4 1/2 hours) between the hours of 5:00 p.m. and 7:00 a.m.) as part of his or her regular five (5) day work schedule, will be paid a special night shift differential of five (5) salary rate ranges (2.5%) above his or her then current base monthly salary step. E. Standby Pay. Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Effective no later than the first (1st) day of the second (2nd) payroll period following Council approval, such employees shall receive three hundred dollars ($300) per week when assigned to be on standby duty. Water Production, Water Maintenance, Public Works Maintenance, Building Maintenance, and Information Services Division staff shall be required to serve on standby duty and receive standby pay as defined above. The City's preference will be to accomplish the above through volunteers; however, qualified employees may be directed to be on standby if the number of volunteers is insufficient. In addition to the $300 per week Standby Pay, if an employee is able to handle the incident by phone or other electronic means without reporting to duty, he shall be entitled to overtime pay at the rate of 15 minutes or actual time spent per incident whichever is greater, paid at time and one- half (T 1/2) per incident. The City agrees, after ratification of this Agreement, to timely present to the Department Head of the Parks & Recreation Department the Union's position for implementing a Standby Program in that Department. Within 30 days of the presentation, the Department Head will respond in writing with his final and binding decision on the issue of a Standby Program in that Department. 11. Fleet Technician 5.1 Assignment Pay Differential. 7 25B-9 Effective November 1, 2001, assignment pay differentials, as listed herein and throughout the agreement, will, in each case, be added individually and separately to the employee's base salary. In no event shall one assignment pay differential be added to the employee's base salary as a basis for the calculation of an additional pay differential. A. Incumbents in the classifications of Senior Office Assistant, Secretary, Executive Secretary, or Planning Commission Secretary who are assigned by a Department Head, with the prior approval of the City Manager, to a position requiring the ability to take dictation at a rate of 70 words per minute or better on a regular basis or as an essential or integral element of the work of the position, will be paid a monthly differential of sixty dollars ($60) above his or her base monthly salary step for each full month of such assignment. B. Incumbents in the classifications of Park Maintenance Worker and Park Maintenance Leader who are continuously and regularly assigned to perform, either on a full-time or half-time basis, duties as a Park Maintenance Planner-Scheduler, will be paid an assignment pay differential at a rate set above their then current base monthly salary step in accordance with the following schedule: twenty (20) salary rate ranges (approximately 10%) for full-time assignment; ten (10) rate ranges (approximately 5%) for half-time assignment. C. An incumbent in the classification of Senior Office Assistant who is continuously and regularly assigned to operate and who actually operates, a two-way radio communications base station, will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. D. Incumbents in the classifications of Fleet Equipment Technician I, 11 and III who possess nationally recognized certifications for Automotive Service Excellence Master Certification (ASE) and ASE Alternative Fuel, will be paid an assignment pay differential at a rate set five (5) salary rate ranges (approximately 2.5%) for said certification, above their then current base monthly salary step. The restrictions set forth in Section 5.7 do not apply to this provision. E. Personnel in the classifications of Fleet Equipment Technician I, II, III, and Fleet Equipment Supervisor, who maintain a valid State of California Commercial Driver's License and are assigned to an area that requires the possession of either a Class "A" or Class "B" license in the course and scope of their work shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above their then current base monthly salary step. 8 25B-10 F. Personnel in the classification of Park Maintenance Worker who are regularly and continuously assigned to and actually performing park mowing duties using heavy mower equipment, will be paid at a rate set twenty (20) salary rate ranges (approximately 10%) above their then current base monthly salary step. G. Personnel in the classification of Park Maintenance Worker who are regularly and continuously assigned to and actually performing duties as a utilities coordinator will be paid at a rate set twenty (20) salary rate ranges (approximately 10%) above their then current base monthly salary step. H. Personnel in the classification of Park Maintenance Worker who are regularly and continuously assigned to and actually performing duties as an irrigation technician will be paid at a rate set twenty (20) salary rate ranges (approximately 10%) above their then current base monthly salary step. 1. Personnel in the classification of Park Maintenance Worker who are regularly and continuously assigned to and actually performing duties as a pesticide operator will have the opportunity to earn up to fifteen (15) salary rate ranges (approximately 7.5%) above their then current base monthly salary step for acquisition of the following: Department of Food & Agriculture Qualified Applicator License = approximately 2.5%; Certificate in Ornamental Horticulture = approximately 5%. J. Personnel in the classification of Park Maintenance Worker who maintain a valid Certified Pool Operator license and who are assigned to and actually performing duties as an aquatics technician shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above their then current base monthly salary step. K. Effective as soon as practicable following approval of this Memorandum of Understanding by the City Council, an employee that is required by a Department Head or their designee to perform the duties of a Notary Public for the City, in addition to regular duties, shall be paid a monthly differential of forty dollars ($40) above his or her then current base monthly salary step. 12. Tool Allowance 13.1 Employees classified as Fleet Equipment Technician I, II, or III, or Fleet Equipment Supervisor shall continue to provide such tools as are ordinarily used in the trade which shall be the personal tools of the mechanic. The City will continue with one (1) or more vendors an account(s) for said employees who have at least one (1) year of service in such classifications. Such employees shall be allowed up to $1,000.00 per fiscal year with such vendor(s) in order to purchase 9 25B-11 tools which, in the sole determination of the Fleet Services Manager, are necessary for the performance of such employee's job duties. The City's policy and procedure for the replacement of stolen tools shall be the same as it existed prior to the effective date of this Agreement. The City shall bear no liability or responsibility for such tools except as provided in this Section. 13. Uniform Allowance 14.1 All employees who are required by the City to wear a uniform while on duty shall continue to be provided seven (7) sets of clean uniforms every two (2) weeks at no cost to the employees. All field/yard maintenance, custodial and equipment repair employees shall be provided eleven (11) clean sets every two (2) weeks at no cost to the employee. All Police Records Personnel and the Senior Office Assistants assigned to the traffic window shall be provided three (3) sets of uniforms made of Dacron and one (1) wool sweater. The Union agrees that any such employee who wishes to be provided with one (1) or more additional clean sets per week above the amounts specified above will be required to pay the extra cost incurred for such additional set(s). Effective July 1, 2013 (or the first pay period following council approval), the Uniform allowance will be discontinued and the City shall no longer report to Ca1PERS any portion of said uniform allowance as constituting compensation for the employee. Agreed: Agreed: Edward Raya, Executive Director Sergio Verino, SEW President of Personnel Date Date 10 25B-12 SEIU MOU Accompanying Side Letters 1 - 12 2008 - 2013 Attachment 2 25B-13 FIRST SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION, LOCAL 721 FOR FISCAL YEARS 2010 - 2013 Effective upon the signing of this Side Letter, the City of Santa Ana (City) and the Service Employees International Union (SEIU) agree that they have met and conferred and agree to amend Article III of the Memorandum of Understanding between the City and SEW for Fiscal Years 2010 - 2013. Language being deleted is shown In strikethrough and bolded text; language, being added is shown in italicized and underlined text. The modified language herein below applies only to Article III, Section 33, ARTICLE III; SECTION 3.3 3.3 Employee Furloughs. Beginning October 2010 and ending In February 2012, employees covered by this agreement shall take twenty (20) eight-hour unpaid furlough days totaling 160 hours. Employees covered by this agreement shall fbrlough one day a month except two additional.days shall be taken in December of 2010 and one additional day shall be taken in December 2011. Furloughing shall be on a set day agreeable to the City and union. However, for those departments or divisions identified by the City as having a business necessity, the furlough schedule shall be based on those operational needs. Employees in departments or divisions with special needs may bank furlough hours which shall be taken at the discretion of the employees with the approval of their supervisor in increments of not less than one-half (112) of one hour, beginning October I, 2010 and ending April 30, 2012. An advance of up to 40 hours of furlough time may be authorized by Departments for use by employees. Employees who are unable to use their furlough hours due to military leave shall have the time period in which to use the furlough hours extended In an amount corresponding with the length of their military leave. The City agrees that upon the request of the union made after March 1, 2011, the City and union will meet on the subject of employee furloughs to ensure furloughing continues to be Implemented in a manner agreeable to the City and union. s. JZ' Kathie S. Gonzalez Joaquin Avalos Executive Director, Personnel Services President, SEIU 1a1????? i/, ?10 Date Date 25B-14 SECOND SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION, LOCAL 721 FOR FISCAL YEARS 2010 - 2013 Effective March 14, 2011, the City of Santa Ana (City) and the Service Employees International Union (SEIU) agree that they have met and conferred and agree to amend Article XXIII of the Memorandum of Understanding between the City and SEIU for Fiscal Years 2010- 2013. Language being deleted is shown in strike- through and bolded text. The modified language below applies only to Article XXXIII, Section 23.3. 23.3 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non-industrial medical condition or injury, the City and Union agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this Agreement with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non-industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for the L.T.D. benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated, 2. Employees shall be provided a two-week period to submit donations. Donations received after this two-week period shall not be processed. The two-week period for each case shall be 25B-15 SECOND SIDE LETTER AMENDMENT (2010-2013) SEW - LOCAL 721 PAGE 2 of 2 designated by the Department Head or his or her designee as provided herein below. 3. All donations must be made in two (2) hour increments and a maximum of eight (8) hours per donor, except in lieu holidays must be for eight (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, Subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable, b. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and may be used pursuant to Article X, Sections 10.1A through 10.1K. Kathie S. Gonzalez Executive Director, Personnel Services AIL1111 Date J?J r Joaquin R. Avalos President, SEW 3 2 Date 25B-16 THIRD SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION FOR FISCAL YEARS 2010-13 The City of Santa Ana (City) and the Service Employees International Union (SEIU) have met and agreed to amend the Memorandum of Understanding (MOU) between the CITY and SEIU for Fiscal Years 2010-13 to amend Article 8.4, as follows: Article 8.4 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 8.1, supra, actually occurs in order to receive credit for such holiday during the month in which it occurs. An employee separating from the service of the City must eetually werkat-least be in a paid status either one (1) day preceding or one (1) day following the day a holiday listed in Section 8.1, supra, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full-time service in order to receive credit for the Floating Holiday listed in Section 1 above. AGREED: Kathie S. Gonzalez Joaquin Avalos Executive Director Personnel Services President, SEW City of Santa Ana - ?Iull\ 9 I'l -- ? V Date Date 25B-17 FOURTH SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION FOR FISCAL YEARS 2010-13 The City of Santa Ana (City) and the Service Employees International Union (SEIU) have met and agreed to amend the Memorandum of Understanding (MOU) between the CITY and SEIU for Fiscal Years 2010-13 to change the calculation method concerning salary continuation for employees on military leave. Consequently, the parties have agreed to amend Article X, section 10.3B, as follows: Article X. Section 10.38 "Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, Military and Voepens Code, will be granted leave with pay not to exceed thirty (30) ealender working days in each calendar year after one (1) year's service with the City upon presenting satisfactory proof of orders to and from such temporary active duties." Kathie 5. Gonzalez Executive Director Personnel Services City of Santa Ana Date AGREED: 25B-18 Joaquin Avalos President, SEIU z bate FIFTH SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION, LOCAL 721 FOR FISCAL YEARS 2010 - 2013 Effective August 25, 2011, the City of Santa Ana (City) and the Service Employees International Union (5EIU) agree that they have met and conferred and agree to amend Article XXIII of the Memorandum of Understanding between the City and SEIU for Fiscal Years 2010 - 2013. The language below applies only to Article XXXIII, Sections 23.7.1 and 23.7.2 23.7.1 Driver's Alert Decal-Based Monitoring Program By identifying high-risk driving behavior and drivers who engage in unsafe driving acts, the purpose of this program is to intervene quickly to correct and control these risk factors and high-risk activities. Driver's Alert SMART RISKT' identifies the specific drivers who are at high risk to cause an at-fault crash, so it can be prevented. Reporting is done via 1(800) number and an identification number on "How Am I Driving?" decals affixed to City vehicles. Reports will be transmitted to the impacted manager and can include complaints or compliments regarding a driver's activity, There is currently no discipline or reward policy in place that would impact employees being reported by this program. 23.7.2Automatic Vehicle Location (AVL) System The automatic vehicle location (AVL) system is a means for automatically determining the geographic location of a vehicle and transmitting information to a requestor. Reporting information from the AVL will include route, vehicle operations, destination and idle times, The information will be used to monitor the location and usage of a vehicle to ensure the most energy and time-efficient routing and operation of vehicles. AVL database information may only be 25B-19 FIFTH SIDE LETTER AMENDMENT (2010-2013) SEW - LOCAL 721 PA&E 2 of 2 accessed and subsequently used by supervisory and management employees in participating division operations. The AVL system is not intended to monitor employee behavior; however, it may provide, but not prove to be the sole basis for disci lina actin 'f action ;,c data indicates employees` failure to throughout the workday. Kathie S. 6'anzalez -Executive Director, Personnel Services Date , p II provide efficient and productive service ? V-C-4/ Joaquin R. Avalos President, 5EIU ? 2 1 Date 25B-20 SIXTH SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION, LOCAL 721 FOR FISCAL YEARS 2010 - 2013 Effective upon the signing of this Side Letter, the City of Santa Ana (City) and the Service Employees International Union (SEIU) agree that they have met and conferred and agree to amend Article IX of the Memorandum of Understanding between the City and SEIU for Fiscal Years 2010 - 2013. Language being deleted is shown in strikeAffe b and bolded text; language being added is shown in italicized and underlined text. The modified language hereinbelow applies only to Article M, Section 9.4 ARTICLE IX, SECTION 9.4 9.4 Limitation on Vacation. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take any vacation leave with pay in excess of fifty (50) working days (400 hours) in any one year by any combination of the vacations granted in these rules and regulations. Further, no employee may carry over from one (1) calendar year to the next more than the equivalent of one (1) longevity vacation period and the equivalent of one (1) regular vacation period from the previous two (2) years and vacation not taken beyond that amount is forfeited. Therefore, the maximum vacation that an employee with less than six (6) years service could accumulate is thirty (30) working days (240 hours) and only an employee with more than twenty (20) years service could carry over and take the authorized maximum of fifty (50) working days (400 hours) in any one year. - L ? E Kathie S. Gonzalez Executive Director, Personnel Services 3 I" &W W Joaquin Avalos President, SEIU X111111 011h] Date Date I 25B-21 SEVENTH SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION, LOCAL 721 FOR FISCAL YEARS 2010-2013 Effective upon the signing of this Side Letter, the City of Santa Ana (City) and the Service Employees International Union (SEIU or Union) agree that they have met and conferred and agree to amend the Memorandum of Understanding (MOU) between the City and SEIU for Fiscal Years 2010-2013. Article III, Section 3.3 is amended and Section 3.4 is added as follows: 3.3 Employee Furloughs. Beginning October 2010 and ending in February 2012, employees covered by this agreement shall take twenty (20) eight-hour unpaid furlough days totaling 160 hours. Employees covered by this agreement shall furlough one day a month except two additional days shall be taken in December of 2010 and one additional day shall be taken in December 2011. Furloughing shall be on a set day agreeable to the City and union. However, for those departments or divisions identified by the City as having a business necessity, the furlough schedule shall be based on those operational needs. Employees in departments or divisions with special needs may bank furlough hours which shall be taken at the discretion of the employees with the approval of their supervisor in increments of not less than one-half (1/2) of one hour, beginning October 1, 2010 and ending April 30, 2012. Beginning October 2010 through March 2012 furlough hour deductions from employees wages shall, to the furthest extent practical be taken out in an equal number of hours and fractions of an hour per payroll period corresponding to the total number of furlough hours taken. Effective December I, 2011, the parties agree to adding the number of additional furlough days/hours needed (approximately 17 days/138 hours) to the current furlough program (as described above in the previous paragraph) to permit furlough deductions to continue to be made through to the final payroll period concluding the end of the term of the current MOU, June 30, 2013. The parties agree to vary the payroll deduction rate and/or period to properly accommodate an agreed to whole number of furlough days/hours. Effective January 1, 2012, the parties agree to add the number of additional furlough days/hours needed (approximately 23 days1184 hours) and commensurately increase the furlough payroll deduction amount (above the amounts described above) to increase the rate of furloughing for the period of January 1, 2012 through June 30, 2013 equivalent to full Friday furloughing based on a standard 9/80 workweek schedule. The intent is that between January 1, 2012 and June 30, 2013, employees will be furloughed for 10% of their hours. 25B-22 Effective December 1, 2011, the parties agree to convene the furlough subcommittee to determine the exact number of furlough hours and days as agreed to in the previous two paragraphs, to determined the exact deduction rates and to address any unique work schedule issues which will cause employees to be furloughed 10 percent of their hours, even if some employees may not work four day workweeks each scheduled workweek due to operational issues. An advance of up to 40 hours of furlough time may be authorized by Departments for use by employees. Employees who are unable to use their furlough hours due to military leave shall have the time period in which to use the furlough hours extended in an amount corresponding with the length of their military leave. 3.4 Closure Between December 25 and January 1 Effective December 1, 2011, the parties agree to meet as soon as possible to agree upon the details of the closure of City Hall from 12 27-11 through 12-30-11. The parties will negotiate over the specific details of the closure which will be memorialized in a separate side letter of agreement. Article V, Section 5.2 is amended as follows: 5.2 Lead Pay. An incumbent who is regularly and continuously assigned to lead a functional unit which includes two (2) or more positions in the same or lower classifications as the incumbent may be compensated for said duties upon mutual agreement of the City and SEW and approval of the Department Head and the Executive Director of Personnel Services. This compensation shall be referred to as "lead pay," In addition, incumbents in the following classifications who are regularly and continuously assigned to perform lead supervisory responsibilities will receive lead pay compensation at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step: Buyer, Customer Service Representative, Equipment Operator-Motor Sweeper, Information Services Representative, Librarian, Library Services Assistant, Parking Meter Technician II, Senior Systems Administrator, Graphics Designer II, Senior Accounting Assistant, Housing Specialist II, Senior Librarian, Workforce Specialist II, and Workforce Specialist III. An incumbent in the classification of Custodian who is regularly and continuously assigned to perform lead supervisory responsibilities will receive lead pay compensation at a rate set fifteen (15) salary rate ranges (approximately 7.5%) above his or her then current base monthly salary step. Effective June 1, 2012, any employees who have continuously received lead pay for leading the same functional group for five years shall have their lead pay assignment made permanent and their formal Job Title Classification (as set forth 25B-23 in Exhibit B to the MOU) modified to include the word "Lead" in front of their title. Article M, Section 11.6 is amended as follows: 11.6 Medical Retirement Subsidy Plan. A. Based on the first payroll period in October, 2001 and no later than October 31st each year thereafter for the term of this Agreement, the City shall contribute to a fund an amount of money equal to one-half of one percent (.5%) of the bargaining unit's salary base for the purpose of providing a retiree health insurance subsidy plan. Eligibility for and the specific payments made to members of the bargaining unit pursuant to this plan shall be designated at the sole discretion of SEW, The plan shall be administered by the City, at no cost to the Union or its members pursuant to the written directives of SEIU. The funds contributed by the City will be maintained in such a manner as to insure that the funds are invested in a reasonably secure plan that bears a reasonable rate of interest/growth given current financial markets. For purposes of this Agreement, investments made pursuant to the then current Statement of Investment Policy for the City of Santa Ana, shall be deemed to meet the requirements of this section. This program is for medical insurance premium reduction only and will be implemented by February 1, 2002 for an employee retiring after July 1, 2001. If an employee retires between July 1, 2001 and February 1, 2002, he or she will be eligible to participate in said plan; however, in no event, will he or she be eligible to utilize this program until February 1, 2002, Additionally, in no event shall said employee(s) be eligible for retroactive medical premium reduction assistance prior to February 1, 2002, B. Effective July 1, 2004, July 1, 2005, and July 1, 2006, respectively, the City's contribution toward the Medical Retirement Subsidy Plan shall increase by 0.1% each year under the conditions specified in Section 11.6 A above. C. Effective October 1, 2007, the City's contribution toward the Medical Retirement Subsidy Plan shall increase by 0.2% under the conditions specified in Section 11.6 A above. With this contribution amount, the City's contribution toward the SEW Medical Retirement Subsidy Plan shall equal 1.0% of the bargaining unit's salary base (including assignment pays). D. Effective October 1, 2008, the City's contribution toward the Medical Retirement Subsidy Plan shall increase by 0.4% under the conditions specified in Section 11.6 A above. With this contribution amount, the 3 25B-24 City's contribution toward the SEIU Medical Retirement Subsidy Plan shall equal 1.40% of the bargaining unit's salary base (including assignment pays). E. Effective October 1, 2009, the City's contribution toward the Medical Retirement Subsidy Plan shall increase by 0.35% under the conditions specified in Section 11.6 A above. With this final contribution amount, the City's contribution toward the SEW Medical Retirement Subsidy Platt shall equal 1.75% of the bargaining unit's salary base (including assignment pays), F. For fiscal years 2010-11, 2011-12, and 2012-13, the City's annual contribution toward the Medical Retirement Subsidy Plan shall be decreased from 1.75% to 1.0%. Notwithstanding the previous paragraph, the Union will forgive the annual 2011-2012 medical subsidy payment made by the City effective October 20, 2011 and remit the sum received back to the City for deposit into the City's general fund effective December 20, 2011. Thereafter, each successive annual medical subsidy payment shall become payable to the Union by July 3 of each succeeding year beginning July 31, 2012. The Union shall have the right to utilize funds from the medical subsidy account to pay for periodic actuarial reviews of the medical subsidy fund account's accrual and payment rates to insure the ongoing sustainability of the fund. The parties acknowledge that the dollar figure represented by SEW for savings to the general fund is actually an all funds savings. The parties agree that if it is lawful for SEIU to give the money back to the City such that it can be deposited in the General Fund, that SEIU will cooperate with the City to take whatever steps are necessary to have these funds provided to the general fund. Effective fiscal year 2013-14, the City's annual contribution shall revert to 1.75%. Article XII, Section 12.6 is amended and Section 12.7 is added as follows: 12.6 2.7% at 55 Service Retirement Benefit for Miscellaneous Members. Effective January 1, 2009, the City agrees to amend its retirement contract with Ca1PERS to provide Miscellaneous employees covered by this agreement with the 2.7% at 55 Service Retirement benefit. Pursuant to CaIPERS regulations, this new formula will apply to employees that are in active status on the date this amendment takes effect. This new formula will apply to each year of eligible service credited with the City of Santa Ana. 4 25B-25 Employee contribution for Retirement Benefit. Effective October 1, 2010 miscellaneous employees covered by this Agreement agree to pay 8.0% of the employer contribution to CaIPERS for their retirement benefits as cost sharing pursuant to Government Code section 20516(f). Effective July 1, 2012, the employee contribution shall be increased by 2.5% (for a total of 10.5%). Effective January 1, 2013, the employee contribution shall be increased by 2.5% (for a total of 13.0%). All employee contributions for retirement benefits are paid to the employer cost (i.e., employer contribution) in accordance with Government Code section 20516(f). If there are any statutory or regulatory changes or case law which modifies the current law between January 1, 2012 and June 30, 2013 which address (including increases) the employees' required contribution, application or characterization of contributions to PERS retirement (either cost sharing or Employer Paid Member contribution), either side shall have the right to reopen the parties' MOLD regarding this section 12.6 on the subject of employees paying retirement contributions. Pre-Taxable Benefit. To the extent permitted by CaIPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 12.7 Early Retirement Incentive The parties agree to a special early retirement/voluntary separation incentive for all union members who are currently eligible for retirement or who will become eligible for retirement prior to April 30, 2012. The incentive will be equal to $400 per each full year (the term "full year" will be determined by the City using the same calculation used by the City to determine seniority) of full-time employment service to the City, up to 25 years of service. The payment will be made as a lump sum to each employee on the date of their final paycheck at the time of retirement or voluntary separation. The City will implement this program between December 1, 2011 and April 30, 2012 for Union employees who separate or declare to the City a valid separation date by January 31, 2012. Such employees must be 50 years of age or older or must attain 50 years of age before April 30, 2012 and must separate from the City no later than April 30, 2012. The parties agree that immediately upon submittal of the declaration of intent to retire or resign received no later than January 31, 2012, the City shall be deemed to have accepted the offer of retirement or resignation, thus making it irrevocable. SEW agrees after the early retirement incentives are accepted, the City shall have the right to transfer up to the same number of employees who took the early retirement incentive (from positions which are either partly or fully funded by 25B-26 funds other than the General Fund) from General Fund positions into positions vacated by employees who took the early retirement incentive to maximize the impact (of employees leaving the City) to the General Fund. Article XVII, Section 17.4 is added and 17.5 is amended as follows: 17.4 Fourth Step: If the grievance is not resolved at the third step, the Union may request that the grievance be submitted to advisory arbitration for issuance of a recommendation. The Union must advise the Personnel Department within 10 calendar days of receipt of the decision from the City Manager at Step 3 of its desire to request to have the matter considered by an arbitrator. Upon request to submit the matter to arbitration, unless the parties can agree on an arbitrator to hear the grievance, the City will request a fist of seven arbitrators from the State Mediation and Conciliation Service. Upon receipt of the list, the parties will strike names with the Union striking first. Once an arbitrator is selected, he/she will conduct a hearing regarding the grievance. The cost of the arbitrator shall be equally shared between the SEW and the City. Once the arbitrator issues his/her advisory recommendation to the parties, the recommendation shall be submitted to the City Manager who will make a final decision on the grievance within 20 days of his/her receipt of the recommendation. 17.5 Reservation of Rights. After the procedure set forth in this Article has been exhausted, the grievant, the Union, and the City shalt have all rights and remedies to pursue said grievance under the law. Article XVHI, Section 18.1(A) is amended as follows 18.1 Release Time for Union Grievance Representatives. The Union shall have the right to appoint/elect a reasonable number of representatives who are recognized by the City as officers or work site leaders/stewards. A. Such reasonable number of work site leaders/stewards recognized by the City shall be limited to sixteen (16). Effective January 1, 2013, the number of work site leaders/stewards shall be increased to eighteen (18). Article XXII is amended as follows ARTICLE XXII 22.0 LAYOFFS AND CONTRACTING OUT 22.1 If it is decided to contract out work currently being performed by employees of this bargaining unit and it is projected that no employee covered by this 25B-27 Agreement is to be laid off, receive a reduction in hours worked, or receive a loss in pay due to said contracting out, the City shall provide the Union reasonable notice of the decision to contract out, will meet with the Union upon the Union's request over the impact of the decision to contract out and will consider reasonable alternatives provided by the Union. 22.2 If the City determines to contemporaneously replace employees covered by this Agreement with contract workers to perform the same work under similar circumstances, it will expeditiously notify the Union of its intentions. Upon request by the Union the City will schedule meetings with the Union leadership to discuss this objective and give the Union the opportunity to present information before any final decision. The City and Union leadership agree to commence meeting when practicable for a period not to exceed forty-five days, unless mutually agreed to meet longer. At the end of the agreed upon time and if the parties have not achieved satisfactory resolution, the issues will be resolved according to the City's Employer-Employee Relations Resolution (Resolution No. 81-75). 22.3 Notwithstanding Section 22.1 and /or Section 22.2 hereof, if any bargaining unit member is laid off as a result of a decision by the City to contract out work, the City shall make a reasonable effort to cause the affected employee(s) to become employed by the company or entity with which the City contracted for the applicable services. 22.4 It is the hope of the City not to separate any employee(s) from employment because of a reduction in the work force or work week during the term of this Agreement. However, circumstances arising during this Agreement may require such separation(s). In that event, the City will provide reasonable notice to the Union of the details of the separation(s) in order to meet and exchange information, opinions and proposals regarding the consequence(s) of the separation(s) on the employee(s). This provision in not intended to be a waiver of any other rights the parties may have under this Agreement. 22.5 The principles of seniority (length of service) shall govern layoffs as described herein, except in the event that more than one employee has the same seniority date, in which case performance also shall be considered. The City's determination of performance shall not be arbitrary or capricious in nature. Any dispute over the application of the principles outlined in this Article XXII shall be subject to the grievance procedure. A. Classification seniority is defined as length of service in the classification, and shall begin on the first date worked by the employee in that classification. Whenever a position within a classification is to be eliminated, resulting in the layoff of an employee, seniority shall govern the order of layoff. The employee with the lowest seniority in the affected classification shall be laid off first. 25B-28 B. In lieu of layoff, an employee may elect to work in a lower classification, in which he or she has served, providing that classification is within the same job family/career ladder. In that event, the employee's length of service in the next lower classification will be added to his or her length of service in the affected classification, and said combined seniority shall be used to bump down into the next lower classification. This method of combining seniority shall be applied to subsequent lower classifications. C. The reemployment list shall be valid for one year from the date of its establishment. Reemployment shall be in reverse order of layoffs. The Joint Labor Management Committee will determine Job Family/Career Ladder. 22.6 A bargaining unit employee who is laid off from full time City employment pursuant to this Article, may be granted a temporary appointment to a vacant position in any classification for which there is no eligible list and for which said employee meets the minimum qualifications established for the classification and possesses the requisite knowledge, skills and abilities to satisfactorily perform the work of the classification. Such temporary appointment will be terminated upon the establishment of a new eligible list for the classification or one year following the initial day of such temporary appointment, whichever occurs first. 22.7 The City agrees if it wishes to layoff employees in the Union, it cannot notify the Union of its desire to do so for any employees in the Union prior to February 1, 2012. The City also agrees that through that negotiations process, no Union member may be laid off prior to March 31, 2012. The City also agrees that through the end of this agreement June 30, 2013, it will meet and confer with the Union over the decision to issue layoff notices not just over the impact of the decision. 22.8 Contractina Out Effective July 1, 2013, prior to bringing any requests for proposal (RFP) to the City Council which would result in the contracting out of bargaining unit work, and prior to any such requests being issued seeking such proposals, the parties agree to the following: 1) The City will inform SEW in writing of its intent to submit such request to the City Council for approval. 2) The City will inform SEIU in the same writing of its right to request to meet to discuss the proposed RFP prior to bringing it to the City Council or seeking such 25B-29 proposals to give SEIU the opportunity to discuss its position regarding the RFP with the City, 3) The City agrees to meet with SEIU (at its request) at least twice within 20 working days of the written notification of the RFP to consider SEIU's positions regarding the RFP. The City agrees that upon mutual agreement of the parties; it will agree to meet more than twice prior to bringing the RPP to the City Council and upon mutual agreement may agree to give SEIU more than 20 working days in which to conduct the meetings with the City representatives. 4) The City also agrees that if the existing employees who will be impacted by the contracting out (i.e., those employees whose work will be contracted out if there is an RFP accepted by the City) wish to bid for the work by submitting an response to the RFP, the City will consider such response along with the other responses received. 5) After the City receives the bids and identifies the most responsible bidder, the City will notify the Union, who will have five calendar days to submit a subsequent bid which will then be considered by the City in making its determination as to which bidder to choose. Article XXIII, Section 23.4 23.4 Joint Labor Management Teams. The City and the Union agree to form Joint Labor Management teams for the purpose of exploring issues of mutual concern. Each team shall be comprised of an equal number of labor and management employees and shall be chaired by the Employee Relations Manager, In no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. The City and the Union shall hold an initial meeting no sooner than one (1) month from the date of ratification of this Agreement and upon the Union's written request to meet to determine team composition, frequency of meetings and meeting schedules. A. The teams to be formed are: 1. Job Classification Studies (for purposes of identifying positions in which the duties and responsibilities have increased in complexity as a result of City restructuring/job consolidation occurring during the term of the expiring 2004-2010 MOU or during the term of the current 2010-2013 MOU to determine if positions or job families would be appropriate for job classification studies where previously existing positions have been eliminated and/or removed from the list of budgeted positions and higher-level job duties reassigned to or absorbed by other classified positions). For purposes of this section, classification reviews will be conducted pursuant to Article IV, Section 4.13 (A-E). 25B-30 Effective January 1, 2012, this team shall be responsible as follows: Establish additional objective criteria and other necessary rules and guidelines for determining whether union members may be potentially working out of class. To be accomplished by April 1, 2012. ii. Establish and prioritize an initial list of qualified union members for whom the City shall conduct job classification studies and institute a standing process for establishing and prioritizing future lists of qualified union members for whom the City shall conduct future job classification studies. To be accomplished by July 1, 2012. iii. Complete agreed to job classification studies for the initial set of qualified union members and establish standing job classification studies process timelines for future sets of qualified union members. To be accomplished by January 1, 2013. iv. Implement the job classification study results for the initial set of qualified union members by June 30, 2013. Implement the job classification study results for subsequent sets of qualified union members identified prior to June 30, 2013 as determined in accordance with (iii) above. The Union agrees that in the event that the City and Union Job Classification Studies JLMT members are unable to reach a consensus concerning any item or process falling under the specific purview of the Classification Studies JLMT, the City's Employee Relations Manager (or designee) as JLMT chair (pursuant to Article XXIII, Section 23.4) may direct the findings of the JLMT. 2. Web Page Hosting (for purposes of developing a City hosted web page presenting explanatory information regarding employee compensation, including illustrated explanation of employee payroll statements to assist mortgage servicers and other similar persons engaged in qualifying employees for loan modifications through either lender or governmental loan modification programs). 3. Effective June 1, 2012, the parties shall establish a JLMT which shall evaluate the process for the advertising and hiring of part- 10 25B-31 time employees in classifications covered by or closely related to the classifications covered by the MOU. B. Previously authorized teams to be reconvened as needed: 1. Career Ladder/Job Family (for the purpose of developing career ladderfjob family series to be used in promotions or ' the event of layoffs). Edward S. Maya Joaquin Avalos, President Executive Director SEIU - President Personnel Services Department 15J1?Iu Date I2 I? Date 25B-32 EIGHTH SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 FOR FISCAL YEARS 2010-2013 The City of Santa Ana (City) and the Service Employees International Union (SEIU)have met and conferred, and agree that the City will close City Hall and the Ross Annex during the 2011 holiday season on certain days that are normally considered regular paid work days. The closure will take place beginning Tuesday, December 27, 2011 through and including Friday, December 30,2011. SEIU employees impacted by this closure will not report to work. The City also agrees that SEIU employees assigned to departments outside of these locations may also participate based on the business needs of the department as determined by the Department Director. Employees in location outside City Hall and Ross Annex employees must confirm with their supervisor the holiday schedule. Employees shall be permitted to use paid leave time such as vacation time, comp time, furlough, "impact holiday" hours and Floating Holiday hours to cover the time they will not report to work during the 2011 holiday closure. Employees may use unpaid leave time if they so choose. Those employees who do not have paid leave time available after exhausting all available leaves listed above, may be permitted to use Personal Necessity hours for this purpose. Any Personal Necessity leave used (in-lieu of the above mentioned accruals) will be returned to the employee's accrual PN bank and an equal amount of vacation time, comp time, furlough, "impact holiday" hours or Floating Holiday will be deducted in calendar year 2012. Such deduction will begin in January 2012 and will continue until an equal amount of time is deducted as was advanced. This non-precedent-setting, one-time work schedule modification shall not be considered a re-opener nor shall it be considered in any way a permanent change. "61, dward S. Raya Executive Director- Personnel Services Department 1'r'riylT?tr Joaquin Avalos, President SEIU - President 25B-33 9" SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 FOR FISCAL YEARS 2010 - 2013 Effective the signing of this Side Letter the City of Santa Ana (City) and the Service Employees International Union (SEIU) agree that they have met and conferred, and agreed to amend Article XI of the Memorandum of Understanding between the City and the SEIU. The language herein below applies only to Article XI Section 11.1 Paragraph C C. Effective April 1, 2012 through December 31, 2012 the City shall contribute towards medical premiums an amount consistent with the rates in effect for the CaIPERS Kaiser HMO blended Southern California plan. Effective January 1, 2013 the City shall contribute toward medical premiums an amount consistent with the rates then in effect for each tier of the lowest priced available CaIPERS approved HMO medical plan for the Other Southern California Region plan. Additionally, employees hired after January 1, 2012 shall also reimburse the City for the purchase of medical insurance through the City through a payroll deduction in an amount equal to the lesser of ten percent (10%) of the value of the rates then in effect for each tier of the lowest priced available CalPERS approved HMO medical plan for the other Southern California Region plan, or $50 per month. n Edward S. Raya Joaquin Avalos, President Executive Director - SEIU - President Personnel Services Department Date Date 25B-34 TENTH SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION, LOCAL 721 FOR FISCAL YEARS 2010-2013 Effective upon the signing of this Side Letter, the City of Santa Ana (City) and the Service Employees International Union (SEIU or Union) agree that they have met and conferred and agree to amend the Memorandum of Understanding (MOU) between the City and SEIU for Fiscal Years 2010-2013. Language being deleted is shown in Wkedwe and bolded text; language being added is shown in italicized and underline d text. The modified language hereinbelow applies only to Article XXIII, Section 23.4. Article XXIII, Section 23.4 23.4 Joint Labor Management Teams. The City and the Union agree to form Joint Labor Management teams for the purpose of exploring issues of mutual concern. Each team shall be comprised of an equal number of labor and management employees and shall be chaired by the Employee Relations Manager. In no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. The City and the Union shall hold an initial meeting no sooner than one (1) month from the date of ratification of this Agreement and upon the Union's written request to meet to determine team composition, frequency of meetings and meeting schedules. A. The teams to be formed are: Job Classification Studies (for purposes of identifying positions in which the duties and responsibilities have increased in complexity as a result of City restructuring/job consolidation occurring during the term of the expiring 2004-2010 MOU or during the term of the current 2010-2013 MOU to determine if positions or job families would be appropriate for job classification studies where previously existing positions have been eliminated and/or removed from the list of budgeted positions and higher-level job duties reassigned to or absorbed by other classified positions). For purposes of this section, classification reviews will be conducted pursuant to Article IV, Section 4.13 (A-E). Effective January 1, 2012, this team shall be responsible as follows: 25B-35 Establish additional objective criteria and other necessary rules and guidelines for determining whether union members may be potentially working out of class. To be accomplished by April 3, 3M July 1. 2012. ii. Establish and prioritize an initial list of qualified union members for whom the City shall conduct job classification studies and institute a standing process for establishing and prioritizing future lists of qualified union members for whom the City shall conduct future job classification studies. To be accomplished by July 2812 October 1. 2012. iii. Complete agreed to job classification studies for the initial set of qualified union members and establish standing job classification studies process timelines for future sets of qualified union members. To be accomplished by January 1, ^4April 1. 2013. iv. Implement the job classification study results for the initial set of qualified union members by June 30, 2013. Implement the job classification study results for subsequent sets of qualified union members identified prior to June 30, 2013 as determined in accordance with (iii) above. The Union agrees that in the event that the City and Union Job Classification Studies JLMT members are unable to reach a consensus concerning any item or process falling under the specific purview of the Classification Studies JLMT, the City's Employee Relations Manager (or designee) as JLMT chair (pursuant to Article XXIIT, Section 23.4) may direct the findings of the JLMT. 2. Web Page Hosting (for purposes of developing a City hosted web page presenting explanatory information regarding employee compensation, including illustrated explanation of employee payroll statements to assist mortgage servicers and other similar persons engaged in qualifying employees for loan modifications through either lender or governmental loan modification programs). Effective June 1, 2012, the parties shall establish a JLMT which shall evaluate the process for the advertising and hiring of part- time employees in classifications covered by or closely related to the classifications covered by the MOU. B. Previously authorized teams to be reconvened as needed: 25B-36 Career Ladder/Job Family (for the purpose of developing career ladderAjob family series to be used in promotions or in the event of layoffs). UOVWL"?-- - Edward S. Raya Executive Director, Personnel Services J?-e4 Joaquin Avalos President, SEW 22 (l - D 3 -d yi'I- Date-rte 25B-37 ELEVENTH SIDE LETTER AMENDMENT TO TH E MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 FOR FISCAL YEARS 2010- 2013 Effective upon the signing of this Side Letter the City of Santa Ana (City) and the Service Employees International Union (SEIU) agree that they have met and conferred and agree to amend Article V of the Memorandum of Understanding between the City and SEW for Fiscal Years 2010 .- 2013. Language being deleted is shown in strAwthfsn h and bolded text; language being added is shown in italicized and underlined text, The modified language herembelow applies only to Article V, Section 5.9. 5.9 Limitation on Career Development Incentive Pay. A. With the ex a lion 019-tuffloyee classifications listed in subsection 5.9 JSemployees covered by this agreement and already receiving career development incentive pay under section 5.7 of this article and who continue to meet the qualifications described in the applicable career development incentive pay provisions of section 5.7 of this article shall continue to receive said pay under the current career development incentive pay formulas. Current employees who are eligible for, and do in fact begin receiving career development incentive pay prior to June 30, 2012, shall continue to receive said pay under the applicable career development incentive pay provisions of section 5.7 of this article. Current employees who do not receive career development pay prior to the June 30, 2012 will not thereafter be eligible to receive it. Provided, however, that current employees who are eligible to qualify for career development incentive pay under the terms of section 5.7 of this article, and who are awaiting the results of a qualifying examination or other measurement taken prior to June 30, 2012, shall receive career development incentive pay upon confirmation of a passing result. B. 25B-38 O Assistant En 'n?? eerl O Assistant Engineer 11 O Assistant Engineer-Transportation (T) O Senior Assistant Engineer O Senior Civil En ineer O Senior Engineer O Senior Traffic Engineer Any employee hired after September 30, 2010 shall not be eligible to receive career development incentive pay under the career development incentive pay provisions of section 5.7 of this article. Edward S. Rays Executive Director Personnel Services Department Data Joaquin Avalos SEIIJ - President S I V t2 Date 25B-39 TWELTH SIDE LETTER AMENDMENT TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 FOR FISCAL YEARS 2010 - 2013 The City of Santa Ana (City) and the Service Employees International Union (SEIU) have met and conferred, and agree that the City will close City Hall, the Ross Annex and the WORK Center during the 2012 holiday season on certain days that are normally considered regular paid work days. The closure will take place beginning Wednesday, December 26, 2012 through and including Monday, December 31, 2012. SEIU employees Impacted by this closure will not report to work The City also agrees that SEW employees assigned to departments outside of these locations may also participate based on the business needs of the department as determined by the Department Director, Employees in locations outside City Hall and Ross Annex must confirm with their supervisor the holiday schedule. The City will advance each employee 35 hours of furlough time for use during the holiday closure. The furlough hour deductions will continue on a monthly basis. During the closure, employees shall be permitted to use paid leave time such as vacation time, comp time, furlough, and floating holiday hours to cover the time they will not report to work during the 2012 holiday closure. Employees may use unpaid leave time if they so choose. Employees who have do not have sufficient furlough hours by the end of furlough plan Oune 30, 2013) shall use available leave hours or work the necessary hours on a furlough Friday to cover the shortage by June 30, 2013. Employees may also elect to take said time as leave without pay. Those employees who do not have paid leave time available after exhausting all available leaves listed above, may be permitted to use Personal Necessity hours for this purpose. Any Personal Necessity leave used (in-lieu of the above mentioned accruals) will be returned to the employee's accrual PN bank and an equal amount of vacation time, comp time, furlough or floating holiday will be deducted in calendar year 2013. Such deduction will begin in January 2013 and will continue until an equal amount of time is deducted as was advanced. This non-precedent-setting, agreed to work schedule modification shall not be considered a re- opener nor shall it be considered in anywaya permanent change. Edward S. Raya Joaquin Avalos Executive Director President, SEIU Personnel Services Department Dater Date 25B-40 A-2010-188 2010 - 2013 MEMORANDUM OF UNDERSTANDING CITY OF SANTA ANA AND SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 25B-41 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 FOR FISCAL YEARS 2010-11 THROUGH 2012-13 TABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I ARTICLE 11 ARTICLE III ARTICLE IV ARTICLE V ARTICLE VI ARTICLE VII ARTICLE VIII ARTICLE IX ARTICLE X ARTICLE XI ARTICLE XII ARTICLE XIII ARTICLE XIV ARTICLE XV ARTICLE XVI ARTICLE XVII ARTICLE XVIII ARTICLE XIX ARTICLE XX ARTICLE XXI ARTICLE XXII ARTICLE XXIII ARTICLE XXIV ARTICLE XXV ARTICLE XXVI ARTICLE XXVII ARTICLE XXVIII ARTICLE XXIX RECOGNITION NON-DISCRIMINATION CLAUSE ATTENDANCE, WORKDAY & WORKWEEK SALARIES ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES OVERTIME TRAINING & EDUCATIONAL ASSISTANCE PROGRAM HOLIDAYS VACATION OTHER LEAVES OF ABSENCE EMPLOYEE INSURANCE RETIREMENT TOOL REIMBURSEMENT POLICY UNIFORM MAINTENANCE SAFETY RESIDENCY GRIEVANCE REVIEW PROCEDURE UNION RIGHTS DUES DEDUCTION & INDEMNIFICATION CITY RIGHTS STRIKES & WORK STOPPAGES LAYOFFS MISCELLANEOUS PROVISIONS SOLE & ENTIRE AGREEMENT WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT EMERGENCY WAIVER PROVISION SEPARABILITY PROVISION TERM OF AGREEMENT RATIFICATION & EXECUTION 6 7 12 18 30 34 37 39 43 50 53 55 56 57 58 59 61 68 70 72 73 75 79 80 81 82 83 84 25B-42 TABLE OF CONTENTS (Contimied) ARTICLE SUBJECT PAGE EXHIBIT A BASIC SALARY & WAGE SCHEDULE 86 EXHIBIT B ASSIGNMENT OF CLASSIFICATIONS TO SALARY RATE RANGES REPRESENTED BY SANTA ANA CITY EMPLOYEES CHAPTER 1939 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721, 88 EXHIBIT C RESOLUTION NO. 81-75 96 EXHIBIT D 9/80 HARDSHIP CLAIM 106 3 25B-43 TABLE OF CONTENTS (Cross-referenced in Alphabetical Order) SUBJECT ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES ATTENDANCE, WORKDAY & WORKWEEK CITY RIGHTS DUES DEDUCTION & INDEMNIFICATION EMERGENCY WAIVER PROVISION EMPLOYEE INSURANCE GRIEVANCE REVIEW PROCEDURE HOLIDAYS LAYOFFS MISCELLANEOUS PROVISIONS NON-DISCRIMINATION CLAUSE OTHER LEAVES OF ABSENCE OVERTIME RATIFICATION & EXECUTION RECOGNITION RESIDENCY RETIREMENT SAFETY SALARIES SEPARABILITY PROVISION SOLE & ENTIRE AGREEMENT STRIKES & WORK STOPPAGES TERM OF AGREEMENT TOOL REIMBURSEMENT POLICY TRAINING & EDUCATIONAL ASSISTANCE PROGRAM UNIFORM MAINTENANCE UNION RIGHTS VACATION WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT EXHIBITS: ASSIGNMENT OF CLASSES REPRESENTED BY SANTA ANA CITY EMPLOYEES CHAPTER 1939 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 BASIC SALARY & WAGE SCHEDULE RESOLUTION NO. 81-75 9/80 HARDSHIP CLAIM FORM 4 ARTICLE PAGE ARTICLE V 18 ARTICLE III 7 ARTICLE XX 70 ARTICLE XD{ 68 ARTICLE XXVI 81 ARTICLE XI 50 ARTICLE XVH 59 ARTICLE VIII 37 ARTICLE XXII 73 ARTICLE XXIII 75 ARTICLE II 6 ARTICLE X 43 ARTICLE VI 30 ARTICLE XXIX 84 ARTICLE I 5 ARTICLE XVI 58 ARTICLE XII 53 ARTICLE XV 57 ARTICLE IV 12 ARTICLE XXVII 82 ARTICLE XXIV 79 ARTICLE XXI 72 ARTICLE XXVIII 83 ARTICLE XIII 55 ARTICLE VII 34 ARTICLE XIV 56 ARTICLE XVIII 61 ARTICLE IX 39 ARTICLE XXV 80 EXHIBIT B 88 EXHIBIT A 86 EXHIBIT C 96 EXHIBIT D 106 25B-44 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers-Milias-Brown Act, Government Code Section 3500, et seg., the City of Santa Ana (hereinafter called the "City') has recognized the Santa Ana City Employees Association, Chapter 1939/Service Employees International Union Local 721 (hereinafter called the "Union") as the recognized representative of the bargaining unit which includes all fill-time personnel employed by the City of Santa Ana in classifications listed in Exhibit B of this Agreement. 1.2 During the teen of this Agreement, no substantive issue of representation shall be raised contrary to this Agreement except as provided in Resolution No. 81-75, the Employer- EnrpLoyee Relations Resolution of the City of Santa Ana. 5 25B-45 ARTICLE II 2.0 NON-DISCRIMINATION CLAUSE 2.1 The City and the Union agree that they shall not discriminate against any employee because of race, color, sex, age, national origin or alienage, sexual orientation, political or religious opinions or affiliations, or anion membership, and that all jobs are open to males and females. The City and the Union shall reopen any provision of this Agreement for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in any provision or provisions of this Agreement in compliance with State or Federal anti-discrimination laws. 2.2 Whenever reference is made to the masculine gender, it shall be understood to include the feminine gender, unless expressly stated otherwise. 25B-46 ARTICLE III 3.0 ATTENDANCE, WORKDAY & WORKWEEK 3.1 Attendance. Employees covered by this Agreement shall be in attendance at their work during hours prescribed by the Department Head or his/her designee(s) and shall not absent themselves without approval of the Department Head or his/her designee(s). 3.2 Hours of Work, Eight (8) hours of work shall constitute a normal day and forty (40) hours of work shall constitute a minimum workweek, except for employees for whom special regulations have been approved by the City Manager. A. Employees, and Selected Fleet Services Employees. The Department Head, with the approval of the City Manager, may assign the above-referenced employees to a workweek consisting of four (4) ten (10) hour days with an additional one-half (1/2) or one (1) hour for unpaid lunch as negotiated with the Union. The assigned employee shall work fore (4) ten (10) hour days and shall have three (3) consecutive days off in a workweek. Upon mutual agreement between the supervisor and employee, the employee may waive his or her right to three (3) consecutive days off in a workweek. The regular workweek shall consist of forty (40) hours. A regular day off shall consist of ten (10) hours. B. 3/11.5 115.5 Work Schedule For Detention Records Employ. The Department Head, with the approval of the City Manager, may assign these employees to a workweek consisting of three (3) eleven and one-half (11.5) ]your days and one (1) five and one-half (5.5) hour day, with an additional forty-five (45) minutes for unpaid lunch as negotiated with the Union. The assigned employee shall have three and one-half (3.5) consecutive days off in a workweek. Upon mutual agreement between the supervisor and employee, the employee may waive his or her right to three and one-half (3.5) consecutive days off in a workweek. The regular workweek shall consist of forty (40) hours. A regular day off shall consist of either eleven and one-half (11.5) hours or five and one-half (5.5) hours. C. 9/80 Work Schedule. The work schedule described below is known as the 9/80. The 9/80 work schedule is designed to be in compliance with the requirements of the Fair Labor Standards Act (FLSA). In the event that there is a conflict with the current rules, practices and/or procedures regarding work schedules and leave plans, then the rules listed below will govern, Employees shall be permitted to work a 9/80 work schedule when authorized by the Department Head and approved by the City Manager. A departmental work unit will not be permitted to work this schedule if in the discretion of the Department Head and City Manager, the 9/80 work schedule may reduce service to the public. 25B-47 9/80 Work Schedule Defined. The 9/80 work schedule shall be defined as working eighty hours over nine days in a two-week period. An employee shall work eight days for nine hours per day and one day for eight hours, excluding a one-hour lunch during each work shift, totaling forty (40) working homy in each FLSA work week. a. The Work Week Period. The forty (40) hour FLSA work week period shall be defined as the work period starting from Friday at mid-shift to Friday at mid-shift. No employee working the 9/80 work schedule will be able to flex their Friday start time nor the time they take their lunch break, which will occur in the middle of the day on Fridays. b. The 9/80 Work Period. The 9/80 two-week work period for employees starts Friday mid-shift and continues for fourteen (14) days until Friday mid-shift. During this period, each week is made up of four nine-hour work days (thirty-six hours) and one four- hour Friday and those hours equal forty work hours in each work week (e.g., the Friday is split into four hours for the first shift, which is charged to work week one and four hours for the second shift, which is charged to work week two). C. Employees cannot change schedules without prior approval of their supervisor and Department Head. The purpose of this authorization is to review the impact on staffing and overtime. Employees may change schedules at the beginning of any work period with supervisor and Department Head approval. d. Modifications of the FLSA work week period are not permitted unless authorized by the Executive Director of Personnel Services and the City Manager. e. Emergencies. All employees on the 9/80 work schedule are subject to be called to work any time to meet any and all emergencies or unusual conditions that, in the opinion of the City Manager, Department Head or designee, may require such service from any of said employees. 2. Overtime Defined. All FLSA nonexempt employees working under the 9/80 work schedule will earn overtime for all hours worked after the first forty (40) hours in an FLSA work week as required under FLSA. Employees are required to obtain supervisor authorization before working any overtime, a. Overtime Compensation: As stated in Section 6.4 of this Memorandum of Understanding, 25B-48 b. Compensatory Time: As stated in Section 6.4 of this Memorandum of Understanding. 3. Leave Benefits. When an employee is off on a scheduled workday under the 9/80 work schedule, then nine (9) hours of eligible leave per workday shall be charged against the employee's leave balance or eight (8) hours shall be charged if the day off is a Friday. All leaves shall continue under the current accrual, eligibility, request and approval requirements. a. Vacation Leave: As stated in Article IX of this Memorandum of Understanding. b. Sick Leave: As stated in Article X of this Memorandum of Understanding. C. Bereavement Leave: As stated in Article X of this Memorandum of Understanding. d. Holidays: As stated in Article VIII of this Memorandum of Understanding. i. For a recognized City holiday, eight hours, as stated in Article VIII, are earned for each holiday. For the charging of hours on a scheduled holiday, the employee must use eight (8) hours of holiday time off and one (1) hour from the employee's vacation leave or compensatory time banks for a nine (9) hour workday charge or eight (8) hours holiday time off for a Friday. ii. If a holiday falls on an employee's Friday off, the employee must then take their holiday off before or after the regular holiday as their holiday off with supervisor and Department Head approval. If the employee cannot take their holiday off before or after the regular scheduled holiday off the employee will batik eight hours of holiday leave to be used at a later date with the supervisor's approval. e. Jury Duty Leave. The provisions of the Memorandum of Understanding shall continue to apply; however, if an employee is called to serve on jury duty during a normal Friday off, Saturday, or Sunday, or on a City holiday, then the jury duty shall be considered the same as having occurred during the employee's day off work; therefore, the employee will receive no added compensation. 9 25B-49 It is the intent of the parties that no additional paid time off shall be gained or lost as a result of the implementation of either the 4/10, the 3/11.5 plus 1/5.5, or the 9180 work schedules. The City reserves the right to abandon either the 4/10, the 3/11.5 plus 1/5.5, or the 9/80 work schedules for these employees if, in the opinion of the concerned Department Head and the City Manager, either the 4/10, the 3/11.5 plus 115.5, or the 9/80 work schedules has not produced the desired results. If this right is exercised, however, the City and SEIU shall meet and confer in good faith prior to abandoning any of these work schedules. D. Any employee having been authorized to work the 9/80 work schedule who subsequently encounters a personal hardship with his/her work hours may request an accommodation from his/her Department Head. A "hardship request" will be limited to an employee's authorized hours of work. An accommodation will be considered only after the employee has exhausted all other personal options to resolve the hardship. If the employee is unable to resolve his/her problem, the employee may request an accommodation from their Department Head by submitting a hardship claim. The Department Head may authorize an accommodation after reviewing said claim or assign a manager to investigate and recommend a resolution of the hardship claim. The recommendation of the manager will be limited to the following: Approve an appropriate flex schedule that does not disrupt the department ability to deliver its services or create disruption in the work unit. 2. Disapprove the employee's proposed solution to resolve the hardship. 3. Reassign the employee to a 5/40 work schedule. The Department Head may accept any one of the manager's recommendations or advance his own to resolve the hardship. E. The Water Production staff will work an eight (8) hour day shift covering Monday through Friday. Employees will be required to take a 30 minute unpaid lunch break during the shift. 3.3 Employee Furlou0is. Beginning October 2010 and ending in February 2012, employees covered by this agreement shall take twenty (20) eight-hour unpaid furlough days totaling 160 homy. Employees covered by this agreement shall furlough one day a month except two additional days shall be taken in December of 2010 and one additional day shall be taken in December 2011. Furloughing shall be on a set day agreeable to the City and union. However, for those departments or divisions identified by the City as having a business necessity, the firrlough schedule shall be based on those operational needs. Employees in departments or divisions with special needs may bank firrlough hours which shall be taken at the discretion of the employees with the approval of their 10 25B-50 supervisor in increments of not less than one-half (1/2) of one hour, beginning October 1, 2010 and ending April 30, 2012. Furlough hour deductions from employee wages (four hours per pay period) shall be taken out equally for the number of furlough months beginning October 2010 through March 2012. An advance of up to 40 hours of furlough time may be authorized by Departments for use by employees. Employees who are unable to use their finlough homy due to military leave shall have the time period in which to use the furlough hours extended in an amount corresponding with the length of their military leave. The City agrees that upon the request of the union made after March 1, 2011, the City and union will meet on the subject of employee furloughs to ensure furloughing continues to be implemented in a manner agreeable to the City and union. 11 25B-51 ARTICLE IV 4.0 SALARIES 4.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all fill-time personnel who are now employed or will in the future be employed in any of the designated classifications of employment represented by the Union as listed in this Agreement and its attachments. 4.2 Salary Schedule. The basic salary schedule, attached hereto in a matrix format as Exhibit "A," and made a part hereof as though set forth in frill herein, provides numerous salary rate ranges, each comprised of seven (7) steps or rates of pay. The respective rate ranges are identified by a three digit number. The steps within each range are identified by the letters "AAA" through "B" inclusive, with Step "AAA" being the lowest step in the range. The purpose of each step and the length of service required for advancement to the next higher step within a particular salary rate range are set forth in Exhibit "A." The assignment of classifications to salary rate ranges is listed in Exhibit B, which is attached and made a part hereof as though set forth herein. 4.3 Salaries. A. Effective January 1, 2007, Miscellaneous employees covered by this Agreement shall contribute 2% of their salary toward the employer cost of the 2.7% at 55 benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, this 2% contribution shall be implemented through payroll deduction on a pre-tax basis. Effective January 1, 2008, Miscellaneous employees covered by this Agreement shall contribute an additional 2 % of their salary (for a total of 41/6) toward the employer cost of the 2.7% at 55 benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, this additional 2% contribution shall be implemented through payroll deduction on a pre-tax basis. Effective July 1, 2009, Miscellaneous employees covered by this Agreement shall contribute an additional 2.3 % of their salary (for a total of 63%) toward the employer cost of the 2.7% at 55 benefit. To the extent permitted by CatPERS and Internal Revenue Service regulations, this additional 2.3% contribution shall be implemented through payroll deduction on a pre-tax basis. Effective October 1, 2010, Miscellaneous employees covered by this Agreement shall contribute an additional 1.7 % of their salary (for a total of 8.01/0) toward the employer cost of the 2.7% at 55 benefit. To the extent permitted by CalPERS and 12 25B-52 Internal Revenue Service regulations, this additional 1.7% contribution shall be implemented through payroll deduction on a pre-tax basis. 4.4 Application of Basic Compensation Plan. The salary rate ranges contained in Section 4.2 and Exhibit "B" are monthly salary rate ranges. All employees working in classifications of employment covered by this Agreement shall be compensated at a monthly rate, except that an employee hired for temporary work in a position which has an anticipated duration of less than six (6) months shall be paid at a rate per hour for actual time spent in the performance of the duties of his or her employment. The regular rate of pay shall be computed as provided for by the Fair Labor Standards Act (FLSA). Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate by 173.33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole cent and a computation resulting in an even one-half cent shall fix the rate at the next higher whole cent. 4.5 Probation. The probationary period shall be one (1) year from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) or a promotional eligible list. 4.6 Beginning Rates. A new employee of the City of Santa Ana shall be paid the rate shown as Step "AAA' in the salary rate range allocated to the classification of employment for which he or she has been hired, In special instances where such new employee possesses unique and exceptional educational training and/or experience qualifications, the Department Head, under whom the employee will serve, may submit a written request and justification to the City Manager for authorization to place such new employee on Step "AA," "A," "B," "C;" or "D" within the allocated salary rate range, provided that such employee shall be assigned such salary step upon the commencement of his or her service in the classification of employment to which the salary rate range applies and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of this Article. 4.7 Service. The word "service" as used in this Agreement shall be deemed to mean continuous, full-time service in the classification in which the employee is being considered for salary advancement, service in a higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements, Employees hired after the first (I") working day of the month shall not be credited with "time in service" for that month when determining the length of service required for salary step advancement. A lapse of service by an employee for a period of time longer tlran thirty (30) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purposes of this Agreement, and such employee reentering the service of the City shall be considered as a new employee, except when he or she is being or will be reappointed within one (1) year and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" 13 25B-53 for purposes of this section shall mean separating from full-time City employment altogether, not leaving one position to accept appointment to another position in an unrelated classification outside the career ladder. 4.8 Advancement Within Ranges. A. Length of Service Advancements. After the salary of an employee has been first established and fixed tinder this plan, such employee shall be advanced from Step "AAA" to Step "AA," Step "AA" to Step "A," from Step "A" to Step 'B," from Step "B" to Step "C;" or from Step "C" to Step "D," whichever is the next higher step to that on which the employee has been previously paid, effective the first day of the month following the date of completion of the length of service required for such advancement as provided in Section 4.2 and Exhibit A hereof. B. Merit Advances. An employee shall be considered for advancement from Step "D" to Step "E" upon the completion of the required length of service as provided in Section 4.2 and Exhibit A hereof; the effective date of such merit increase, if granted, shall be on the first (I") day of the month following the completion of such required length of service. Advancement to Step "E" may be granted only for continued meritorious and efficient service and continued improvement by the employee in the effective performance of the duties of his or her position. Such merit advancement shall require the following: There shall be on file in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal report required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. 2, The Department Head, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Department Head as to such recommendations and of the reasons therefore. 3. No advancement in salary above Step "D" shall become effective until approved by the City Manager, except when placement on a salary step above Step "D" results from promotion under the provisions of Sectionl0 of this Article. 4. Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step advance shall be retroactive to the first 14 25B-54 (I") day of the month following the completion of the required length of service. 5. Beginning October 1, 2010 and ending June 30, 2011, all employee salary step advancement shall be frozen for a one-year period for any employee whose employment anniversary falls within that time period. For example, an employee whose anniversary falls on November 1, 2010 and who otherwise would receive a merit increase on that date will not receive the merit increase until November 1, 2011. In addition thereto, the salaries of employees who have advanced to merit step shall be frozen, except that in the event such an employee receives an annual performance appraisal with an overall rating of "Below Acceptable Performance" or "Unacceptable Performance" during the term of this provision, in which case the City shall be free to remove said employee's merit step pay. Beginning July 1, 2011, employee salary step advancement shall recommence for affected employees on the one year anniversary date of the previously scheduled salary step advancement. C. Length of Service Required When Advancement Denied. When an employee has not been approved for advancement to merit Step "E;" he or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for such advancement after the completion of six (6) months of additional service. This reconsideration shall follow the same steps and shall be subject to the same actions as provided in subparagraph B (2) and (3) of this section. 4.9 Reduction in Salary Steps. Any employee who is being paid at merit Step "E" may be reduced to Step "D" of the appropriate salary range, upon the recommendation of the Department Head, and the approval of the City Manager. Procedure for such reduction shall follow the same procedure as outlined for merit advancements in Section 4.8 above, and such employee may be considered for readvancement under the same provisions as contained in Subsection C of Section 4.8 above. 4.10 Promotional Salary Advancement. When an employee is promoted to a position in a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to Step "AAA" in the appropriate salary rate range for the higher classification; provided, however, that if the base salary step currently being paid such employee is already equal to or higher than said Step "AAA," he or she will be placed in the lowest step in the appropriate salary rate range as will grant that employee a minimum increase of one (1) salary step (approximately 5%) over his or her current base salary step, inclusive of lead pay, and exclusive of any other assignment or special pay additive or additives such as bilingual pay, shift differential, special skill pay or the like, except when placement at "E" step will not be sufficient to provide a one (1) salary step (approximately 5%) increase. 4.11 Demotion. When an employee is demoted to a position in a lower classification, his or 15 25B-55 her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) salary step (approximately 5%). B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. D, If the salary rate recommended by the Department Head is lower than the maximum step permissible under Subsection C above, such recommendation shall be considered a reduction in pay in addition to the demotion and shall be handled in accordance with the provisions for salary reductions in Section 4.9 above. 4.12 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 4.13 Request for Classification Review. Any employee who, for a period exceeding one (1) year, believes he or she is regularly and consistently performing duties and/or responsibilities not in conformance with their classification concept or, duties and/or responsibilities of another classification, may request a classification review of their position through their supervisor to the Department Head. The employee must submit their request on a form specified by the Executive Director of Personnel Services, outlining in writing how they believe their current duties and/or responsibilities differ from their classification concept. A. The Department Head will review the employee's submitted request and within sixty (60) days will make one of the following determinations: Will support the employee's request. a. If the Department Head supports the employee's request for a classification review, he or she will forward the request to the Executive Director of Personnel Services along with justification for support of the employee's request. b. The Department Head will notify the employee that his or her request has been submitted to the Executive Director of Personnel Services. 16 25B-56 2. Will not support the employee's request. a. If the Department Head does not support the employee's request for a classification review, he or she will notify the employee of this decision in writing and set forth the basis for the decision. b. If the Department Head does not support the employee's request, but agrees that some of the duties and/or responsibilities being performed by the employee are those of a higher level City classification, he or she can do the following: i. Return the employee to performance of the duties and/or responsibilities of their proper classification. ii. Eliminate the higher duties and/or responsibilities being performed by the employee, for which the City has agreed are those for which it will provide higher compensation. B. Any employee request for classification review approved by the Department Head will be forwarded to the Executive Director of Personnel Services. The Executive Director of Personnel Services will confirm receipt of the request in writing to the employee. Within sixty (60) days of receipt of the request, the Executive Director of Personnel Services will notify the employee and Department Head of the decision as to whether a study will be conducted. If the Executive Director of Personnel Services determines that a study is appropriate, the Executive Director of Personnel Services will so notify the employee and the Department Head in writing and will provide the employee and Department Head with an approximate start date for the study. C. All determinations of the Department Head and the Executive Director of Personnel Services are final. D. All studies and study findings will require City Manager approval before proceeding. E. All recommendations resulting from study findings require the approval of the City Cormcil and will be implemented in accordance to the City's Civil Service rules. 17 25B-57 ARTICLE V 5.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 5.1 Assignment Pay Differential. Effective November 1, 2001, assignment pay differentials, as listed herein and throughout the agreement, will, in each case, be added individually and separately to the employee's base salary. In no event shall one assignment pay differential be added to the employee's base salary as a basis for the calculation of an additional pay differential, A. Incumbents in the classifications of Senior Office Assistant, Secretary, Executive Secretary, or Planning Commission Secretary who are assigned by a Department Head, with the prior approval of the City Manager, to a position requiring the ability to take dictation at a rate of 70 words per minute or better on a regular basis or as an essential or integral element of the work of the position, will be paid a monthly differential of sixty dollars (S60) above his or her base monthly salary step for each full month of such assignment. B. Incumbents in the classifications of Park Maintenance Worker and Park Maintenance Leader who are continuously and regularly assigned to perform, either on a full-time or half-time basis, duties as a Park Maintenance Planner- Scheduler, will be paid an assignment pay differential at a rate set above their then current base monthly salary step in accordance with the following schedule: twenty (20) salary rate ranges (approximately 10%) for full-time assignment; ten (10) rate ranges (approximately 5%) for half-time assignment. C. An incumbent in the classification of Senior Office Assistant who is continuously and regularly assigned to operate and who actually operates, a two-way radio communications base station, will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. D. Incumbents in the classifications of Fleet Equipment Technician If and III who are assigned to perform repair and maintenance on fire apparatus on a continuous and regular basis, who possess a California State Certification of Fire Mechanic Level I or Level If, will be paid an assignment pay differential at a rate set five (5) salary rate ranges (approximately 2.5%), respectively, for each certification, above their then current base monthly salary step. E. Incumbents in the classifications of Fleet Equipment Technician I, II and III who are assigned to perform repair and maintenance on emergency response vehicles, excluding fire apparatus, on a continuous and regular basis who possess a nationally recognized certification for Emergency Vehicle Technician Level I or Level It, will be paid an assigmnent pay differential at a rate set five (5) salary rate ranges (approximately 2.5%), respectively, for each certification, above their then current base monthly salary step. 18 25B-58 F. Personnel in the classifications of Fleet Equipment Technician I, II, III, and Fleet Equipment Supervisor, who maintain a valid State of California Commercial Driver's License and are assigned to an area that requires the possession of either a Class "A" or Class 'B" license in the course and scope of their work shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above their then current base monthly salary step. G. Personnel in the classification of Park Maintenance Worker who are regularly and continuously assigned to and actually performing park mowing duties rising heavy mower equipment, will be paid at a rate set twenty (20) salary rate ranges (approximately 10%) above their then current base monthly salary step. H. Personnel in the classification of Park Maintenance Worker who are regularly and continuously assigned to and actually performing duties as a utilities coordinator will be paid at a rate set twenty (20) salary rate ranges (approximately 10%) above their then current base monthly salary step. 1. Personnel in the classification of Park Maintenance Worker who are regularly and continuously assigned to and actually performing duties as an irrigation technician will be paid at a rate set twenty (20) salary rate ranges (approximately 10%) above their then current base monthly salary step. Personnel in the classification of Park Maintenance Worker who are regularly and continuously assigned to and actually performing duties as a pesticide operator will have the opportunity to earn up to fifteen (15) salary rate ranges (approximately 7.5%) above their then current base monthly salary step for acquisition of the following: Department of Food & Agriculture Qualified Applicator License = approximately 2.5%; Certificate in Ornamental Horticulture = approximately 5%. K. Personnel in the classification of Park Maintenance Worker who maintain a valid Certified Pool Operator license and who are assigned to and actually performing duties as an aquatics technician shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above their then current base monthly salary step. L. Effective as soon as practicable following approval of this Memorandum of Understanding by the City Council, an employee that is required by a Department Head or their designee to perform the duties of a Notary Public for the City, in addition to regular duties, shall be paid a monthly differential of forty dollars ($40) above his or her then current base monthly salary step. 5.2 Lead Pay. An incumbent who is regularly and continuously assigned to lead a functional unit which includes two (2) or more positions in the same or lower classifications as the incumbent may be compensated for said duties upon mutual agreement of the City and SEIU and approval of the Department Head and the Executive Director of Personnel 19 25B-59 Services. This compensation shall he referred to as "lead pay." In addition, incumbents in the following classifications who are regularly and continuously assigned to perform lead supervisory responsibilities will receive lead pay compensation at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step: Buyer, Customer Service Representative, Equipment Operator-Motor Sweeper, Information Services Representative, Librarian, Library Services Assistant, Parking Meter Technician II, Senior Systems Administrator, Graphics Designer H, Senior Accounting Assistant, Housing Specialist 11, Senior Librarian, Workforce Specialist II, and Workforce Specialist III. An incumbent in the classification of Custodian who is regularly and continuously assigned to perform lead supervisory responsibilities will receive lead pay compensation at a rate set fifteen (15) salary rate ranges (approximately 7.5%) above his or her then current base monthly salary step. 5.3 Bilingual Pay. An employee who is assigned by a Department Head or their designee to a position requiring bilingual capability in both English and either Spanish, Samoan, Vietnamese or other languages designated by the City Manager, will be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. Certification by the Executive Director of Personnel Services as having satisfactorily demonstrated conversational fluency in both languages for any position requiring bilingual capacity. B. Positions where it has been determined by the Department Head that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major, essential or integral element of the work being performed, will be designated as Primary Bilingual Assignments. A qualified incumbent of such position will be paid a monthly differential of one hundred seventy-five dollars ($175) above his or her base monthly salary step for each full month of such assignment. C. Positions where it has been determined by a Department Head that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, will be designated as Secondary Bilingual Assignments. A qualified incumbent of such position will be paid a monthly differential of forty dollars ($40) above his or her base monthly salary step for each full month of such assignment. D. The number of such Primary and/or Secondary Bilingual Assignments shall be no larger than the requirements of the department as determined by the Department Head and the City Manager. E. There shall be periodic recertification of such bilingual capability. 20 25B-60 5.4 Shift Differential. A. Generallv. An employee in a classification represenhted by the Union who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (4 1/2) hours between the hours of 5:00 p.m. and 7:00 aan., will be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then current base monthly salary step; except, however, such shift pay differential shall not be applicable to employees in the classification of Park Ranger and Supervising Park Ranger. B. Library Emplovees. Employees hired and assigned to the Library prior to December 1, 1987, who work evening shifts until closing time, but who are not otherwise eligible for shift differential as provided under Subsection A above, shall receive, as special shift pay, an amount equal to one-half (1/2) of one hour's pay for each day they work an evening shift until closing time. Said special shift pay shall be computed on the hourly equivalent of the base monthly salary step. Such half-horn's pay shall not be counted toward the computation of overtime. Such special library shift pay differential shall not be applicable to library employees hied on or after December 1, 1987. C. Early Morning Street Crews. A Street Maintenance employee who is assigned to traffic painting or downtown cleanup crews who is continuously and regularly assigned to a schedule of work which requires that he or she actually work at least fifty percent (50%) of his or her normal daily work shift between the hours of 1:00 am. and 7:00 a.m., will be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then current base monthly salary step. D. Park Maintenance Worker. Employees in the classification of Park Maintenance Worker who are regularly and continuously assigned to a schedule of work which requires that they actually work a minimum of two (2) weekend night shifts (4 1/2 hours) between the hours of 5:00 p.m. and 7:00 a.m.) as part of his or her regular five (5) day work schedule, will be paid a special night shift differential of five (5) salary rate ranges (2.5%) above his or her then current base monthly salary step. E. Standby Pay. Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Effective no later than the first (1") day of the second (2nd) payroll period following Council approval, such employees shall receive two hundred dollars ($200) per week when assigned to be on standby duty. Water Production, Water Maintenance, Public Works Maintenance, Building Maintenance, and Information Services Division staff shall be required to serve 21 25B-61 on standby duty and receive standby pay as defined above. The City's preference will be to accomplish the above through volunteers; however, qualified employees may be directed to be on standby if the number of volunteers is insufficient. In addition to the $200 per week Standby Pay, if an employee is able to handle the incident by phone or other electronic means without reporting to duty, he shall be entitled to overtime pay at the rate of 15 minutes or actual time spent per incident whichever is greater, paid at time and one-half (T 1/2) per incident. 5.5 Temporary Upgrade Assignment Pay. In order to provide an equitable method of compensating employees who are assigned temporarily to a vacant, full-time, budgeted, higher-level position the following shall apply: A. General Guidelines. Temporary Upgrade Assignments shall be limited to the temporary filling of vacant, frill-time, budgeted positions due to the termination, promotion or authorized long-term absence of the incumbent. A temporarily vacant position need not be a position without an incumbent. 2. Each such assignment may be terminated at any time, but in no event shall such assignment continue beyond one hundred eighty (180) days of such assignment. 3. Prior to recommending to the City Manager that a pay differential for a Temporary Upgrade Assignment be granted, the Department Head shall make the following determinations: a. The duties and responsibilities of the position to be filled are of such nature that they cannot remain unassigned pending the return to duty of the absent inorunbent or preparation of an eligible list whichever is applicable. b. It is not practical to assign the duties of the vacant position to any other employee or employees in the same or higher classification. 4. The City Manager or his designee must give written approval of all Temporary Upgrade Assignments involving an increase in pay for the appointee. B. Eligibility. 1. With the exception of those described in paragraph 3 below, regular, fill- time employees shall receive Temporary Upgrade Assignment Pay if the following criteria are met: 22 25B-62 a. The work assumed encompasses the majority of the typical duties and responsibilities of the vacated position, b. To qualify for temporary upgrade assignment pay, employees must serve in an acting capacity in the higher level classification as follows: • ten (10) consecutive working days of eight (8) hours each; or • eight (8) consecutive working days of ten (10) hours each, for employees working on an alternative work schedule; or • any combination of consecutive working days consisting of nine (9) hours each and one (1) working day consisting of eight (8) hours, for a total of 80 hours of work for employees working the °9180"work schedule; or • two (2) consecutive work weeks, consisting of three (3) 11.5 hour days and one (1) 5.5 hour day for a total of 80 hours of work for employees working on an alternative work schedule. C. In computing qualifying service rendered, only full days of actual duty shall be included, and partial days shall not be combined to make frill days unless they are normally granted holiday hours. Normally granted holidays will be included in computing actual duty days. d. Employees must requalify for an upgrade (Temporary Assignment) if the employee has not worked in this specific upgrade assignment for a period of 18 consecutive months. The employee shall only be. considered to work in a higher classification if such work is duly and specifically authorized by the employee's Department Head. 2. Whenever practicable, the appointing authority shall rotate Temporary Upgrade Assignments among all qualified employees. 3. Employees in the following categories shall not be assigned to Temporary Upgrade work unless specifically authorized by the City Manager: a. Non-permanent employees (Probationary, Pat-time, Seasonal, etc.). b. Employees performing work above their regular classification in a training capacity. 23 25B-63 C. Payment. On the eleventh (11") consecutive working day an employee has been serving in a Temporary Upgrade Assignment, and for each additional consecutive working day the employee so serves, he or she shall receive the beginning rate (Step "AAA") assigned to the higher classification or the lowest rate in that range which is at least ten (10) salary rate ranges (approximately 5%) higher than the current base salary rate he or she normally receives, (inclusive of lead pay and exclusive of any other assignment or special pay additive or additives) whichever is greater, except when placement at "E" step will not be sufficient to provide the ten (10) salary rate range increase. If an employee has worked ten (10) consecutive days during the term of this Agreement in a higher classification, the employee shall thereafter receive upgrade pay for each day the employee is assigned to work in the higher classification during the term of this Agreement. 2. Assignment or special pay additives, such as bilingual pay, shift differential, special skill pay, etc., paid to an employee prior to becoming eligible for Temporary Upgrade Assignment Pay, will not be considered in computing the amount of higher pay to which he or she is entitled in Subparagraph 5,5C above. If the special circumstances upon which said additive is based are also applicable to the Temporary Upgrade Assignment and the employee remains eligible for such pay while in the temporary upgrade position, this amount will be added to the new salary rate range. 3. Temporary Upgrade Assignments which entail moving an employee into a classification represented by an employee unit other than that which represents his or her permanent classification shall not include any change in fringe benefits for the affected employee. 4. While working in a Temporary Upgrade Assignment, an employee will continue to accrue, and have recorded, general, special or normal salary step increases in the employee's permanent position; however, such salary increases will be paid only to maintain the minimum five percent (5%) differential above the salary to which an employee is entitled in his or her permanent position. 5.6 All assignments of personnel to positions set forth in Sections S.1 through 5.4 above shall be made or revoked at the discretion of the Department Head. 5.7 Limitation on Assignment Pay Differentials. Employees covered by this agreement and already receiving assignment pay under section 5.1 of this article and who continue to meet the qualifications described in the applicable assignnment pay provisions of section 24 25B-64 5.1 of this article shall continue to receive said pay under the current assignment pay formulas, Current employees who become eligible for, and are assigned, and do in fact begin receiving assignment pay under section 5.1 of this article prior to hue 30, 2013, shall continue to receive said pay under the current assignment formulas provided they continue to meet the qualifications described in the applicable assignment pay provisions of section 5.1 this article. Current employees who do not receive assignment pay under section 5.1 of this article prior to the June 30, 2013, will not thereafter, be eligible to receive it. Any employee hired after August 31, 2010 shall not be eligible to receive assignment pay under the assignment pay provisions of section 5.1 of this article. 5.8 Career Development Incentives, Employees hired in a classification which requires an International Conference of Building Officials (ICBO), International Code Council (ICC), or other certificate as a prerequisite to hiring, either upon appointment or by the time of the employee's passage of probation ("regular appointment"), shall not be eligible for career incentive pay for that prerequisite certificate. However, they will be eligible for career incentive pay for any other certificates approved for their classification. In no event shall the application of this Career Development Incentive Program result in an individual being eligible to earn more than twenty-five (25) salary rate ranges (approximately 12.5%) above his or her current monthly base salary step. A. An incumbent in one of the classifications listed below will be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step for each of the following: valid registration as a Registered Engineer by the State of California and valid registration as a Structural Engineer by the State of California (a total of twenty (20) salary rate ranges (approximately 10%) for possession of both). Additionally, said incumbents who possess a valid certificate issued by fire ICBO (or similar nationally recognized certificating organization) in the areas of accessibility/usability (one specialty area), residential energy plan check, or non-residential energy plan check, shall be paid an incentive pay differential at a rate set above his or her then current base monthly salary step in accordance with the following schedule: One certificate from one specialty area: five (5) salary rate ranges (approximately 2.5%); an additional certificate from a second specialty area (total of two): ten (10) salary rate ranges (approximately 5%); an additional certificate from a third specialty area (total of three): fifteen (15) salary rate ranges (approximately 7.5%). o Assistant Engineer I o Assistant Engineer If o Assistant Engineer-Transportation (T) o Senior Assistant Engineer o Senior Civil Engineer o Senior Engineer o Senior Traffic Engineer o Assistant Plan Check Engineer I 25 25B-65 o Assistant Plan Check Engineer II o Associate Plan Check Engineer o Senior Plan Check Engineer o Senior Transportation Analyst B. Arr incumbent who was employed as of August 16, 1991 in the classification of Plan Examiner (T), Assistant Plan Check Engineer I or II, Associate Plan Check Engineer, Senior Plan Check Engineer and who, as of December 31, 1987, had possessed a valid Plan Examiner Certificate issued by the ICBO shall continue to be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base salary step, However, effective January 1, 1988, said ten (10) range differential shall be reduced to five (5) salary rate ranges (approximately 2.5%) for any incumbent of said classifications who is issued his or her initial certificate on or after January 1, 1988. C. An incumbent in one of the classifications listed below who possess a valid certificate issued by the ICBO (or similar nationally recognized certificating organization) in the areas of building inspection, combination inspection, electrical inspection, mechanical inspection, plumbing inspection, combination dwelling inspection, plan examining, accessibility/usability (one (1) specialty area), residential energy plan check, or non-residential energy plan check, shall be paid an incentive pay differential at a rate set above his or her then current base monthly salary step in accordance with the schedule listed below. Incumbents who possess a valid certificate issued by the ICBO in combination inspection may substitute this for building inspection or combination dwelling inspection; however, incumbents shall not receive incentive pay for more than two of these three certificates, One certificate from one specialty area: five (5) salary rate ranges (approximately 2.5%); an additional certificate from a second specialty area (total of two): ten (10) salary rate ranges (approximately 5%); an additional certificate from a third specialty area (total of three): fifteen (15 ) salary rate ranges (approximately 7.5%); an additional certificate from a fourth specialty area (total of four): twenty (20) salary rate ranges (approximately 10%); and an additional certificate from the fifth specialty area (total of five): twenty-five (25) salary rate ranges (approximately 12.5%). o Building Inspector o Electrical Inspector o Plumbing Inspector o Combination Building Inspector o Building Technician o Plan Examiner (T) o Senior Plumbing and Mechanical Systems Specialist o Senior Building Inspector o Senior Electrical Inspector o Senior Plumbing Inspector o Senior Combination Building Inspector o Plan Examiner (T) Electrical o Senior Electrical Systems Specialist 26 25B-66 D. Incumbents in the classifications of: o Community Preservation Technician o Community Preservation Inspector o Senior Community Preservation Inspector o Community Preservation Inspector II (T) who obtain or possess a valid certificate issued by the ICBO (International Conference of Building Officials), ICC (International Code Council), SCACEO (Southern California/Statewide Association of Code Enforcement Officers), CACEO (California Association of Code Enforcement Officers), or any similar nationally recognized certificating organization in any four (4) of the following Career Development Incentive areas shall receive incentive pay worth five salary rate ranges (approximately 2.5%) for each certificates, not to exceed five (5) certificates or a total of twenty-five salary rate ranges (approximately 12.5%). If an incumbent has obtained four (4) such certificates from the menu below, he or she than shall be eligible to earn an additional five (5) salary rate ranges (approximately 2.5%) pay additive upon completion of both the SCACEO/CACEO Intermediate and SCACEO/CACEO Advanced Certifications: o Building Inspection o Electrical Inspection o Mechanical Inspection o Plumbing Inspection o Combo Dwelling Inspector o Plans Examiner o Zoning Inspection o Property Maintenance and Housing o PC 832 o Basic Module (SCACEO/CACEO) o Accessibility Inspector/Plans Examiner o Permit Technician o Coastal and Floodplain Construction Inspector o Disaster Response Inspector If an incumbent has already completed both the SCACEO/CACEO Intermediate and the SCACEO/CACEO Advanced certifications, upon completion of any other four (4) certificates from the menu above, said employee shall be eligible to receive the additional five salary rate ranges (approximately 2.S% total) pay additive for the Intermediate/Advanced certifications. In no event shall the expansion of current certificate pay opportunities result in an employee being eligible to earn more than twenty-five salary rate ranges (approximately 12.5%) in pay additives for Career Development Incentives above his or her then current base monthly salary step. 27 25B-67 E. An incumbent in one of the classifications listed below who possess a valid certificate issued by the ICBO (or similar nationally recognized certificating organization) in the areas of reinforced concrete, structural masomy, structural steel/welding, electrical inspection, plumbing inspection, plans examiner, or C27 landscape contractors license, shall be paid an incentive pay differential at a rate set above his or her then current base monthly salary step in accordance with the following schedule: One certificate from one specialty area: five (5) salary rate ranges (approximately 2.5%); an additional certificate from a second specialty area (total of two): ten (10) salary rate ranges (approximately S%); an additional certificate from a third specialty area (total of three): fifteen (15) salary rate ranges (approximately 7.5%); an additional certificate from a fourth specialty area (total of four): twenty (20) salary rate ranges (approximately 10%); and an additional certificate from the fifth specialty area (total of five): twenty-five (25) salary rate ranges (approximately 12.5%). o Construction Inspector I o Construction Inspector lI F. An incumbent in the classification listed below who possess a valid certificate issued by the ICBO (or similar nationally recognized certificating organization) in the areas of plumbing inspection, electrical inspection, plans examiner, C27 landscape contractors license, turf grass management, or certified arborist (ISA), shall be paid an incentive pay differential at a rate set above his or her then current base monthly salary step in accordance with the following schedule: One certificate from one specialty area: five (5) salary rate ranges (approximately 2.51/o); an additional certificate from a second specialty area (total of two): ten (10) salary rate ranges (approximately 5%); an additional certificate from a third specialty area (total of three): fifteen (15) salary rate ranges (approximately 7.51/o); an additional certificate from a fourth specialty area (total of four): twenty (20) salary rate ranges (approximately 10%); and an additional certificate from the fifth specialty area (total of five): twenty-five (25) salary rate ranges (approximately 12.5%). o Contracts Administrator G. An incumbent in one of the classifications listed below who possess a valid certificate issued by the International Society of Arboriculture (ISA) as a certified arborist shall be paid at a rate of set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. o Projects Manager o Tree Maintenance Supervisor o Tree Trimmer o Maintenance Worker II (assigned to the tree crew) o Public Works Projects Specialist o Landscape Development Associate 28 25B-68 H. An incumbent in the classification listed below who possesses a valid certificate issued by the International Society of Arboriculture (ISA) as a certified Tree Worker shall be paid at a rate of set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. o Maintenance Worker II (assigned to the tree crew) 5.9 Limitation on Career Develo ment Incentive Pay, Employees covered by this agreement and already receiving career development incentive pay under section 5.7 of this article and who continue to meet the qualifications described in the applicable career development incentive pay provisions of section 5.7 of this article shall continue to receive said pay under the current career development incentive pay formulas. Current employees who are eligible for, and do in fact begin receiving career development incentive pay prior to June 30, 2012, shall continue to receive said pay under the applicable career development incentive pay provisions of section 5.7 of this article. Current employees who do not receive career development pay prior to the June 30, 2012 will not thereafter be eligible to receive it. Provided, however, that current employees who are eligible to qualify for career development incentive pay under the terms of section 5.7 of this article, and who are awaiting the results of a qualifying examination or other measurement taken prior to June 30, 2012, shall receive career development incentive pay upon confirmation of a passing result. Any employee hired after September 30, 2010 shall not be eligible to receive career development incentive pay under the career development incentive pay provisions of section 5.7 of this article. 29 25B-69 ARTICLE VI 6.0 OVERTIME 6.1 General Policy for Overtime Work. When it shall be determined to be in the public interest for employees to perform overtime work, or in an emergency situation, the City Manager, the Department Head, or a duly authorized representative of the City Manager or the Department Head, may require an employee to perform overtime work. 6.2 Definition. Overtime work is defined as: That authorized or required time worked in excess of 40 hours in the workweek schedule for a particular classification and organizational unit of an employee. A workweek is a fixed and regularly recurring period of 168 consecutive hours - 7 consecutive 24-hour periods - as designated by the appointing authority. An employee's work schedule within the workweek shall not be changed to avoid payment of overtime; provided, however, nothing shall abridge management's right to establish and change work schedules and assignments in accordance with the rights of management contained in Article XX, infra. 6.3 Computation of Forty (40) Hour Workweek. In computing the forty (40) hour workweek, the following type of work hours shall be included in the computation: Actual hours worked, jury/witness leave and bereavement leave. Any combination of these hours in excess of forty (40) hours per work week shall entitle the employee to overtime. Work on an observed Holiday which would otherwise be a scheduled day off for the employee will be paid as overtime, Any paid time off during the workweek such as vacation leave, sick leave, holiday leave, President's Leave and Union Business Leave, as well as all unpaid leave including furlough days shall not be counted towards the hours worked in a workweek for the computation of overtime unless the hours in excess of forty (40) hours in a workweek (including the above listed time) are worked by the employee at the requirement of management. For example, an employee working a Monday through Friday work schedule who takes 9 hours of vacation leave on Monday and works his normal 31 hours Tuesday through Friday, would not earn overtime for 2 hours he volunteered to work extra on Saturday. However, if that same employee had been required by management to work the 2 hours on Saturday as opposed to volunteering, the 2 hours would be compensated as overtime. 6.4 Compensation for Overtime. A. The preferable method by which overtime shall be compensated is by monetary payment, at one and one-half (1 1/2) times the employee's regular rate of pay, subject to the provisions of Subsection "C" below. 30 25B-70 B. Should the Department Head determine that the best interests of the City will be served thereby, lie or his designee may permit an employee to be compensated for overtime work by taking paid compensatory time off at the rate of one and one- half (1 1/2) times the employee's regular base rate of pay. C. Employees shall have the option with Department Head approval to convert a maximum of eighty (80) hours of time and one-half (T 1/2) paid overtime (in compensation for 53 1/3 overtime hours worked) to time and one-half (T 1/2) compensatory time off benefits. Such compensatory time off shall be taken at the discretion of the employee when requested at least 72 hours in advance, subject to the operational needs and staffing requirements of the department. If the Department Head or his or tier designee subsequently denies the requested compensatory time off the employee and department will mutually agree on a future date within one year when the employee can use the paid compensatory time off. If the requested compensatory time off is not used within that one year, such compensatory overtime will be paid off in cash. D. Time off with pay to compensate for overtime worked may be accumulated to a maximum of eighty (80) hours. E. Because each hour of overtime worked is programmatically accrued on a time and one-half (T 1/2) basis, compensatory time off will be taken, and monetary payment will be paid, on a straight-time basis. Also, upon termination, any earned, unused compensatory time off ("time-on-the-books") will be paid on a straight-time basis. F. Time off with pay to compensate for overtime worked may be taken in increments as small as a half (1/2) hour. G. If compensatory time off is used in excess of that available, such excess compensatory time off will, first, be deducted from any available vacation benefits; finally, deducted from the next scheduled wage or salary payment. H. Time off with pay as compensation for overtime may not be granted or taken in advance of the overtime work for which the time off compensates. Before compensatory time off with pay may be taken, as herein provided, the overtime worked must have been recorded on official payroll records at or about the time the overtime work was performed. In the absence of such recording, no compensatory time off with pay will be permitted. 1. Upon an employee's appointment to a position in which overtime may not be earned or upon an employee's separation from employment with the City by resignation, retirement, layoff or otherwise, he or she shall forthwith be compensated for any overtime accumulated to the time immediately preceding such promotion or separation. 31 25B-71 6.5 No Effect on Other Benefits, Overtime work shall not apply to the earning of employee benefits (retirement, holidays, vacation accrual, sick leave accrual and employee insurance benefits), toward the completion of probationary period, or to progression within salary rate range. 6.6 Overtime Work to be Minimized. To the extent that he or she is reasonably able to do so, the Department Head or his or her designee shall arrange work programs to minimize overtime work. Necessary overtime work shall be apportioned among employees of like classification and assignment. 6.7 Call-Back Duty. Any employee covered by this Agreement who is recalled to active duty from off-duty, shall be entitled to overtime pay at the rate of one and one-half (1 1/2) times the normal hourly pay rate for such employee for time actually worked after reporting to the place of duty, or three (3) hours pay at the normal rate of pay, whichever is greater. 6.8 Declaration of State of Emergency. Upon the occurrence of fire, flood, earthquake, strike, riot or other catastrophe or emergency which directly affects city operations or the welfare of the City's citizens, the City Manager may declare a state of emergency to exist. Upon the declaration of a state of emergency, the City Manager may require any or all regular full-time employees of the City to work overtime or off-shift as he or she shall determine to protect life and property within the City. 6.9 Applicability of Fair Labor Standards Act. The parties agree that if the applicability of the Fair Labor Standards Act to local governmental entities is eliminated by either legislative or judicial action, they shall meet and confer regarding any proposed changes to this Agreement; however, no such changes shall be made except on mutual agreement. 6.10 Court Appearance. Compensation for court appearance by employees covered by this Agreement shall be as follows: A. For each required court appearance made by an employee during his or her off- duty time in regard to City business, said employee shall be paid overtime for the period of time from their arrival at court until they are released from court or the court session closes for that day. However, in no case shall an employee receive less than two (2) hours overtime for a court appearance. If separate court appearances are made both in the morning and afternoon of a particular day, a minimum of two (2) hours overtime will be allowed for each session attended. If the employee is not released from a moming session and trust remain available for afternoon court, the employee shall be paid overtime for all hours the court is in session that day. The employee must provide a copy of the subpoena requiring his or her attendance to initiate payroll procedures. 32 25B-72 B. A subpoenaed employee scheduled to appear in court on City business during off- duty time may be placed on standby status by the Department Head or his or her authorized representative if the employee can respond to the court, if called, within 60 minutes of the employee's notification. In the event such off-duty employee is on standby status during any court session and is not required to appear in court, such employee shall be compensated two (2) hours on a straight time basis, for each said court session. Such employee may elect, in lieu of paid time, two (2) hours of compensatory time off for standby time and not appearing in court, with the approval of the Department Head. If such off-duty employee on standby actually appears in court, lie or she shall be compensated as provided in Subsection A, supra. 33 25B-73 ARTICLE VII 7.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 7.1 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses which will better enable them to perform their present duties and prepare them for increased responsibilities. B. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided. 7.2 Eli ibg ility. A. Applications for tuition reimbursement will be considered only from full-time, permanent City employees who have completed probation. B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance from other sources such as G.I. Bill, scholarships, etc. C. Applications will be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his or her job, may be reimbursable only after all required occupationally related courses have been completed. E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. F. Approval will be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education. Workshops, seminars, conferences and similar activities not identifiable as a formal course of instruction within the curriculum of a recognized educational institution, do not fall within the, purview of this program but may be authorized and funded by the interested department without coordination with the Personnel Services Department. 34 25B-74 G. When an employee is required by his or her Department Head to attend a particular course or seminar, the expense shall be borne entirely by the department. 7.3 Reimbursement. A. Reimbursement will be based on the cost of tuition or registration fees and all required texts and related material for each course. Additional expenses such as meals and parking fees are not reimbursable. B. Costs for required texts are eligible for one hundred percent (1000/0) reimbursement subject to the following conditions: 1. That a duplicate of the required text(s) was unavailable for loan from the departmental libraries prior to the commencement of course work; 2. That any textbook(s) purchased by the City shall be submitted to the employee's respective departmental library in order that such text(s) may be made available to all employees. C. Maximum tuition reimbursement is one thousand five hundred seventy-five dollars ($1,575) per fiscal year, which the employee may claim either as costs are incurred during the year or as one lump sum. D, Employees shall be limited, for purposes of tuition reimbursement, to a maximum of two (2) collegiate level courses of not more than a total number of units which is equivalent to six (6) "semester" units per semester. One (1) "quarter" unit shall equal two-thirds (2/3) of one (1) "semester" unit. 7.4 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete, in duplicate, an Application for Training and Educational Assistance form and submit it to his or her Department Head prior to the commencement of class(es) or the payment of fees for registration/tuition. B. The Department Head will recommend approval or disapproval based on established criteria and budgetary constraints and then forward the application to the Executive Director of Personnel Services. C. The Executive Director of Personnel Services or his or her designee will approve or disapprove the application for the City Manager. One copy will be returned to the employee and the duplicate will be retained by the Personnel Services Department. It is advisable that the applicant accomplish the procedure so far described in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy prior to the inception of the 35 25B-75 course or disbursement of personal finds. D. The employee will submit his or her copy of the approved application to the Personnel Services Department within three (3) months after he or she has completed the course and received his or her final grade. Such employee must include official verification of his or her final grade with appropriate receipts for tuition and textbook costs. These will be returned to the employee upon request. Applications not submitted to the Personnel Services Department within three (3) months following completion of the course become void. E. Upon receipt of the application and required documentation, the Personnel Services Department will determine whether the completed course of instruction is compatible with the provisions of this Article and will compute the amount of reimbursement, authenticate the application and forward it to the employee's Department Head. F. The Department Head will then authorize the Finance & Management Services Department to reimburse the employee the approved amount out of the budget of the department concerned. 36 25B-76 ARTICLE VIII 8.0 HOLIDAYS 8.1 Legal holidays observed by full-time permanent and probationary employees of the City of Santa Ana are as follows: o Jamiary 1 - New Year's Day. o Third (3`d) Monday in January - In observance of Martin Luther King, Jr.'s Birthday. o Third (3rd) Monday in February - In observance of President's Day. o Last Monday in May - In commemoration of Memorial Day. o July 4d' - In observance of Independence Day. o First (1") Monday in September - In observance of Labor Day. o November 11'h - In observance of Veteran's Day. o Fourth (4`h) Thursday in November - In observance of Thanksgiving Day. o The Friday immediately following Thanksgiving Day. o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof o December 25'h - hr observance of Christmas Day, o One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor. o Every day proclaimed by the Mayor of the City as a holiday for City employees. o Any holiday which falls on a Sunday will be observed on the following Monday. o Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday, 8.2 Holidays - Shift Personnel and Employees on Alternate Work Schedules. A. Full-time employees whose regularly scheduled days off are other than Saturday and Sunday shall be entitled to receive twelve (12) working days off during the year in lieu of the holiday benefits specified in Section 8.1 above. However, 37 25B-77 employees with alternative work schedules in the Community Preservation, Police Records, Correctional Records, Fleet Services Divisions, and employees on a 9/80 work schedule shall be credited with 96 hours of Holiday Time at the beginning of every calendar year in lieu of twelve (12) holidays in the year. If any employee working in the above referenced categories separates fiom employment prior to December 31 of any year and has exhausted 96 hours of holiday time, the value of hours not yet accrued but used shall be deducted fi•om the final paycheck. B. Said substitute holidays may be scheduled by the Department Head or his or her designee, normally during the same month that the holiday is observed by other City employees. An employee entitled to time off in lieu of holidays shall receive that time off in proportion to his or her service at frill pay in such capacity during the year. 83 Modified Holiday Schedule - Library Employees. Full-time employees assigned to the Library Department shall, during the term of this Agreement, observe holidays on the dates specified in Section 8.1 above. 8.4 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 8.1, supra, actually occurs in order to receive credit for such holiday during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 8.1, supra, actually occurs in order to receive compensation for the holiday. A newly appointed employee mast complete six (6) months of continuous full-time service in order to receive credit for the Floating Holiday listed in Section 1 above. 8.5 Holiday time off may be only be taken in increments of eight (8) hours. Employees assigned to the 4/10 work schedule in the Community Preservation Division of the Planning & Building Agency, in the Fleet Services Division of the Finance & Management Services Agency or the Police Department must use their holidays in ten (10) hour increments. Employees assigned to the 3/11.5 plusl/5.5 work schedule in the Correctional Records Division of the Police Department must use their holidays in 11.5 hour increments. Employees assigned to a 9/80 work schedule must use their holidays in nine (9) hour increments as described in Section 3.2 (C)(3)(d)(1) supra. 8.6 Holiday benefits may not be carried over from one (1) calendar year to the next. 38 25B-78 ARTICLE' IX 9.0 VACATION 9.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of this Article. 9.2 Regular Vacation Period. A. Regular vacation with pay is granted to each fall-time permanent or probationary employee, at the rate of fifteen (15) working days for each completed year of service, accrued at the rate of ten (10) working hours for each completed month of service. Employees hired after August 9, 1979, shall be granted regular vacation at the rate of ten (10) working days for each of his or her first and second completed year of service, accrued at the rate of six and two-thirds (6 2/3) hours for each completed month of service. Thereafter, all such employees shall be granted regular vacation at the rate of fifteen (15) working days for each completed year of service accrued at the rate of ten (10) working hours for each completed month of service. B. An employee who has completed less than one year's service during the calendar year shall receive a proportionate fraction in accordance with the amount of service to his or her credit during the year; provided, however, no employee shall be entitled to, or receive payment for, any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (I") day of the month following completion of six (6) months of continuous full-time service, an employee may be allowed to take all or a proportionate fraction of his or her earned vacation, subject to scheduling approval of the employee's supervisor. D, Vacation time off may be taken in increments as small as one-half (I/2) hour, with fractional usage rounded upward to the next higher multiple of one-half (1/2). E. Upon completion of two (2) years of continuous service, each employee must take at least five (5) consecutive working days of vacation each year thereafter. F. Computation of Regular Vacation. 1. In computing regular vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of regular vacation shall be allowed to the employee unless departmental practice provides some other 39 25B-79 manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approval of the Department Head, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. No employee may carry over from one (1) calendar year to the next, more than the equivalent of two (2) regular vacation periods from the previous two (2) years, and vacation not taken beyond that amount is forfeited. A regular vacation period is defined as the maximum amount of vacation earned in a calendar year as provided in Subsection A above. 3. No employee shall have a right to accumulate or split his or her vacations, but the same may be allowed or required by the Department Head. The time at which an employee shall take his or her vacation shall be determined by the Department Head, with due regard for the wishes of the employee and particular regard for the needs of the service. 9.3 Longevity Vacation. A. All current and re-employed employees eligible to receive longevity vacation as of the date of council approval of this agreement shall retain rights to both the existing longevity vacation accrual and cash-oaf programs. Employees employed as of the date of council approval of this agreement who are not yet eligible to received longevity vacation shall retain rights to the existing longevity vacation accrual program only. They will not obtain any rights to the longevity cash-out program. Any employee hired after the date of council approval of this agreement shall not be eligible for either the longevity vacation accrual or cash-out programs. B. Each permanent employee is granted additional work days of vacation leave with pay for each completed year of full-time, continuous city service as set forth in the following table. This additional vacation shall be designated longevity vacation. Hourly Equivalent Completed Years Additional Days of Additional Days 6 1/2 4 7 l 8 8 1 1/2 12 9 2 16 10 21/2 20 11 3 24 12 3 1/2 28 13 4 32 14 41/2 36 40 25B-80 15 5 40 16 6 48 17 7 56 18 8 64 19 9 72 20 10 80 C. No employee becomes eligible for longevity vacation until completion of the sixth (6t) year of continuous service, and each employee continues to earn the maximum of ten (10) working days (80 hours) of longevity vacation for each completed year of service in excess of twenty (20) years. D. A period of earlier service does not apply toward longevity vacation accumulation when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-114 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year. Leave of absence without pay, as provided in Article X, Section 10.1E (Sick Leave - Extended), Article X, Section 10.8 (Authorized Absence Without Pay - Long Term) and Article XXIII, Section 23.3 (Catastrophic Leave) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of longevity vacation. Absence on military leave followed by reinstatement, as provided in Section 9-143 of the Civil Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of longevity vacation. E. Employees covered by this agreement are permitted to cash-out up to sixty (60) hours of their current year's allocation of longevity vacation accrual on a straight time basis. F. Those employees who are eligible to receive longevity vacation leave shall defer for the duration of fiscal years 2011-12 and 2012-2013 an employee's ability to cash out longevity vacation time. Stich deferral shall not affect a qualified employee's ability to be compensated for all accumulated leave upon termination of employment with the City. The ability to cash out longevity vacation time shall be reinstated on July 1, 2013. G. For the period Judy 1, 2013 through June 30, 2016, qualified employees covered by this Agreement shall be given an option once per fiscal year, to receive cash compensation computed on a straight time basis in lieu of up to a total of one- hundred (100) hours of their longevity vacation leave benefits. H. Effective July 1, 2016, the maximum permitted yearly cash-out of longevity vacation shall revert back to sixty (60) hours per fiscal year. 41 25B-81 9.4 Limitation on Vacation. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take any vacation leave with pay in excess of fifty (50) working days (400 hours) in any one year by any combination of the vacations granted in these rules and regulations. Further, no employee may carry over from one (1) calendar year to the next more than the equivalent of one (1) longevity vacation period and the equivalent of one (1) regular vacation period from the previous two (2) years and vacation not taken beyond that amount is forfeited. Therefore, the maximum vacation that an employee with less than six (6) years service could accumulate is thirty (30) working days (240 hours) and only an employee with more than twenty (20) years service could carry over and take the authorized maximum of fifty (50) working days (400 hours) in any one year. 9.5 Excess Usage. If vacation time off is used in excess of that available, such excess vacation time off will, first, be deducted from any available compensatory time off accrual; finally, deducted from the next scheduled salary payment. 9.6 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service time for regular and longevity vacation accrual purposes. 42 25B-82 ARTICLE X 10.0 OTHER LEAVES OF ABSENCE 10.1 Sick Leave. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence fiom duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, one (1), eight (8) hour working day of sick leave for each full calendar month of service in which he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. C. Authorized Only When Necessary. Use of sick leave by City employees shall be authorized as follows: 1. Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. 2. When an accepted industrial illness or injury has caused an employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave will be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days re-credited to his or her account, if the employee remains off work longer than 14 days. Paid sick leave will continue until the fourth (01) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, the City will deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost of sick 43 25B-83 leave from such terminated employee's final paycheck, to the extent possible. Commencing with Council approval of this Agreement, the City may authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. The maximum total accumulation of sick leave with pay shall be two hundred (200), eight (8) hour working days. Sick leave usage of less than a full day shall be charged in minimum increments of one-half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one-half (1/2). E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accred sick leave if the City physician or a licensed physician designated by the City Manager indicates that the employee will be sufficiently recovered to return to his or her employment withhr a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from one of the above mentioned physicians stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. P. Extension by Use of Accred Compensatory Time Off and/or Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to use, first, any unused compensatory time off benefits, then, any unused vacation leave benefits he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) hours after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, the employee must present to his or her Department Head a physician's certificate stating the cause of illness and that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the Executive Director of Personnel Services with the report of the employee's return to work. Upon prior written notice given to an employee a physician's certificate or other satisfactory written evidence of actual illness or injury may be required after any 44 25B-84 future absence of any duration less than three (3) days. Such written notice shall be approved by the Department Head or designee and the stated reason therefore. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. 1. Excess Usage. If sick leave is used in excess of that due and available an employee, such excess sick leave will, first, be deducted from any available compensatory time off benefit; second, from any available vacation leave benefit; finally, deducted from the next scheduled salary payment. Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non-cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this section, "child" means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; "parent" means a biological, foster, adoptive parent, a stepparent, or a legal guardian; and "immediate family" means any member of the employee's household related by blood or marriage; a parent, parent-in-law, spouse, child, brother, sister, grandparent, or grandchild of the employee, regardless of residence; any other relative of the employee by blood or marriage, where it can be established by the employee that the employee's presence is required to handle emergency arrangements and/or other matters. Up to three (3) days of this personal necessity leave may be used: a) to attend to a serious accident to members of the employee's immediate family; b) childbirth; c) to cope with imminent danger to the employee's family, home, or other valuable property; d) when the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty; or e) attend to medical or dental appointments for members of the employee's household. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. Except in cases of disability retirement, upon non-disciplinary termination of employment after ten (10) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for one- third (1/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum 45 25B-85 limit of filly-three and one-third (53.33) eight (8) hour working days, at the rate of pay effective on the date of such termination. For employees who have at least ten (10) years of service with the City prior to October 1, 2010, the maximum sick leave cash-out after ten (10) years of service shall be equal to 427 hours (53.33 x 8). Thereafter, for employees with less than ten (10) years of service as of September 30, 2010, the maximum sick leave cash-out after ten (10) years of service shall be equal to 325 hours (40.625 x 8). At the employee's election, payment of unused sick leave may be received in either a lump sum of money, or in equal monthly payments for a period of up to five (5) years. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of one-third (1/3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of death. 2. At his or her option, an employee may convert any lump sum payment provided herein into health insurance premiums, to the extent necessary to provide the employee and his or her designated eligible dependents, if any, with benefits under the health insurance program maintained by the City. The City's obligation to pay such premium shall terminate upon the happening of any of the following events: a. Premiums have been paid on behalf of the former employee until all monies are exhausted; or b. The sum of premiums paid equals one hundred fifty percent (150%) of the amount of the lump sum payment that the employee would have received for unused sick leave benefits had this option not been elected. C. Except in cases of disability retirement, upon non-disciplinary termination of employment after fifteen (15) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for two-thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination to be applied toward health insurance premiums only as specified in Section K (2) above excluding Subsections a and b. 46 25B-86 10.2 Bereavement Leave. A. An employee shall be granted up to three (3) working days leave without loss of pay in case of death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to; 1. Any member of the employee's household related by blood or marriage; 2. A parent, parent-in-law, stepparent, spouse, child, stepchild, brother, stepbrother, sister, stepsister, grandparent or grandchild of the employee, regardless of residence; 3. Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and/or matters of estate. B. An employee may use up to sixteen (16) hours of additional leave charged to their Personal Necessity Leave balance when authorized by the Department Head. 10.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Personnel Services satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided in Section 143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, will be granted leave with pay not to exceed thirty (30) calendar days in each calendar year after one (1) year's service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 10.4 Jury and Witness Leave. When an on-duty employee is called to serve as a juror or non- party witness in any court action, lie or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on-duty employee called for such service shall present to his or her Department Head for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 10.5 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana 47 25B-87 will be granted leave with pay for the time actually required without loss of any accrued vacation time off benefits. 10.6 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Absence front duty without leave for five (5) consecutive working days shall be deemed a resignation from the service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Department Head regarding the cause of his or her absence, the Department Head may restore him or her to his or her position, with the City Manager's approval. 10.7 Authorized Absence Without Pay - Short Term. Absence without pay not to exceed five (5) consecutive working days may be authorized by the Department Head. Absence without pay not to exceed fifteen een (15) calendar days may be authorized by the Department Head with the approval of the City Manager. Such an absence may be authorized only if in the judgment of the Department Head it serves the best interest of the City. 10.8 Authorized Absence Without Pay - Long Term. Upon receipt of a written request frem an employee having permanent status, plus action by the Department Head recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Department Head and the Executive Director of Personnel Services of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Department Head will take steps necessary to restore the employee to his or her former position, In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. 10.9 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or site is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation and seniority. 10.10 Pregnancy Disability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery therefrom. Such reasonable leave of absence shall not exceed four (4) months. However, an employee may be granted tip to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six (6) months in which to recover from the disability if substantiated by a physician's certificate. 48 25B-88 Employees may take an unpaid leave of absence daring pregnancy disability consistent with the law. As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks) before the date site will take the leave and the estimated duration of the leave. Health and welfare insurance coverage will be continued only if the employee pays a cash premium to continue coverage while on a leave of absence without pay or is covered under the Family Medical Leave Act (FMLA) or California Family Rights Act (CFRA) provisions. 49 25B-89 ARTICLE XI 11.0 EMPLOYEE INSURANCE 11.1 Health Insurance. The City shall contribute the following amounts toward the payment of premiums for affected employees and their dependents under the existing health insurance programs or new program or programs providing substantially similar or improved coverage and benefits selected in accordance with procedures in effect on the effective date of this Agreement: A. For each such employee who is covered under a spouse's non-City sponsored health plan, the City will pay the employee a cash payment each month in an amount equal to 50% of the monthly premium amount for the City's lowest "employee-only" coverage, if said employee waives, in writing, City-paid coverage. E. Effective January 1, 2008, January 1, 2009, and January 1, 2010, respectively, the City shall contribute toward medical premiums an amount consistent with the rates then in effect for each tier of the CalPERS Kaiser Pernianente HMO Other Southern California plan. C. Effective January 1, 2011 the City shall contribute toward medical premiums an amount consistent with the rates then in effect for each tier of the lowest priced available CaIPERS approved HMO medical plan for the Other Southern California Region plan. Additionally, employees hired after January 1, 2012 shall also reimburse the City for the purchase of medical insurance through the City through a payroll deduction in an amount equal to the lesser of ten percent (10%) of the value of the rates then in effect for each tier of the lowest priced available Ca1PERS approved HMO medical plan for the Other Southern California Region plan, or $50 per month. E. Any contribution necessary to maintain benefits under said medical plans in excess of the amount set forth above shall be borne entirely by the employee. 11.2 Dental Insurance. Effective January 1, 2007, the City contribution amount will be increased to a maximum of up to ninety ($90) dollars per month per employee. This contribution amount of ninety ($90) dollars per month per employee shall remain in effect during the term of the Agreement, which expires June 30, 2013. Any contribution necessary to maintain benefits under said dental plans in excess of the amount set forth above shall be borne entirely by the employee. 11.3 Long-Term Disability(L.T.D.) Insurance. Effective January 1, 2002, for the term of this Agreement, the City shall contribute tip to a maximum of ten dollars and thirty-nine cents ($10.39) per month to employees enrolled in the 130 day elimination period LTD plan. 50 25B-90 For employees who elect to upgrade their LTD benefit coverage to a 60 day elimination period plan, the City will contribute tip to eleven dollars ($11.00) per month. Any amount necessary to maintain benefits under the long term disability insurance plans provided by the City in excess of the amounts set forth above shall be borne by the employee. 11.4 Life Insurance. The City shall maintain in effect for the term of this Agreement its existing life plans covering employees covered by this Agreement on the same basis as its plans are offered to the employees as of June 30, 1998, including tern life insurance coverage for each affected employee in the amount of twenty thousand dollars ($20,000) plus twenty thousand dollars ($20,000) Accidental Death and Dismemberment (AD&D) coverage at no cost to the employee. 11.5 When there is a need to discuss matters relating to employee insurance and the City believes it would be beneficial to involve an Insurance Committee, the Union shall have an equal number of representatives as the City on such a committee to meet as necessary. 11.6 Medical Retirement Subsidy Plan. A. Based on the first payroll period in October, 2001 slid no later than October 31st each year thereafter for the term of this Agreement, the City shall contribute to a find an amount of money equal to one-half of one percent (.50/6) of the bargaining unit's salary base for the purpose of providing a retiree health insurance subsidy plan. Eligibility for and the specific payments made to members of the bargaining unit pursuant to this plan shall be designated at the sole discretion of SEN. The plan shall be administered by the City, at no cost to the Union or its members pursuant to the written directives of SEN. The funds contributed by the City will be maintained in such a manner as to insure that the funds are invested in a reasonably secure plan that bears a reasonable rate of interest/growth given current financial markets. For purposes of this Agreement, investments made pursuant to the then current Statement of Investment Policy for the City of Santa Ana, shall be deemed to meet the requirements of this section. This program is for medical insurance premium reduction only and will be implemented by February 1, 2002 for an employee retiring after July 1, 2001. If an employee retires between July 1, 2001 and February 1, 2002, he or she will be eligible to participate in said plan; however, in no event, will he or she be eligible to utilize this program until February 1, 2002. Additionally, in no event shall said employee(s) be eligible for retroactive medical premium reduction assistance prior to February 1, 2002. B. Effective July 1, 2004, July 1, 2005, and July 1, 2006, respectively, the City's contribution toward the Medical Retirement Subsidy Plan shall increase by 0.1% each year under the conditions specified in Section 11.6 A above. C. Effective October 1, 2007, the City's contribution toward the Medical Retirement Subsidy Plan shall increase by 0.2% under the conditions specified in Section 51 25B-91 11.6 A above. With this contribution amount, the City's contribution toward the SEIU Medical Retirement Subsidy Plan shall equal 1.0% of the bargaining unit's salary base (including assignment pays). D. Effective October 1, 2008, the City's contribution toward the Medical Retirement Subsidy Plan shall increase by 0.41/o tinder the conditions specified in Section 11.6 A above. With this contribution amount, the City's contribution toward the SEW Medical Retirement Subsidy Plan shall equal 1.40% of the bargaining unit's salary base (including assignment pays). E. Effective October 1, 2009, the City's contribution toward the Medical Retirement Subsidy Plan shall increase by 0.35% under the conditions specified in Section 11.6 A above. With this final contribution amount, the City's contribution toward the SEIU Medical Retirement Subsidy Plan shall equal 1,75% of the bargaining unit's salary base (including assignment pays). F. For fiscal years 2010-11, 2011-12, and 2012-13, the City's annual contribution toward the Medical Retirement Subsidy Plan shall be decreased from 1.75% to 1.0%. Effective fiscal year 2013-14, the City's annual contribution shall revert to 1.75%. 11.7 Vision Plan. The City shall offer a non-contributory vision plan through payroll deduction for employees wishing to participate in such a plan. 52 25B-92 ARTICLE XII 12.0 RETIREMENT 12.1 General. The terms of the existing contract between the City and California Public Employees' Retirement System (CaIPERS) governing the City retirement benefits for affected employees are incorporated by reference herein. The City shall continue to make contributions to Ca1PERS in accordance with its contract with CalPERS for affected employees covered by said contact as amended. 12.2 Deferred Retirement. The City will continue to make payment to CalPERS on behalf of each affected employee, in an amount necessary to pay one hundred percent (100%) of his or her individual retirement contribution which is equal to seven percent (7%) and will increase to eight percent (81/1o), effective January 1, 2009. Such payments shall be credited to the individual employee's CalPERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this Agreement shall be changed or deemed to have been changed by reason thereof. As a result, the City will not teat these payments as ordinary income and, thus will not withhold Federal or State income tax from said payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each said employee shall forthwith be increased by fourteen (14) salary rate ranges (7%), or sixteen (16) salary rate ranges (8%), after January 1, 2009. For the purpose of reporting an employee's compensation to CalPERS, the City shall include these payments as if they were a part of the employee's base salary. 12.3 2% at 55 Retirement Benefit. Effective July 1, 1997, the City agreed to pay 2.266% of the cost of providing CaIPERS 2% at 55 retirement benefit to employees of this unit. Employees agreed to pay one percent (1%) of the total cost of 3.2660/6 for the 2% at 55 retirement benefit by authorizing a one percent (1 %) deduction from their salary (two (2) salary rate ranges) effective July 1, 1997. Effective November 1, 2001, this one percent (1%) deduction is eliminated. 12.4 Credit for Unused Sick Leave. Effective January 1, 2002, or as soon as practicable thereafter, an employee covered by this Agreement, can have unused accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each day of unused sick leave (i.e., 200 days of sick leave equals .80 additional year's of service credit). The City must report only those days of unused sick leave that were accrued by the employee during the normal course of 53 25B-93 employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. 12.5 Military Service Credit as Public Service. Effective January 1, 2002, or as soon as practicable thereafter, an employee covered by this Agreement may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 12.6 2.7% at 55 Service Retirement Benefit for Miscellaneous Members. Effective January 1, 2009, the City agrees to amend its retirement contract with CalPERS to provide Miscellaneous employees covered by this agreement with the 2.7% at 55 Service Retirement benefit. Pursuant to CalPERS regulations, this new formula will apply to employees that are in active status on the date this amendment takes effect. This new formula will apply to each year of eligible service credited with the City of Santa Ana. Payment toward the 2.7% at 55 Service Retirement Benefit. Miscellaneous employees covered by this Agreement agree to pay 8.0% of Ca1PERS reportable compensation toward the cost of the 2.7% at 55 enhanced retirement formula as set forth in Article 1V, Section 43A. Pre-Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 54 25B-94 ARTICLE XIII 13.0 TOOL REIMBURSEMENT POLICY 13.1 Employees classified as Fleet Equipment Technician I, 11, or III, or Fleet Equipment Supervisor shall continue to provide such tools as are ordinarily used in the trade which shall be the personal tools of the mechanic. The City will continue with one (1) or more vendors an account(s) for said employees who have at least one (1) year of service in such classifications, Such employees shall be allowed up to $900 per fiscal year with such vendor(s) in order to purchase tools which, in the sole determination of the Fleet Services Manager, are necessary for the performance of such employee's job duties. The City's policy and procedure for the replacement of stolen tools shall be the same as it existed prior to the effective date of this Agreement. The City shall bear no liability or responsibility for such tools except as provided in this Section. 55 25B-95 ARTICLE XIV 14.0 UNIFORM MAINTENANCE 14.1 All employees who are required by the City to wear a uniform while on duty shall continue to be provided seven (7) sets of clean uniforms every two (2) weeks at no cost to the employees. All field/yard maintenance, custodial and equipment repair employees shall be provided eleven (11) clean sets every two (2) weeks at no cost to the employee. All Police Records Personnel and the Senior Office Assistants assigned to the traffic window shall be provided three (3) sets of uniforms made of Dacron and one (1) wool sweater. The Union agrees that any such employee who wishes to be provided with one (1) or more additional clean sets per week above the amounts specified above will be required to pay the extra cost incurred for such additional set(s). 56 25B-96 ARTICLE XV 15.0 SAFETY 15.1 General. The City and the employees of the City agree to comply with all applicable Federal, State and local laws, and the City of Santa Ana regulations, which relate to health and safety. 15,2 Central Safety Committee. The Union may designate two (2) representatives and two (2) alternates to serve on the City's Central Safety Committee. 15.3 Safety Shoes. A. The City agrees to pay up to two hundred dollars ($200) per fiscal year per affected employee, for the purchase and/or repair of approved safety shoes/boots. The option of purchase and/or repair shall be at the sole discretion of the employee. B. All safety shoes/boots purchased under this program must have steel reinforced toes and insteps and bear the official stamp of approval from the American National Standards Institute (ANSI), z-41. C. If a particular classification of employment is designated as requiring its incumbents to wear safety shoes, then it will be mandatory for all incumbents of that classification to wear the type of safety shoes (boot or low-quarter) deemed to be appropriate by the Department Head. (Some exemptions may be allowed, on a case-by-case basis, depending on the type and amount of exposure to hazard in particular positions and subject to the approval or disapproval of the City's Safety Officer.) D. The procedure necessary to be followed for the implementation and operation of this program shall be in accordance with the existing policies and procedures as previously established by the City. 57 25B-97 ARTICLE XVI 16.0 RESIDENCY 16.1 Employees covered by this Agreement are permitted to reside outside the limits of Santa Ana so long as such residency is not an unreasonable distance from, nor requires an unreasonable response time to, the particular employee's place of employment. It shall not be deemed an unreasonable distance within the meaning of this section if the employee resides within the area of a circle drawn with the City Hall of the City of Santa Ana as the center and the radius of which extends to the southern most point of the County of Orange, or if the employee otherwise resides within twenty-five (25) miles of regularly scheduled Metrolink, bus, or other common carrier transportation service to Orange County. A. Any employee desiring to take advantage of the opportunity to reside outside of the area stated within this section shall first request permission to do so from the Department Head. Said request shall be granted by the Department Head if he or she determines the intended residence is not an unreasonable distance from and/or does not require an unreasonable response time to the employee's place of employment. B. If the Department Head refuses the said request, the employee shall have a right to appeal said determination to the City Manager. 58 25B-98 AR'T'ICLE XV11 17.0 GRIEVANCE REVIEW PROCEDURE 17.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or the Union concerning the interpretation or application of specific provisions of this Agreement, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Set-vice Rules and Regulations. 17.2 Informal Process - First Step. A. An employee and/or his or her designated representative must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of fifteen (15) working days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within fifteen (15) working days, a mutually acceptable solution has not been reached at the informal level, the employee and/or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to the employee's Department Head. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within fifteen (15) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be bat-red and waived. D. Any resolution of the grievance at the informal stage by any person other than a middle manager or above shall not become precedence or be used to establish past practice regarding implementation, interpretation, or application of this Agreement. 17.3 Formal Process. A. Second Step. The Department Head or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) working days after the grievance has been submitted to the Department Head. The Department Head, or his or her designated representative, 59 25B-99 shall review the grievance and may affirm, reverse or modify the disposition made at the First Step and shall deliver his or her answer to the employee and/or the employee's designated representative within ten (10) working days after said meeting. B. Third Step. If the grievance is not satisfactorily resolved at the Second Step, the employee and/or the employee's representative may submit the grievance in writing to the City Manager or his or her designated representative within thirty (30) days of being informed of the disposition made at the Second Step. Failure of the grievant and/or his or her, designated representative to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on the basis of the disposition made at the Second Step. The City Manager or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) working days after submission of the grievance, The City Manager, or his or her designated representative, after careful review, may affirm, reverse, or modify the disposition made at the Second Step and his or her decision, which shall be final and binding, shall be delivered in writing, to the employee and/or the employee's designated representative within fifteen (15) working days after said meeting. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his or her, representative's written decision, shall be filed in the personnel records of the department and the grievant's personnel jacket maintained in the City Personnel Services Department. 17.4 Reservation of Rights. After, the procedure set forth in this Article has been exhausted, the grievant, the Union, and the City shall have all rights and remedies to pursue said grievance under the law. 60 25B-100 ARTICLE XVIII 18.0 UNION RIGHTS 18.1 Release Time for Union Grievance Representatives. The Union shall have the light to appoint/elect a reasonable number of representatives who are recognized by the City as officers or work site leaders/stewards. A. Such reasonable number of work site leaders/stewards recognized by the City shall be limited to sixteen (16). B. The City's Employee Relations Manager shall be provided with a list of names and classification titles of the Union's officers as set forth in the Santa Ana City Employees, Chapter 1939/Service Employees International Union Local 721 Bylaws, as well as the names and classification titles of all work site leaders/stewards and other Union representatives. The Union agrees to inform the City in writing of any changes in said list within ten (10) calendar days. C. During the term of this Agreement, the City agrees to grant up to a total of two hundred (200) hours per fiscal year on a non-cumulative basis to enable the officers and worksite leaders/stewards to assist other bargaining unit employees in processing grievances under the Grievance Review Procedure; provided, however, that such officers and worksite leaders/stewards shall make advance arrangement with their supervisors prior to absenting themselves for such purpose. The officers and worksite leaders/stewards shall be required by the City to record and report to their supervisors the work time spent in assisting other bargaining unit employees pursuant to this provision of the Agreement. D. Union Business Leave Time. In addition to the two hundred (200) hours per fiscal year provided by the City on a non-cumulative basis, officers and worksite leaders/stewards shall be granted an additional three hundred (300) hours per fiscal year on a non-cumulative basis paid by the Union from the bank of hours or directly by the Union. The purpose of this additional three hundred (300) ]yours per fiscal year shall be to enable the officers and worksite leaders/stewards to assist the bargaining unit employees in processing grievances under the Grievance Review Procedure and for union activities which may include conventions, seminars and meetings. However, such officers and worksite leaders/stewards shall make advance arrangements with their supervisors prior to absenting themselves for such purposes. The officers and worksite leaders/stewards shall be required by the City to record and report to their supervisors on the work time spent on Union business. Time spent by the Union President, officers or worksite leaders/stewards on President's leave and/or Union Business leave time, under this MOT J, shall not be considered time worked for computation of overtime according to the Fair Labor Standards Act, 61 25B-101 E. President's Leave Time. During the term of this Agreement, the City agrees to grant the Union President twenty (20) hours per week paid time off which shall be charged against a Union Leave Bank and subject to the following terms and conditions: The Union President will conduct any Union business performed during the twenty (20) hours per week off the worksite. However, the President may conduct Union business on worksites pursuant to Article XVJIL Section 182, Worksite Access provision of the MOU. 2. The Department Director of the Union President may approve additional time off for the Union President for Union seminars and other business on a prescheduled basis. Such additional time off shall be paid for by the Union or from the President's vacation or compensatory time bank. 3. The Department Director of the Union President will schedule the Union President to be offsite for four (4) hours each day to conduct Union business, upon request of the Union. The Department Director shall schedule the Union President to be onsite working on City business four (4) horns each day five (5) days a week. The Department Director may change the schedule of the Union President upon reasonable notice to the Union President. 4. During the period of time the Union President is performing City work, he or she shall receive no phone calls or visitors. Persons who call or wish to see the Union President during his or her work time shall be referred to the Union's offsite headquarters. 5. Time paid for conducting Union business shall not count towards the computation of overtime, 6, The Union shall reimburse the City for 100% of the salary, including any premium payments and benefit costs for the President's leave time. Such reimbursement may be from the bank established pursuant to this Agreement or directly from the Union. 7. The Union agrees to pay for Union Leave and President's Leave within thirty (30) days of receiving the bill from the City. The bill will be sent on a monthly basis. If the bill is not paid within thirty (30) days, the City shall deduct such amount from the Union dues collected from the employees on behalf of the Union. In the event a portion of the bill is rightfully contested, the City shall only deduct the non-contested portion fiom employee's dues. Any issues related to the bill must be brought to the attention of the Executive Director of Personnel Services within fifteen (15) days of its receipt and must be resolved within fifteen (15) remaining 62 25B-102 days so that the bills are paid in a timely manner as stated (within thirty (30) days of its receipt). 8. The Union shall provide an insurance policy or policies, or certificate of such insurance, naming the City of Santa Ana, its officers and employees as insured or additional insured which provides coverage against liability for any and all claims and/or suits for damages or injuries to persons or property resulting from or arising out of any act or omission of said Union representative. Said policy or policies of insurance shall provide coverage for both bodily injury and property damage not less than the following minimum amounts: One million dollars ($1,000,000) combined single limit or its equivalent. Said policy or policies shall also contain a provision that no termination, cancellation or change of coverage of insured or additional insured shall be effective until thirty (30) days notice thereof has been given in writing to the City of Santa Ana. 9. The Union shall provide the City of Santa Ana with an insurance carrier certifying that it carries primary workers' compensation insurance on behalf of said Union representative and the policy shall not be canceled nor coverage reduced except upon ten (10) working days prior notice to the City of Santa Ana. 10. The Union shall indemnify and save harmless the City of Santa Ana, its officers and employees from and against any and all damage to property or injuries to or death of any person or persons, including property and employees or agents to the City of Santa Ana. The Union shall defend, indemnify, and save harmless the City of Santa Ana, its officers and employees from any kind and all claims to demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitations, workers' compensation claims, resulting from or arising out of the negligent acts, errors, or omissions, arising out of the intentional or malicious acts of the Union's representatives. 11. The Union and the City of Santa Ana agree that the Union President will not be required to carry out any City duties during the time the Union President is on President's leave twenty (20) hours per week. The Union President will be required to comply with the rules and regulations of the City of Santa Ana as they apply to off-duty employees, except such Union President will not be required to report for any purpose during the four (4) hours per day or twenty (20) hours per week of Union President's leave time. 12. Upon return to duty from President's Leave of four (4) hours per day, the Union President shall be restored to the same position without loss of any benefits as he or she would have occupied or accrued if there had been no disruption in duty status. For the purpose of providing payment for Union 63 25B-103 President's Leave time and for Union Business Leave time the City and the Union agree to the creation of the following compensation time bank: a. Any member of the Union who has a compensatory time balance, vacation time or accrued in lieu holiday balance of at least two (2) hours or more can voluntarily designate, in writing, that he or she will contribute the value of such time to a bank to be used to pay for President's Leave time and/or Union Business Leave time. In addition, floating holiday pay may also be contributed, but only in increments of eight (8) hours. Such bank shall be for the purposes and subject to the restrictions provided herein. b. The employees' vacation leave, compensatory time and/or accrued or unused holiday pay balance will then be reduced by the amount of hours transferred to the bank. C. Vacation leave time, compensatory time and/or accrued floating or in lieu holiday time, together with the cost of benefits shall be converted to its dollar value at the rate of pay of the employee from whom the leave was received. Those dollars (with benefit cost) shall be placed in the Union Business Leave Bank. When the Union Business Leave Bank is used in accordance with President's Leave and Union Business Leave, dollars will be withdrawn from such Union Business Leave Bank, equal to the hourly rate (with benefit cost) of the employee utilizing the leave multiplied by the number of hours of leave taken. Withdrawal requests from the bank will be for the purpose of conducting Union business, which may include grievance investigation, executive meetings, board of director meetings, training and conventions sponsored by the Union, attendance at grievances and Personnel Board hearings as witness for the Union, President's Leave and other Union purposes as may be determined by the President of the Union. Request for withdrawal from the Bank shall be made only by the President or designee to the Executive Director of Personnel Services on forms mutually agreed to by the parties and furnished by the City. The Union President's Leave or Union Business Leave slip shall be presented to the Executive Director of Personnel Services by the Union for withdrawal from the bank. All vacation leave, compensatory time and accrued floating or in lieu holidays transferred to the bank are final transfers and shall not be recoverable for re-credit to any individual employee's vacation leave account, compensatory time account, or accrued holiday time account. Release of employees for Union Business Leave shall he on the same basis as employees are released from duty for vacation leave, 64 25B-104 except that such requests for leave shall not unreasonably interfere with the operation of the City department and shall be approved by the employee's Department Head. The employee taking Union Business Leave shall not unreasonably interfere with the operation of the City department and shall be approved by the employee's Department Head. The Department Head shall not unreasonably withhold permission to utilize President's Leave time and/or Union Business Leave from any employee who has been duly authorized by the Union to take such leave. No withdrawal from or use of such bank may be made by or on behalf of an employee ordered to take time off without pay for disciplinary reasons. No withdrawal or use of such bank may be made by or on behalf of any employee to be used for purposes that are unlawful under the laws of the United States, State of California or the ordinances of the City of Santa Ana. The Union President shall have up to twenty (20) hours per week or one thousand forty (1,040) hours per year of time off to conduct Union business which shall be paid by the City, but reimbursed to the City by the Union from either the above described bank or directly from the Union treasury. In any event, the Union agrees to reimburse the City for all costs not otherwise reimbursed from the bank providing the Union President with President's leave of absence. Time spent by the Union President on President's Leave time shall not be considered time worked for the computation of overtime according to the Fair Labor Standards Act. 18.2 Worksite Access. A. Officers, worksite leaders/stewards and/or paid Union representatives shall be permitted to visit break and lunch areas designated by the City, before or after work or during designated lunch periods for the purpose of discussing Union business, provided that arrangements are made in advance with the manager responsible for the worksite. B. Such visits shall not disrupt the work of City employees, interfere with the normal operations of the department or with established safety and security requirements. Where any such problems arise, the Union and the City will agree on an alternate meeting/conference facility for the purpose of providing a place for the Union to hold a meeting before or after work or during lunch periods. If the City facility provided the Union as an alternate meeting site during non-working hours is a public meeting room, its scheduling and use shall be governed in accordance with regulations pertaining to the use of public meeting rooms at City facilities. 65 25B-105 C. Solicitations of membership and all activities concerned with the internal management of the Union, such as collecting dues, holding membership meetings, preparation of petitions, preparation of proposals, campaigning for office, conducting elections and distributing literature, shall not be conducted during working hours. D. Officers and employees may perform those duties assigned to them by the Union, but in no event shall they have the right to interfere with the performance of work of any other employee or interfere with City operations or to call a strike, slowdown, work stoppage, sympathy strike or lake any economic action against the City. 18.3 Release Time for Employee Representatives. A. In the event that the Union is formally meeting and conferring with representatives of the City on matters within the scope of representation during regular City business hours, a reasonable number of officers, employee representatives or other officials of the Union shall be allowed reasonable time off without loss of compensation or other benefits. B. Such officers and employee representatives shall not leave their duty or work station or assignment without the prior knowledge of their supervisor or such supervisor's supervisor. C. Such meetings are subject to scheduling in a manner consistent with City operating needs and work schedules. 18.4 Use of Bulletin. Boards. Space shall be made available to the Union on the City's existing employee bulletin boards for the purpose of posting notices pertaining to Union business, subject to the following conditions: A. Material posted by the Union shall not include campaign material on municipal election matters, including elections for City Council, other City positions, or other municipal political matters. B. Material posted is not derogatory to the City, City employees or other employee organizations. C. All materials are dated, identify the Union and bear the signature of the authorized representative(s) of the Union responsible for their issuance. D. The City reserves the right to determine what reasonable portion of employee bulletin boards are to be allocated to Union materials. 66 25B-106 E. If the Union does not abide by these provisions, it will forfeit its right to have materials posted on the City's employee bulletin boards. F. The Union shall not be permitted to post any material that is prohibited by State law or the City Charter. 18.5 Use of City Facilities. The City shall allow the Union to conduct meetings in the City's public meeting rooms during non-working hours provided such meetings are scheduled in accordance with regulations governing the use of public meeting rooms at City facilities; provided, however, the Union shall not be permitted to use City facilities to discuss or present any matter that is prohibited by State law or the City Charter. 67 25B-107 ARTICLE XIX 19.0 DUES DEDUCTION & INDEMNIFICATION 19.1 Dues Deduction. The City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by the Union, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to the Union within thirty (30) calendar days following their deduction. 19.2 Agency Shot). A. All employees represented by the Santa Ana City Employees, Chapterl939/Service Employees International Union Local 721, shall, as a condition of continuing employment become and remain members of the Union or shall pay to the Union a service fee in lieu thereof, Such service fee shall be one dollar ($1) per pay period less than Union dues if legally authorized, B. Any employee hired by the City subject to this Memorandum of Understanding shall be provided, through the Personnel Services Department, with an authorization form for the deduction of Union dues. Said employee shall have thirty (30) working days following the initial date of employment to fully execute the authorization form of his or her choice and return said form to the Agency/Department payroll section. The effective date of Union dues, service deductions or charitable contribution for such employees shall be the beginning of the first pay period of employment. C. Any employee of the City subject to this Memorandum of Understanding who wishes to execute a written declaration claiming a religious exemption from paying Union dues, and who is a member of a bona fide religion, body or sect which has historically held conscientious objections to joining or financially supporting a public employee organization and which is recognized as such by the Public Employer Relations Board, shall, upon presentation of verification of active membership in such religion, body or sect be permitted to make a charitable contribution equal to the service fee in lieu of Union membership or service fee payment. Declarations or applications for religious exemption and any supporting documentation shall be forwarded to the Union within fifteen (15) calendar days of receipt by the City. The Union shall have fifteen (15) calendar days after receipt of a request for religious exemption to challenge airy exemption granted by the City Manager or his or her designee. If challenged, the deduction to the charity of the employee's choice shall commence but shall be held in escrow pending resolution of the challenge. Charitable contributions shall be by regular payroll deduction only, For purposes of this section, charitable deduction 68 25B-108 means a contribution to one of three non-profit organizations, with the United Way being one of them. The Santa Ana City Employees, Chapter 1939/Service Employees International Union Local 721 shall indemnify and hold the City, its officers and employees, harmless from any and all claims, demands, suits, or any other action arising from the Agency Shop provisions herein. In no event shall the City be required to pay from its own funds, Union dues, service fee or charitable contributions, which the employee was obligated to pay, but failed to pay, regardless of the reasons. 69 25B-109 ARTICLE XX 20.0 CITY RIGHTS 20.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of management which have not been expressly abridged by specific provision of this Agreement or by law to manage the City, as such rights existed prior to the execution of this Agreement. The sole and exclusive rights of Management, as they are not abridged by this Agreement or by law, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or nonexistence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and/or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions, including but not limited to the right to contract for or subcontract any work or operation of the City. 1. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments, To relieve employees from duties for lack of work or similar non-disciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this Agreement. K. To establish and modify productivity and performance programs and standards. 70 25B-110 L. To discharge, suspend, demote, or othenvise discipline employees for proper cause in accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for non-disciplinary reasons in accordance with this Agreement. 0. To determine policies, procedures, and standards for selection, training and promotion of employees. P. To establish employee performance standards including but not limited to quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and/or modify rules and regulations to maintain order and safety in the City which are not in contravention with this Agreement. S. To take any and all necessary action to carry out the mission of the City in emergencies. 20.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Union regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this Agreement. 71 25B-111 ARTICLE XXI 21.0 STRIKES & WORK STOPPAGES 21,1 Prohibited Conduct. A. The Union, its officers, agents, representatives, and/or members agree that during the term of this Agreement, they will not cause or condone any unlawful strike, walkout, slowdown, sick-out, or any other unlawful job action by withholding or refusing to perform services. B. Any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the appointing authority without right of appeal to the Personnel Board in accordance with City Charter Section 1014. 21.2 Union Responsibility. In the event that the Union, its officers, agents, representatives, or members engage in any of the conduct prohibited in Section 1, Subsection A above of this Article, the Union shall immediately instruct any persons engaging in Stich conduct that their conduct is in violation of this Agreement and rmtawful, and they must immediately cease engaging in the conduct prohibited in said Section 1, Subsection A above, and return to work. 72 25B-112 ARTICLE XXII 22.0 LAYOFFS 22.1 If it is decided to contract out work currently being performed by employees of this bargaining unit and it is projected that no employee covered by this Agreement is to be laid off, receive a reduction in hours worked, or receive a loss in pay due to said contracting out, the City shall provide the Union reasonable notice of the decision to contract out, will meet with the Union upon the Union's request over the impact of the decision to contract out and will consider reasonable alternatives provided by the Union. 22.2 If the City determines to contemporaneously replace employees covered by this Agreement with contract workers to perform the same work under similar circumstances, it will expeditiously notify the Union of its intentions. Upon request by the Union the City will schedule meetings with the Union leadership to discuss this objective and give the Union the opportunity to present information before any final decision. The City and Union leadership agree to commence meeting when practicable for a period not to exceed forty-five days, unless mutually agreed to meet longer. At the end of the agreed upon time and if the parties have not achieved satisfactory resolution, the issues will be resolved according to the City's Employer-Employee Relations Resolution (Resolution No. 81-75). 22.3 Notwithstanding Section 22.1 and /or Section 22.2 hereof, if any bargaining unit member is laid off as a result of a decision by the City to contract out work, the City shall make a reasonable effort to cause the affected employee(s) to become employed by the company or entity with which the City contracted for the applicable services. 22.4 It is the hope of the City not to separate any employee(s) from employment because of a reduction in the work force or work week during the term of this Agreement. However, circumstances arising during this Agreement may require such separation(s). In that event, the City will provide reasonable notice to the Union of the details of the separation(s) in order to meet and exchange information, opinions and proposals regarding the consequence(s) of the separation(s) on the employee(s). This provision in not intended to be a waiver of any other rights the parties may have under this Agreement. 22.5 Tile principles of seniority (length of service) shall govern layoffs as described herein, except in the event that more than one employee has the same seniority date, in which case performance also shall be considered, Tire City's determination of performance shall not be arbitrary or capricious in nature. Any dispute over the application of the principles outlined in this Article XXII shall be subject to the grievance procedure. A. Classification seniority is defined as length of service in the classification, and shall begin on tine first date worked by the employee in that classification. Whenever a position within a classification is to be eliminated, resulting in the 73 25B-113 layoff of an employee, seniority shall govern the order of layoff. The employee with the lowest seniority in the affected classification shall be laid off first. B. In lieu of layoff, an employee may elect to work in a lower classification, in which he or she has served, providing that classification is within the same job family/career ladder. In that event, the employee's length of service in the next lower classification will be added to his or her length of service in the affected classification, and said combined seniority shall be used to bump down into the next lower classification. This method of combining seniority shall be applied to subsequent lower classifications. C. The reemployment list shall be valid for one year from the date of its establishment. Reemployment shall be in reverse order of layoffs. The Joint Labor Management Committee will determine Job Family/Career Ladder. 22.6 A bargaining unit employee who is laid off from fill time City employment pursuant to this Article, may be granted a temporary appointment to a vacant position in any classification for which there is no eligible list and for which said employee meets the minimum qualifications established for the classification and possesses the requisite knowledge, skills and abilities to satisfactorily perform the work of the classification. Such temporary appointment will be teiminaled upon the establishment of a new eligible list for the classification or one year following the initial day of such temporary appointment, whichever occurs first. 22.7 Effective upon Council approval of this agreement, the City agrees that there shall be no layoffs of members of this bargaining unit through December 31., 2011. 74 25B-114 ARTICLE XXIII 23.0 MISCELLANEOUS PROVISIONS 23.1 The City agrees to provide a list each month to the Union with names and classification titles of bargaining unit employees who have separated from full-time City service and the names and classification titles of bargaining unit employees who have been hired. The Union agrees to pay the City's cost of producing said list(s). After ratification of this Agreement by the City Council, a complete list of bargaining unit employees and their addresses will be provided to the Union once every fiscal year. 23.2 The City agrees to distribute Union membership pamphlets to bargaining unit employees at the new employee orientation sessions conducted by the City. 23.3 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non-industrial medical condition or injury, the City and Union agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this Agreement with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non-industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for the L.T.D. benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two-week period to submit donations. Donations received after this two-week period shall not be processed. The two-week period for each case shall be designated by the Department Head or his or her designee as provided herein below, All donations mast be made in two (2) hour increments and a maximum of eight (8) hours per donor, except in lieu holidays must be for eight (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, Subparagraph 2 below, will not be processed. 75 25B-115 5• All donations shall be irrevocable. 6. in the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and may be used pursuant to Article X, Sections IMA through lOAK. Donations shall be limited to employees of this bargaining unit or any other unrepresented unit. B. Eli ibg ility_. Regular, firll-time employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: When it is reasonably foreseeable that all accred time on the books, such as sick leave, compensatory time and vacation, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The employee's Department Head, or his or her designee, has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. Upon receipt of a valid request for donations from an eligible employee, the Department Head or his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: • His or her name, department name, and employee number. • The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above; • The name, department and employee number of the recipient; • A statement indicating that the donor understands such donation of time is irrevocable. 76 25B-116 3. At the close of the donation period, the department shall verify that each donating employee has accred vacation and/or compensatory time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Section A, herein. 5. The City shall add the donated time to the recipient's sick leave account. 23.4 Joint Labor Management Teams. The City and the Union agree to form Joint Labor Management-teams for the purpose of exploring issues of mutual concern. Each team shall be comprised of an equal number of labor and management employees and shall be chaired by the Employee Relations Manager. In no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. The City and the Union shall hold an initial meeting no sooner than one (1) month from the date of ratification of this Agreement and upon the Union's written request to meet to determine team composition, frequency of meetings and meeting schedules. A. The teams to be formed are: 1. Job Classification Studies (for purposes of identifying positions in which the duties and responsibilities have increased in complexity as a result of City restructuring/job consolidation occurring during the term of the expiring 2004-2010 MOU or during the term of the current 2010-2013 MOU to determine if positions or job families would be appropriate for job classification studies where previously existing positions have been eliminated and/or removed from the list of budgeted positions and higher- level job duties reassigned to or absorbed by other classified positions). For purposes of this section, classification reviews will be conducted pursuant to Article TV, Section 4.13 (A-E). 2. Web Page Hosting (for purposes of developing a City hosted web page presenting explanatory information regarding employee compensation, including illustrated explanation of employee payroll statements to assist mortgage servicers and other similar persons engaged in qualifying employees for loan modifications through either lender or governmental loan modification programs). B. Previously authorized teams to be reconvened as needed: Career Ladder/Job Family (for the purpose of developing career ladder/job family series to be used in promotions or in the event of layoffs). 77 25B-117 23.5 Performance Appraisals. Non-probationary performance appraisals not completed within six (6) months of the due date shall be stayed and the employee shall next become subject to evaluation upon the end of the evaluation period next following. Provided that merit advance performance appraisals shall be completed in accordance with Article IV, Section 4.8. 23.6 Reopener. If due to budget overruns or revenue shortfalls the City anticipates that it will be operating under a budget deficit in the fiscal year 2011-2012 or 2012-13, the union agrees that upon the request of the City made after March 1, 2011, the union will reopen this Agreement for negotiation on the subjects of modifying employee furloughs and employee CalPERS contributions. 78 25B-118 ARTICLE XXIV 24.0 SOLE & ENTIRE AGREEMENT 24.1 It is understood and agreed that the parties to this Memorandum of Understanding are subject to all current and future applicable Federal and California laws, the City of Santa Ana Charter and Municipal Code, as well as the City's Employer-Employee Relations Resolution (#81-75). It is the intent of the parties hereto that the provisions of this Agreement shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral or written, express or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This Agreement is not intended to conflict with Federal or State law or the City Charter. The City will continue to provide employees covered by this Agreement a reduced size copy of this Agreement and its attachments and including a section containing the Employer-Employee Relations Resolution of the City of Santa Ana. 24.2 Notwithstanding the foregoing, there exists within the City personnel rules and regulations and departmental rules and regulations. These rules and regulations shall be continued to the extent they do not contravene specific provisions of this Agreement. Such rules and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, and/or other terms and conditions of employment, the City shall meet and confer with the Union; provided, further, however, no provision of the rules and regulations shall be changed to contravene specific provisions of this Agreement. 79 25B-119 ARTICLE XXV 25.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT 25.1 During the term of this Agreement, the parties mutually agree that they will not seek to negotiate or bargain with regard to wages, hours and terms and conditions of employment, whether or not covered by the Agreement or in the negotiations leading thereto, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this Agreement. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this Agreement. 80 25B-120 ARTICLE XXVI 26.0 EMERGENCY WAIVER PROVISION 26A In the event of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this Agreement or the Personnel Rules or Resolutions of the City, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergency. After the emergency is declared over, this Agreement will be reinstated immediately. The Union shall have the right to meet and confer with the City regarding the impact on employees of the suspension of the provisions in the Agreement during the course of the emergency. 84 25B-121 ARTICLE XXVII 27.0 SEPARABILITY PROVISION 27.1 Should any provision of this Agreement be found to be inoperative, void, or invalid by a court of competent jurisdiction, all other provisions of this Agreement shall remain in frill force and effect for the duration of this Agreement, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. 82 25B-122 ARTICLE XXVIII 28.0 TERM OF AGREEMENT 28.1 The terns of this Agreement shall be from July 1, 2010 through June 30, 2013. 83 25B-123 ARTICLE XXIX 29.0 RATIFICATION & EXECUTION 29.1 The City and the Union have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Aua and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and the Union acknowledge that this Agreement shall not be in frill force and effect until ratified by the membership of the Union and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this Agreement is hereby executed by the authorized representatives of the City and the Union and entered into this 20 day of October 2010. CITY OF SANTA ANA, a Municipal Corporation of the State of California SEP 2 2 2010 Dated: SEP 2 2 2010 City Manager Dated: By:_? 66tive i(?lif? Executrve ireetor fP sonnet Services ATTEST: Clerk of the Council APPROVED AS TO FORM: Ass ant City Attorney 84 25B-124 By: P'Gl.? This Agreement has been ratified by the membership of the Santa Ana City Employees, Chapter 1939/Service Employees International Union Local 721. Dated: M'V ycr & zd/d SEN.- Sergio V46no Sergio 85 rt Hunt Legal Counsel Robert Penny _y General Manager avid J. Rodri ,J regor r r Cecilia Flores /q '/ 6u?'? Jes a Moreno William .Apple Carol Bowers &- MQOA" Vivian Jaram o 25B-125 Willard SBIU BASIC SALARY & WAGE SCHEDULE EXHIBIT A Page 1 of 2 The City's Basic Salary and Wage Schedule provides for a number of ranges of pay rates (salary rate ranges) each comprised of six pay steps or rates for SEIU employees. The salary rate ranges are identified by a three digit number and steps by letters AAA, A to E inclusive. For SERI employees, the purpose of each step and the length of service required for advancement within the rate range are summarized as follows: Purvose AAA Step - Normal Beginning rate. AA Step - Automatic increase. Also optional hiring rate. A Step - Automatic Increase. Also optional hiring rate. B Step - Automatic Increase. Also optional hiring rate. C Step - Automatic Increase. May also be maximum hiring rate for certain classifications. D Step - Automatic Increase, and is maximum hiring rate. E Step - Merit Rate. Required Lenetli of Service AAA to AA - After 6 months' completed service AA to A - After one year's completed service. A to B - After one year's completed service. B to C - After one year's completed service. C to D - After one year's completed service. D to E - After 18 months' completed service. In the following salary schedule matrix, each salary range is identified by a three digit number. The first two digits are listed it the first vertical colunm on the left and the third digit is listed horizontally across the top and identifies the appropriate column. This three digit range number locates the "AAA" step of the range, which is the first of the 7 steps. Steps "AA; "A; "'B, "'C," "D;" and "E" are found in the colunm directly below the "AAA" step. For examplo, the "AAA" step of Range No. 401 is found to be $1476 by moving down the left colunm to the number 40 (the first two digits of the Range No.), then horizontally to colunm 1 (the third digit of the Range No.). The "AAA" step of $1476 has the remaining steps shown directly beneath it; thus the full, six step range is 1476-1549-1627- 1708-1793-1883-1977. In the same manner, Range No. 455 is found to be 1921-2017-2118.2223.2334-2451-2574, SALARY SCHEDULE M4TRIX 0 1 2 3 4 5 6 7 8 9 38 1332 1338 1345 1352 1358 1365 1372 1379 1386 1393 39 1399 1405 1413 1420 1427 1434 1441 1448 1455 1463 40 1469 1476 1483 1491 1498 1506 1513 1521 1528 1536 41 1542 1549 1557 1565 1573 1580 1588 1596 1604 1612 42 1619 1627 1635 1643 1651 1659 1668 1676 1684 1693 43 1700 1708 1717 1725 1734 1742 1751 1760 1769 1778 44 1785 1793 1802 1811 1820 1830 1839 1848 1857 1866 45 1874 1883 1892 1902 1911 1921 1930 1940 1950 1960 46 1968 1977 1987 1997 2007 2017 2027 2037 2048 2058 47 2066 2076 2086 2097 2107 2118 2128 2139 2150 2160 48 2169 2179 2190 2201 2212 2223 2234 2246 2257 2268 49 2277 2288 2299 2311 2322 2334 2346 2357 2369 2381 so 2391 2402 2414 2427 2439 2451 2463 2475 2488 2500 86 25B-126 51 2511 2523 2536 2548 2561 2574 2587 2600 2613 2626 52 2637 2650 2663 2676 2690 2703 2717 2730 2744 2758 53 2769 2782 2796 2810 2824 2838 2853 2867 2881 2896 54 2907 2921 2936 2950 2965 2980 2995 3010 3025 3040 55 3052 3067 3082 3098 3113 3129 3144 3160 3176 3192 56 3205 3221 3237 3253 3269 3285 3302 3318 3335 3352 57 3365 3381 3398 3415 3432 3449 3467 3484 3501 3519 58 3533 3550 3568 3586 3604 3622 3640 3658 3676 3695 59 3710 3728 3747 3765 3784 3803 3822 3841 3861 3880 60 3896 3915 3935 3954 3974 3994 4014 4034 4054 4074 61 4091 4111 4132 4152 4173 4194 4215 4236 4257 4278 62 4296 4317 4339 4360 4382 4404 4426 4448 4470 4493 63 4511 4533 4556 4579 4601 4624 4648 4671 4694 4718 64 4741 4764 4787 4810 4834 4858 4882 4906 4930 4954 65 4978 5002 5026 5051 5076 5101 5126 5151 5176 5201 66 5226 5252 5278 5304 5330 S356 5382 5408 5434 5461 67 5488 5515 5542 5569 5596 5623 5650 5678 5706 5734 68 5762 5790 5818 5847 5876 5905 5934 5963 5992 6021 69 6050 6080 6110 6140 6170 6200 6230 6260 6291 6322 70 6353 6384 6415 6446 6478 6510 6542 6574 6606 6638 71 6670 6702 6735 6768 6801 6835 6869 6903 6937 6971 72 7005 7039 7073 7107 7141 7176 7211 7247 7283 7319 73 7355 7391 7427 7463 7499 7535 7571 7609 7647 7685 74 7723 7761 7799 7837 7875 7913 7951 7989 8029 8069 75 8109 8149 8189 8229 8269 8309 8349 8389 8431 8473 76 8515 8557 8599 8641 8683 8725 8767 8809 8853 8897 77 8941 8985 9029 9073 9117 9161 9205 9250 9296 9342 78 9388 9434 9482 9529 9577 9625 9673 9721 9770 9819 79 9857 9906 9955 10005 10055 10105 10156 10207 10258 10309 80 10350 10401 10453 10506 10558 10611 10664 10717 10771 10825 81 10868 10922 10976 11031 11086 11142 11198 11254 11310 11366 82 11411 11468 11525 11583 11640 11699 11757 11816 11875 11934 83 11982 12041 12102 12162 12223 12284 12345 12407 12469 12532 84 12581 12643 12707 12770 12834 12898 12963 13027 13093 13158 85 13210 13275 13342 13409 13476 13543 13611 13678 13748 13816 86 13871 13939 14009 14079 14150 14220 14292 14362 14435 14507 87 14565 14636 14709 14783 14858 14931 15007 15080 15157 15232 88 15293 15368 15444 15522 15601 15678 15757 15834 15915 15994 87 25B-127 EXHIBIT B SANTA ANA CITY EMPLOYEES CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 FOR FISCAL YEARS JULY 1, 2010 THROUGH JUNE 30, 2013 Assigned 7-Step Salary Rate Range Numbers Effective: 7/01/2010 JOB TITLE RANGE VSO. ACCOUNTANT I 632 ACCOUNTANT H 660 ACCOUNTING ASSISTANT 581 ACCOUNTING ASSISTANT/SYSTEMS TECHNICIAN 581 ACCOUNTS PAYABLE SUPERVISOR 635 ARTS ADMINISTRATOR 633 ASSISTANT IIUYRR 596 ASSISTANT ENGINEER 1 700 ASSISTANT ENGINEER II 714 ASSISTANT FLEET EQUIPMENT TECHNICIAN 576 ASSISTANT INSTRUMENT TECHNICIAN 607 ASSISTANT LIBRARIAN 590 ASSISTANT PARKS/LANDSCAPE PLANNER 641 ASSISTANT PLAN CHECK ENGINEER 1 700 ASSISTANT PLAN CHECK ENGINEER H 714 ASSISTANT PLANNER I 641 ASSISTANT PLANNER II 661 ASSISTANT TRAFFIC OPERATIONS ENGINEER 714 ASSOCIATE PARK AND LANDSCAPE PLANNER 691 ASSOCIATE PLAN CHECK ENGINEER 729 ASSOCIATE PLANNER 691, BIBLIOGRAPHIC TECHNICIAN 580 BOOKMOBILE OPERATOR 559 BUILDING INSPECTOR 641 BUILDING MAINTENANCE AIDE 559 BUILDING MAINTENANCE SUPERVISOR 651 BUILDING MAINTENANCE TECHNICIAN 599 BUILDING TECHNICIAN 593 BUSINESS TAX COLLECTOR/INSPECTOR 605 BUYER 645 BUYER/SYSTEMS TECHNICIAN 645 88 25B-128 CENTRAL SERVICES SUPERVISOR 605 COMBINATION BUILDING INSPECTOR 641 COMMUNITY CENTER COORDINATOR 641 COMMUNITY CENTER REPRESENTATIVE 600 COMMUNITY DEVELOPMENT ANALYST 656 COMMUNITY DEVELOPMENT DISTRICT MANAGER 711 COMMUNITY DEVELOPMENT RESOURCE COORD 691 COMMUNITY DEVELOPMENT TECHNICIAN 610 COMMUNITY EVENTS COORDINATOR 600 COMMUNITY EVENTS SUPERVISOR 666 COMMUNITY PRESERVATION INSPECTOR 641 COMMUNITY PRESERVATION TECHNICIAN 593 COMMUNITY SERVICES SUPERVISOR 681 COMPUTER OPERATIONS COORDINATOR 696 COMPUTER OPERATOR 605 COMPUTER PROGRAMMER 648 COMPUTER SYSTEMS ANALYSTIPROGRAMMER 668 CONSTRUCTION INSPECTOR 1 641 CONSTRUCTION INSPECTOR 11 651 CONTRACTS ADMINISTRATOR 641 CORRECTIONAL RECORDS SPECIALIST 542 CORRECTIONAL RECORDS SUPERVISOR 614 CUSTODIAL AIDEIPORTER 504 CUSTODIAN 534 CUSTODIAN SUPERVISOR 586 CUSTOMER SERVICE REPRESENTATIVE 589 DATA ENTRY OFFICE ASST 559 DATA ENTRY OPERATOR 550 DATA ENTRY SPECIALIST 559 DEPUTY CLERK OF THE COUNCIL 600 ECONOMIC DEVELOPMENT AIDE 610 ECONOMIC DEVELOPMENT SPECIALIST 1 661 ECONOMIC DEVELOPMENT SPECIALIST 11 691 ECONOMIC DEVELOPMENT SPECIALIST 111 721 ELECTRICAL INSPECTOR 641 EMPLOYMENT SERVICES FISCAL SPECIALIST 632 ENGINEERING DRAFTING TECHNCIAN 1 610 ENGINEERING DRAFTING TECHNICIAN E 641 ENVIRONMENTAL COORDINATOR 691 EQUIPMENT OPERATOR 600 EQUIPMENT OPERATOR - MOTOR SWEEPER (T) 600 89 25B-129 EQUIPMENT OPERATOR - STREET (T) 600 EQUIPMENT OPERATOR - TRAFFIC PAINT 600 EQUIPMENT OPERATOR - WATER MAINTENANCE 600 EQUIPMENT OPERATOR - WATER SERVICES 605 EXECUTIVE SECRETARY 598 FACILITIES SUPERVISOR 651 FINANCE EXECUTIVE SECRETARY 598 FLEET EQUIPMENT SUPERVISOR 665 FLEET EQUIPMENT TECHNICIAN I 606 FLEET EQUIPMENT TECHNICIAN It 626 FLEET EQUIPMENT TECHNICIAN 111 641 FLEET PARTS SPECIALIST 616 GENERAL MAINTENANCE AIDE 559 GENERAL MAINTENANCE LEADER 620 GENERAL MAINTENANCE SUPERVISOR 651 GENERAL MAINTENANCE WORKER 599 GIS ADMINISTRATOR 686 GRAPHICS DESIGNER I 602 GRAPHICS DESIGNER H 622 GRAPHICS SUPERVISOR 661 HOUSING AUTHORITY AIDE 532 HOUSING AUTHORITY ANALYST 658 HOUSING AUTHORITY COORDINATOR 721 HOUSING AUTHORITY INTAKE SPECIALIST 547 HOUSING AUTHORITY OPERATIONS SUPV. 679 HOUSING PROGRAMS AIDE 570 HOUSING PROGRAMS ANALYST 679 HOUSING PROGRAMS COORDINATOR 721 HOUSING SPECIALIST I 580 HOUSING SPECIALIST II 604 INFORMATION SERVICES REPRESENTATIVE 594 INSTRUMENT TECHNICIAN 621 INTAKE SPECIALIST 547 KENNEL ATTENDANT 491 LANDSCAPE DEVELOPMENT ASSOCIATE 691 LEAD ACCOUNTING ASSISTANT 615 LEAD CORRECTIONAL RECORDS SPECIALIST 584 LEAD POLICE RECORDS SPECIALIST 594 LEARNING CENTER TECHNICIAN 570 LIBRARIAN 630 LOAN SPECIALIST 631 90 25B-130 MAIL CLERK/MESSENGER 513 MAINTENANCE ASSISTANT 534 MAINTENANCE WORKER I 554 MAINTENANCE WORKER II 574 METER READER COLLECTOR 580 MICRO SYSTEMS PROGRAMMER 676 MICRO SYSTEMS TECHNICIAN 610 NETWORK ENGINEER 716 NETWORK SPECIALISTAVAN SYSTEMS ADMINISTRATOR 676 OFFICE ASSISTANT 532 OFFICE SPECIALIST 507 OFFICE SUPERVISOR 601 PARK MAINTENANCE AIDE 432 PARK MAINTENANCE INSPECTOR 1 559 PARK MAINTENANCE INSPECTOR 11 603 PARK MAINTENANCE LEADER 603 PARK MAINTENANCE SUPERVISOR 651 PARK MAINTENANCE WORKER 559 PARK NATURALIST 559 PARK RANGER 620 PARKING METER OPERATIONS SUPERVISOR 613 PARKING METER TECHNICIAN 1 563 PARKING METER TECHNICIAN 11 593 PARKS & REC AIDE 487 PARKS & REC ASSOCIATE 580 PARKS & REC SERVICES ASSISTANT 532 PARKS & REC SPECIALIST 507 PARKS & REC TECHNICIAN 570 PERIODICALS TECHNICIAN 570 PERMIT PROCESSOR 579 PERMIT SUPERVISOR 661 PERMIT TECHNICIAN 631 PLAN EXAMINER (T) 660 PLANNING ASSISTANT 621 PLANNING COMMISSION SECRETARY 598 PLUMBING INSPECTOR 641 POLICE FISCAL OFFICER 679 POLICE FISCAL, SERVICES SUPERVISOR 648 POLICE RECORDS SPECIALIST 552 POLICE RECORDS SUPERVISOR 619 POLICE SUPPLY SPECIALIST 580 91 25B-131 POLICE SYSTEMS SUPPORT ANALYST 696 PRINCIPAL LIBRARIAN 650 PRINCIPAL PROGRAMMER ANALYST 716 PROGRAMMER ANALYST 676 PROJECTS MANAGER 701 PROPERTY CONTROL SPECIALIST 580 PROPERTY REHABILITATION ASSISTANT 580 PUBLIC WORKS CREW LEADER 620 PUBLIC WORKS DISPATCHER 564 PUBLIC WORKS PROJECTS SPECIALIST 661 PURCHASING ASSISTANT 570 PURCHASING SPECIALIST 581 PURCHASING SUPERVISOR 690 RECEPTIONIST 547 RECORDS SPECIALIST 575 RECREATION CENTER DIRECTOR 580 RECREATION LEADER 520 RECREATION PROGRAM COORDINATOR 600 RECREATION SUPERVISOR 651 REDEVELOPMENT ASSISTANT 641 REDEVELOPMENT PROJECT MANAGER I 661 REDEVELOPMENT PROJECT MANAGER II 701 REDEVELOPMENT PROJECT MANAGER III 721 REPROGRAPIIIC EQUIPMENT OPERATOR 539 RESIDENTIAL CONSTRUCTION SPECIALIST 641 REVENUE AND CONTRACT COMPLIANCE AUDITOR 660 REVENUE PROCESSING ASSISTANT 550 REVENUE SUPERVISOR 635 SANITATION INSPECTOR 1 590 SANITATION INSPECTOR H 631 SECRETARY 577 SECURITY ELECTRONICS TECHNICIAN 654 SENIOR ACCOUNTANT 679 SENIOR ACCOUNTING ASSISTANT 596 SENIOR ACCOUNTING ASSISTANT/SYSTEMS TECHNICIAN 596 SENIOR ASSISTANT ENGINEER 729 SENIOR BUILDING INSPECTOR 661 SENIOR CIVIL ENGINEER 752 SENIOR COMBINATION BUILDING INSPECTOR 661 SENIOR COMMUNITY DEVELOPMENT ANALYST 685 SENIOR COMMUNITY PRESERVATION INSPECTOR 661 92 25B-132 SENIOR CORRECTIONAL RECORDS SPECIALIST 569 SENIOR DEPUTY CLERK OF THE COUNCIL 630 SENIOR ELECTRICAL INSPECTOR 661 SENIOR ELECTRICAL SYSTEMS SPECIALIST 661 SENIOR ENGINEER 752 SENIOR FLEET EQUIPMENT SUPERVISOR 685 SENIOR GRADING SPECIALIST 661 SENIOR HOUSING SPECIALIST 642 SENIOR LAND SURVEYOR 762 SENIOR LIBRARIAN 635 SENIOR OFFICE ASSISTANT 559 SENIOR OFFICE SPECIALIST 532 SENIOR PARK MAINTENANCE SUPERVISOR 681 SENIOR PARKS & REC SERVICES ASSISTANT 559 SENIOR PARKS & REC TECHNICIAN (T) 590 SENIOR PLAN CHECK ENGINEER 752 SENIOR PLANNER 711 SENIOR PLUMBING INSPECTOR 661 SENIOR PLUMBING/MECHANICAL SYSTEMS SPEC. 661 SENIOR POLICE RECORDS SPECIALIST 579 SENIOR PROGRAMMER ANALYST 696 SENIOR RECEPTIONIST 577 SENIOR RECREATION CENTER DIRECTOR 585 SENIOR RECREATION SUPERVISOR 681 SENIOR RESIDENTIAL CONSTRUCTION SPECIALIST 661 SENIOR SYSTEMS ADMINISTRATOR 668 SENIOR TRAFFIC ENGINEER 752 SENIOR TRANSPORTATION ANALYST 752 SENIOR WATER MAINTENANCE SUPERVISOR 681 SENIOR WATER SYSTEMS OPERATOR 641 STOCK CLERK 575 STOREKEEPER 610 STREET LIGHTING MAINTENANCE WORKER 610 STREET MAINTENANCE SUPERVISOR 651 STREET PAINTER 594 SUPERVISING ACCOUNTANT 701 SUPERVISING BUYER 675 SUPERVISING LIBRARIAN 663 SUPERVISING PARK RANGER 645 SUPERVISING PARKS & REC SERVICES ASSISTANT 564 SURVEY PARTY CHIEF 674 93 25B-133 SURVEY PARTY TECHNICIAN I 610 SURVEY PARTY TECHNICIAN 11 641 SYSTEMS ADMINISTRATOR 636 SYSTEMS SUPPORT ANALYST 696 SYSTEMS TECHNICIAN 576 TELECOMMUNICATIONS COORDINATOR 678 TELECOMMUNICATIONS CUSTOMER SERVICE REP. 589 TENANT SERVICES TECHNICIAN 577 TRAFFIC TECHNICIAN 664 TREASURY SERVICES SUPERVISOR 635 TREE MAINTENANCE SUPERVISOR 651 TREE TRIMMER 594 UTILITIES BILLING/SYSTEMS TECHNICIAN 589 UTILITY INSPECTOR 631 VIDEO TECHNICIAN 632 VISITOR SERVICES COORDINATOR 526 VOLUNTEER SERVICES COORDINATOR 620 WATER MAINTENANCE CREW LEADER 620 WATER MAINTENANCE SUPERVISOR 651 WATER MAINTENANCE WORKER I 574 WATER METER REPAIRER I 579 WATER METER REPAIRER II 599 WATER QUALITY COORDINATOR 671 WATER QUALITY INSPECTOR 631 WATER QUALITY SUPERVISOR 651 WATER SERVICES CREW LEADER 625 WATER SERVICES METER REPAIRER I 584 WATER SERVICES METER REPAIRER 11 604 WATER SERVICES QUALITY COORDINATOR 676 WATER SERVICES QUALITY INSPECTOR 636 WATER SERVICES QUALITY SUPERVISOR 656 WATER SERVICES SUPERVISOR 656 WATER SERVICES UTILITY INSPECTOR 636 WATER SERVICES WORKER 1 559 WATER SERVICES WORKER 11 579 WATER SYSTEMS OPERATOR 1 587 WATER SYSTEMS OPERATOR II 607 WATER SYSTEMS OPERATOR III 621 WEB SYSTEMS TECHNICIAN 576 WEBSITE ENTRY SPECIALIST 550 WORK CENTER COORDINATOR 721 94 25B-134 WORKFORCE SPECIALIST 1 576 WORKFORCE SPECIALIST II 601 WORKFORCE SPECIALIST 111 621 WORKFORCE SPECIALIST IV 676 YOUTH SERVICES TECHNICIAN 570 ZOO ANIMAL REGISTRAR 581 ZOO CURATOR 630 ZOO CURATOR OF EDUCATION 630 ZOO EDUCATION SPECIALIST 581 ZOO KEEPER AIDE 491 ZOO KEEPER I 551 ZOO KEEPER It 581 ZOO MAINTENANCE SUPERVISOR 630 (T) designates a "terminal" classification. A position classification that has been designated as "terminal" by formal City Council action will be deleted from the City's Basic Classification and Compensation Plan when vacated by its last remaining incumbent. No new appointments may be made to a classification that has been so assigned. 95 25B-135 Exhibit C RESOLUTION NO. 81-75 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA RELATING TO EMPLOYER-EMPLOYEE RELATIONS IN THE PUBLIC SERVICE OF THE CITY OF SANTA ANA WHEREAS, the Council of the City of Santa Ana declares that it is the public policy of lire City to maintain and enhance its administration of employer-employee relations and to protect the public by assuring at all times the orderly and uninterrupted operations and services of City government; and WHEREAS, the City of Santa Ana desires to establish uniform and orderly methods of communication between the City and Its employees, including provisions for (a) recognizing the rights of employees to join organizations of their own choosing for the put-pose of representation on matters affecting employee relations or to represent themselves individually in dealing with the City; and (b) establishing equitable and uniform rules slid procedures to provide for the orderly and systematic presentation, consideration and resolution of employer-employee relations matters; and WHEREAS, the City of Santa Ana has met and conferred in good faith with representatives of the Santa Ana City Employees' Association; Santa Ana Police Benevolent Association; Santa Ana Firemen's Benevolent Association; and the American Federation of State, County and Municipal Employees, AFL-CIO, which are the only employee organizations known to the City to have among their members employees of the City, concerning the rules and regulations for the adminislmtion of employer-employee relations set forth herein; and NOW, THEREFORE, the City Council of the City of Santa Ana does hereby resolve as follows: Section 1: Title oluti n This Resolution shall be known as the "Employer-Employee Relations Resolution of the City of Santa Ana". Section 2: Definitions As used in this Resolution, lire following terms shall have the meanings indicated: APPROPRIATE UNIT - means a unit of employee classifications or positions established pursuant to Section 11 of this Resolution. CITY - means the City of Santa Ana, a municipal corporation, and where appropriate herein, "City" refers to the City Council or any duly authorized management employee as herein defined. DAY - means calendar day unless expressly stated otherwise. EMPLOYEE - means any person regularly employed by the City on a full time basis except those persons elected by popular vote. EMPLOYEE, CONFIDENTIAL - means an employee who is assigned to perform work directly involved in the development, preparation or presentation of management positions with respect to employer-employee relations. EMPLOYEE, MANAGEMENT - means any employee having responsibility for formulating, administering or managing the implementation of City policies or programs, including but not limited to, department and assistant department heads, division beads, and professional administrative staff employees employed to render advice and 96 25B-136 assistance pertaining to the conduct of legal, fiscal, budgetary, personnel management and employer-employee relations affairs of the City. EMPLOYEE, PROFESSIONAL - means a classification of employees engaged in work (a) predominantly intellectual and varied in character as opposed to routine mental, manual, mechanical or physical work; (b) involving the constant exercise of discretion and judgment in its performance; and (c) requiring knowledge in afield of science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study in an institution of higher teaming, as distinguished from a general academic education, or from an apprenticeship or from training in the performance of routine, mental, manual or physical processes. EMPLOYEE, SUPERVISORY - means any employee, regardless of job description or title, having authority, in the interest of the employer, to hire, transfer, suspend, layoff, recall, promote, discharge, assign, reward, or discipline other employees, or the responsibility to assign work to and direct them, or to evaluate or review their grievances, or effectively to recommend such actions, if in connection with any of the foregoing, the exercise of such responsibility is not of merely routine or clerical nature, but requires the use of independent judgment. EMPLOYEE ORGANIZATION - means any lawful organization which includes employees of the City and which has as one of its primary purposes representing such employees in their employment relations with the City; provided, however, that said organization has no restrictions on membership based on race, color, creed, sex or national origin. EMPLOYEE RELATIONS OFFICER - means fine City's principal representative in all matters of employer- employee relations designated pursuant to Section 3 hereof, or his duly authorized representative. EMPLOYER-EMPLOYEE RELATIONS - means the relationship between the City and its employees and their employee organization, or when used in a general sense, the relationship between City management and individual employees or employee organizations. GRIEVANCE - means a dispute, claimed by an employee, group of employees or a recognized employee organization concerning the meaning, application, or enforcement of any of the provisions of lire City's Employer- Employee Relations Policy or of a memorandum of understanding; and for which specific hearing or appeal procedure is not otherwise provided, or is not specifically withheld, by civil service rule, ordinance, resolution, charter provision, or memorandum of understanding. IMPASSE - means that the representatives of the City and a Recognized Employee Organization have reached a point in their meeting and conferring in good faith where their differences concerning matters on which they are required to meet and confer, remain so substantial that further meeting and conferring would not be likely to result in an agreement. MEDIATION OR CONCILIATION - means the efforts of an impartial third person or persons, functioning as intermediaries, to assist the parties in reaching a voluntary resolution to an impasse, through interpretation, suggestion and advice. Mediation and conciliation are interchangeable terms. MEET AND CONFER IN GOOD FAITH - (sometimes referred to herein as "meet and confer" or "meeting and conferring") - means the performance by duly authorized City representatives and duly authorized representatives of a recognized employee organization of their mutual obligation personally to meet and confer in good faith promptly upon the request of either party and continue for a reasonable period of time in order to exchange freely information, opinions and proposals, and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuing year. This does not require either party to agree to a proposal or to make a concession. MEMORANDUM OF UNDERSTANDING - means a written memorandum of the agreement between the City and a recognized employee organization reached through meeting and conferring. 97 25B-137 PEACE OFFICER - means an employee of the Santa Ann Police Department whose principal duties consist of active law enforcement and who is designated as a "peace officer" as that term is defined in Section 830, California Penal Code, except that, for purposes of this Resolution only, "peace officer" does not mean a park patrolman, security guard or a member of the fire department, whether the latter be serving as a member of an arson investigating unit, as a deputy or assistant state fire marshal, or in any capacity wherein the member would have the status of peace officer for purposes other than that of this Resolution. RECOGNIZED EMPLOYEE ORGANIZATION - means an employee organization which has been granted formal recognition by the Employee Relations Officer as the employee organization which has (lie right to meet and confer in good faith as time majority representative of all members of an appropriate representation unit pursuant to Section 11 hereof, except those employees in such unit who have exercised their right not join an employee organization and who choose to represent themselves individually witlm the City, or has been designated through a secret ballot election as the exclusive representative of the employees in an appropriate representation unit pursuant to Section I 1 of this Resolution. SCOPE OF REPRESENTATION - means those matters relating to employment conditions and employer-employee relations including, but not limited to, wages, hours, and other terms and conditions of employment except, however, that the scope of representation shall not include consideration of the merits, necessity, or organization of any service or activity provided by law or executive order. Section 3: Designation of the it 's Employee Relations Officer The City Council hereby designates the City Manager as the Employee Relations Officer who shall be tie City's principal representative on all matters of employer-employee relations, with authority to meet and confer in good faith on matters within the scope of representation, and to administer all provisions of this Resolution and tie employee relations rule and procedures adopted pursuant thereto. The Employee Relations Officer is authorized to delegate Ids duties and responsibilities. Section 4: Meet and Confer in Good Faith - Scone City representatives and representatives of formally recognized employee organizations having exclusive representation rights, have the mutual obligation personally to meet and confer in good faith in order to exchange freely information, opinions and proposals and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuring year. The City shall not be required to meet and confer in good faith on a subject preempted by Federal or State law or by the City Charter. Section 5: Notice The City will give reasonable written notice to each recognized employee organization affected by any ordinance, rule, resolution, or regulation relating to matters within the scope of representation proposed to be adopted by the City, and each such organization shall be given the opportunity to meet and confer with the Employee Relations Officer prior to such adoption. In cases of emergency when the City determines that an ordinance, rate, resolution, or regulation relating to matters within the scope of representation must be adopted immediately without prior notice or meeting with recognized employee organization, the Employee Relations Officer shall provide such notice and opportunity to meet at the earliest practicable time following the adoption of such ordinance, rule, resolution or regulation. Section 6: Petition for Recognition 98 25B-138 An employee organization that seeks to be formally acknowledged as the Recognized Employee Organization representing the employees in an appropriate unit shall file a petition with the Employee Relations Officer containing the following information and documentation; Name and address of the employee organization. Names and titles of its officers. Names and titles of employee organization representatives who are authorized to speak on behalf of the organization. A statement that the employee organization has, as one of its primary purposes, representing the employees in their employment relations with the city. A statement whether the employee organization is a chapter or local of, or affiliated directly or indirectly in any mmmer with, a regional or state, or national or international organization, and, if so, the name and address of each such regional, state or International organization. Certified copies of the employee organization's constitution and bylaws, including all amendments thereof. A designation of those persons, not exceeding three in number, and their addresses, to whom sent by first class or certified United States mail will be deemed sufficient notice on the employee organization. A statement that the employee organization is cognizant of the provisions of Section 3509 of the Meyer-Milias- Brown Act. A statement that the employee organization has no restriction on membership based on race, color, creed, sex, or national origin. A description of the composition of the unit or units claimed to be appropriate, including the job classifications of employees and the number of member employees therein, as well as a statement of reasons why the unit or units is or are considered to be appropriate. A statement that the employee organization has in its possession written proof, dated by the signer within six (6) months of the date upon which the petition is filed, to establish that a majority of the employees in the unit claimed to be appropriate have designated the employee organization to represent them in their employment relation with the City. Such written proof shall be made in such language and form as the Employee Relations Officer shall prescribe and shall be submitted for confirmation to the Employee Relations Officer to a mutually agreed upon disinterested third party. Notwithstanding the above, the Employee Relations Officer, in his sole discretion, may accept employee dues deduction authorization, using the payroll register for the period immediately preceding the date of filing of a Petition of Recognition, as proof of employee support for the petitioning organization, except that dues deduction authorizations for more than one employee organization for the account of any one employee shall not be considered as proof of employee support for any employee organization, unless it can otherwise be shown that the dues deduction for the petitioning organization is the only one which provides full membership rights and privileges, including the right to vote. A request that the Employee Relations Officer recognize the petitioning employee organization as the Recognized Employee Organization representing the employees in the unit(s) claimed to be appropriate for the purpose of meeting and conferring in good faith on all matters within the scope of representation. The Petition, including all accompanying documents, shall be declared to be true, correct and complete, under penalty of perjury, by the duly authorized officer(s) of the employee organization executing it. The Employee Relations Officer may require additional information as required by this Resolution to be included in the Petition. 99 25B-139 The Employee Relations Officer shall give prompt written notice of the filing of a Petition to any recognized employee organization affected thereby. Section7: C,? es LRecognitic, Petition Upon receipt of the Petition, the Employee Relations Officer shall within ten (10) days determine whether: There has been compliance with the requirements of the Recognition Petition; and The proposed representation unit is an appropriate unit in accordance with Section 11 of this Resolution. If an affirmative determination is made by the Employee Relations Officer on the foregoing two matters, he shall within ten (10) days after making said determination, inform the petitioning employee organization, shall give writteu notice of such request for recognition to the employees in the unit and shall take no action on said request for thirty (30) days thereafter. If either of the foregoing matters are not affirmatively determined, the Employee Relations Officer shall meet and discuss the matter with such petitioning employee organization, and, if such determination thereafter remains unchanged, shall inform that organization of the reasons therefore in writing, The petitioning employee organization may appeal such determination in accordance with Section 13 of this Resolution. Section 8: Open Period tot Filtue Challenging Petition s Within thirty (30) days of the date written notice was given to affected employees that a valid Recognition Petition(s) for an appropriate unit has been riled, any other employee organization may file a competing request to be formally acknowledged as the recognized employee organization of the employees hi the same or in an overlapping unit (one which corresponds with respect to some but not all the classifications or positions set forth in the Recognition Petition being challenged), by filing a petition(s) evidencing proof of employee support hi the unit claimed to be appropriate of at least thirty (30) percent and otherwise in the some form and manner as set forth in Section 6 of this Resolution. If such challenging petition(s) seeks establishment of an overlapping unit, the Employee Relations Officer shall call for a hearing on such overlapping petitions for the purpose of ascertaining the more appropriate unit, at which time the petitioning employee organizations shall be heard. Thereafter, the Employee Relations Officer shall determine the appropriate unit or units in accordance with the standards in Section 11 of this Resolution. The petitioning employee organizations shall have fifteen (15) days from the date notice of such unit determination is comimuuricated to them by the Employee Relations Officer to amend their petitions to conform to such determination or to appeal such determination pursuant to Section 13 of this Resolution. Section 9: Election Procedure The Employee Relations Officer shall arrange for a secret ballot election to be conducted by a party agreed to by the Employee Relations Officer and the concerned employee organization(s) in accordance with its rules and procedures subject to the provisions of this Resolution. All employee organizations who have duly submitted petitions which have been determined to be in conformance with this Resolution shall be included on the ballot. The choice of" no organization" shall also be included on the ballot. Employees entitled to vote in such election shall be those persons employed fill time in regular, permanent positions within the designated appropriate unit who were employed during the payperiod immediately prior to the date which ended at least fifteen (15) days before tire date due election commences, including those who did not work during such period because of illness, vacation or other authorized leaves of absence, and who are employed by the City in the same unit on the date of election. An employee organization shall be formally acknowledged as the Recognized Employee Organization for the designated appropriate unit following an election or runoff election if it received a numerical majority of all valid votes cast in the election. If an election involving three or more choices, where none of the choices receives a majority of the valid votes cast, a runoff election shall be conducted between the two choices receiving the largest number of valid votes cast (that is, either between two employee organizations, or one employee organization and no representation); the ides governing an initial election being applicable to a runoff election, except that the runoff election shall be held within fifteen (15) days following the certification of the initial election results. 100 25B-140 There shall be no more than one valid election under this Resolution pursuant to any petition in a 12 month period affecting the same unit. In the event that the parties are unable to agree on a third party to conduct an election, the election shall be conducted by the California State Conciliation Service. Costs of conducting elections shall be borne in equal shares by the City and by each employee organization appearing on the ballot. In cases where a Memorandum of Understanding between the City and an employee organization is in effect on the effective date of this Resolution, it shall be presumed for the duration of the Memorandum of Understanding that the unit set forth in the Memorandum of Understanding is appropriate and (hot the employee organization is the majority representative of the employees covered therein. Unless a petition is filed pursuant to Section 12 below, it shall be presumed that when said Memorandum of Understanding terminates the employee organization shall continue to be a majority representative of employees covered by said Memorandum of Understanding for the purposes of meeting and conferring regarding matters within the scope of representation; provided, however, the employee organization files with the City the information required by Section 6(a), 1 through 13 of this Resolution. Nothing contained herein shall preclude an employee organization from filing a petition for recognition pursuant to Section 6 or Section 10 of this Resolution at the expiration of Memoranda of Understanding which expire on June 30, 1981, Section 10: Procedure for Decerlifcatiom gf Recognized Employee Organizer A Decertification Petition alleging that the incumbent Recognized Employee Organization no longer represents a majority of the employees in an established appropriate unit may be filed with the Employee Relations Officer only during the month of January of any year following the first full year of recognition or during the thirty (30) day period commencing one hundred eighty (180) days prior to the termination date of a Memorandum of Understanding then having been in effect less than three (3) years, whichever occurs later. A Decertification Petition may be filed by employees or their representative, or an employee organization, and shall contain the following information and documentation declared by the duly authorized signatory under penalty of perjury to be true, correct and complete: Tire name, address and telephone number of the petitioner and a designated representative authorized to receive notices of requests for further information. The name of the established appropriate unit and of the incumbent Recognized Employee Organization sought to be decertified as the representative of that unit. An allegation that the incumbent Recognized Employee Organization no longer represents a majority of the employees in the appropriate unit, and any other relevant and material facts relating thereto. Proof of employee support that a majority of the employees in the established appropriate unit no longer desires to be represented by the incumbent Recognized Employee Organization. Such proof shall be submitted for confirmation to the Employee Relations Officer or to a mutually agreed upon disinterested third party. The Employee Relations Officer can only accept those petitions which 1) request decertification of the current formally recognized employee organization and 2) do not request to carve out another unit fiom the already established appropriate unit. An employee organization may file a Petition under this Section in the form of a Recognition Petition that conforms to the requirements of Section 6 of this Resolution in satisfaction of tine Decertification Petition requirements hereunder. The Employee Relations Officer shall initially determine whether the Decertification Petition or Recognition Petition, if any, have been filed in compliance with the applicable provisions of this Resolution. If his determination is in the negative, he shall offer to consult thereof with the representative(s) of such petitioning employees or employee organization, and if such determination thereafter remains unchanged, shall rerun such Petition(s) to the employees or employee organization with a statement of the reasons therefore in writing. The petitioning employees or employee organization may appeal such determination in accordance with Section 13 of this Resolution. 101 25B-141 If the determination of the Employee Relations Officer is in the affirmative, or if his negative determination is reversed on appeal, he shall give written notice of such Decertification of Recognition Petition to the incumbent Recognized Employee Organization and to unit employees. The Employee Relations Officer shall thereupon arrange for a secret ballot election to be held on or about fifteen (15) days after such notice to detennhne the wishes of unit employees as to the question of decertification, and if an accompanying Recognition Petition was duly filed, and, in the event decertification of the incumbent Recognized Employee Organization is voted, the question of representation. Such election shall be conducted in conformance with Section 9 of this Resolution. The cost of any election proceeding under the provisions of this Section shall be bonne entirely by the employee organization(s) challenging the incumbent recognized employee organization. An employee organization which displaces another employee organization as a formally recognized employee organization following an election conducted pursuant to this Section shall assume any existing Memorandum of Understanding then in effect as a condition of recognition and said Memorandum of Understanding shall remain in fill force and effect for the balance of the teen thereof. Section 11: Policy lad Standards Tot Determination of Mpropriate Units The basic policy objectives in determining the appropriateness of units shall be the effect of a proposed unit on 1) the efficient operations of the City and its compatibility with the primary responsibility of the City and its employees to effectively and economically serve the public and 2) providing employees with effective representation based on recognized community of interest considerations. These policy objectives require that the appropriate unit shall be the broadest feasible grouping of positions that share an identifiable community of interest. Factors to be considered shall be: Similarity of the general kinds of work performed, types of qualifications required, and the general working conditions. History of representation in the City and similar employment; except however, that no unit shall be deemed to be an appropriate unit solely on the basis of the extent to which employees in the proposed unit have organized. The effect of the proposed unit on efficient operations of the City and the compatibility of the unit with the responsibility of the City and its employees to serve the public. The effect on the administration of employer-employee relations created by the fragmentation of classifications and proliferation of units. Effect on the classification structure and impact on the stability of the employee relationship of dividing a single or related classification among two or more units. Notwithstanding the foregoing, management employees shall only be included in a unit consisting solely of management employees and confidential employees shall be included in a unit consisting solely of confidential employees. When the City establishes new classifications or positions, or modifies the job content of an existing classification or position, the Employee Relations Officer shall, after notice to and consultation with all affected employee organizations, determine which, if any, representation unit shall include such new or modified classification(s) or position(s). Section 12: Procedure for Modification of Established AApprol2date1!ds 102 25B-142 Requests by employee organizations for modifications of established appropriate units may be considered by the Employee Relations Officer only during the period specified in Section 10 of this Resolution. Such requests shall be submitted in the form of a Recognition Petition, and, in addition to the requirements set forth in Section 6 of this Resolution, shall contain a complete statement of all relevant facts and citations in support of the proposed modified unit ht terms of the policies and standards set forth in Section 11 hereof. The Employee Relations Officer shall process such petitions as other Recognition petitions under this Resolution. The Employee Relations Officer may on his motion propose, during the period specified in Section 10 of this Resolution, that an established unit be modified. The Employee Relations Officer shall give written notice of the proposed modification(s) to any affected employee organization and shall hold a meeting concerning the proposed modification(s), at which time all affected employee organizations shall be heard. Thereafter the Employee Relations Officer shall determine the composition of the appropriate unit or units in accordance with Section 11 of this Resolution, and shall give written notice of such determination to the affected employee organizations. The Employee Relations Officer--s determination may be appealed as provided in Section 13 of this Resolution. If a unit is modified pursuant to the motion of the Employee Relations Officer hereunder, employee organizations may thereafter file Recognition Petitions seeking to become the Recognized Employee Organization for such new appropriate unit or units pursuant to Section 6 hereof. Section 13. Appeals An employee organization aggrieved by an appropriate unit determination of the Employee Relations Officer under this Resolution may, within ten (10) days of notice thereof, appeal such determination to the City Council for final decision. An employee organization aggrieved by a determination of the Employee Relations Officer that a Recognition Petition (Section 6); Challenging Petition (Section S) or Decertification Petition (Section 10) or employees aggrieved by a determination of the Employee Relations Officer that a Decertification Petition (Section 10) has not been filed in compliance with the applicable provisions of this Resolution, may, within fifteen (15) days of notice of such determination, appeal the determination to the City Council for final decision. Appeal to the City Council shall be filed in writing with the City Clerk, and a copy thereof served on the Employee Relations Officer. The City Council shall commence to consider the natter within thirty (30) days of the filing of the appeal, and shall render a final and binding decision regarding the resolution of the disputed issue(s) raised by the appeal after each party involved has been given an opportunity, during a public meeting, to present written and oral arguments in support of their respective positions and, if the City Council so desires, after any future investigation or review of the matter as it may deem appropriate. The City Council, may, in its discretion, refer the dispute to a third party hearing process for the purpose of seeking an advisory determinationprior to making its final decision regarding the resolution of the dispute. Section 14: Submission of Curren Information by Recognized Employee Organizations All changes in the information filed with the City by a Recognized Employee Organization under Items 1 through 13 of its Recognition Petition under Section 6 of this Resolution shall be submitted in writing to the Employee Relations Officer within fifteen (15) days of such change. Section 15: Payroll Deductions on Bela] of Emnlovee Organizations Upon formal acknowledgment by the City of a Recognized Employee Organization under this Resolution, only such Recognized Employee Organization may be provided payroll deductions of membership dues and insurance premiums for plans sponsored by such organization upon the written authorization of employees in the unit represented by Recognized Employee Organization on forms provided therefore by the City. The providing of such service to the Recognized Employee Organization by the City shall be contingent upon and in accordance with the provisions of Memorandum of Understanding and/or applicable administrative procedures. 103 25B-143 Section 16: ftployce Organization Activities - Use of City Resources Access to City work locations and the use of City paid time, facilities, equipment and other resources by employee organizations and those representing them shall be authorized only to the extent provided for in Memorandum of Understanding and/or administrative procedures; shall be limited to activities pertaining directly to the employer- employee relationship and not such internal employee organization business as soliciting membership, campaigning for office, and organization meetings and elections; and shall not interfere with the efficiency, safety and security of City operations. Section 17: Administrative Rules and Procedures The Employee Relations Officer is hereby authorized to establish such rules and procedures as appropriate to implement and administer the provisions of this Resolution after consultation with affected employee organizations. Section 18:Inntiation asseProcedures If the meet and confer process has reached impasse as defined in this Resolution, either party may initiate (lie impasse procedures by filing with the other party a written request for an impasse meeting, together with a statement of its position on all disputed issues. An impasse meeting shall then be scheduled promptly by the Employee Relations Officer. The purpose of such impasse meeting shall be: To identify and specify in writing the issue or issues that remain in dispute; To review the position of the parties in a final effort to resolve such disputed issue or issues; and If the dispute is not resolved, to discuss arrangement for the utilization of the impasse procedures provided herein. Section 19:I asseProcednres Impasse procedures are as follows: If the parties so agree, the issue or issues at impasse shall be submitted directly to the City Council for determination. If they do not agree within seven (7) days following the conclusion of the impasse meeting set forth in Section 18 above, either party may submit the impasse to mediation. All mediation proceeding shall be private and the mediator shall crake no public recommendation, nor take any public position at any time concerning the issues. If the parties are unable to agree on a mediator after a reasonable period of time, they shall select the mediator from a list of three names to be provided by the State Conciliation Service, or if that agency for any reason shall fail to provide such list, by the American Arbitration Association. Upon receipt of such list, the parties shall alternately strike names from the list until a single name remains who shall become the mediator. The priority of striking names shall alternate from one party to the other each time impasse procedures are invoked by the same parties. The employee organization or the City shall conmrence this process in au order determined by lot striking the first name from such list of names in any initial mediation. The cost of the mediator, if any, shall be shared equally by both parties. If the parties have failed to resolve all their disputes through mediation within fifteen (15) days after the mediator conmunced meetings with the parties, the parties may agree to submit the issues in dispute directly to the City 104 25B-144 Council. In that event, the City Council shall finally determine the issues after conducting a public hearing thereon and after such further investigation of the relevant facts as it may deem appropriate. If the parties have exhausted the mediation process, the matter shall be submitted to the City Council for resolution. Seclion20: Construction This Resolution shall be administered and construed as follows: Nothing in this Resolution shall be construed to deny to any person, employee, organization, the City, or any authorized officer, body or other representative of the City, the rights, powers and authority granted by Federal or State law or City Charter provisions. Nothing in this Resolution shall be construed as making the provisions of California Labor Code Section 923 applicable to City employees or employee organizations, or of giving employees or employee organizations the right to participate in, support, cooperate or encourage, directly or indirectly, any strike, sickout, other total or partial stoppage or slowdown of work or any other interference with the conduct of the City's operations. Nothing contained in this Resolution shall abrogate any written Memorandum of Understanding between any employee organization and the City in effect on The effective date of this Resolution. All such agreements shall continue in effect for the duration of the term specified therein unless modified or rescinded by mutual agreement of the parties thereto. Whenever written notice is required by this Resolution, such notice shall deem to have been received on the day immediately following the day on which it was mailed (excluding Saturdays, Sundays, and holidays on which the offices of the City are closed) provided the same was sent by first class or certified mail, postage prepaid to tine City at 20 Civic Center Plaza, Santa Ana, California 92701, or to any employee organization at its last address famished to the City. Section 21: Severability In any section, subsection, sentence, clause or phrase of this Resolution, or die application of such portion to any person or circumstance, shall be held invalid by a decision of any court of competent jurisdiction, the remainder of this Resolution, or the application of such portion to persons or circumstances other than those us to which it is held invalid, shall not be affected thereby. The City Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause and phrase thereof, irrespective of the fact that any or more sections, subsections, sentences, clauses or phrases be declared invalid. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana: that this Resolution shall be operative from and after May 18, 1981. ADOPTED this 18" day of May, 1981, by the following vote: AYES: Acosta, Bricken, Griset, Luxembourger, Markel, McGuigan, Serrat 105 25B-145 EXHIBIT "D" 9/80 HARDSHIP CLAIM Name: Division/Section: Position: Work Telephone Number: Supervisor Name and Telephone: Work Hours: Proposed Work Hours: HARDSHIP CLAIMED: OPTIONS EXPLORED BY EMPLOYEE TO RESOLVE PERSONAL HARDSHIP: EMPLOYEE'S PROPOSED SOLUTION: SUPERVISOR'S NEEDS AND CONCERNS: COMMITTEE'S RECOMMENDATION TO DEPARTMENT HEAD: 106 25B-146 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: ONE-STOP OPERATOR MEMORANDUM OF UNDERSTANDING FOR PROGRAM YEAR 2013-2014 i CITY MANAGER 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 Execute an extension of the One-Stop Operator Memorandum of Understanding with the Santa Ana W/O/R/K Center as the Comprehensive One-Stop Operator for Program Year 2013-2014. WIB EXECUTIVE COMMITTEE RECOMMENDATION At its special meeting of October 8, 2013, by a vote of 5:0 (McMurtray, Claudio, Korthuis absent), the Workforce Investment Board Executive Committee recommended that City Council execute an extension of the One Stop Operator Memorandum of Understanding with the Santa Ana W/O/R/K Center as the Comprehensive One Stop Operator for Program Year 2013-2014. DISCUSSION In June 2000, the Santa Ana W/O/R/K Center was grand-fathered in as Santa Ana's comprehensive One-Stop provider under implementation of new federal legislation called the Workforce Investment Act (WIA), which replaced the Job Training Partnership Act (JTPA). The following year a full procurement process was conducted and the W/O/R/K Center was awarded a Memorandum of Understanding in June 2001 as a comprehensive One-Stop operator. The recommended action would extend this Memorandum of Understanding (Exhibit 1) for the current Program Year (PY). The Santa Ana Workforce Investment Board (WIB) is responsible for evaluating the performance of the W/O/R/K Center to ensure its compliance with federal and state regulations and overall service to the community on an annual basis. The performance results for the Santa Ana W/O/R/K Center are reported to the WIB on an annual basis with quarterly updates provided as the data becomes available throughout the year. The state has yet to release final performance data for PY 2012- 2013. The data below is as of third quarter ending March 31, 2013 with the W/O/R/K Center exceeding five of the six state-mandated performance goals for PY 2012-2013: 25C-1 One Stop Operator PY 2013-2014 October 21, 2013 Page 2 Adults Entered Employment Rate Retention Rate Average Earnings Dislocated Workers Entered Employment Rate Retention Rate Average Earnings 2012 - 2013 Negotiated 2012 - 2013 Performance Performance Level Actual Success Rate 61.1% 70.00% 114.56% 75.5% 80.20% 106.25% $11,800 $11,116 94.20% 2012 - 2013 Negotiated 2012 - 20 13 Performance Performance Level Actual Success Rate 58.9% 63.19% 107.28% 83.0% 88.46% 106.58% $14,000 $14,162 101.16% The City's total WIA allocation for PY 2013-2014 is $3,219,780, comprised of $1,181,097 for Adults, $807,310 for Dislocated Workers, and $1,231,373 for Youth programs. Additionally, the City received $193,792 in Rapid Response funds to serve Santa Ana businesses who are laying off or have announced plant closures. The PY 2013-2014 allocation is a 12.74 percent decrease from the previous year's allocation with sequestration being 9 percent of the overall reduction. A participant plan and budget for PY 2013-2014 are attached for your review as Exhibits 2 and 3. Staff, along with the Workforce Investment Board Executive Committee, is recommending that the Santa Ana W/O/R/K Center continue to operate as the comprehensive One-Stop for Santa Ana for PY 2013-2014. FISCAL IMPACT Funds are available in the Workforce Investment Act grant accounts (account nos. 12318xxx - various.) APPROVED AS TO FUNDS AND ACCOUNTS: ? Nzss%r ) Yh]z a ? ) Francisco Gutierrez Executive Director Finance & Management Services Agency N F/DS/kg Exhibits: 1. Memorandum of Understanding 2. Participant Plan for PY 2013-14 3. Budget PY 2013-14 25C-2 Community Development Agency EXHIBIT 1 EXTENSION OF MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA, COMMUNITY DEVELOPMENT AGENCY (WORK CENTER) AND THE SANTA ANA WORKFORCE INVESTMENT BOARD PARTIES: This Extension of Memorandum of Understanding ("MOU") is hereby entered into on , 2013, 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 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 by the parties on an annual basis, unless terminated by either party with thirty days written notice to the other party. A copy of the minutes from the SAWIB meeting regarding the extension of this MOU shall be attached to this Agreement along with a copy of the WORK Center's approved annual budget and participant plans. The term of this Agreement shall cover Program Year 2013-2014. 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" ("RFP") 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 2013-14 for the formula funds. V. 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 shall 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. 25C-3 VI. 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. VII. 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. VIII. 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. IX. 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. X. 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 met. The WORK Center will collect feedback from employers, analyze the information, and implement strategies for improvement. Further, in partnership with the Santa Ana Economic Development Division. XI. 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 WIB'S Executive Committee. The Executive Committee shall mediate the dispute and shall have final authority to resolve the issue. XII. 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. XIII. MODIFICATION/TERMINATION: This MOU, along with all exhibits hereto, 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 2 25C-4 the 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. XIV. ASSIGNABILITY: None of the duties of, 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. XV. 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 WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. XVI. 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 One-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. XVII. 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 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 3 25C-5 discovery. The DOL and its representative(s) 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 "Governmental Patent Policy" (President's Memorandum for Heads 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. XVIII. 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. 4 25C-6 All parties are in agreement with this Extension of Memorandum of Understanding and will implement it as herein stated. ATTEST: By CITY OF SANTA ANA Maria D. Huizar David Cavazos Clerk of the Council City Manager Santa Ana Workforce Investment Board BY: Lee McMurtray, Chair APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney BY: Lisa E. Storck Assistant City Attorney Recommended for Approval: Nancy Fong, AICP Interim Executive Director Community Development Agency 5 25C-7 25C-8 EXHIBIT 2 WIA Local Plan Program Year 2013-14 Title IB Participant Plan Summary WIA 118,20 CFR 661.350(a)(13); TEGL 17-05 Plan the number of individuals that are in each category. Totals for PY 2013 07/01/13 through 06/30/14 ADULT DW 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) 80 110 5 PROGRAM SERVICES 6. Core Self Services 2,438 1,625 7. Core Registered Services 210 120 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 81 EXIT STATUS 12. Entered Employment 144 96 12A. Train in -related 17 14 13. Remained with Layoff Employer 14. Entered Military Service 15. Entered Advanced Training 16. Entered Postsecondary Education 17. Entered A renticeshi Program 18. Returned to Secondary School 19. Exited for Other Reasons Santa Ana LWIA Local Workforce Investment Area Contact Person, Title Telephone Number Date Prepared Sandra Gottlieb, Acting Economic Development Manager 714-647-6585 J Comments: FWSD12-14C DRAFT Page 1 of 1 5/13 25C-9 25C-10 WIA Local Plan Program Year 2013-14 EXHIBIT 3 Title IB Budget Plan Summary' (Adult ) WIA 118; 20 CFR 661.350(a)(13) PROGRAM TYPE for PY 2013-14, beginning 07/01/13 through 06/30/14 0 Grant Code 201/202/203/204 WIA IB-Adult ? Grant Code 501/502/503/504 WIA IB-Dislocated Worker PUNDINWIDENTIF.ICATION K386XXX Sub rant K4--XXX Sub rant 1. Year of Appropriation 2012-13 2013-14 2. Formula Allocation 1,372,608 1,181,097- 3. Allocation Adjustment - Plus or Minus 4. Transfers - Plus or Minus 350,000) 5. TOTAL FUNDS AVAILABLE (Lines 2 thru 4) 1,022,608 1,181,097 TOTAL AL?DCATIQN COST CATEGOR . PLAN: 6. Program Services (sum of Lines 6.A thru 6.E) 920,348 1,062,987 A. Core Self Services B. Core Registered Services 29,167 31,331 C. Intensive Services 316,004 343,797 D. Training Services 287,640 236,910 E. Other 287,537 450,950 7. Administration (Line 5 minus 6) 102,260 118,110 8. TOTAL (Line 6 plus 7) 1,022,608 1,181,097 QUARTERLYTOTAL EXPENDITURE(PLAN;:(cumulativefrom,Jul 1, 20112 and Jul 1, 2013 respectively) 9. September 2012 40,983 " 10. December 2012 118,867 11. March 2013 201,479 12. June 2013 567,992 13. September 2013 863,266 14. December 2013 1,022,608 135,932 15. March 2014 431,206 16. June 2014 726,480 17. September 2014 840,134 18. December 2014 953,788 19. March 2015 1,067,442 20. June 2015 1,181,097 COST COMPL%ANCE,,PL,AN (maximum'10% 21. % for Administration Expenditures (Line 7/1-ine 5) 10% 1D% Santa Ana Local Workforce Investment Area Contact Person, Title Telephone Number Date Prepared 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. FWSD12-14D Page 1 of 1 5/13 25C-11 WIA Local Plan Program Year 2013-14 Title IB Budget Plan Summary' (Dislocated Worker) WIA 118; 20 CFR 651.350(a)(13) PROGRAM TYPE for PY 2013-14, beginning 07/01113 through 06/30/14 [:] Grant Code 201/202/203/204 WIA IB-Adult Ll Grant Code 501/502/503/504 WIA IB-Dislocated Worker FUNDING 1 NTIFIGATION ,` ; K386XXX Sub grant K4--W Sub rant 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 TOTAL AhLOCATI'ON COST.CATEGO.RY,'PLAN- 6. Program Services (sum of Lines 6.A thru 6.E) 1,126,046 726,579 A. Core Self Services 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 QUARTERLY TOTAL EXPENDITURE PLAN cumulative fifom Jul ' 1 20121and Jul 1, 2013 res ectivel ) 9. September 2012 132,426 10. December 2012 490,155 11. March 2013 809,041 12. June 2013 901,162 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 18. December 2014 19. March 2015 20. June 2015 COST GONJ -L'IANCE PktAN; (maximum'll0%) - , . 21. % for Administration Expenditures (Line 7/1-ine 5) 10% 10% Santa Ana Local Workforce Investment Area 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. FWSD12-14D Page 1 of 1 5/13 25C-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: AGREEMENT WITH ORANGE COUNTY FIRE AUTHORITY CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2ntl Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Orange County Fire Authority in the amount of $890,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION As part of the 2011-2012 Community Development Block Grant (CDBG) allocation plan, funds were allotted for the purchase of a new fire truck. Subsequently, the City contracted with the Orange County Fire Authority (OCFA) for fire suppression services. As part of the agreement, OCFA would maintain the fleet of vehicles, including a replacement schedule. The agreement also required that the City upgrade the existing fire stations to a minimum level. Therefore, the priority for the use of CDBG funds shifted to renovating many of the fire stations. In March 2012, the City underwent a substantial amendment process to the 2011-2012 Annual Action Plan to allow for the change in use of CDBG funds. Since then, City staff has worked with the OCFA to develop a list of capital improvements needed at the fire stations. Confirmation of eligibility of the proposed improvements was received from the City's U.S. Dept. of HUD representative. This agreement will accommodate OCFA as the sub-recipient of CDBG funds in order to solicit contractors to begin the capital improvements. Funds will be distributed on a reimbursement basis after the City has received sufficient documentation to approve the release of CDBG funds. FISCAL IMPACT Funds are available in the CDBG account (no. 13518783-69135). 2501-1 Agreement with Orange County Fire Authority October 21, 2013 Page 2 APPROVED AS TO FUNDS AND ACCOUNTS: Nancy Fong, J?P Francisco Gutierrez Interim Execu vDir or Executive Director Community D pment Agency Finance & Management Services Agency NF/FH/kg Exhibit: 1. Agreement 2501-2 AGREEMENT BETWEEN THE CITY OF SANTA ANA AND ORANGE COUNTY FIRE AUTHORITY FOR USE OF COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS This Agreement, is hereby made and entered into this- day of , 2013 by and between the City of Santa Ana, a charter city and municipal corporation of the State of California ("CITY") and Change County Fire Authority, a Joint Powers Authority organized pursuant to California Government Code Section 6500 et seq., ("SUBRECIPIENT"). RECITALS: 1. The CITY, as an entitlement recipient and grantee of the United States Department of Housing and Urban Development ("HUD") Community Development Block Grant ("CDBG") Project, desires to enter this Agreement with the SUBRECIPIENT for the expenditure of CDBG funds in accordance with Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq. ("CDBG BEGS'). 2. CITY has applied for and received CDBG funds from HUD pursuant to Title I of the Housing and Community Development Act of 1974, Public Law 93-383, as amended ("ACT"). 3. The SUBRECIPIENT assumed Fire/EMS services for the CITY in April 2012. SUBRECIPIENT has been selected by the CITY to receive CDBG funds for public facility improvements to the City owned Fire Stations and to provide the services described in the Statement of Work and Capital Improvement Plan attached hereto and incorporated herein as Exhibit A, in accordance with the schedule of performance included therein, hereinafter referred to as "said Project". SUBRECIPIENT represents that it is qualified and willing to oversee said Project and certifies that the activities carried out with funds provided under this Agreement will meet one or more of the CDBG program's National Objectives (24 CFR Part 570.208). 4. The CITY and SUBRECIPIENT have duly executed this Agreement for the expenditure of such funds. WHEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this Agreement and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire Agreement between the CITY and SUBRECIPIENT: 1. SUBRECIPIENT'S OBLIGATIONS A. Status - Representations and Warranties. (1) Authority. SUBRECIPIENT is a duly organized and existing Joint Powers Authority ("JPA") in good standing and authorized to do business under the laws of the State of California. SUBRECIPIENT has full right, power and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance and 9539111 I Exhigf p-l delivery of this Agreement by SUBRECIPIENT, and has been fully authorized by all requisite actions on the part of SUBRECIPIENT. (2) Experience, SUBRECIPIENT is a qualified provider of the services to be provided hereunder. (3) Familiarity With Services Required. By execution of this Agreement, SUBRECIPIENT warrants that (i) it has thoroughly investigated and considered the services to be performed and provided hereunder, (ii) it has carefully considered how the services should be performed, and (iii) it fully understands the facilities, difficulties and restrictions attending performance of the services under this Agreement. (4) No Conflict. To the best of SUBRECIPIENT'S knowledge, SUBRECIPIENT'S execution, delivery and performance of its obligations under this Agreement will not constitute a default or a breach under any contract, agreement or order to which SUBRECIPIENT is a party or by which it is bound. (S) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threatened bankruptcy proceeding. (6) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a current or threatened litigation that would or may materially affect SUBRECIPIENT'S performance under this Agreement. (7) Application Veracity. All provisions of and information provided in SUBRECIPIENT'S application for funding submitted to CITY including any exhibits are true and correct in all material respects. (8) No Pending Investigation. SUBRECIPIENT is not aware that it is the subject of any current or threatened criminal or civil action investigation by any public agency, including without limitation a police agency or prosecuting authority, that would relate to or afTect performance of the Agreement or provision of services hereunder. B. Amount of Grant and Grant Disbursement. The amount granted to SUBRECIPIENT hereunder is Eight Hundred Ninety Thousand Dollars ($890,000.00) ("CDBG FUNDS"), and such funds shall be expended by SUBRECIPIENT on or before December 31, 2014. The CDBG FUNDS shall be disbursed by CITY to SUBRECIPIENT upon receipt and approval of a complete quarterly activity report from SUBRECIPIENT, with the final payment subject to the satisfaction of the condition precedent of submittal of complete reporting information, as hereinafter more fully set forth. SUBRECIPIENT shall be obligated to perform such duties as would nonnally extend beyond the tern, including but not limited to obligations with respect to indemnification, audits, reporting, data retention/reporting, and accounting. C. Use of the CDBG FUNDS SUBRECIPIENT agrees to use all federal funds provided by CITY to SUBRECIPIENT pursuant to this Agreement to operate said Project, as set forth in the Statement of Work and Capital Improvement Plan ("Exhibit A") attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to perform as required may, in 9j}91 LI I Exhig§P-41 addition to other remedies set forth in this Agreement, result in readjustment of the amount of funds CITY is otherwise obligated to pay to SUBRECIPIENT hereunder. D. Allowable Costs. SUBRECIPIENT agrees to complete said Project on or before December 31, 2014 and to use said funds to pay for necessary and reasonable costs allowable under the federal law and regulations to perform said Project. Said amounts shall include, but not be limited to, wages, administrative costs, and employee benefits comparable to other similarly situated employees. Other allowable project costs are detailed in, as set forth in the Statement of Work and Capital Improvement Plan ("Exhibit A") attached hereto and by this reference incorporated herein. SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this Agreement. E. Licensing. SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations. SUBRECIPIENT shall ensure that its staff shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing SUBRECIPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable. F. Zoning, SUBRECIPIENT agrees that any facility/property used in furtherance of said Project shall be specifically zoned and permitted for such use(s) and activity(ies). Should SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state or federal rules and regulations relating thereto, SUBRECIPIENT shall immediately make good-faith efforts to gain compliance with local, state or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. SUBRECIPIENT shall notify CITY immediately of any pending violations. Failure to notify CITY of pending violations, or to remedy such known violation(s) shall result in termination of grant funding hereunder. SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. G. Separation of Accounts. All funds received by SUBRECIPIENT from CITY pursuant to this Agreement shalt be maintained in an account in a federally insured banking or savings and loan institution with record keeping of such accounts maintained pursuant to applicable OMB Circular A-110 requirements. SUBRECIPIENT is not required to maintain separate depository accounts for the CDBG FUNDS; provided however, the SUBRECIPIENT must be able to account for receipt, obligation and expenditure of CDBG FUNDS pursuant to applicable OMB Circular A-I 10 requirements. H. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT receives Three Hundred Thousand Dollars ($300,000.00) or more in federal funds, SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. SUBRECIPIENT shall provide CITY with a copy of said audit by October I of the year following the program year in which this Agreement is executed. 9539111 Exhi]?W-k 1. Record Keeping/Reporting. SUBRECIPIENT shall keep and maintain complete and adequate records and reports to assist CITY in meeting and maintaining its record keeping responsibilities under the CDBG REGS, including the following: (1) Records. a. Documentation evidencing program income requirements in conformity with 24 CFR 570.504(b)(2)(i), (ii) and 24 CFR 570.503(b)(3). b. Documentation of all CDBG FUNDS received from CITY. C. Documentation of expenses as identified in the Capital Improvement Plan, including evidence of incurring the expense, invoices for goods or services, copies of any and all contracts or documentation pertaining to costs for subcontractors, plus all other invoices for which CDBG FUNDS were expended, and any payments therefor. d. Any such other related records as CITY shall reasonably require or as required to be maintained pursuant to the CDBG REGS. (2) Reports. a. Payment Request: SUBRECIPIENT shall submit true copies of invoices, receipts, agreements, copies of any and all contracts or documentation pertaining to costs for subcontractors or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable period. b. Semi-Annual Reporting: On October 5 and April 5, SUBRECIPIENT shall submit information needed for the CITY to complete the Semi-Annual Labor Standards Enforcement Report (HUD Form 4710). C. Annual Report: On July 31, SUBRECIPIENT shall submit information needed for the CITY to complete the Section 3 - Economic Opportunities for Low- and Very Low-income Persons Report (HUD Foam 60002) and Minority Business Enterprise/Women Owned Enterprise Report (HUD Form 2516). J. Access to Records. CITY and the United State Government and/or their representatives shall have access for purposes of monitoring, auditing, and examining SUBRECIPIENT's activities and performance, to books, documents and papers, and the right to examine records of SUBRECIPIENT's subcontractors, bookkeepers and accountants, employees and participants in regard to said project. CITY and the United States Government and/or their representatives shall also schedule on-site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants in said project and 951911.1 Exhig§ , 61 entering any premises or any site in which any of the services or activities funded hereunder is conducted or in which any of the records of SUBRECIPIENT are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. K. Location of Records/Requircd Length of Record Keeping. All accounting records, reports, and evidence pertaining to all costs, expenses and the CDBG FUNDS of SUBRECIPIENT and all documents related to this Agreement shall be maintained and kept available at SUBRECIPIENT'S office or place of business for the duration of the Agreement and thereafter for five (5) years after completion of an audit in conformity with the CDBG RECS. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. In the event SUBRECIPIENT does not make the above-referenced documents available within the city of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. L. Compliance with Law/Program Income. SUBRECIPIENT acknowledges that the funds being provided by CITY for said Project are received by CITY pursuant to the ACT as amended and that expenditures of these funds shall be in accordance with the ACT and all pertinent regulations issued by agencies of the federal government, including, but not limited to, all regulations found at Title 24 of the Code of Federal Regulations and specifically 24 CFR 570.504(c). Program income received by SUBRECIPIENT shall be returned to CITY unless otherwise provided for in this Agrminent. At the end of the program year, CITY may require remittance of all or part of any program income balances (including investments thereof) held by SUBRECIPIENT. SUBRECIPIENT agrees to comply fully with all federal, state and local laws and court orders applicable to its operation whether or not referred to in this Agreement. M. Standing. SUBRECIPIENT shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in the corporate status or suspension of SUBRECIPIENTshall be repotted immediately to CITY. N. Confidentiality. Without prejudice to any other provisions of this Ag*r•eement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerting participants in accordance with the requirements of federal and state law. However, SUBRECIPIENT shall submit to CITY and or HUD or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. 0. Independent Contractor. For purposes of implementing this Agreement, SUBRECIPIENT agrees that the performance of obligations hereunder is rendered in its capacity as an independent contractor and that it is in no way an agency of CITY. Notwithstanding the foregoing, this Agreement shall not diminish or affect the rights and responsibilities between CITY and SUBRECIPIENT as it respects CITY's status is a member of the Orange County Fire 953911 1 Exhil?§5'71 Authority P. Violation of Temns and Conditions. SUBRECIPIENT agrees that if SUBRECIPIENT violates any of the terms and conditions of this Agreement or any prior Agreement whereby CDBG funds were received by SUBRECIPIENT, or if SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain expenditures, SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay CITY all amounts spent in violation thereof. If SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the CDBG FUNDS granted hereunder, SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained/spent tinder fraudulent circumstances. Q. Equipment SUBRECIPIENT agrees not to use the CDBG FUNDS for the purchase of equipment. R. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use the CDBG FUNDS provided through this Agreement to pay for entertainment, meats or gifts. S. LobbyinQ. SUBRECIPIENT certifies that it will comply with federal taw (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in "Exhibit C,° attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT under the terms and conditions of this Agreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit a "Disclosure Fonn to Report Lobbying," in accordance with its instructions (see C-1). T. Financial Interest. SUBRECIPIENT agrees that except for the use of the CDBG FUNDS to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to CDBG activities assisted under the terms of this Agreement, or who are in a position to participate in a decision-making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a CDBG- assisted activity of SUBRECIPIENT, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. This prohibition applies to any person who is an employee, agent, consultant, officer, or elected or appointed official of CITY, or of any designated public agencies, or the SUBRECIPIENT. 9511111 Exhig§ ' $1 U. Davis-Bacon Act/ Section 3 Compliance All laborers and mechanics employed by contractors or subcontractors in the performance of construction work, including alterations and repairs, in excess of $2,000.00, financed in whole or in part with federal funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis-Bacon Act, as amended, 40 U.S.C. sections 276a - 276a-5. Any such construction contract shall include and comply with the required contract provisions and rules set forth in 29 C.F.R. §5.5. Further, the payroll reports (along with the "Statement of Compliance") and basic records are required to be maintained and submitted, or made available, pursuant to 29 C.F.R. §5.5(a)(3). No payment, advance, grant, loan or guarantee of funds shall be approved by the federal agency unless there is on file with the agency a certification by the contractor that the contractor and its subcontractors have c:omplitcl with the provisions of 29 C.F.R. §5.5. A breach of the contract clauses in 29 C.F.R. §5.5 may be grounds for termination of the contract, and for debarment as a contractor/subcontractor, as provided in 29 C.F.R. §5.12. Labor standards interviews/investigations shall be made as necessary to assure compliance [29 C.F.R. §5.6(a)(3)]. V. Economic Opportunities for Low income Persons. SUBRECIPIENT certifies that, to the greatest extent feasible, and consistent with existing Federal, State, and local laws and regulations, employment and other economic opportunities generated by the CDBG Funds disbursed pursuant to this Agreement will be directed toward low- and very low-income persons in accordance with Section 3 of the Housing and Urban Development Act of 1968 (12 USC 1701 u). Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. W. Drug Free Workplace. SUBRECIPIENT certifies that it has established the following drug-free workplace policy: (1) The unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the workplace for any employee involved in a federally funded project. (2) As an employee working in conjunction with a federally funded program, the employees of SUBRECIPIENT will be required to: a. Abide by the terms above in statement 1. b. Notify appropriate officials of SUBRECIPIENT and CITY officials of any criminal drug statute conviction for a violation occurring in the workplace not later than five days after such conviction. (3) The CITY and the Unitcd State Department of Housing and Urban Development will be notified within ten clays after receiving notice of any such violation. (4) Within 30 days of receiving such notice, appropriate personnel action will be taken against such employee, up to and including termination. Each such employee shall be required to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a federal, state or local health, law 9539111 Exhig§O-Q1 enforcement, or other appropriate agency. X Uniform Administrative Requirements. SUBRECIPIENT must comply with applicable uniform administrative requirements, as described in 24 CFR 570.502. Y. Other Program Requirements. SUBRECIPIENT agrees to carry out said Project in compliance with all Federal laws and regulations described in subpart K of the CDBG BEGS (24 CFR 570.600-614) except as otherwise stated in 24 CFR 570.503(5)(i)-(ii). 11. CITY'S OBLIGATIONS A. Payment of Funds. Upon execution of this Agreement by SUBRECIPIENT, CITY shall pay to SUBRECIPIENT from CDBG FUNDS received from HUD, for CITY's CDBG program, the amounts expended by SUBRECIPIENT in carrying out said Project for fiscal year 2013-14 pursuant to this Agreement up to a maximum aggregate payment of Eight Hundred Ninety Thousand Dollars ($890,000.00) in installments as determined by CITY. Payments shall be made to SUBRECIPIENT through the submission of invoices, detailing such expenses. CITY shall pay such invoices within thirty (30) days after receipt thereof provided CITY is satisfied that such expenses have been incurred and documented within the scope and provisions of this Agreement and that SUBRECIPIENT is in compliance with the terms and conditions of this Agreement. B. Audit of Account. CITY shall include an audit of the account maintained by SUBRECIPIENT in CITY's annual audit of all CDBG FUNDS in accordance with Title 24 of the Code of Federal Regulations and other applicable federal laws and regulations. C. Common Rule: Pursuant to 24 CFR 85.40(a), the CITY manages the day-to-day operations of each grant and subgant supported activities. CITY staff has detailed knowledge of the grant program requirements and monitors grant and subgrant supported activities to assure compliance with Federal requirements. Such monitoring covers each program, function and activity and performance goals are reviewed periodically. D. Environmental Review: In accordance with 24 CFR Part 58, the CITY is responsible for undertaking environmental review and maintaining environmental review records for each applicable project. E. Performance Monitotinu,: CITY shall monitor the performance of the SUBRECIPIENT against goals and performance standards required herein. Substandard performance as determined by the CITY will constitute non-compliance with this Agreement. If action to correct such substandard performance is not taken by the SUBRECIPIENT within a reasonable period of time after being notified by the CITY, contract suspension or termination procedures will be initiated. M. NONDISCRIMINATION SUBRECIPIENT agrees that no person on the ground of race, age, color, national origin, disability, religion or sex will be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with CDBG 95391 11 Exhi]40- 0 FUNDS IV. CONFLICT OF INTEREST Pursuant to the conflict of interest requirements set forth in 24 CFR 570-611 and OMB Circulars 1-102 and A-1 to, SUBRECIPIENT agrees that no officer, employee, agent or assignee of CITY having direct or indirect control of any CDBG monies granted to the CITY, inclusive of the subject CDBG FUNDS, shall serve as an officer of SUBRECIPIENT. Further, any conflict or potential conflict of interest of any officer of SUBRECIPIENT shall be fully disclosed in writing prior to the execution of this Agreement and said writing shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by SUBRECIPIENT to CITY regarding any changes or modifications to its board of directors and list of officers. V. PROHIBITION OF NEPOTISM SUBRECIPIENT agrees not to hire or permit the hiring of any person to fill a position funded through tlris Agreement if a member of that person's immediate family is employed in an administrative capacity by SUBRECIPIENT. For the purposes of this section, the term "immediate family" means spouse, child, mother, father, brother, sister, brother-in-law, sister-in-law, father-in- law, mother-in-law, son-in-law, daughter-in-law, aunt, uncle, niece, nephew, stepparent and stepchild. The term "administrative capacity' means having selection, hiring, supervisor or management responsibilities. VI. NOTICES Notices to the parties shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: TO CITY: City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702-1988 TO SUBRECIPIENT: Orange County Fire Authority I Fire Authority Road Irvine, CA 92602 Attn: Scott Brown, Division Chief VII, ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. 95}9111 Exhi]40_ .1 VIII. HOLD HARMLESS SUBRECIPIENT shall indemnify, defend and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all damages to or for loss of use of property and for injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnity and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and including attorney fees and reasonable expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and suppliers arising out of SUBRECIPIENT's performance of this Agreement. IX. INSURANCE SUBRECIPIENT represents that it is self-insured with limits not less than one million dollars ($1,000,000) per accident for worker's compensation claims. Furthermore, SUBRECIPIENT represents that it participates in the Fire Agencies Insurance Risk Authority (FAIRA) pooled group general liability insurance program, and that through FAIRA, SUBRECIPIENT maintains general liability coverage with a combined single limit of not less than one million dollars ($1,000,000) per occurrence. SUBRECIPIENT shall: (a) prior to exercising any right under this Agreement furnish CITY with a letter setting forth its self-insured retention and a summary of its coverage under FAIRA; (b) not materially change or terminate such insurance except on 30 days prior written notice to the CITY; and (c) maintain such insurance for the period covered by this Agreement. SUBRECIPIENT's insurance shall be primary with respect to insurance of self-insurance programs maintained by the CITY. X. REVERSION OF ASSETS A. Upon the expiration of this Agreement, SUBRECIPIENT shall transfer to CITY any CDBG fiords on hand at the time of the expiration of this Agreement as well as any accounts receivable attributable to the use of CDBG funds. (24 CFR 570.503(b)(7).) B. Any real property under SUBREC?PIENT's control that was acquired or improved in whole or in part with CDBG funds in excess of $25,000.00 must either be: (1) Used to meet one of the national objectives stated in 24 CFR 570.208 until five (5) years after expiration of this Agreement, or for such longer period of time as determined to be appropriate by CITY; or (2) Not used in accordance with subparagraph I above, in which event SUBRECIPIENT shall pay to CITY an amount equal to the current fair market value of the property less any portion of the value attributable to the expenditure of non-CDBG FUNDS for acquisition of, or improvement to, the property. Such payment is program income to CITY. No such payment is required following the period of times specified pursuant to subparagraph 953911 1 10 Exhig§P-V I above. C. Subject to the obligations set forth herein, title to equipment acquired under the terms of this Agreement will vest upon acquisition in SUBRECIPIENT. When said equipment which has been acquired in accordatce with this Agreement and all applicable regulations is no longer needed for said project, disposition of said equipment will be made as follows: (1) Items of equipment with a current per unit fair market value of less than $5,000.00 may be retained, sold or otherwise disposed of with no further obligation to CITY. (2) Items of equipment with a current fair market per unit value of $5,000.00 or more may be retained or sold and CITY shall have the right to an amount calculated by multiplying the current market value or proceeds from the sale by CFCY's share of federal funds used to acquire the equipment, in accordance with 24 CFR 85.32(c)(2). SUBRECIPIENT's obligations and responsibilities set forth in this paragraph "X. REVERSION OF ASSETS" and in paragraph "XI. TERMINATION" and other requirements pertaining to program income shall not be affected by the termination of this Agreement and shall survive the date of termination of this Agreement for such period of time as CITY and/or HUD deems necessary for the responsibilities, duties and obligations to be performed and completed to the satisfaction of CITY and HUD. X1. TERMINATION A. This Agreement may be terminated on thirty (30) days' written notice by either party. In the event of such termination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred to the effective date of termination. B. This Agreement may be suspended or terminated by CITY upon five (5) days' written notice for violation by SUBRECIPIENT of Federal Laws governing the use of Community Development Block Grant Funds. In the event of such suspension or termination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. C. Pursuant to 24 CFR 85.43, in the event SUBRECIPIENT defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to SUBRECIPIENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If tenminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory 95391II 11 Exhig§P-10 manner, and (2) costs incurred by CITY in obtaining substitute performance. D. The grant of funds under this Agreement may be terminated for convenience in accordance with 24 CFR 85.44. E. In the event this Agreement is terminated as set forth in subparagraphs XI.A. through XI.D., inclusive, SUBRECIPIENT agrees to immediately return to CITY upon CITY's demand and prior to any adjudication of SUBRECIPIENT's rights, any and all CDBG FUNDS not used, and to comply with paragraph "X. REVERSION OF ASSETS" of this Agreement. XIL LIMITATION OF FUNDS The United States of America, through HUD, may in the future place programmatic or fiscal limitations on the use of CDBG funds which limitations are not presently anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account of actions affecting HUD program funding. In the event of funding reduction, CITY may, in its sole and absolute discretion, reduce the budget of this Agreement as a whole or as to costs category, may limit the rate of SUBRECIPIENT's authority to commit and spend funds, or may restrict SUBRECIPIENT's use of both its uncommitted and its unspent funds. Where HUD has directed or requested CITY to implement a reduction in funding, in whole or as to a cost category, with respect to funding for this Agreement, CITY's City Manager or delegate is authorized to act for CITY in implementing and effecting such a reduction and in revising, modifying, or amending the Agreement for such purposes. If such a reduction in funding occurs, SUBRECIPIENT shall be permitted to de-scope accordingly. Where CITY has reasonable grounds to question SUBRECIPIENT's fiscal accountability, financial soundness, or compliance with this Agreement, CITY may suspend the operation of this Agreement for up to sixty (60) days upon five (5) days written notice to SUBRECIPIENT of its intention to so act, pending an audit or other resolution of such questions. In no event, however, shall any revisions made by CITY affect expenditures and legally binding commitments made by SUBRECIPIENT before it received notice of such revision, provided that such amounts have been committed in good faith and are otherwise allowable and that such commitments are consistent with IIUD cash withdrawal guidelines. XIIL EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of CITY's CDBG funds by SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such employment in any manner whatsoever. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. XIV. LAWS GOVERNING THIS AGREEMENT This Agreement shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. 95;911 I 12 Exhika?P-14 XV. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XVI. MISCELLANEOUS PROVISIONS A Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY or SUBRECIPIENT fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY or SUBRECIPIENT in the event that such authority or power is not, in fact, held by the respective signatory or is withdrawn. B. All Exhibits and Attachments referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. C. No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terms of this Agreement shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or agreement herein contained. 953911.1 13 Exhil?§P- l5 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the last date and year written below. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: LISA E. STORCK Assistant City Attorney ATTEST: Sherry / Clerk he Bo ec! APPROVED AS TO FORM: DAVID E. KENDIG General Counsel i 1751911.1 CITY OF SANTA ANA Kevin O'Rourke Interim City Manager Date: ORANGE COUNTY FIRE AUTHORITY ? i Stcven Weinberg Board Chair Date: 14 Exhig§P- 16 Exhibit A ORANGE COUNTY FIRE AUTHORITY P.O. Box 571 15 Irvine CA 92619-7115 • 1 Fire Authority Road Irvine CA 92602 Keith Richter, Fire Chief (714) 573-6000 www.ocfa.org DATE: June 17, 2013 TO: Kevin O'Rourke, Interim City Manager FROM: Scott Brown, Division Chief, OCFA/City of Santa Ana Fire Services SUBJECT: Capital Improvement Plan, City, Owned Fire Facilities Summary: This item is submitted for discussion and subsequent policy direction for utilization of CDBG funding allocated for City owner fire facilities. Policy Discussion(s): 1. Assess pending Capital Improvement projects for (10) Santa Ana Fire station facilities 2. Direct staff to review project(s) as identified by OCFA (enclosed in this report) 3. Determine if projects meet funding criteria 4. Re-authorize expenditures as identified in CDBG - Public Facility Improvement - fire station fund 5. Develop project timeline for completion of identified CIP related projects for Fire facilities Backeround• In April 2012, the Orange County Fire Authority assumed Fire/ EMS services for the City of Santa Ana. "fen fire stations are strategically located within the City providing fire and ems emergency response within the City. The OCFA property management section conducted a cursory review of (10) Santa Ana Fire Stations to assess/ evaluate overall conditions of the facilities, the inspection included the following functional areas; • Electrical • Plumbing HVAC • Emergency Generators • Roots • Apparatus Bay Doors • Diesel Exhaust Collection • Underground Storage Tanks • Dorm, bath, and storage configuration 25D-17 June 17, 2013 Page 2 Post inspection findings revealed facilities to be in overall serviceable condition - however structural elements (roofs) of some stations, kitchens and dorm areas were identified as requiring remodel repair and/or replacement. Many of these issues arc attributable to the age of each station and by deferred maintenance. City of Santa Ana Fire Stations Fire Station 71 13 years old 1029 W. 17'„ Street Fire Station 72 47 years old 1668 E . 4°i Street Fire Station 73 51 years old 419 S. Franklin Street Fire Station 74 33 years old 1427 S . Broadway Avenue Fire Station 75 58 years old 120 W. Walnut Street Fire Station 76 33 years old 950 W. MacArthur Boulevard Fire Station 77 54 years old 2317 S. Greenville Street Fire Station 78 52 years old 501 N. Newhope Street Fire Station 79 25 years old 1320 E . Warner Avenue The current Fire/Emergency Medical Services contract stipulates that the City shall be responsible for Alterations and improvements identified as a Capital Improvement or any single project that exceeds a cost of 15,000, these improvements/ projects may include seismic repair, major remodel, and renovation. Contact for further information: Scott Brown, Division Chief scottbrown(&ocfa.ora 714-567-3234 Enclosed in this Report: Project Justification/Description/Estimated/Budget/Photos 25D-18 June 17, 2013 Page 3 Justification: The HVAC control system is 10 years old and does not function as designed. Carrier no longer manufactures the control system and does not support it in the field. Technical information is no longer available and repair parts/systems are not available. The control system malfunctions frequently requiring a costly repair, and operates less effectively, thus wasting power. Replacement will result in a more efficient IiVAC operation and attendant cost savings. Estimated Budget: $75,000* Scope of Design and procure HVAC control system, demolish/remove current system, Work: install replacement controls, program, test and finish as required. *Estimated budget does not include roof systems bid: Fair I BUR Cap Sheet 14,500 4 to 5 years $1350 R5 nnn See photos on the next page. 25D-19 June 17, 2013 Page 4 25D-20 Generator June 17, 2013 Page 5 25D-21 June 17, 2013 Page 6 Project: (1) Dormitory Privacy (2) Remodel kitchen (3) Remodel crew bathroom Justification: (1) The station is 47 years old. Fire fighters are housed in a single dormitory room that is inappropriate for mixed gender assignment. Crew does not have adequate facility to store clothing and personal items. The common sleeping arrangement provides no privacy and makes quality rest difficult. Installation of privacy cubicles with doors and uniform lockers will bring the space into compliance with OCFA habitability standards and facilitate mixed gender use. General improvement of the space attending the cubicles will improve the quality of life for the crew. (2) The station kitchen has exceeded reasonable service life. All kitchen systems afro old, many broken and difficult to maintain in safe, sanitary, serviceable conditions. The space does not support the need of station personnel and does not meet OCFA standards for crew kitchens. The attached photographs illustrate the problematic issues. (3) The crew bathroom has exceeded reasonable service life. All systems and fixtures arc old, marginally serviceable and difficult to maintain in safe, sanitary, serviceable condition. The attached photographs illustrate the problem. Estimated Budget: (1) Dormitory Privacy $25,000 (2) Remodel Kitchen $75,000 (3) Remodel Crew Bathroom $50,000 Total: $150,000* Scope of (1) Demolition of the current interior space and installation of new flooring, Work: replacement of overhead lighting, new window covering, procurement and installation of pre-fabricated cubicles with privacy door, procurement and installation orumforin and equipment locker, paint and finish. (2) Demolition of the existing kitchen space. Procurement and installation of new flooring, lighting systems, lower and upper cabinets, installation of SS counter system with integral single large sink and disposal systems, replacement of faucets and fixtures, upgrade of electrical, replacement of dishwasher, range with ventilation and refrigerators, painting and finish. (3) Demolition of existing bathroom. Installation of new flooring, overhead lighting, exhaust ventilation, cabinets, shelving, counter, sink, and fixtures. Replacement of privacy showers and fixtures and painting and finish. *Estimated budget does not include roof systems bid: 3to5 25D-22 June 17, 2013 Page 7 25D-23 June 17, 2013 Page 8 Kitchen Flooring 25D-24 June 17, 2013 Page 9 25D-25 June 17, 2013 Page 10 namroom 25D-26 June 17, 2013 Page I I 25D-27 June 17, 2013 Page 12 Justification: (1) The station is 51 years old and nearly all of the major building systems exceed economical service life. The roof is 45 years old. Numerous repairs and chronic failure is beyond economical repair. Roof failure/leaks pose a risk for additional structural damage and the introduction of mold into the station. (2) The crew bathroom exceeds reasonable service life. It is difficult to maintain in it sanitary, service condition. It does not meet OCFA standards for station habitability. See attached photographs. Estimated Budget: 1) Replace Roof $40,000 (2) Remodel Crew Bathroom $50,000 Total: $90,000 Scope of (I ) Tear-off/removal of the existing roof and replacement with a cementious Work: tile roofing system. (2) Demolition of existing bathroom. Installation of replacement flooring, overhead lighting, exhaust ventilation, cabinets, shelving, counter, sink, and fixtures. Installation of privacy showers and fixtures, painting and finish. See photos on the next page. 25D-28 (2) Remodel Crew Bathroom June 17, 2013 Page 13 25D-29 June 17, 2013 Page 14 25D-30 June 17. 2013 Page 15 25D-31 June 17, 2013 Page 16 Justification: The station is 33 years old. The improvements described are limited to the fire station side of the building. Firefighters are housed in a single dormitory room that is inappropriate for mixed gender assignment. Installation of privacy cubicles with doors and uniform lockers will bring the space into compliance with OCFA standards. The station kitchen has exceeded its reasonable service life. Kitchen systems are old, broken and difficult to keep sanitary, safe and serviceable. It no longer meets the need of station personnel and does not meet OCFA standards for a crew kitchen. Photos attached. The crew bathroom has exceeded reasonable service life and is inappropriate for mix gender assignment. Photos attached. Estimated Budget: (1) Dormitory Privacy $25,000 (2) Remodel Kitchen $75,000 (3) Remodel Crew Bathroom $60,000 Total: $160,000* Scope of (1) Demolition of current interior space and installation of new Work: flooring, replacement of overhead lighting, new window covering, procurement and installation of pre-fabricated cubicles with privacy door, procurement and installation of uniform and equipment locker. (2) Demolition of existing kitchen space. Procurement and installation of new flooring, lighting systems, lower and upper cabinets, installation of SS counter system with integral single large sink and disposal systems, replacement of faucets and fixtures, upgrade of electrical, replacement of dishwasher, range with ventilation and refrigerators, painting and finish. (3) Demolition of existing space. Procurement and installation of replacement flooring, overhead lighting, exhaust ventilation. cabinets, shelving, counter, sink, and fixtures. Installation of privacy showers and fixtures, painting and finish. *Estimated budget does not include roof svstems bid: Fair-Poor Foam and Tile A,000 6-8 & 3-4 (tile) $L,200 $I 10,000 See photos on the next page. 25D-32 (2) Remodel kitchen (3) Remodel crew bathroom June 17, 2013 Page 17 25D-33 June 17, 2013 Page 18 Kitchen 25D-34 June 17, 2013 Page 19 Kitchen 25D-35 June 17, 2013 Page 20 25D-36 June 17, 2013 Page 21 Dorms 25D-37 June 17, 2013 Page 22 Bathroom 25D-38 June 17, 2013 Page 23 Justification: (1) The station is 58 years old. It houses 8 firefighters comprising of two companies. Firefighters sleep in a single dormitory room that is inappropriate for mixed gender assignment. The dorm environment is open and provides no privacy. Installation or privacy cubicles with doors and uniform lockers will allow mixed gender habitation and bring the space into compliance with OCFA habitability standards. (2) The crew bathroom has exceeded reasonable service life. It is inappropriate for mix gender assignment. The bathroom is historic in its design and materials. The rehabilitation of the space would bring up certain aspects of the space to modem standards while preserving the historic elements. See attached photographs. Estimated Budget: (1) Dormitory Privacy $40,000 (2) Remodel Crew Bathroom $60,000 Total: $100,000* Scope of Work: (1) Demolition of current interior space and installation of new flooring, replacement of overhead lighting, new window covering, procurement and installation of pre-fabricated cubicles with privacy door, procurement and installation of uniform and equipment locker. (2) Demolition of'certain elements existing space. Solid wood cabinet fixture would be renovated, vintage porcelain tile and certain fixture would be preserved and renovated. Flooring would be ground, polished and renovated, overhead lighting replaced, electrical upgrade, exhaust ventilation, sinks, fixtures renovated /replaced as required, privacy showers installed, painting and finish. does not include roof systems bid L Fair Foam & BUR 1 7 000 5-6 (foam) & 3-5 $ 1300 $75,000 NOTE: Station 75 has a very damaged PVC membrane roof section on this building. This roof section was replaced with a double layer of Modified Bitumen roof membrane. This work is under warranty for 10 more years. **Estimated budget does not include HVAC systems bid: f IP unit is approaching the end of its life. Depending on any future repairs a replacement would probably be salted in the next couple of years. Leak found in the server room unit and a replacement of the line set must take place. See photos on the next page. 25D-39 (2) Remodel crew bathroom June 17, 2013 Page 24 worms 25D-40 June 17, 2013 Page 25 25D-41 June 17, 2013 Page 26 Justification: (t) The station is 33 years old. Firefighters are housed in a single dormitory room that is inappropriate for mixed gender assignment. Installation of privacy cubicles with doors and uniform lockers will bring the space into compliance with OCFA habitability standards. (2) The station roof is original, over thirty years old, it is in poor condition. It fails continuously and cannot be economically repaired. (3) The crew bathroom has exceeded reasonable service life and is inappropriate for mix gender assignment. See attached photographs. Estimated Budget: (1) Dormitory Privacy $25,000 (2) Replace roof' $44,000 (3) Remodel Crew Bathroom $60,000 Total: $129,000 Scope of (1) Demolition of current interior space and installation of new flooring, Work: replacement of overhead lighting, new window covering, procurement and installation of pre-fabricated cubicles with privacy door, procurement and installation of uniform and equipment locker. (2) Demolition/tear-off of the existing gravel built-up roof and replacement of 6,400 square feet of modified bitumen roof. (3) Demolition of existing space. Procurement and installation of replacement flooring, overhead lighting, exhaust ventilation, cabinets, shelving, counter, sink, and fixtures. Replacement showers and fixtures and painting and finish as required. See photos on the next page. 25D-42 (2) Replace roof (3) Remodel crew bathroom June 17, 2013 Page 27 25D-43 June 17, 2013 Page 28 25D-44 June 17, 2013 Page 29 25D-45 June 17, 2013 Page 30 25D-46 June 17, 2013 Page 31 (2) Replace flooring (3) Replace Roof Justification: (1) The station is 54 years old. Firefighters are housed in a single dormitory room that is inappropriate for mixed gender assignment. Installation of privacy cubicles with doors and uniform lockers will bring the space into compliance with OCFA habitability standards. (2) The current flooring is a mix of original and added carpet. The entire interior is beyond serviceability and requires replacement. (3) The station roof is a replacement foam roof system approaching the end of its serviceable life. It fails frequently. Continued repair will not provide added life. Estimated Budget: (1) Dormitory Privacy $25,000 (2) Replace flooring $25,000 (3) Replace roof $25,000 Total: $75,000 Scope of (t) Demolition of current interior space and installation of new flooring, Work: replacement of overhead lighting, new window covering, procurement and installation of pre-fabricated cubicles with privacy door, procurement and installation of uniform and equipment locker. (2) Demolition/removal of all current floor covering, repair of flooring base and installation of 18X18 composite vinyl tile, trim, base molding, finish and paint as required. (3) Demo] ition/tear-o ff of existing roof, repair as required, and addition of a cricket drain and application of a buildup modified bitumen roof system. Finish as required and installation. See photos on the next page. 25D-47 June 17, 2013 Page 32 25D-48 June 17, 2013 Page 33 Dorms 25D-49 June 17, 2013 Page 34 Justification: (1) The station is 33 years old. Firefighters are housed in a single dormitory room that is inappropriate for mixed gender assignment. Installation of privacy cubicles with doors and uniform lockers will bring the space into compliance with OCFA habitability standards. (2) The crew bathroom has exceeded service life and is inappropriate for mix gender use. See attached photographs. (3) The existing roof is more than 25 years old and has reached serviceable life. It fails continuously and is not economical to repair. Frequent leak/failure risks damage to internal building structures and spaces. Estimated Budget: (1) Dormitory privacy <$25,000 (2) Remodel crew bathroom $30,000 (3) Replace roof $33,000 Total: $88,000 Scope of (1) Demolition of current interior space and installation of new flooring, Work: replacement of overhead lighting, new window covering, procurement and installation of pre-fabricated cubicles with privacy door, procurement and installation of uniform and equipment locker. (2) Demolition of existing space. Installation of replacement flooring, overhead lighting, exhaust ventilation, cabinets, shelving, counter, sink, and fixtures. Replacement showers and fixtures and painting and finish as required. (3) Demolition/tear-off of the existing shingle roof, substrate repair as required and replacement with a modified bitumen roof system finish as required. See photos on the next page. 25D-50 (2) Remodel crew bathroom (3) Replace roof June 17, 2013 Page 35 25D-51 June 17, 2013 Page 36 uonns 25D-52 June 17, 2013 Page 37 nammom 25D-53 June 17, 2013 Page 38 (2) Replace flooring Justification: (1) The station is 25 years old. The shower systems in each crew bathroom are failing, leaking through shower wall and the shower floor pan. Leaking is causing damage to the building structure. (2) Carpet throughout the station is badly worn, torn and railing. It has exceeded service life. The carpet chronically separates at seams and loses adhesion to the floor, and has become a hazard. Estimated Budget:., (I) Upgrade/repair showers $50,000 (2) Replace flooring $30,000 Total.: $80,000 Scope of (1) Demolition of existing show stalls, repair as required, installation of Work: shower walls, tile, hot mop, replace pan tile, grout paint and finish as required. (2) Demo] ition/removal of all current floor covering, repair of flooring base and installation of 18X18 composite vinyl tile, trim, base molding, finish and paint as required. See photos on the next page. 25D-54 June 17, 2013 Page 39 25D-55 June 17, 2013 Page 40 Shower Flooring 25D-56 June L7,2013 Page 41 25D-57 June 17, 2013 Page 42 Flooring 25D-58 0 0 0 r: 0 m h X ce N a F N O u a H V) C CU O_ .u Y N v v L W a ? Q a a 3 a O o U L ? O L v? o L y_ a Zi U o ? u c v L 13) Q C a d c 0 m m m 'm 0 a u io G 'O 'C Q 25D Exhibit B Certification Regarding Lobbying Certification for Contracts. Grants Loans and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contact, grant, loan or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontract, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Program . /zb-? /D. Z • & O Date EXHIBIT B Page I oft 25D-60 SUBRECIPIENT warrants the following 1. SUBRECIPIENT will comply with Public Law 88-352, Title VI ofthe Civil Rights Act of 1964 (42 U. S. C. section 2000 et seq.) and implementing regulation in 24 CFR Part 1. 2. No person in the United States shall on the ground of race, color, religion, national origin, or sex, be excluded from participation in, or be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with community development funds made available pursuant to the ACT. 3. All laborers and mechanics, employed by contractors or subcontractors in the performance of construction work financed in whole or in part with community development funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis-Bacon Act, as amended, 40 U. S. C. Sections 276 a 1-5, except for individuals who perform services for which they volunteered; do not receive compensation for such services; or are paid expenses, reasonable benefits, or a nominal fee for such services; and are not otherwise employed at any time in construction work. 4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded with community development funds, except that (a) SUBRECIPIENT does not assume CITY'S environmental responsibilities described at 24 CFR 570.604; and (b) SUBRECIPIENT does not assume CITY'S responsibility for initiating the review process under Executive Order 12372. EXHIBIT B Page 2 oft 25D-61 25D-62 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: AGREEMENT WITH HADRONEX, INC., FOR REMOTE ALARM MONITORING AND MANAGEMENT SERVICES CITY MAN-A-GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2otl Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Hadronex, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide two- way wireless communication, real-time, continuous, remote alarm monitoring management services, in an amount not to exceed $75,000 annually, for a term of one year, with the option to extend for up to three additional one-year periods exercisable by the City Manager. DISCUSSION The proposed agreement with Hadronex, Inc., will provide the City with a preventive mechanism to immediately identify sewer system overflows in compliance with the State's waste discharge requirements. The City of Santa Ana's sanitary sewer collections system comprises approximately 390 miles of sewer mains, two sewer lift stations, 48,500 sewer laterals, and 8,000 sewer manholes that are used to convey all sewer effluent from the city into the Orange County Sanitation District system. In accordance with the City's Sewer System Management Plan and the State's waste discharge requirements, the City must inspect, assess, and maintain the sanitary sewer system in good repair. The SmartCover® technology developed by Hadronex, Inc., is a state-of-the-art system to assess flow level surges inside sewer manholes and prevent possible sewer system overflows. Real-time continuous remote sensors transmit alarms through two-way wireless communication and provide data in an easy-to-use web-based interface. The agreement includes inspection, monitoring, maintenance, and equipment for 20 SmartCover® alarm monitoring devices. The City will also secure additional SmartCover® units to be deployed at strategic locations throughout the city. Hadronex, Inc., has been providing remote alarm management services to the City since 2010, and has a history of providing these same services to other cities and utility agencies. The SmartCoverO system has been proven effective to date, and has enhanced the City's ability to comply with the State's wastewater discharge requirements. 25E-1 Agreement with Hadronex, Inc. October 21, 2013 Page 2 Staff recommends awarding a contract to Hadronex, Inc., for a one-year term, for a not-to-exceed amount of $75,000, with an option for renewal for up to three additional one-year periods. The contractor has the resources and experience required to provide remote alarm monitoring and management services as needed. ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Sanitary Sewer Service fund (Account 05617640-62300). 1? Edwin "William" Gap Interim Executive Dire Public Works Agency EWG/NS/AF Exhibits: 1. Contract Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25E-2 LICENSE AND WARRANTY AGREEMENT THIS AGREEMENT, made and entered into this 21" day of October, 2013 by and between Hadronex Incorporated, 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. Contractor manufactures and installs the Hadronex SmartCover Monitoring and Alarm System (hereinafter "SmartCover"), designed to provide an alerting system for sewer systems overflow and encroachment. B. City has purchased and installed SmartCover equipment provided by Hadronex and now desires to purchase SmartCover site monitoring services. C. Contractor represents that it is able and willing to provide such services to the City. D. 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. SCOPE OF SERVICES Contractor shall provide active site monitoring services for all terrestrial and satellite SmartCovers installed in the City of Santa Ana, as set forth in Exhibit A, attached hereto and incorporated by this reference. Contractor will provide and install additional SmartCovers, at the request of City and at the prices set forth in Exhibit A. During the term of this Agreement, City shall retain the option to purchase extended warranty services for all SmartCovers installed in the City, at the warranty rates set forth in Exhibit A. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total sum to be expended under this Agreement shall not exceed $75,000, annually, during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2014, unless terminated earlier in accordance with Section 11, below. The City is hereby granted the option to 25?-3 extend the term for up to three additional one-year periods, by a writing executed by the City Manager and the City Attorney. 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence and 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. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: 25-4 (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. e. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the Contractor or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services provided pursuant to this Agreement. Contractor's liability for claims arising in relation to monitoring services provided pursuant to this Agreement, whether in contract, tort or otherwise, shall not exceed the amount of fees paid by City to Contractor under this Agreement during the twelve months preceding the claim. In no event shall Contractor be liable for any loss of business profits, consequential or indirect damages arising from the negligence of Contractor in providing monitoring services pursuant to this Agreement. This limitation does not apply to liability arising from the installation or maintenance of the equipment provided pursuant to this Agreement. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 8. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714-647-6956 25E?-5 With courtesy copies to: Public Works Agency- Water Resources City of Santa Ana 220 South Daisy (M-85) Santa Ana, California 92703 Fax 714- 647-3345 and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647-6515 To Contractor: Hadronex Incorporated Frani Holtz 381 Engel Street Escondido, California 92029 Fax 760-291-1982 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 9. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the evens of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 10. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 25ff--6 11. TERMINATION This Agreement may be terminated by either party upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination. However, payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 12. DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 14. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 15. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25e-7 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA 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, P.E. Acting Executive Director Public Works Agency DAVID CAVAZOS City Manager HADRONEXINCORPORATED DAVID A. DRAKE President 25t-8 EXHIBIT A SCOPE OF SERVICES 25E'--9 SMARTCOVER® QUOTATION For City of Santa Ana Monday, October 07, 2013 25E-10 QUOTATION 1-4A0/RO/'7CX Hadronex Price List Part # Item or Kit Price Annual Active Site Monitoring Fee, Terrestrial $300.00 Annual Active Site Monitoring Fee, Satellite $364.00 Annual Power Service $225.00 KITS 1001K CompleteSmartCoverFieldUnit - Terrestrial $3,071.00 1002K Complete SmartCover Field Unit - Satellite $3,571.00 1011K Installation Kit-Terrestrial $258.00 1021K Installation Kit-Satellite $273.00 1031K DSM Exchange Kit $445.00 1041K Terrestrial Relocation Kit $258.00 1051K Satellite Relocation Kit $273.00 1061K Satellite Upgrade Kit 52.1 $2,482.00 1071K Non-Returned Stache Software Upgrade Unit $716.41 1081K Mountable NEMA 4X Engineered Enclosure $350.00 1091K NEMA 4X Enclosure - Satellite Unit Installed $4,569.93 PARTS 2001 Terrestrial EBox Only $1,817.00 2002 Satellite EBox Only $2,317.00 2003 V4.0 PowerPack $225.00 2004 Short Range DSM $930.00 2013 Long Range DSM $1,279.00 2005 Botton Bracket, Mech Mount, Inverse Flap $49.50 2006 Bottom Bracket, Mech Mount, Flat $49.50 2007 Top Bracket - Small Format (Terrestrial) $49.50 2008 Top Bracket - Large Format (Satellite) $49.50 2009 D-Flat Antenna Only (Terrestrial) $189,00 2010 D-Flat Minor Antenna Only (Satellite) $239.00 2011 Extra Mounting Glue (two-part) $84.98 2012 Extra Mounting Glue Mixing Tips $4.15 2013 2-Part Glue Gun $132.91 Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 2 25E-11 J- /AGPtOr7WX 2014 4" Coaxseal Strip $0,79 2015 18" SS security cable - NO LONGER OFFERED N/A 2016 3/8" Co Drill Bit $18,59 2017 1/4" Co Drill bit $8.18 2018 DSM Cable - beyond 15' length - per foot $2.89 2133 Satellite Communications Detector RFnn nn SmartCover°- S Monitoring System Hadronex is pleased to provide to the City of Santa Ana the following quotation for the implementation of the SmartCovero- S Monitoring System. SECTION 1. PRICING Item # Item Quantity Unit Price Total Equipment 1 SmartCover°"-S Units $3,571 ea $3,571 2 Installation Kit $348 ea $348 TOTAL HARDWARE (not including tax) $3,919 Service 3 Installation Labor $202 ea $202 TOTAL SERVICE 202 TOTAL PRICE INSTALLED WITH FIRST YEAR ASM (not including tax) Please see pricing notes in the next section $4,121 The pricing immediately above is applicable to quantities of 1-9 units. The prices do not include any applicable tax ,Y . ..y Item # Item Quantit y Unit Price Total ASM for Existing Units 1 Active Site Monitoring, Terrestrial 8 $300 ea $2,400/year 2 Active Site Monitoring, Satellite 13 $364 ea $4,732/year Extended Warranty 3 Extended Warranty-Terrestrial Parts Only 8 $315 ea $2,520/year 4 Extended Warranty-Satellite Parts Only 13 $399 ea $5,187/year 3 Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 25E-12 / 4^J=PFOP7ffM Labor Option for Extended Warranty TOTAL WITHOUT LABOR OPTION TOTAL WITH LABOR OPTION $14,839 $23,239 Pricing Notes: 1. Shipping is included in the price. 2. Warranty Labor is included for the first year. Ongoing Annual Costs Active Site Monitoring (ASM) $364 per unit per year Power Pack Replacement $225 per unit as needed EXTENDED WARRANTY OPTIONS Warranty Period (Years) - circle one 1 2 3 4 5 • Warranty price will be $315/$399 year plus local CPI as applicable over the Warranty Period. Choosing a longer Warranty Period locks in this price over the period of Warranty. Prices may change in subsequent years. • Annual invoicing for Warranty coverage will occur approximately 60 days prior to start of annual period of warranty coverage. Extended Warranty Services The Standard Extended Warranty covers the following product components: 1. SmartCovere E- Box 2. Distance Sensing Module (DSM) 3. Antenna 4. Bracket Hadronex shall warrant the items listed above to be free from material defects inmaterial and workmanship for the duration of the warranty period shown above. The PowerPack warranty is independent of this Extended Warranty. The SmartCovere PowerPack is a consumable item and requires annual replacement. New SmartCover® Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 21 $400 ea $8,400/year 25E-13 /- /ACIROP7mJl PowerPacks carry their own 12-month warranty for defects in material and workmanship. Should a component fail as a result of a defect in material or workmanship, Hadronex will replace the component or repair it at the Hadronex location. For all valid warranty claims, Hadronex shall pay freight charges to and from the customer. To be eligible for warranty replacement, the following procedures shall be followed: 1. When a component fails or failure is expected, the Customer contacts Hadronex. 2. Based upon the information gathered, Hadronex may authorize hardware replacement. 3. If hardware replacement is authorized, the old component is returned to Hadronex for evaluation and warranty determination. 4. Upon confirmation of a valid warranty claim, Hadronex will authorize the Customer to keep the replacement component. No further action is required. 5. If, after evaluation by Hadronex, the component failure is not due to a material defect in material or workmanship, the Customer will be invoiced for the component and related freight charges. Determination of warranty coverage shall be at the sole discretion of Hadronex. Extended Warranty Services Including Labor Hadronex will provide field service to perform Extended Warranty work. Labor required performing work outside of Standard Extended Warranty support is not covered by this Warranty. THIS EXTENDED WARRANTY IS THE SOLE AND EXCLUSIVE WARRANTY COVERING THE PRODUCTS NOTED ABOVE. HADRONEX DISCLAIMS ANY AND ALL OTHER WARRANTIES EXPRESS OR IMPLIED. THIS EXTENDED WARRANTY DOES NOT COVER DAMAGE OR REPAIRS OR REPLACEMENTS BY ANY CAUSE BEYOND THE CONTROL OF HADRONEX, INCLUDING ACTS OF NATURE, IMPROPER USE, LACK OF PRIOR MAINTENANCE OR UNAUTHORIZED REPAIR. REPLACEMENT AS PROVIDED UNDER THIS EXTENDED WARRANTY IS THE EXCLUSIVE REMEDY OF CUSTOMER. HADRONEX SHALL NOT BE Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 25E-14 /- /ACP FJ= 7G?C LIABLE FOR ANY ACTUAL, EXEMPLARY, INDIRECT OR CONSEQUENTIAL DAMAGES, INCLUDING DAMAGES FOR LOSS OF GOODWILL OR PROFITS AND/OR LOSSES FROM ANY CAUSE WHATSOEVER, EVEN IF HADRONEX HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGE. SECTION 2. PRODUCT DESCRIPTION Each SmartCovero-S Unit includes the following: • one (1) SmartCovere-S Electronics Unit (E Box) • one (1) Ultrasonic Distance Sensing Module (DSM) with connecting cable. • one (1) Communications antenna specifically designed for the service. • one (1) SmartCovee PowerPackTM Item Descriptions: E-Box - The E-Box is an ABS plastic case that contains the satellite radio, computer and other power supply and signal processing components. It is fully potted and can be completely submerged in water and shock tested to 10 G's. The E-Box meets IP-68 environmental standards. Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 25E-15 /-fAOP FOr7CX PowerPackTM - A urethane coated pack of Lithium Thionyl Chloride primary batteries that will last at least one year and generally longer under normal operating conditions. Powerpacks have a 10 year shelf life. Distance Sensing Module (DSM) - The ultrasonic distance sensor is encased in ABS plastic and is fully potted with IP-68 environmental rating. Sensor is self- calibrating and completely water-proof. Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 25E-16 NAGPFonWx E-SguareTm Antenna - A new version of the satellite antenna, the E-Series antenna is traffic rated and constructed for high traffic situations. The "E-Square TM" is a road- reflector based antenna appropriate for all areas EXCEPT those subject to snowplows. Mounting Bracket - The mounding bracket is made of anodized aluminum. It houses all components described above except the DSM. The bracket is a sturdy assembly designed to protect the components from harm. Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 25E-17 Unit installed on underside of manhole cover. !-IAOROr7WX SECTION 3. DESCRIPTION OF THE SATELLITE COMMUNICATION SYSTEM The SmartCover° communication system is unique in that it does not use GSM, GPRS or any other cell phone based system to communicate from the manhole location. SmartCover® uses the highly reliable Iridium satellite system as the communications backbone. Iridium is a state of the art system of 66 Low Earth Orbiting (LEO) satellites with 6 orbiting spares. This satellite system has many years of reliable experience. The SmartCover° system uses 2048 bit encrypted servers stored in a climate controlled and secure facility. The servers are redundant and have an emergency power supply to prevent any interruptions. The Hadronex Secure Servers store historical Communication, Data Storage, and Data Access information, available through any web server via encrypted data and send notifications directly to you. Being a web or cloud based system; data is available at all times through any computer via access to the internet. IT IS NOT NECESSARY FOR THE CITY OF SANTA ANA TO PURCHASE ANY SPECIAL COMPUTER PROGRAMS. Iridium Satellite Constellation Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 25E-18 f-fADreonax As seen below, the SmartCover° communicates directly to an orbiting satellite. The communications signal is then sent to earth link stations of Iridium and then to Hadronex secure servers. Alarm signals are subsequently sent to the City of Santa Ana via cell phone, Smart Phone, digital pager and to computers via the internet. Should you want the alarms sent to a central control room, it can easily be accommodated. This communication system also operates in reverse. If the City of Santa Ana wishes to change the alarm distance it is done via the City of Santa Ana management page on the secure City of Santa Ana web page. This is then sent to the Hadronex servers and through the Iridium system down to the unit attached to the manhole cover. There is never a need to go to the site to make any of these changes. The units can also be turned on and off by this same method. <'?iKrenp-? :- Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 10 25E-19 SmartCover® communications system NADRO/'7SX System Operations The SmartCover° system works by taking a distance measurement every 6 minutes using the DSM (ultrasonic sensor). If the water is below the alarm level, the SmartCover® logs every other distance reading and sends it to the historical server every hour for long term trending. If the water level is above the alarm level, an alarm notification is sent directly to the users. It is a 24 hour a day, 7 day a week system. Below is a typical graph from the City of Santa Ana secure web page. It can be seen that everything is normal and then there is a high water level alarm. The bottom of the sensor is 64 inches from the manhole cover and the alarm is set for 74 inches below the manhole cover. 2012.05-04 1356 - 2012-05.12 13:56 Distance from Manhole Cover Alarm Setpoint = 74 Senso r Position = 64 60 in 65 in ........... ...... ..................... » ....... ..... ......... ........ -....... ....... ........ .. ........ ........... ..... . ........ ..... 70 in 75 in ..» ....... ...... .....................»....... ..... ......... .. .... ........ ....... .......... ........ ......». .. ..... ......... ..... 80 In 85 in 90 in 95 in o S 8 o S S 8 0 S S 8 o $ $ o S 8 8 8 8 N N N N N N N N N N N N N N N N N N .-i I.1 p'1 e-1 1'1 ^I .1 N nl .-1 .-1 PI N I-1 ..1 H rl ."1 o n d, .b e n n. ob m d 6 6 d ti 1 N rv A o a a 0 0 a O 0 a a 0 .+ .+ .-? .? .. N ?fl Yl N A A v1 N N N N A A N Vf A Vl A O O O O O O O O O O O O O O O O O O The City of Santa Ana will receive alarms through cell phone or pagers via Short Message Service (SMS), or Smart Phones and emails via email messaging. A direct-from-satellite handheld system is available upon request for highly critical communications in case of massive power loss upon request. A LEVEL MEASUREMENT IS TAKEN EVERY 6 MINUTES AND UPDATES THE DATA ON THE SERVER EVERY HOUR. IN THE EVENT OF A HIGH WATER EVENT, THE ALARM IS SENT THE NEXT TIME A LEVEL MEASUREMENT IS MADE. IN THIS CASE THE LONGEST TIME BETWEEN THE TIME THE WATER REACHES THE ALARM LEVEL AND WHEN THE ALARM SOUNDS IS 5 MINUTES AND 59 SECONDS. Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 25E-20 1-IADIROr7iRM THIS TYPE OF OPERATION WOULD RESULT IN A POWERPACK LIFE OF 12 MONTHS. The basic user interface through the internet is via your secure map-based web site. A sample of this map interface is shown below. lMARTCOVlRQ MOrnITORiI"!! !Y!T!M You are logged in as: hadronex Administrator Classic View All • (50) Alerts (4) Alarms (4) ..• Satellite MnPabi M+Y YrV+rW ttW :. halte" v 77 IVA" t Or 12M at W12*at atub 8h?,...,».. Viib Q' . aa<mwe lrNmark MaNPmi m Pa k j Deal* M. S x Pot T 7 W FJ aapnda al•d 7 OEI aapnda eld CD H HaWMme 4 eKa? P ¦ wk . RPwNy Pack za, ? • ? P" W is ? ? W llab l i P *1 ark for* pnnme i WRUwpr wROaem«alAw • WROSeaana m . . cent bverrtr A Cdr Z r >esn saga 4..: ?' Park Map dam @# «dlk __ When the City of Santa Ana opens their secure web page they will see the location of every SmartCovero as shown above. There are three symbols for ease of management. GREEN - Means that everything is functioning properly, the water level is not at the alarm level and there are no other alarms. BLUE - Indicates that some maintenance action is required, for instance it could mean the battery has low voltage and needs to be replaced or that a unit has not communicated the last time it was supposed to. Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 12 25E-21 /-U10PlOnMJ{ RED - Indicates that an alarm condition exists at this location. It could be high water or Intrusion. SECTION 4. INSTALLATION AND ACTIVATION INSTALLATION • Standard Installation: The SmartCovero-S unit is installed in the field at the designated location. Alternate Installation: The SmartCover®-S unit is installed on the selected cover off site and transported to the designated location. This method can minimize the need for traffic control and disruption. • Installation consists of physically attaching of the SmartCovere-S unit to the cover at the designated location; alignment and on-site testing to ensure that the unit is operational prior to leaving the site. • The SmartCovere-S unit is mounted directly to the lid or hatch by the use of stainless steel hardware. • The SmartCovero-S antenna is low profile, high performance and traffic rated. Attachment of the antenna is achieved by using Mil.-spec epoxy and requires the drilling of a 3/8" hole in the cover. • City of Santa Ana will provide personnel and equipment, as appropriate for traffic control as required by local regulations and safety of field personnel. ACTIVATION After the physical installation of the SmartCovero-S unit(s), the following actions are taken to bring full functionality to the SmartCover® system. • SmartCovero-S Activation: City of Santa Ana Actions o Upon receipt of a Purchase Order, Hadronex will provide the City of Santa Ana with a questionnaire to obtain the information needed to perform the SmartCover®-S service Set-Up. Proper system operation is dependent upon receipt of required information. This communication will be tested during activation phase. • SmartCovero-S Activation: Hadronex Actions Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 13 25E-22 #4,A0lFonax o Creation of the City of Santa Ana private database and account on the Hadronex secure server o Web site configuration for City of Santa Ana SmartCovere-S units and users o Initial population of the City of Santa Ana SmartCovere-S database o Registration of the SmartCovere-S unit wireless radios with the network and setting the City of Santa Ana default system operational parameters The installation and activation process typically takes one hour per unit to perform under normal conditions. ON SITE TRAINING Hadronex will provide on-site training after completion of the installation process. In addition, once on-site personnel are trained, Hadronex will be available to provide additional web site training remotely after the SmartCover® system has been installed and operational for at least a few days. SECTION 5. ACTIVE SITE MONITORING Active Site Monitoring is a per site annual service provided by Hadronex in support of your SmartCover® system. Active Site Monitoring includes but is not limited to the following support: • Wireless Communications - Access to a satellite two-way wireless network. • Technical Telephone Support - This service is offered from 8am to 5 pm local. • Alarm Processing - maintaining the infrastructure of the alarm contact system. • Web site access and maintenance - maintaining the secure servers on which your web site resides, and providing free upgrades to the web sites as they become available. • After Hours Support - on an as-needed basis. • Standard Reports - Hadronex will support City of Santa Ana in the preparation of these reports for management or regulators. • Custom Reports - more detailed reports than available on the web site can be provided by Hadronex upon request. • Graphic Display - Graphical User Interface available on web site is maintained and upgraded at no charge. • Management Tools - Available on web site, such as maintenance notes section. • Software Upgrades - Upgraded processing / communication software for units in the field is provided at no charge. • General Product Improvement - Creating product improvements that are backwards compatible to existing units in the field at no charge. Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 14 25E-23 N.AcROnex • Management Oversight - Hadronex monitors the proper operation of all of the units in the field. Everything from the internal health of a unit, the battery voltage, the radio signal strength and the communication to and from the units in the field. Hadronex also coordinates the appropriate service to repair any components in the field with you or the local dealer. Delivery Hadronex will commence work on the SmartCovero-S System as described in this quotation upon receipt of a formal Purchase Order. Based on availability of equipment standard delivery is six (6) to eight (8) weeks after receipt of order and complete engineering and site information. Hadronex will make every effort to provide the equipment earlier if requested, but cannot guarantee accelerated delivery. Payment Terms - Payment is net thirty (30) days after receipt of invoice. - Hadronex will invoice units upon shipment. - Orders over $100,000 will require a down payment. SECTION 6. WARRANTY INFORMATION Other Terms and Conditions Mutual Hold Harmless. Hadronex hereby holds City of Santa Ana harmless from any and all claims that may arise, or damages that may result, to Hadronex or Hadronex staff during the performance of this contract. City of Santa Ana hereby holds harmless Hadronex, its founders, owners and staff, from any and all claims that may arise, of any kind or from any cause whatsoever, due to or as a result of the installation, operation, or use of the SmartCovera-S system. Loss of Communications. City of Santa Ana acknowledges that Hadronex is not responsible for the loss of wireless communication or internet communications or any communications used in the operation of this system. Advisory Only. The SmartCover®-S Service is advisory only. As such, Hadronex and its founders, owners, or staff are not responsible for any damage of any kind or from any cause whatsoever that may result from, in relation to, in connection with, due to, or as a result of the installation or operation of the system, including without limitation, equipment failure, or any consequential damages caused by, or resulting from, the use or installation of the SmartCover-S system. Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 is 25E-24 /-/AOIFCnax In no event shall HADRONEX's liability, whether in contract or in tort (including negligence and strict liability), exceed the price of the Product from which such liability arises. Term of Quotation. This budget estimate is valid for 30 days from the date of submission to City of Santa Ana. This quotation is respectfully submitted on: Monday, October 07, 2013 Signatures HADRONEX Monday, October 07, 2013 CITY OF SANTA ANA Hadronex Inc. 381 Engel Street, Escondido, CA, 92026 16 25E-25 25E-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: OCTOBER 21, 2013 TITLE: AMENDMENT TO CONSULTANT AGREEMENT WITH KEYSER MARSTON ASSOCIATES FOR DEVELOPMENT PROJECT AND PROGRAM MANAGEMENT SERVICES CAI? CITY MANAGER APPROVED ? As Recommended ? As Amended ? Ordinance on 1s` Reading ? Ordinance on 2od Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute the attached Amendment to Consultant Agreement with Keyser Marston Associates to increase the compensation by an additional amount of $20,000, for a total aggregate amount not to exceed $70,000, subject to non-substantive changes approved by the Executive Director and City Attorney. DISCUSSION On January 7, 2013, the City amended a Consultant Agreement with Keyser Marston Associates, a firm having specialized skills and knowledge in the field of financial consultation and development. The current funding and scope are targeted specifically for financial consulting associated with two downtown development sites and the Santa Ana Regional Transportation Center site. Given the recent loss of staff expertise in development and project management, staff is requesting City Council approval to amend the scope to broaden the services to encompass consulting services and project management with respect to various City projects and activities and to increase the contract amount by $20,000. As the City continues to move forward with its economic/development activities, it is critical that staffing for key projects and programs be available to support this effort. With loss of key 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. Keyser Marston has played a valuable role over the years in assisting the city with financial consultation and has the staff expertise to support project and program management services as well. 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 add project and program advisory and implementation services, review of development opportunities, and 25F-1 Amendment to Keyser Marston October 21, 2013 Page 2 assistance with the potential development of city-owned properties, in addition to seeking alternative approaches to financing post-redevelopment. Keyser Marston staff has the requisite specialized skills and expertise in the area of project/program management and implementation, particularly with respect to the unique structure and requirements of municipalities. It is recommended that Keyser Marston's contract be amended to provide a means to supplement the Community Development Agency's efforts to continue creating, pursuing and/or implementing economic/development opportunities and programs. FISCAL IMPACT Funds are available in the Community Activities Non-Departmental Contract Services- Professional account (no. 01105810-62300). APPROVED AS TO FUNDS AND ACCOUNTS: N c Fong, ICP Francisco Gutierrez Interim Exec ivy Dire r Executive Director Community d'ev&lerment Agency Finance & Management Services Agency N F//TE/kg Exhibit: 1. Amendment 25F-2 EXHIBIT 1 SECOND AMENDMENT TO CONSULTANT AGREEMENT THIS SECOND AMENDMENT TO CONSULTANT AGREEMENT, is made and entered into this 21" day of October, 2013, by and between Keyser Marston Associates (hereinafter "Consultant") and the City of Santa Ana, a charter city and municipal corporation (hereinafter "City"). RECITALS A. The City of Santa Ana ("City") entered into a Consultant Agreement with Consultant dated October 1, 2012 (Agreement #N-2012-132 referred to as "said Agreement"), to retain a professional firm having special skill and knowledge in the field of financial consultation and development. The parties amended said Agreement on January 7, 2013. B. The parties desire to amend said Agreement to broaden the Scope of Work and add to the Compensation. 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 Work", shall be amended to broaden the services to encompass consulting services and project management with respect to various City projects and activities. The Scope of Work is hereby modified to add project and program advisory and implementation services, review of development opportunities, and assistance with the potential development of city-owned properties, in addition to seeking alternative approaches to financing post-redevelopment. 2. Section 3 of the Agreement, "Compensation", shalt be amended to increase the Compensation with an additional Twenty Thousand Dollars ($20,000) for a total not to exceed amount of Seventy Thousand Dollars ($70,000) for professional services rendered to the City. The hourly billing rate schedule for services rendered hereunder are as follows: Managing Principals $280, Senior Principals $270, Senior Associates $187.50, Project Manager $85, and Administrative Staff $80. 3. Section 5 of the Agreement, "Independent Contractor", shall be amended to reflect that 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. 25F-3 4. All other terms and conditions included in said Agreement shall have the same force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council CITY OF SANTA ANA David Cavazos City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Lisa Storck Assistant City Attorney CONSULTANT Keyser Marston Associates, Inc. By: Kathleen Head Title: Managing Principal 25F-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONDITIONAL USE PERMIT NO. 2013-36 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2013-37 TO ALLOW AFTER-HOURS OPERATION, AND CONDITIONAL USE PERMIT NO. 2013-38 TO ALLOW A BANQUET USE FOR THE EL MERCADO RESTAURANT AT 301 NORTH SPURGEON STREET - AMARYLLIS LOPEZ, APPLIC J CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2013-36 as conditioned, Conditional Use Permit No. 2013-37 as conditioned, and Conditional Use Permit No. 2013-38 as conditioned. PLANNING COMMISSION ACTION On September 23, 2013, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2013-36 as conditioned for a Type 47 Alcoholic Beverage Control license in order to sell beer, wine and distilled spirits for on-premise consumption; Conditional Use Permit No. 2013-37 as conditioned to allow after-hour operations; and Conditional Use Permit No. 2013- 38 as conditioned to allow a banquet facility by a vote of 6:0 (Alderete absent) at the El Mercado restaurant located at 301 North Spurgeon Street in the Transit Zoning-Downtown (SD84) zoning district. At the applicant's request, the Planning Commission amended Condition 3 of CUP No. 2013-37 to change the business hours from 1:30 am to 2:00 am (Exhibit A). DISCUSSION El Mercado will be a full-service, sit-down restaurant that will feature an indoor dining area, as well as a small outdoor patio. The restaurant will be located in an existing building at 301 North Spurgeon Street. The approval of these CUPS would allow for the sale and service of beer, wine, and distilled spirits in conjunction with food sales, extension of the hours of operation until 2:00 a.m., and the ability to hold banquet events. 31A-1 CUP Nos. 2013-36, 2013-37 & 2013-38 October 21, 2013 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. J . Tre vino Executive Director Planning & Building Agency HS:jm hs OMerc do\cupl 3-36thrul 3-38 ElMercado.cc Exhibit: A. Planning Commission Staff Report 31A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: SEPTEMBER 23, 2013 TITLE: PUBLIC HEARING - FILED BY AMARYLLIS LOPEZ FOR CONDITIONAL USE PERMIT NO. 2013-36 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2013-37 TO ALLOW AFTER-HOURS OPERATION, AND CONDITIONAL USE PERMIT NO. 2013-38 TO ALLOW A BANQUET USE FOR THE EL MERCADO RESTAURANT AT 301 NORTH SPURGEON STREET Prepared by Hally Soboleske _ Executive Director PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public I learing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO f L 4Cl,L?g i. }-4t_ _ez 14r 2k Planning ManagA( RECOMMENDED ACTION 1. Adopt a resolution approving Conditional Use Permit No. 2013-36 as conditioned for a Type 47 ABC license. 2. Adopt a resolution approving Conditional Use Permit No. 2013-37 as conditioned to allow after- hours operations. 3. Adopt a resolution approving Conditional Use Permit No. 2013-38 as conditioned to allow a banquet facility. DISCUSSION Request of Applicant Amaryllis Lopez is requesting approval of three conditional use permits for the proposed El Mercado restaurant at 301 North Spurgeon Street. Specifically, the applicant is requesting approval to allow a Type 47 Alcoholic Beverage Control (ABC) license for the on-premise sale and consumption of beer, wine, and distilled spirits pursuant to Section 41-196 of the Santa Ana Municipal Code (SAMC), to allow the restaurant to remain open until 1:30 a.m. seven days a week per Section 41- 2007 of the SAMC and to allow a banquet use pursuant to Section 41-2008 of the SAMC. The passage of Zoning Ordinance Amendment No. 2012-03 (Ordinance No. NS-2847) amended Chapters 11 and 41 of the SAMC as they relate to alcohol and entertainment. Among these amendments, conditions for alcohol sales CUPs were standardized and codified. These new standards will apply to El Mercado. EXHIBIT A 31A-3 CUP Nos. 2013-36, 2013-37 & 2013-38 September 23, 2013 Page 2 Project Location and Site Description The applicant proposes to operate El Mercado restaurant within the first floor of the historic Ritz Hotel in an existing 3,151 square foot tenant space that is located on North Spurgeon Street in the East End Marketplace adjacent to the Yost Theater. The business will occupy the corner unit on Spurgeon and Third Streets that is currently vacant, as well as a new outdoor patio area. The site is surrounded by a commercial property to the north, a private parking lot and commercial land uses to the south, a City-owned parking lot to the west, and commercial land uses to the east (Exhibits 1, 2 and 3). Project Description El Mercado restaurant is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on-premise consumption of beer, wine, and distilled spirits to allow the restaurant to remain open past midnight, and to hold banquet events. The restaurant will be a full-service, sit-down eating establishment that consists of 1,848 square feet of interior seating area for approximately 93 patrons within its dining room and approximately eight seats outside in a 400 square foot outdoor patio. The on-premise sale of alcoholic beverages and banquet operation are intended to provide a service ancillary to the primary restaurant use. The proposed hours of operation for the restaurant are from 7:00 a.m. to 1:30 a.m. daily. The storage area for alcoholic beverages will be located near the rear of the restaurant as well as displayed in the bar seating area. The overall storage area for alcoholic beverages is approximately 100 square feet in size, which is less than five percent of the interior gross floor area of the restaurant and is consistent with the SAMC requirement of maintaining five percent or less of the gross floor area of the restaurant for alcohol storage and display (Exhibits 4 and 5). Project Backaround Amaryllis Lopez will serve as Dining Director, as she currently has at the two full service restaurants in the City of Orange called Anepalco's and Anepalco's Cafe. Daniel Godinez is a classically trained chef who is currently the chef at Anepalco's, and he will be moving to the El Mercado restaurant. El Mercado will specialize in Mexican food and fresh, innovative dishes. General Plan and Zoning Consistency The General Plan land use designation for the site is District Center (DC). District Center land use districts provide highly visible and accessible commercial development along the City's arterial transportation corridors and provide important neighborhood facilities and services. The project site is consistent with this General Plan land use designation. 31A-4 CUP Nos. 2013-36, 2013-37 & 2013-38 September 23, 2013 Page 3 The parcel is located within the Transit Zoning Code (SD-84) zoning district in the Downtown (DT) sub-zone. The SD-84 zoning district allows for service and retail uses such as a restaurant. Further, the zoning allows for the sale of alcoholic beverages, after-hours operations and banquet facilities subject to issuance of a conditional use permit. This project is consistent with the SD-84 zoning designation. Project Analysis Conditional Use Permit requests are governed by Section 41-638 of the SAMC. Conditional use permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • 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. • That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • 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. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit request, staff believes that the following findings of fact warrant approval of the conditional use permits. Conditional Use Permit No. 2013-36 for a Type 47 ABC license El Mercado restaurant is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on-premise consumption of beer and wine, as well as distilled spirits, as part of a bonefied eating establishment. The applicant intends to sell alcoholic beverages as an ancillary service to the primary restaurant use. Staff has reviewed the applicant's request and has determined that the proposed establishment is in compliance with the standards for establishments selling alcoholic beverages. The applicant has not requested an entertainment permit; however, this permit is now subject to a separate ministerial review for issuance. The Police Department has asked that alcohol sales be limited to 9:00 a.m. to 12:00 a.m. unless an after-hours permit (CUP-2013-37) be approved. In that event, the Police Department requests sales of alcohol be limited to 8:00 a.m. to 2:00 a.m. 31A-5 CUP Nos. 2013-36, 2013-37 & 2013-38 September 23, 2013 Page 4 This site does not have adequate space for onsite trash storage or an enclosure. Therefore a reciprocal trash agreement will be required to ensure proper trash disposal and storage. The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine, and distilled spirits with their food throughout the establishment. This will thereby benefit the community by providing a restaurant with an additional and complementary food-related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed license for the on-sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and within an enclosed outdoor patio, and is incidental to the primary restaurant use. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages allows El Mercado to remain economically viable and contributes to the overall success of the downtown, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer, wine, and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as a bona-fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. • The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A full-service restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana and its location within a regional destination, Downtown Santa Ana, contributes to the economic success of the city as a shopping and dining destination. Conditional Use Permit No. 2013-37 to allow after-hour operations Santa Ana Municipal Code (SAMC) Section 41-2007 (Table 2A) requires a conditional use permit for any eating establishment with hours of operation between 12:00 a.m. and 7:00 a.m. The proposed hours of operation are 7:00 a.m. to 1:30 a.m. daily. El Mercado proposes to be open for breakfast, 31A-6 CUP Nos. 2013-36, 2013-37 & 2013-38 September 23, 2013 Page 5 lunch, and dinner. There are no sensitive land uses that will be adversely impacted from the restaurant's extended hours of operation. Uses such as residential properties and schools are not located within 150 feet of this location. Further, conditions of approval will prohibit the use of exterior amplified music and outdoor patio lighting from being directed towards other properties or the right-of-way. The proposed after-hours operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer meals after midnight, thereby providing an additional dining option within the downtown area. This will benefit the community by providing a restaurant with an additional and complementary food-related amenity. The after-hours operation is consistent with that of other restaurants in the downtown and offers customers another late night dining alternative. Conditions have been placed on the after-hours permit that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The proposed after-hours operation is consistent with other restaurants operating in the downtown, and provides additional food choices for local residents and visitors. The after-hours operation will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. In addition, the after-hours dining will primarily occur within the premises and will not create adverse impacts. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer after-hours meals to their patrons. Moreover, the late night hours allows the restaurant to remain economically viable and contributes to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. After-hours operation will contribute to the success of downtown by widening the time frame that food service is available thereby encouraging customers to stay longer in the downtown. As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant open after midnight pursuant to Chapter 41 of the Santa Ana Municipal Code. The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant which operates after-hours will provide a dining service to the residents of Santa Ana. Conditional Use Permit No. 2013-38 to allow a banquet facility El Mercado restaurant also proposes an ancillary banquet facility, which would allow the restaurant, or a portion of it, to be closed to the general public for private events. The intent is to operate a full service restaurant; however, private events may be allowed on certain occasions. Per the SAMC, 31A-7 CUP Nos. 2013-36, 2013-37 & 2013-38 September 23, 2013 Page 6 banquet facilities must have a kitchen facility, sanitation facilities, and a licensed security guard for every 100 persons in attendance per event. As proposed, the project meets or exceeds the standards for a banquet use. The allowance of a banquet facility at the restaurant will be consistent with several downtown restaurants and will result in a restaurant that maintains a stronger economic viability due to the ability to host private events. • The proposed banquet facility will provide an ancillary service to the restaurant and their customers by providing a viable space to host special functions. This will benefit the community by providing a restaurant with an additional and complementary food-related amenity within the downtown area. Conditions have been placed on the banquet facility permit that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed banquet facility will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. Additionally, a banquet facility at this location will provide an ancillary service to the community. All banquets or private events will occur within the premises and are incidental to the primary restaurant use. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer a banquet facility for special events and functions. Moreover, the banquet use will allow the restaurant to remain economically viable and contributes to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant operating a banquet use pursuant to Chapter 41 of the Santa Ana Municipal Code. • The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with a banquet facility will provide an additional dining service to the residents of Santa Ana. Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on-sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal 31A-8 CUP Nos. 2013-36, 2013-37 & 2013-38 September 23, 2013 Page 7 homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by ABC [Business and Professions Code Section 23948.4(a)(1)], should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation, which could result in a recommendation of denial. 301 North Spurgeon Street is located in Reporting District No. percent above the average reporting for all districts, which is established by the State for high crime. Conditions of approva SAMC that are adequate to address any concerns. Public Notification 185. This reporting district is 33 above the 20 percent threshold I are included as required by the The project site is located within the boundaries of the Downtown Neighborhood Association. Representatives from this Neighborhood Association were notified of this project. The project site was also posted with a notice advertising this public hearing, and a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt from further review per Section 15061(b)(3), which is a general rule exemption applying to projects that have no possibility of having a significant impact on the environment. Categorical Exemption Environmental Review No. 2013-40 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit Nos. 2013-36, 2013-37 and 2013-38 as conditioned. Wally Soboleske Associate Planner Sergio'Klbtz, AICP Principal Planner HS:jm hs:OMerc dokup13-361hru13-38 ElMerudo.po 31A-9 CUP Nos. 2013-36, 2013-37 & 2013-38 September 23, 2013 Page 8 Attachments: Exhibit 1 -Vicinity Map Exhibit 2 - Location Map Exhibit 3 - Photo of location Exhibit 4 - Site Plan Exhibit 5 - Floor Plan 31A-10 SEVENTEENTH 51 C5 cl Cep- A C5 =;e R1 CI A L - IT C2 Rt R1 R1 p P1 z LS RI J pp _ S C sv w sv M ° Mt Ml SA,yTA ? Pt R 2 N , 11 Mz A2yA Cz CS sPl M an P1 C5 ASP-3 _ _Aa°{t M2 FR?.F yRt m3 O 'SPJ3 - em'u' z z, z c zmx 4 M3 ?zfl2 SP -3 ®a. ,I 1Tb p.,RR2a > Ml 0 I'z SP-3 y„' M M5 ?S II M2 O - O Mlp "' B O T R2 R3 ID SP-3 dC OrxRE ? 5Q.1? ? 51 aM -IT fi o+ ?- 5o M2 O .: ? ET 1:1 O p pl P j Em. ./ '" z O Ml R3 R3 @n is ?po*_ np' Pt?`P"r +? wQM E, M2- 5 4 oa SD-R„ Cx R2 P R2 SD-ea SD-B4 so- Rz c1 wR3 LR3 J C C 3u :on s 4 cx?? ? O M2N mx 2 MI Z M2 1T SDre SDA4 o+aM2 ?J 5 -=4_ SD-B4 rvaiSD I Cvz - M2 W Mz-rvn M2 Mrej C M2 C cR2 M2 Mz-??+ ,. ?nyi SD-s4 pppp//?? R2 M2 L FIRST ST. Al GENE AGRClLT1PALT CR OCMMEOALRESDENIIAL RI SNC.EFWILYRESDENTAL B FlWNGMWIHCATON Cc O?MENTCFNIER w TAOFAMILYFE.9DBJCE Gan COMMES]AL3 THMAIN Mt UCRTINWE7R!AL w MULTFLEDENSIYMWTRE Cl D MUNIWCCWIMEOAL M2 HFAWINDUS'R3AL FAMILYF DENM C1-MD SAM. CCMMEYSAUMUSJM DISMCT MO MIViAWCP TONS R1 S1W1 NAP FN7S C2 C8NH CCMMEIUAL O CT S m RE (ESDEWTALESTATE C3 canRALeUSN69 P PFCFES30NAL S) SF4RCDEV C MENT C3A fBN1ruLBl1SNE?AWS7NLIACE PCD PANNWCCMMUNIWDEHCFMENT ?RCRAN C4 PANNHD SfOFANG CENTER ('FO PANNED FESDENTIAL DEVAOPABNT C5 ARTEaALCCMMEMAL CUP 2013-36-RST, CUP 2013-37-AHR & k O CUP 2013-38-OTH ? EL MERCADO RESTAURANT - --500 FEET V=1000 FEET 301 NORTH SPURGEON STREET P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 JI 1 A- If F- 4 T H STREET cr I I N I C MME I A L I I CO E R C AL COMM. w I I cc: = YOST v MULTI - v THEATER Z FAMILY PARKING LOT I _,g w RESIDENCE w 3RD STREET FESTIVAL ¢ HALL ww w F_ u I- s MULTI- FAMILY RESIDENCE COMME RCIAL = Z `" O D w v °? l7 COMMERCIAL D a Ln CUP 2013-36-RST, CUP2013-31-AHR & CUP 2013-38-OTH EL MERCADO RESTAURANT 301 NORTH SPURGEON STREET P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31A-12 A VU snn xis na ?xtonne ?w,rx t?Ik^l, v no,-? I 1NVNnVIS3a 00tl0213W l3 „ i'1`h ?4 d4as ?, I I ??? 13 III o 8» ?i rl ICI ?I W 1 ? V? A r t u? ?\ II !Io x l ?? ??? 1 III. a [? 12 u9 \vA?A? II W '-g ?I Ir 1I zSs \ \\ rIll ~ 5b ll U) O ill € Ah II p' /, (03N V) 1332115 N030HndS H1NON ? - _ ?? ? ?)? ?? ? ?? 5. f { a I , v )t r J I I_ _ _._ LI i3-u?inan ?urn• --i1=ya a ? 4 I? o SH S ? NIU i m..M INDI 30 O I nn 3n.s vm uwvi oavoa3wia ro ? t EC ? 8K ? ? d' gg e ?? { ? L ¢ F?9 ??@ °? i? ? ? ??Af a ? ? i gt 3 yp p ? ?? ? ? ' ? S ? ?F ? 43 i"s C ? a tl 4 00 0000 000000 0 z § i 9 ? d ? 8? de ?? YS w 5 9y i? tj i <o a3 e. e? ? a? 3 e o ? Q e b E P1111 0 z C? 8! ?? y'H, gygyg Y I,', ROH - 09/23/13 RESOLUTION NO. 2013-17 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING: CONDITIONAL USE PERMIT NO. 2013-36 AS CONDITIONED TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2013-37 AS CONDITIONED TO ALLOW AFTER-HOURS OPERATION, AND CONDITIONAL USE PERMIT NO. 2013-38 AS CONDITIONED TO ALLOW A BANQUET USE, FOR THE PROPERTY LOCATED AT 301 NORTH SPURGEON STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of: Conditional Use Permit No. 2013-36 to allow a Type 47 Alcoholic Beverage Control (ABC) license, Conditional Use Permit No. 2013-37 to allow after-hours operations, and Conditional Use Permit No. 2013-38 to allow a banquet use, for the property located at 301 North Spurgeon Street. B. Santa Ana Municipal Code Section 41-2007 requires a conditional use permit for: the sale of alcoholic beverages for on-site consumption, businesses operating between the hours of 12:00 a.m. and 7:00 a.m., and the operation of a banquet facility. C. On September 23, 2013, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2013-36, Conditional Use Permit No. 2013-37, and Conditional Use Permit No. 2013-38. D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41-638, have been established for Conditional Use Permit No. 2013-36 to allow for a Type 47 ABC license: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing Resolution No. 2013-17 Page 1 of 14 31A-16 them the ability to purchase beer, wine, and distilled spirits with their food throughout the establishment. This will thereby benefit the community by providing a restaurant with an additional and complementary food-related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed license for the on-sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and within an enclosed outdoor patio, and is incidental to the primary restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages allows El Mercado to remain economically viable and contributes to the overall success of the downtown, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer, wine, and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as a bona-fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than five percent of the gross floor area for the display and storage of Resolution No. 2013-17 31A-17 Page 2 of 14 alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A full-service restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana and its location within a regional destination, Downtown Santa Ana, contributes to the economic success of the city as a shopping and dining destination. E. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41-638, have been established for Conditional Use Permit No. 2013-37 to allow for after hours operation: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed after-hours operations until 1:30 a.m. daily will allow the restaurant to remain competitive with other restaurants in the area, and to maintain the Downtown area as a regional destination point. Conditions have been placed on the after-hours operations that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed after-hours operations for a restaurant at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the restaurant operations that will mitigate any potential negative or adverse impacts created by the use. Additionally, the restaurant will serve both visitors and the local and regional business community. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead support local businesses Resolution No. 2013-17 Page 3 of 14 31A-18 and the downtown area as a destination area. Moreover, the variety of food offerings allows the Downtown to remain economically viable and contributes to the overall success of Santa Ana, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant operating after 12:00 midnight. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant that is open past midnight contributes to the economic success of the city as a shopping and dining destination. F. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41-638, have been established for Conditional Use Permit No. 2013-17 to allow for a Banquet Facility: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed restaurant may close to the general public or a portion of the restaurant to allow for a banquet use. This will allow the restaurant to be used by the local community for private events and similar functions. This will allow the restaurant to remain competitive with other restaurants in the area, and will help the Downtown area as a destination and gathering place. Conditions have been placed on the banquet operations that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed banquet use at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the restaurant Resolution No. 2013-17 Page 4 of 14 31A-19 operations that will mitigate any potential negative or adverse impacts created by the use. Additionally, the restaurant will serve both visitors and the local and regional business community with emphasis on local service. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow local businesses and the downtown area to continue to be a destination area. Further, offering of various types of services is needed to create an active downtown for local patrons and visitors. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a banquet hall. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's varied needs for goods and services. A restaurant that offers the potential for private parties and banquets provides an essential service for local patrons and regional visitors including the business community. G. In accordance with the California Environmental Quality Act the recommended action is exempt from further review per Section 15061(b)(3), which is a general rule exemption applying to projects that have no possibility of having a significant impact on the environment. Categorical Exemption Environmental Review No. 2013-40 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2013-36 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein, Conditional Use Permit No. 2013-37 as conditioned in Exhibit B attached hereto and incorporated as though fully set forth herein, and Conditional Use Permit No. 2013-38 as conditioned in Exhibit C attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated September 23, 2013 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2013-17 Page 5 of 14 31A-20 ADOPTED this 23rd day of September 2013 by the following vote: AYES: Commissioners: Bacerra, Crespo, Gartner, Mill, Nalle, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete(1) ABSTENTIONS: Commissioners: None (0) Sean H. Mill Vice Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2013-17 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on September 23, 2013 . Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2013-17 Page 6 of 14 31A-21 EXHIBIT A Conditions for Approval of Conditional Use Permit No. 2013-36 Conditional Use Permit No. 2013-36 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. 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 from the same menu 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 midnight. unless otherwise amended by the granting of Conditional Use Permit No. 2013-37 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. Resolution No. 2013-17 Page 7 of 14 31A-22 SEPTEMBER 23, 2013 PAGE 2 OF 4 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. 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. If located on public property those barriers 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. 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, is subject to compliance with Santa Ana Municipal Code ("SAMC") Chapter 11 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. Resolution No. 2013-17 31A-23 Page 8 of 14 SEPTEMBER 23, 2013 PAGE 3 OF 4 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 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 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; 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; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity and the management of queuing lines. 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. 25. Combined alcohol storage and display areas shall not exceed five percent (5%) of the gross floor area of the licensed establishment. Resolution No. 2013-17 Page 9 of 14 31A-24 SEPTEMBER 23, 2013 PAGE 4 OF 4 26. Outdoor patio area will have the same type of railings as the rest of the businesses in the East End Marketplace. 27. Outdoor patio area will include potted plants to soften and decorate the area. 28. A reciprocal trash agreement with an adjacent property owner and/or trash plan will be required prior to issuance of a Certificate of Occupancy subject to Planning Department review and approval. 29. Any changes to the exterior of the building must be "in kind" and require additional plans due to the building's historic status. Resolution No. 2013-17 Page 10 of 14 31A-25 EXHIBIT B Conditions for Approval of Conditional Use Permit No. 2013-37 Conditional Use Permit No. 2013-37 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. 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 from the same menu 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 7:00 a.m. and 1:30 a.m. pursuant to this conditional use permit. 4. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ("SAMC") Chapter 11 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. 5. 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. 6. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41-1701.6. 7. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 8. There shall be no amplified sound used outside the building. Resolution No. 2013-17 Page 11 of 14 31A-26 SEPTEMBER 23, 2013 PAGE 2OF2 9. No use of delivery vehicles with more than three axels at this location. 10. This establishment must comply with Santa Ana Municipal Code Section 18-312 related to exterior noise. 11. Trash enclosure program shall be provided via plan check submittal. 12. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. 13. Outdoor patio area will have the same type of railings as the rest of the businesses in the East End Marketplace. 14. Outdoor patio area will include potted plants to soften and decorate the area. 15. Since trash will not be stored on site, a reciprocal trash agreement will be required prior to issues of Certificate of Occupancy. Resolution No. 2013-17 Page 12 of 14 31A-27 EXHIBIT C Conditions for Approval of Conditional Use Permit No. 2013-38 Conditional Use Permit No. 2013-38 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The 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. A banquet facility is ancillary to the primary restaurant use. 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 from the same menu being offered to the general patrons of the eating establishment. 3. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ("SAMC") Chapter 11 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. 4. 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. 5. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41-1701.6. 6. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 7. There shall be no amplified sound used outside the building. 8. No use of delivery vehicles with more than three axels at this location. Resolution No. 2013-17 Page 13 of 14 31A-28 SEPTEMBER 23, 2013 PAGE 2 OF 2 9. This establishment must comply with Santa Ana Municipal Code Section 18-312 related to exterior noise. 10. Trash enclosure program and/or reciprocal trash agreement with an adjacent property owner shall be provided prior to issuance of a Certificate of Occupancy and is subject to the review and approval of the Planning Department. 11. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. 12. Outdoor patio area will have the same type of railings as the rest of the businesses in the East End Marketplace. 13. Outdoor patio area will include potted plants to soften and decorate the area. Resolution No. 2013-17 Page 14 of 14 31A-29 31A-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: CONDITIONAL USE PERMIT NO. 2013-35 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR APPLEBEE'S RESTAURANT AT 2800 NORTH MAIN STREET, UNIT 8 - PAT ICK E LBERG, APPLICANT i CITY MANAGER 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 Receive and file the staff report approving Conditional Use Permit No. 2013-35 as conditioned. PLANNING COMMISSION ACTION On September 23, 2013, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2013-35 as conditioned by a vote of 5:0 (Gartner abstained; Alderete absent) which approved a Type 47 Alcoholic Beverage Control license in order to sell beer, wine and distilled spirits for on-premise consumption at the Applebee's restaurant located at 2800 North Main Street, Unit 868 in the General Commercial (C2) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION This project will allow for the sale and service of beer, wine and distilled at a new Applebee's restaurant located in a previously-vacant space at the Main Place Mall. FISCAL IMPACT There is no fiscal impact associated with this action. (4-? Ja . Trevino Executive Director Planning & Building Agency VF:rb vRreports\CUP\CUP1335 Applebees Type 47 ABC cc Exhibit: A. Planning Commission Staff Report 31 B-1 31 B-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: SEPTEMBER 23, 2013 TITLE: FILED BY PATRICK EULBERG FOR CONDITIONAL USE PERMIT NO. 2013-35 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR APPLEBEE'S RESTAURANT AT 2800 NORTH MAIN STREET, UNIT 868 Prepared by Vince Fregoso Executive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO Planning Manag/r Adopt a resolution approving Conditional Use Permit No. 2013-35 as conditioned. Request of Applicant Patrick Eulberg, on behalf of Apple SoCal, LLC, is requesting approval of a conditional use permit for a Type 47 Alcoholic Beverage Control (ABC) license for the on-premise sale and consumption of beer, wine and distilled spirits at Applebee's restaurant at 2800 North Main Street, Unit 868. Establishments that sell alcoholic beverages require a conditional use permit (CUP) pursuant to Section 41-196 of the Santa Ana Municipal Code (SAMC). This is one of the first applications for an alcohol license CUP since the City revised Planning Commission Resolution No. 89-7, which had delegated authority to the Zoning Administrator to act on alcohol sales conditional use permits. Moreover, the passage of ZOA No. 2012-03/Ordinance No. NS-2847 amended Chapters 11 and 41 of the SAMC as they relate to alcohol and entertainment. Among these amendments, conditions for alcohol sales CUPs were standardized and codified. Project Location and Site Description Applebee's restaurant is currently undergoing tenant improvements in order to operate within an existing 52-acre, multi-tenant commercial mall known as Westfield MainPlace that is located at the northwest corner of North Main Street and Mainplace Drive. The site is anchored by JC Penney, Macy's, and Nordstrom department stores and contains numerous eating establishments. EXHIBIT A 31 B-3 Conditional Use Permit No. 2013-35 September 23, 2013 Page 2 The Westfield MainPlace mall at 2800 North Main Street contains over one million square feet of tenant space and was constructed in 1987. Mall tenants share 4,987 parking spaces that are provided in surface parking lots and garages. The site is surrounded by residential and retail uses to the east, professional and administrative office uses to the south, the Santa Ana (Interstate 5) Freeway to the west, and the Garden Grove (State Route 22) Freeway to the north (Exhibits 1, 2, and 3). Project Description Applebee's restaurant is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on-premise sale of beer, wine, and distilled spirits as part of the existing eating establishment's operations. The restaurant will be a full-service, sit-down eating establishment that holds approximately 220 seats within its 5,600-square foot dining room, with an additional 30 seats in the 1,100-square foot outdoor patio. The on-premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. The proposed hours of operation for the restaurant are seven days per week from 11:00 a.m. to 12:00 midnight. The storage and display of alcoholic beverages will take place within rear employee-only areas and the bar dining portion of the restaurant, respectively. The rear storage will occupy a separate room that will function as a storage and office area, measuring 15 square feet, as well as locked storage cabinets near the employee restroom, measuring nine square feet. The display area in the bar dining portion of the restaurant will occupy 35 square feet. The overall storage and display of alcohol consists of 59 square feet, which is less than one percent of the floor area and is less than five percent of the gross floor area of the restaurant. This falls below the Santa Ana Municipal Code's requirements for establishments serving alcoholic beverages (Exhibits 4 and 5). Project Background Applebee's restaurant will occupy an existing tenant space in Westfield MainPlace that once housed another restaurant, El Torito, which opened in July 2007. Coinciding with the restaurant's opening, Conditional Use Permit Nos. 2007-08 and 2007-09 were approved for the site, allowing a Type 47 ABC license and after-hours operations. However, after four years of operation El Torito restaurant closed in October 2011. Because the present vacancy has exceeded over one year, a new CUP is required to permit the sale of alcohol at the site. The applicant is not requesting a new CUP for after-hours operations at this time. Applebee's is a national chain of restaurants that specializes in traditional American cuisine. This business has been carrying out various tenant and exterior improvements at the present location since October 2012. Among these, fagade improvements, awnings, signage, and a decorative tower feature will bring the tenant space into conformance with the latest Applebee's corporate design standards. 31 B-4 Conditional Use Permit No. 2013-35 September 23, 2013 Page 3 General Plan and Zoning Consistency The General Plan land use designation for the site is District Center (DC). District Center land-use districts provide highly visible and accessible commercial development along the City's arterial transportation corridors and provide important neighborhood facilities and services, such as this restaurant. The project site is consistent with this General Plan land use designation. The parcel is located within the General Commercial (C-2) zoning district. The C-2 zoning district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning designation. Protect Analysis Conditional Use Permit requests are governed by Section 41-638 of the SAMC. Conditional Use Permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • 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. • That the proposed use adversely will not affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • 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. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit request, staff believes that the following findings of fact warrant approval of the conditional use permit. The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine, and distilled spirits with their food throughout the establishment. This will thereby benefit the community by providing a restaurant with an additional and complementary food-related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 31 B-5 Conditional Use Permit No. 2013-35 September 23, 2013 Page 4 • The proposed license for the on-sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and within an enclosed outdoor patio, and is incidental to the primary restaurant use. The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages allows Applebee's to remain economically viable and contributes to the overall success of Westfield MainPlace, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer, wine, and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as a bona-fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than one percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A full-service restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana and its location within a regional shopping center, Westfield MainPlace, contributes to the economic success of the city as a shopping and dining destination. Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on-sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by ABC [Business and Professions Code Section 23948.4(a)(1)), should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation, which could result in a recommendation of denial. 31 B-6 Conditional Use Permit No. 2013-35 September 23, 2013 Page 5 2800 North Main Street, Unit 868 is located in Reporting 26 percent above the average reporting for all districts, established by the State for high crime. Conditions of SAMC that are adequate to address any concerns. Public Notification District No. 161. This reporting district is which is above the 20 percent threshold approval are included as required by the The project site is not located within the boundaries of an established Neighborhood Association. However, staff contacted the president of the nearby Park Santiago Neighborhood Association, who identified no concerns with the project. The project site was also 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. At the time of this printing, no correspondence, by phone, written, or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt from further review per Section 15061(b)(3), which is a general rule exemption applying to projects that have no possibility of having a significant impact on the environment. Categorical Exemption Environmental Review No. 2013-65 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2013-35 as conditioned. Vince Fregoso Principal Planner VF:jm vpreporls\CUPICUP13.35 Applebees Type 47 ABC. pc Attachments: Exhibit 1 - Vicinity Map Exhibit 2 - Location Map Exhibit 3 - Site Photo Exhibit 4 - Site Plan Exhibit 5 - Floor Plan 31 B-7 CUP 2013-35 APPLEBEE'S RESTAURANT TYPE 47 ABC 2800 NORTH MAIN STREET #868 ,•=,ooocgr P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 VICINITY MAP 31 B-8 ? 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'fhi P' 4 A its :101:1 41 W E..... 9 OMM, 2 9 c CO MER IAL Z MM. F ILY F ESI !y CITY OF ORANGE CUP 2013-35 APPLEBEE'S RESTAURANT TYPE 47 ABC 2800 NORTH MAIN STREET #868 (s Qn 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 LAND USE MAP 31 B-9 kMM. CUP 2013-35 APPLEBEE'S RESTAURANT SITE PHOTO 2800 NORTH MAIN STREET #868 S&T1 ? ??? .ors I `! L t f ill?il ! i'IEIl l?l llll I ! I I I 1 a e I7 f. ! I I < I I I II ??? , ?;? ? 'lll>a : i° t r1Hill EEElEEEEEEliEli A 1 to 9 ? i a ? i I2 ?g 1 I? F i EXHIBIT 4 I R-11 Im Mi i ins te-A 6 z 6 3 9 ?p? ]? A 6 F 5yo 3RF w sm aarc?Y.w v?.ws lilALitrHIYYD\KR jg BjT j ROH - 09/23/13 RESOLUTION NO. 2013-18 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2013-35 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY LOCATED AT 2800 NORTH MAIN STREET, UNIT 868 BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The applicant is requesting approval of Conditional Use Permit No. 2013- 35 for a Type 47 (on-sale general) Alcoholic Beverage Control (ABC) license to allow the sales of beer, wine and distilled spirits for the property located at 2800 North Main Street, Unit 868. B. Conditional Use Permit No. 2013-35 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on September 23, 2013. C. Santa Ana Municipal Code Section 41-196 requires a conditional use permit for the sale of alcoholic beverages for on-site consumption. D. Santa Ana Municipal Code Section 41-638 authorizes the Planning Commission to approve a conditional use permit upon making certain findings: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or community? The proposed alcohol beverage license will provide an ancillary service to the restaurant customers by allowing them the ability to purchase beer, wine, and distilled spirits with their food throughout the establishment. This will thereby benefit the community by providing a restaurant with an additional and complementary food-related amenity. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts 31 B-13 Resolution No. 2013-18 Page 1 of 8 created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety or general welfare of persons residing or working in the vicinity? The proposed license for the on-sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and an enclosed outdoor patio, and is incidental to the primary restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic beverages allows Applebee's to remain economically viable and contributes to the overall success of Westfield MainPlace, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer, wine, and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as a bona-fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize less than one percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. Resolution No. 2013-18 Page 2 of 8 31B-14 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A full-service restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana and its location within a regional shopping center, Westfield MainPlace, contributes to the economic success of the city as a shopping and dining destination. E. In accordance with the California Environmental Quality Act the recommended action is exempt from further review per Section 15061(b)(3), which is a general rule exemption applying to projects that have no possibility of having a significant impact on the environment. Categorical Exemption Environmental Review No. 2013-65 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana hereby approves Conditional Use Permit No. 2013-35 as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Planning Commission Action dated September 23, 2013, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 23rd day of September, 2013. AYES: Commissioners: Bacerra, Crespo, Mill, Nalle, Yrarrazaval (5) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete(1) ABSTENTIONS: Commissioners: Gartner (1) Sean H. Mill Vice Chairman Resolution No. 2013-18 Page 3 of 8 31 B-15 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Ryan O. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2013-18 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on September 23, 3013 Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2013-18 Page 4 of 8 31 B-16 Conditions for Conditional Use Permit No. 2013-35 Conditional Use Permit No. 2013-35 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The 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 from the same menu 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. Exhibit A Resolution No. 2013-18 Page 5 of 8 31 B-17 SEPTEMBER 23, 2013 PAGE 2OF4 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. 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. If located on public property those barriers 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. 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, is subject to compliance with Santa Ana Municipal Code ("SAM") Chapter 11 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. Resolution No. 2013-18 Page 6 of 8 31 B-18 SEPTEMBER 23, 2013 PAGE 3 OF 4 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. 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 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 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; 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; warning patrons of reaching their drinking limit/potential intoxication and refusing to serve; calling the police regarding observed or reported criminal activity and the management of queuing lines. Resolution No. 2013-18 Page 7 of 8 31 B-19 SEPTEMBER 23, 2013 PAGE 4 OF 4 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. 25. Combined alcohol storage and display areas shall not exceed five percent (5%) of the gross floor area of the licensed establishment. Resolution No. 2013-18 Page 8 of 8 31 B-20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: VARIANCE NO. 2013-11 TO ALLOW A REDUCTION IN PARKING FOR PLANET FITNESS AT 2725 NORTH BRISTOL STREET - ERIC A. NELSON, APPLICANT CITY MANAGER 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 Receive and file the staff report approving Variance No. 2013-11 as conditioned. PLANNING COMMISSION ACTION On September 23, 2013, the Planning Commission adopted a resolution approving Variance No. 2013-11 as conditioned to allow a reduction in required parking for Planet Fitness by a vote of 6:0 (Alderete absent) at the Floral Park Promenade retail center at 2725 North Bristol Street located in the Community Commercial (Cl) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION The approval of this project will allow for a vacant retail space at the Floral Park Promenade retail center to be re-tenanted with a new fitness facility, Planet Fitness. The project required a variance from the City's parking standards due to the fact that the space was originally constructed to a retail parking standard, which is much lower than the City's standards for fitness facilities. A parking study was performed to assess whether there would be any impacts resulting from the reduction in parking and it was determined that there would still be adequate parking to serve the entire center even at peak use times. FISCAL IMPACT There is no fiscal impact associated with this action. Jay` re ino , Executive Director Planning & Building Agency AP: rb apM\Reports\Staff Reports for CCMA13-11 Planet Fitness Parking.cc Exhibit: A. Planning Commission Staff Report 31 C-1 31 C-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: SEPTEMBER 23, 2013 TITLE: PUBLIC HEARING - FILED BY ERIC A. NELSON FOR VARIANCE NO. 2013-11 TO ALLOW A REDUCTION IN PARKING FOR PLANET FITNESS AT 2725 NORTH BRISTOL STREET PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended U Set Public Hearing For DENIED ? Applicants Request ? Staff Recommendation CONTINUED TO Prepared by Ali Pezeshkpour Executive Director Planning Manager RECOMMENDED ACTION Adopt a resolution approving Variance No. 2013-11 as conditioned. Request of the Applicant Eric Nelson, representing Planet Fitness, is requesting approval of a variance from Section 41-1375 of the Santa Ana Municipal Code (SAMC) in order to allow a reduction in required parking for a health club at the Floral Park Promenade retail center located at 2725 North Bristol Street. Project Location and Site Description The subject property is known as the Floral Park Promenade retail center and is located at the northeast corner of North Bristol Street and West Memory Lane. The site is approximately 6.01 acres in size, square in shape and is developed with five primary buildings on three parcels: a 2,900-square foot office building; a 35,387-square foot multi-tenant commercial building; a 26,313-square foot multi- tenant commercial building; a 6,600-square foot multi-tenant commercial building; and a 4,800-square foot multi-tenant commercial building. The total square footage of all buildings on site is 76,000. Planet Fitness will be locating within the 35,387-square foot commercial building and intends to occupy a total of 18,600 square feet. The site is surrounded by multiple-family residential uses to the north, multiple and single-family residential uses to the east, commercial and single-family residential uses to the south across Memory Lane, and commercial and multiple-family residential uses to the west across Bristol Street (Exhibits 1, 2 and 3). EXHIBIT A 31 C-3 Variance No. 2013-11 September 23, 2013 Page 2 Proiect Description The proposed project consists of interior tenant improvements and minor exterior changes to an existing building to allow a Planet Fitness health club. As stated previously, Planet Fitness will be occupying approximately 18,600 square feet of floor space within an existing multi-tenant commercial building that shares a site with four other buildings. The project will feature an entry lobby and reception area, tanning facilities, dressing rooms, a primary area for fitness and exercise, several smaller rooms with various exercise equipment, and miscellaneous storage and utility rooms. A total of 11,404 square feet of interior area will be devoted to physical activity. The project also proposes minor exterior improvements to the building in addition to the interior improvements for the health club use. The applicant proposes to remove existing cart corrals that were once used for the market/retail uses at the site, as well as to install signage that will be reviewed through a separate, ministerial application. Primary access to the project site will be provided from the existing driveways on Bristol Street and Memory Lane (Exhibits 4 and 5). Proiect Background The various buildings comprising the Floral Park Promenade commercial center were constructed between 1965 and 2004. Original structures included commercial buildings and a service station, with the former enlarged throughout the years and the latter replaced with a multi-tenant retail center in 2004. Conditional Use Permit No. 2003-17 and Variance Nos. 2003-2 and 2004-5 were approved in 2004 in order to allow a drive-through facility as well as a reduction in required parking for the building closest to the corner of Bristol Street and Memory Lane. Since its construction, the tenant space that is the subject of this application has housed a variety of uses. These include grocery markets, a pharmacy, as well as miscellaneous, seasonal retail uses. The site has remained without a tenant since Rite Aid vacated the space in 2009. Founded in 1992, Planet Fitness is a nationwide chain of health clubs with over 600 locations. Many of the company's earliest locations were in the eastern United States, but the company has expanded to the western US in recent years. Planet Fitness distinguishes itself by offering low-cost plans that target semi-occasional, first-time health club members. Most locations comparable to the proposed Santa Ana location range in size from 12,000 to 20,000 square feet with an average size of 15,000 and feature simpler amenities than other, larger national health club chains. This Planet Fitness would be Santa Ana's first location and Orange County's third. Planet Fitness currently operates two locations in Anaheim that are similar in size and amenities offered to members with 24-hour operation, except on weekends. The proposed hours of operation at the Santa Ana location are 24 hours per day, 365 days per year. 31 C-4 Variance No. 2013-11 September 23, 2013 Page 3 General Plan and Zoning Consistency The General Plan land use designation for the site is General Commercial (GC), which allows for commercial and office uses. General Commercial districts are primarily located on commercial corridors and major arterial roadways in the City. They provide accessible commercial development along the City's arterials as well as provide support facilities and services, including offices, restaurants and various other services. The project is consistent with this General Plan land use designation. The subject site is located in the Community Commercial (Cl) zoning district. The C1 zone is a limited commercial zone that allows for certain commercial and office uses that are neighborhood- serving in nature, including health clubs and/or gymnasiums. The proposed use is consistent with the uses permitted in the C1 zoning district. Project Analysis Variance requests are governed by Section 41-638 of the SAMC. Variance requests may be granted when it can be shown that the following can be established: That there exists a special circumstance related to the property, such as size, shape, topography, location or surroundings. That the granting of the variance is necessary for the preservation and enjoyment of substantial property rights. That the granting of the variance will not be detrimental to the public or surrounding property. That the granting of the variance will not adversely affect the General Plan. If these findings can be made, then it is appropriate to grant the variance. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. The applicant is requesting approval of a variance to allow a reduction in required parking. The entire shopping center currently contains 371 parking spaces to serve all five of the buildings, although five spaces will likely be removed to accommodate a fire access lane at the rear of the project site. The building proposed as the location of Planet Fitness is parked at a rate of five spaces per 1,000 square feet pursuant to the City's retail parking standard. Section 41-1375 of the SAMC requires one parking space per 28 square feet of physical activity area. Based on these requirements, 407 stalls are required for the project (calculated from approximately 11,404 square feet of activity area) and a total of 719 parking spaces are required on the entire site, while only 371 spaces are provided for the entire center, requiring a variance of almost 50 percent. 31 C-5 Variance No. 2013-11 September 23, 2013 Page 4 To analyze whether the existing parking on the site could accommodate the use, and therefore substantiate the variance request, the applicant hired the traffic engineering firm of Linscott, Law & Greenspan Engineers (LLC) to provide an alternative parking standard for the health club and to prepare a shared parking analysis for the site. The parking study, using procedures developed by the Urban Land Institute (ULI) for shared parking, analyzed impacts on large shopping center parking lots that are shared by multiple land uses such as Floral Park Promenade. The study also surveyed other municipalities and the actual parking demand for health clubs in an effort to provide a realistic parking demand for Planet Fitness. The parking study was intended to provide an analysis of the demand for parking based on the different activity patterns of the center. In addition, it was intended to review the City's parking requirement for health clubs and propose an alternative standard based on other generation factors and actual health club usage. Based on this analysis, a ratio of 5.5 spaces per 1,000 square feet was established for health clubs. This standard was derived by analyzing the Institute of Traffic Engineers (ITE) parking generation factors as well as reviewing the parking demand of similar health clubs, including those in Santa Ana such as Bally Total Fitness, LA Fitness, and Gold's Gym. These gyms, although larger, contain similar floor area allocations for physical and non-physical activity areas of 60 and 40 percent, respectively. Based on this analysis, a peak parking demand of 344 spaces would occur during the weekday peak at 6:00 p.m. and 256 spaces during the weekend peak hour at 12:00 noon. The parking study took into account the five spaces that will likely be removed due to fire access lane requirements and assumed an on-site total of 366 spaces. Both of these peak demands will be less than the 366 spaces available on the site, leaving parking surpluses that will range from 22 to 110 spaces (Exhibit 6). Since 2000, the City has considered similar requests for parking variances for health clubs at three different facilities in Santa Ana: Bally Total Fitness (now LA Fitness) at 3701 South Plaza Drive, LA Fitness at 1501 North Tustin Avenue, and, most recently, Gold's Gym at 1945 East 17th Street. Parking variances at these locations were approved with reductions in parking of approximately 30, 31, and 51 percent, respectively. Moreover, the parking analysis prepared for Planet Fitness indicates that project surplus amounts of parking will be similar in proportion to the aforementioned health club project sites for which parking analyses were also prepared. In analyzing the Planet Fitness variance request, staff believes that the following findings of fact warrant approval of the variance: The project site has a special circumstance related to its location and surroundings. The proposed use will be located within a built out development site on North Bristol Street that is surrounded by commercial and residential uses. Due to its location, there is no feasible option for providing additional parking for the health club. The number of on-site parking spaces will be sufficient as identified in the parking analysis for the project, which has determined that a surplus of parking spaces will be provided for the project, even during times of peak demand. As a result, the parking variance will allow the applicant the ability to use the property in a manner that is consistent with similar surrounding congirel yes Variance No. 2013-11 September 23, 2013 Page 5 The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. The granting of the parking variance will preserve the property owner's ability to lease the building to a use that will identify the site as an economically viable development. The tenant space that is the subject of this application has accommodated a variety of uses, including grocery markets, a pharmacy, and miscellaneous seasonal establishments, that have been unsuccessful in remaining viable over a long-term period. The granting of the variance will allow a new type of commercial use to establish itself in the existing multi-tenant center. The granting of the variance will not be detrimental to the public or surrounding properties. As demonstrated in the parking analysis for the project, the site will have sufficient parking to accommodate the various uses during the peak parking hours. Therefore, the reduction in parking will not be detrimental to the surrounding community as it will not result in parking impacts affecting adjacent commercial or residential neighborhoods. Further, the granting of the variance will allow the property owner to fill a long-vacant tenant space, contributing to the vitality and success of the existing commercial center. Finally, conditions have been placed to ensure that the site be in compliance with all other development standards applicable to the property. Finally, the project will not adversely affect the General Plan as the proposed health club use is consistent with Goals 1 and 2 of the Land Use Element of the General Plan. These goals encourage uses such as Planet Fitness that promote a balance of land uses to address basic community needs and which enhance the City's economic and fiscal viability. In addition, the project is consistent with Policy 2.2 of the Land Use Element, which supports commercial uses that accommodate the City's needs for goods and services. Public Notification The project site is located within the Bristol Memory Coalition Neighborhood Association. The president of this association and the president of the adjacent Morrison/Eldridge Park Neighborhood Association were notified by mail 10 days prior to this public hearing. Staff has been in regular contact with representatives of the Morrison/Eldridge Park Neighborhood Association, who have periodically requested updates on and have voiced support for the project. Moreover, the project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to property owners and occupants 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 any members of the public. CEQA Analysis In accordance with the California Environmental Quality Act, the proposed project is exempt from further review pursuant to Section 15061(b)(3), which is a general rule exemption applying to projects that have no possibility of having a significant effect on the environment. Categorical Exemption Environmental Review No. 2013-12 will be filed for this project. 31 C-7 Variance No. 2013-11 September 23, 2013 Page 6 Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission adopt a resolution approving Variance No. 2013-11 as conditioned. Ali Pezeshkpour Assistant Planner I Vince Fregoso, CP Principal Plann r- AP:jm apW ReporlslStaff Reports for PC1VA1341 Planet Fitness Parking.pc Attachments: Exhibit 1 -Vicinity Map Exhibit 2 - Land Use Map Exhibit 3 - Site Photo Exhibit 4 - Site Plan Exhibit 5 - Floor Plan Exhibit 6 - Parking Analysis 31 C-8 (ItV ( e 0 9 J s9 \ 9 %? V / 9 2q 2V X r O 2 e O Al O O 22 GARDEN GROVE i ;• FREEWAY .. Al O RI / RI RI O p, fll a a RI Q O RI AI C2-HDII d \ ? o Tq 0 k / / 7 I R1 RI Ri RI 50-77 q ~ p too- "o 9 RI - 4 t fll R? a? RI R1 3 r - n - 7 p1 RI RI R7 R1 RI fl1 RI RI 01 L R7 ; RI RI RI R1 a R1 / R1 R1 Al GRSOUAGKMTk t to OYAMl O !Ull9 w 31,1(0 AMRYIFS H E PoA9WNWFICAl10N OC 00.9lLI91pcB m TROFAMLYFEEIDRIM 09A ODWAM4801(MMNN MI Uall"I"MR41 m MIAMEDllalYMLLlI G 2^MI.ILFIRYCCYYMal= M2 WAVVINDLb w FMMLYR'JODVIE G-MD QYAlA.Q1AMROPlIM11?1M g51NLT plo MIIINRYOR9Ral1(]S Fit 91BIR84NAFAMMB C2 G3r13H1.QXM9i]M O OF som w lllml MLBTi IE G lBAfRLLH19N? v PRXU9 92 3 )FICOMO MW 6A B11ftlLH.6a8SARfISiNl1ME PCD R mooMMlRJ ()Ba0 [M w 9'®RCRAN G M msiR{ No@ fW RPlM®fa90B111Rl ORRLCR.1Bif G PItIH1ALQXMA90AL VA 2013-11 PLANET FITNESS - 2725 NORTH BRISTOL STREET -=500 FEET V=1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 VICINITY MAP 31 C-9 MULTI - FAMILY R ESIDE CE SIN GL E - A I L Y R E S D N E F- w w F- MULTI - FAMILY RESIDENCE MULTI-FA ILY RESIDE CE ? LL LL VACANT MEMORY LANE SI LE FAM LY } > ESI ENC Comm. J V V - w V O Q z Q LL W Q z F- ? O LL w vl w _ p K l0 W W '' ? E S I D N E Qo z '++ N ? N VA 2013-11 PLANET FITNESS 2725 NORTH BRISTOL STREET ?gy P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31 C-10 VA 2013-11 PLANET FITNESS SITE PHOTO 2725 NORTH BRISTOL STREET EXHIBIT 3 PAGE 1 OF 2 31C-11 VA 2013-11 PLANET FITNESS SITE PHOTO 2725 NORTH BRISTOL STREET EXHIBIT 3 PAGE 2OF2 31 C-12 1 l ? I 4 €? uY5 ?? 40 tl? e Y-= Y I /. ;;55 r ? 1 I 1 I 1 1 .Y (( I? 17 ' IS r 1M 1 J. l; e,na .7X3 U?tl Vrell WWA _ em,l icuy .43 r'r15 w03 nom. ?rU n? x V, " ?? ? I? u Y `?'J r3 ?" ga wN ?rc?! u r ? vg ? IXi ' T. 1.. J _ I 1 1 j 1 ( p ? 1 ? •i u I .? S I jI Y Lll Z Q J O'. CLLI i r A ',"A M+m.M?wl ., 4 1 l .' . _ 3f4h ?iV+ r r? t S ._, rn N l ]S If: _ ? ? M1 aueeDY O. > ? { ? ? ? ? ? I 4wJ t t .4 ?i tr J i ? oun i I lk'Y4u11 _ ' i L ?- - rx-; ? V / r? 1% ? i°FS6 I A F 1332119 101SIN8 'N Iff; S N n a i i- j 3 o. A - - - - - - - - - - - - L J E a` ; a .. ? r u e o ' p @ - n x o E o 'R b a° E o f E f - " o ti 1 06 ' Rpp pg t L ? Q l Q A 4 • i a A +A ti to yQ? ?q ?4 ?` IW Ir1 I-ni , A }? . ? th ? !'u t?! II I I I dl - a affffifw ^? (q{??}a?i? r0({? TSpry?' ry{p?5 la?'1 }pn?1 /(%(??ny{T ?ryp{? ? 5" S?'arC (? rw Vl v SZ ?h rl ? u N ® r r T .? ? IY 4 9L V14 V V14 m M i0 a O 11 W II w J a L) N Z g a W oam5 i R ?L ?K ?m 6 2 Y ? N a 0 J LL ? A of 3{9e I5E UPDATED PARKING DEMAND ANALYSIS FLORAL PARK PROMENADE Santa Ana, California September 16, 2013 (original dated December 12, 2012) Engineers & Planners Traffic Transportation Parking IM I'll 5 September 16, 2013 nl9ineers&Flannels rra0ia lmnsparlalion Parking Vice President Nelson Eric A Mr Hoscml.uaw& , . . Red Mountain Retail Group, Inc, Greenspml, EnUlnams Development I Government Affairs 2Executive Circle 1234 E. 17th Street Suite 250 Irvino, CA 92614 Santa Ana, CA 92701 949.82SA1151 5006113 r LLG Reference No. 2.12.3337.1 swrv.Ilecneinems.cmn Pasadena Subject: Updated Parking Demand Analysis for Floral Park Promenade [vino Santa Ana, California See Diego Woodland Ilills Dear Mr. Nelson: As requested, Linscott, Law, & Greenspan, Engineers (LLG) is pleased to submit this updated Parking Demand Analysis for Floral Park Promenade, an existing 76,000 square-foot (SF) neighborhood shopping center that is generally located north of Memory Lane and east of Bristol Street in the City of Santa Ana, California. Based on our understanding, a parking study is required by the City of Santa Ana to determine the parking demand for the existing shopping center with the occupation of 18,600 square-feet (SF) of vacant retaikdesignated floor area by Planet Fitness health/fitness club, as well as other vacant retail/office suites, to ensure that adequate parking is provided upon fill occupancy of the site. At the time of our parking demand field study, the retail center had a current occupancy of 50,305 SF and a vacancy of 25,695 SF. These figures were re- confirmed by Red Mountain Retail Group, Inc. in September 2013. The occupied buildings consist of child care, eating establishments, martial arts, medical office, office and retail use, while the vacancies primarily consist of office, retail use, and the proposed fitness club. Phiepl.l.[n,cott, PE IN; roe Jack C1. GwompP e'PE v A parking study has been required by the City of Santa Ana to evaluate the parking Y1.e,1oA Ia':I, PPm n requirements and operational needs of the center at future full occupancy. This report Pent IV lVJlinson, PE evaluates those needs based on actual field study of existing peak parking demands at J,n Pxoehna. PE the site, application of City code, and Further application of the Urban Land UandS shouda, PE Jo1mA Uoanran, Pk Instiuue's (ULI) Shored Pnr kilrg methodology. Ulm 61, tQoC hem. PF Unchoud E U' u'tW, PE Ked 0. F."key, PE mren',a 31 C-16 Mr. Eric A. Nelson September 16, 2013 Page 2 Our method of analysis, findings, and recommendations are detailed in the following sections of this report. Briefly, we find the following: • Inventoried existing parking supply on the site totals 366 spaces. • Existing (November 2012) peak parking demands at the site totals 176 spaces. • A "code" calculation for existing (November 2012) occupancy levels and tenancy types requires 282 spaces, and a similar "shared parking" calculation (code parking ratios and ULI time-of-day profiles) indicates a "design level" requirement of 232 spaces for that same occupancy condition, thus illustrating the conservative nature of the shared parking approach. • A "code" calculation for full occupancy levels requires 719 spaces, resulting in a theoretical deficiency of 353 spaces. • A "blended" calculation using actual demands for existing uses and shared parking for fill[ occupancy of any otherwise vacant space, inclusive of the proposed Planet Fitness, puts the expected peak utilization at 278 spaces, resulting in a minimum functional surplus of 88 spaces. • The mix of site uses (existing or future full occupancy) clearly support the basis for application of the shared parking methodology, and actual field study confirms that technique to be very conservative in determining the site's parking needs. PROJECT LOCATION AND DESCRIPTION Floral Park Promenade is located north of Memory Lane and east of Bristol Street in the City of Santa Ana, California. Tigure 1, located at the rear of this letter report, presents a Vicinity Map, which illustrates the general location of the Project site in the context of the surrounding street system. figure 2 presents the existing site plan for Floral Park Promenade, and illustrates the existing buildings and parking areas. Floral Park Promenade is an existing 76,000 SF mixed-use center with 366 parking spaces and a current occupancy of 50,305 SF (25,695 SF of vacancy). Table 1, located at the end of this letter report, following the figures, summarizes the existing land uses/tenants and associated floor areas for Floral Park Promenade. A review of Table I indicates that the occupied floor area consists of a 10,420 SF child care facility, 9,450 SF of eating establishment uses, 1,100 SF of martial arts uses, 5,613 SF of medical/dental office uses, 1,800 SF of office uses and 21,922 SF of retail uses. The vacant floor area consists of 2,900 SF of office space, 4,195 SF of retail space and 18,600 SF of retail-designated floor area that is proposed to be occupied by a Planet Fitness, n proposed health club/fitness club. L . 31 C-17 Mr. Eric A. Nelson September 16, 2013 Page 3 PARKING SUPPLY-DEMAND ANALYSIS This parking analysis for the Floral Park Promenade involves determining the expected parking needs, based on the size and type of proposed development components, versus the parking supply. In general, there are three methods that can be used to estimate the site's peak parking needs. These methods have been used in this analysis and include: ¦ Application of City code requirements (which typically treats each tenancy type as a "stand alone" use at maximum demand). • Application of shared parking usage patterns by time-of-day (which recognizes that the parking demand for each tenancy type varies by time of day and day of week). The shared parking analysis starts with a code calculation for each tenancy type. ¦ Existing parking demand surveys to determine the aggregate parking demand of current tenants, combined with application of shared parking evaluation methodologies for all proposed or existing vacant floor areas in the center. The shared parking methodology is concluded to be applicable to a development such as the Floral Park Promenade because the individual land use types (i.e., day care, eating establishments, martial ails, medical/dental, office, retail, fitness center, etc.) experience peak demands at different times of the day. CODE PARKING REQUIREMENTS The code parking calculation for Floral Park Promenade is based on the City's requirements as outlined in Chal)ter 41 - Zoning, Arlic/e AV, Off-Sheet Parking of the City of Santa Ana Municipal Code. The City's Municipal Code specifies the following parking requirements: • Child Care: one (I) space per eight (8) students and one (1) space per teacher. Restaurant, catd, etc: ten (10) spaces per 1,000 SF of Gross Floor Area (GF'A). • Martial Arts, gymnastics, and dance studios: five (5) spaces per 1,000 SF of GFA. • Medical, dental, psychiatric and chiropractic offices and clinics: six (6) spaces per 1,000 SF of GFA. 31 C-18 Mr. Eric A. Nelson September 16, 2013 Page 4 Office, business and professional: three (3) spaces per 1,000 SF of Gross Floor Area GFA. • Retail stores and service uses: five (5) spaces per 1,000 SF of GFA. • Exercise gyms, spas, health clubs, etc: I space for each 28 SF of GFA devoted to physical activity other than racquetball or handball (exclusive of locker rooms, shower facilities, utility rooms, and ancillary public area) plus 2%z spaces for each racquetball and handball court. Table 1 presents the existing code parking requirements for only occupied floor areas at the center, then for the total of existing vacancies, and then combined for the total center. Existing occupied buildings/suites require 282 spaces, a number that is directly comparable to the field studied peak parking demands established in this study. Accounting for current vacancies adds a requirement of 437 spaces. Combining the two, results in a calculated code requirement of 719 spaces. The existing site has a supply of 366 spaces, which translates to a theoretical deficiency of 353 spaces when compared to city code requirements. However, the specific tenancy mix of Floral Park Promenade provides an opportunity to share parking spaces based on the utilization profile of each included land use component. Tile following section calculates the parking requirements for Floral Park Promenade based on the shared parking methodology approach. SHARED PARKING ANALYSIS Shared Parking Methodology Accumulated experience in parking demand characteristics indicates that a mixing of land uses results in an overall parking need that is less than the stun of the individual peak requirements for each land use. Due to the existing and proposed mixed-use characteristics of Floral Park Promenade, opportunities to share parking now occur and can be expected to continue with full occupancy. The objective of this shared parking analysis is to forecast the peak parking requirements for the project based on the combined demand patterns of different tenancy types at the site. Shared parking calculations recognize that different uses often experience individual peak parking demands at different times of day, or days of the week. When uses share common parking footprints, the total number of spaces needed to support the collective whole is determined by adding parking profiles (by lint of day for weekdays versus weekend days), rather than individual peak ratios as represented in the City of Santa Ana Zoning Code. In that way, the shared parking approach starts 31 C-19 Mr. Eric A. Nelson September 16, 2013 Page 5 from the City's own code ratios and results in the "design level" parking supply needs of a site. It should be noted that the "demand" results of the shared parking calculation are intended to be used directly for comparison to site supply. No further adjustments or contingency additions are needed because such contingencies are already built into the peak parking ratios and time of day profiles used in the calculation. There is an important common element between the traditional "code" and the shared parking calculation methodologies; the peak parking ratios or highpoint for each land use's parking profile typically equals the "code" parking ratio for that use. The analytical procedures for shared parking analyses are well documented in the Shared Parking, 2" Edition publication by the Urban Land Institute (ULI). Shared parking calculations for Floral Park Promenade utilize hourly parking accumulations developed from field studies of single developments in Free-standing settings, where travel by private auto is maximized. These characteristics permit the means for calculating peak parking needs when land use types are combined. Further, the shared parking approach illustrates how, at other than peak parking demand times, an increasing surplus of spaces will service the overall needs of the center. Shared Parking Ratios and Profiles The hourly parking demand profiles (expressed in percent of peak demand) utilized in this analysis and applied to the Floral Park Promenade are based on profiles developed by the Urban Land Institute (ULI) and published in Shared Parking, 2"e Edition. The ULI publication presents hourly parking demand profiles for six (6) general land use categories: fast-food restaurant, family restaurant, medical/dental, office, retail, and fitness center. For the child care facility and martial arts center profiles are based on hours of operation and feedback from staff. The ULI profiles of parking demand have been used directly, by land use type, in the analysis of this site and are applied to the City's applicable parking ratio, with the exception of the fitness club/health club. For this study, an empirical ratio of 5.5 spaces per 1,000 SF was applied to proposed health chub in order to account for the unique iripmaking and parking characteristics of the health club that are not reflected in the City Code ratio. Actual field studies that were previously conducted for 24 Hour Fitness, LA Fitness, and Spectrum Club have resulted in empirical parking rates that are much lower than city code ratios for health clubs. 31 C-20 Mr. Eric A. Nelson September 16, 2013 Page 6 LLG's prior field studies for LA Fitness and Spectrum Club concluded that larger (greater than 30,000 SF), more "amenitized" health clubs have much lower parking ratios compared to typical city code ratios. A review of floor plans of a currently proposed 38,000 SF 24-Hour Fitness indicates that the ratio of "physical activity" space to "ancillary floor area / space designated for amenities" is very similar to that of the proposed Planet Fitness health/fitness club, as approximately 60 percent of the floor area is allocated for "physical activity" while the remaining 40 percent of the floor area is occupied by locker rooms, retail/reception area, storage, kids room, office., circulation, etc.). Based on review of the Planet Fitness floor plan, approximately 61 percent of the floor area (11,404 SF) is designated for "physical activity", while the remaining 39 percent (7,196 SF) is allocated for ancillary uses (i.e. locker rooms, storage/hallway, lobby, etc.). Hence, the use of an empirical ratio of 5.5 spaces per 1,000 SF for health/fitness clubs is applicable to the proposed Planet Fitness project. As can be seen from the following summary of peak parking rates (reflecting peak parking conditions on a weekday), the empirical ratio of 5.5 spaces per 1,000 SF applied to Planet Fitness in the shared parking calculations is appropriate, yet conservative design-level ratio based on the likelihood that actual parking needs may be lower than anticipated: City Code: 35.7 spaces per 1000 (or I space per 28 SF) LA Fitness Studies: 5.5 spaces per 1,000 SF E- used in this slimly ITE Parking Generation. 5.27 spaces per 1,000 Sr 2009 24 hour Fitness Study: 5 spaces per 1,000 SF (plus 17% contingency) Spectrum Club Study: 4.50 spaces per 1,000 SF 2009 24 Hour Fitness Study: 4.28 spaces per 1,000 SF (for UFC Gym) Application of Shared Parking Methodology Tables 3 and 4 presents the weekday and weekend parking demand profiles for Floral Park Promenade based on the shared parking methodology, assuming full occupancy of the center including ui 18,600 SF fitness club to be occupied by Planet Fitness, Review of Tables 3 and 4 indicates that the future fill occupancy weekday peak parking demands will occur at 6:00 PM with peak "design level" demands of 344 spaces. Based on the existing parking supply of 366 spaces, the peak demand hours on a weekday will yield a surplus of 22 spaces. On a weekend the peak parking 31 C-21 Mr. Eric A. Nelson September 16, 2013 Page 7 demand will occur at 12:00 PM with a peak demand of 256 spaces resulting in a surplus of 110 spaces. SURVEY/SHARED PARKING METHODOLOGY Key Parking Demand Field Study Findings The code calculations of Table 2 for existing (November 2012) tenancies at the site (282 spaces), contrasted with the peak shared parking requirement for only those existing occupancies of Table 3 (232 spaces at 1.00 PM on a weekday), can be further compared to actual field-studies of existing peak parking demands at Floral Park Promenade. Observed parking demand surveys were conducted hourly at the site (from 6:00 AM through 8:00 PM) by Transportation Studies Inc. on Thursday, Friday and Saturday (November 15, 16 and 17, 2012). Appendix A contains the weekday and weekend survey data. The left column of Tables 5, 6 and 7 present the actual site-wide parking demands observed throughout the center on the three field-study days. As shown, the actual peak parking demand on Thursday was 176 spaces at 1:00 PM. The Friday peak demand occurred at 11:00 AM and 5:00 PM with 154 spaces. The Saturday peak demand occurred at 3:00 PM with 150 spaces. The City code requirement of 282 spaces for existing tenancies at the site is roughly 100 spaces greater than the actual field-studied peak demand for those same tenancies. Consequently, while the shared parking results represent a reduction from "pure code", the conservancy and accuracy of the shared parking approach is validated for predicting actual site parking needs. Actual Demands "Blended" with Shared Parking Application to Vacant Floor Area In order to illustrate the most appropriate actual future peak parking demands at Floral Park Promenade with an 18,600 SF fitness center, utilization of the actual survey data for the existing tenancies has been combined with the parking demand within the ULI shared parking model for the proposed vacant floor areas. Tables 5, 6 and 7 also present this approach, which consist of adding actual field- studied demands to the City code parking ratios applied to ULI time-of-day parking profiles for the expanded and vacant floor areas, for a typical Thursday, Friday and Saturday respectively. As presented in Tables 5, 6 and 7, the peak parking demand is 278 parking spaces at 11:00 AM on a Thursday, which results in a mininmm 31 C-22 Mr. Eric A. Nelson September 16, 2013 Page 8 functional surplus of 88 spaces. Consequently, we conclude that there is adequate parking on site to accommodate the proposed occupancy of 18,600 SF of vacant floor area with a Planet Fitness health/fitness club. Appendlr U contains the weekday and weekend day shared parking analysis calculation worksheets. Based on LLG's experience, the results presented in Tables 5, 6 and 7 represent the most pragmatic approach to future parking conditions. SUMMARY OF FINDINGS AND CONCLUSIONS Floral Park Promenade is an existing 76,000 square-foot (SF) mixed-use center located in Santa Ana, California and is supported by an inventoried parking supply of 366 spaces. At the time of our parking demand field study, the business park had a current occupancy of 50,305 SF and a vacancy of 25,695 SF. The current mix of uses/tenants has been re-confirmed by Red Mountain Retail Group, Inc. 2. This parking demand analysis evaluates the existing tenancy condition as well as with full occupancy of the center and a proposed Planet Fitness health/fitness club within 18,600 SF of vacant retail-designated floor area 3. Direct application of City parking codes to the existing and proposed mix of uses of Floral Park Promenade results in a total parking requirement of 719 parking spaces. With an existing parking supply of 366 spaces, a code deficiency of 353 spaces is calculated. 4. Given the mix of center tenancies, a shared parking analysis has been prepared and indicates that the proposed parking supply for Floral Park Promenade will be sufficient to meet the projected peak parking demands of existing and proposed uses, including the proposed fitness club. The weekday scenario results in a minimum surplus of 22 spaces. The shared parking template developed in this study is the recommended methodology for evaluating any further tenancy or floor area adjustments to the on-going operations of Floral Park Promenade. 5. A "blended" analysis or actual parking demand for existing occupancies and a shared parking approach for proposed uses indicates that the future minimmn fimctional surplus at Floral Park Promenade will be much greater. For the proposed tenancy mix, the weekday and weekend day (Thursday, Friday and Saturday) condition is forecast to have a surplus of at least 88 spaces. Hence, it is concluded 31 C-23 Mr. Eric A. Nelson September 16, 2013 Page 9 that adequate parking is provided on site to accommodate the proposed occupancy of 18,600 SF of vacant floor area with a Planet Fitness health/fitness club. We appreciate the opportunity to prepare this analysis for Floral Park Promenade. Should you have any questions or need additional assistance, please do not hesitate to call Shane Green or inc at (949) 825-6175. Very truly yours, Linscott, Law & Greenspan, Engineers Richard E. Barretto, P.E. Principal Q?OFESSIpyq cc: Shane S. Green, P.E., Transportation Engineer III` O E e 4yc 'A y No. 2006 0 Attachments *_ Fy 6/30/15 31 C-24 22) s 22 Sherwood Ln WAY fix, D '1 G Failbrook Ln o . C 03 ? I ?J? Z W Orange Rd q a Corrigan Ave 0 Q p z J L ? c S v I? I .........:.... 4/1 . :a w W Memory Ln .-. Marcella !n _? N 6 y ro tA W Nark Ln fYl N Q Y Z 44 Park Ln ,n 0 O LL 7.. O` m W .W SOURCE: BING FIGURE 1 KEY NHO SCALE E. ';7j . PROJECT SITE VICINITY MAP FLORAL PARK PROMENADE, SANTA ANA 31C-25 SOURCE: COOCLE EARTH FIGURE 2 KEY :E.:E.::1 - PROJECT SRE N O SCALE EXISTING AERIAL FLORAL PARK PROMENADE, SANTA ANA 31 G26 - `' Y - '-- J PARKING SUPPLY OZONE A, 219 SPACES F _ ( ZONE B J = 76 SPACES ' r I N B 1 I 4i J f ZONE C, = 24 SPACES s •, 1 * a i i . i ? 1 ZONE D 36 SPACES l ZONE E = II SPACES a TOTAL 366 SPACES T 1?1 _ A PROPOSED K FITNESS CENTER N4 F TJ - ' 'FSR. , ? SOURCE: DSW INTERN ATIONAL/flE0 MOUNTAIN REALTY FIGURE 3 LE (C NO SCALE EXISTING SITE PLAN FLORAL PARK PROMENADE, SANTA ANA 31C-27 TABLE 1 EXISTING AND PROPOSED TENANTILAND USE SUMMARVI Address Tenant Land Use Building Size (SF) BuildingA Vacmd(NeivTotvn) Office 2,900 SF Building B-I Hawaiian BBQ Eating Establishment 2,200 SF Building B-3 Cash Advance Retail 1,100 SF Building B-4 Luv N Donuts Retail 1,100 SF Building B-5 ''ackwondo Martial Arts 1,100 SF' Building C Proposed Project - Vacant Proposed Fitness Club 18,600 Sr Building D-i Stale Farm Retail 1,480 S17 Building D-2 Dental Clinic Medical/Dental 1,483 SF Building D-3 Pizza Ealing Establishment 1,070 SF Building D-4 Vacant Relall 1,358 SF Building D-5 Nails and Bair Expo Retail 2,866 SF Building D-6 Beauty Salon Retail 1,600 SF Building D-7 Dentist Medical/Dental 1,430 SF BuildingE Tutor Time Child Care 10,420 SF' Building 17 Soccer Store Retail 5,600 SF Building G-I Outlets R Us Retail 3,120 SF Building 6-2 Bristol Barber Retail 630 SF Building G-3 Cleaners Retail 1,806 SI7 Building H-1 Vacant Retail 2,017 SF Building H-2 Medical Group Medical/Dental 2,700 SF Building I Juan Poilo Eating Establishment 1,680 SF Building 1-1233 Rain Maker Staffing Office 1,800 SF Building 1-1135 Vacant Retail 800 SF Building 1-1237 Smoke Shop Retail 720 SF Building 1-1241 Zamora's Mexican Grill Ealing Establishment 1,600 SI7 Building J-A Starbucks Retail 1,600 SF Building J-B Subway Eating Establishment 1,300 SF Building J-C QNails Retail 1,000 SI7 Building J-D Metro PCS Retail 900 SF Summer : 'Total Occupied Child Care Square Footage 10,420 SF Total Occupied Eating Establishment Square Footage 9,450 SF Total Occupied Martial Arts Square Footage 1,100 SF Total Occupied Medical/Dental Square Footage 5,613 SF Total Occupied Office Square Footage 1,800 SF Total Occupied Retail Square Footage 21,922 SF Total Vacant Office Square Footage 2,900 SF Total Vacant Retail Square Footage 4,195 SF 'Total Vacant Proposed Fitness Club Square Footage 18,600 SF 'TOTAL SITE SQUARE FOOTAGE 76,000 SF Source: Red Mountain Group, Inc. as of Novcnibcr 2012 mxi re-confined in September 2013. The Martial Ans Center currently has 2 instructorsand 9 students perclass. The Child Care Center currently has 20 instructors mid 95 students. 31 C-28 TABLE 2 CITY CODE PARKING REQUIREMENT City oT Sanla Ana Spaces Land Use Size Code Parkin Ratio4 Required &risline Tenant,11ix I space per 8 students and I space per 31 5 ? Child Care 10,420 SF instructor ? Eating Establishment 9,450 SF 10 spaces per 1,000 SF of GFA. 95 ? Martial Arts 1,100 SF 5 spaces per 1,000 SF of GFA. 6 ? Medical/Dental Office Building 5,613 SF 6 spaces per 1,000 SF of GFA. 34 ? Office 1,800 sF 3 spaces per 1,000 SF of GFA. 6 ? Retail 21,922 SF 5 spaces per 1,000 SF or (;FA. 110 Facaid Salles/PtRposed Prod ? Office - Vacant 2,900 SF 3 spaces per 1,000 SF of GFA. 9 ? Retail - Vacant 4,195 SF 5 spaces per 1,000 SF of GFA. 21 ? Proposed Planet Fitness 11 404 SF 6 1 space per 28 SF of GFA plus 2.5 spaces 407 health/fitness club , for each racquetbollAiandball court TOTAL: 719 A. TOTAL OCCUPIED PARKING CODE REQUIREMENT 282 B. TOTAL VACANT PARKING CODE REQUIREMENT 437 C. TOTAL PARKING CODE REQUIREMENT BASED ON FULL OCCUPANCY 719 D. 'TOTAL EXISTING PARKING SUPPLY 366 E. PARKING SURPLUS/DEFICIENCY (+/-) BASED ON FULL OCCUPANCY (D - C) -353 ' Source: CilV OfSnula Ana Alnuicipnl Code, Chapter 41- Zoning, Arlicle XF Off-.Sireel Parking. ' The child care facility his 95 students and 20 instructors resulting in a 31 space requirement. 6 Floor area represents (he amount of square-footage provided in the health club that is devoted to physical activity. Based on inlbnnation provided by Iced Mountain Retail Group, Inc., approximately 61%of the total building squxe-footage (i.e. free weights, aerobic, spin, etc...) is devoted (o physical activity. Square-rootage excludes locker rooms and other ancillary public areas. 31 C-29 TABLE 7 lan0l4e ENIJCarr F. r-FaJ Ikfualacr Frolly Wluaruf 3krarl Arh 34Jild-DIa1J OISu Of0<r Rlldl 3'urrl Or6'r S'rlual R'ull Prc•{a+N Nnelf CIO11r St., R u l Itaftl Mr 1370 M1F io IMF 3260 MSF to IMF 1.100 Mr SIMSF 5613 MSF 6IMF 1100 Mr iIMF is 311 ISF 5113F 1500 MTif )ISSF 1.115 M[F SImF 11.600 mr 55 IMFI4 760,70 c'na.PrrI1+,N r % l Gnrs 31 ffr. 111 I6 51,. 33 Slr. 6 51'.131 34 St.. 6 5.. 11211". 9 Sir. 11 Slr. 101 SCI. S%-j Pr111n4 S9f111 266 S s •1 S ' H.. ef0 Krldrr9l $W.. Krm2rr rl SW., K..b'rc/ S- Kuc0,r,1 + S ` Kur ter of Sp... Kurlrr of S fl K,mh'uf S n1 0",11.4 4.4 N-N'd Scr v-N' r b I<I K,m7rrcf snl P.,11" D-4 Sulllul lklidrl)) 6WAbi 10 1 7 0 a O 1 23 0 11 7) IA 2V 7b)ASI 31 S U 0 0 1 t 79 1 2 M 10 25) SWA?.l 11 11) IS 0 21 5 21 110 fi ) 41 Ili) 20 010ANI N IS IS D 3I 6 46 117 71 227 m t-IAFI N 24 21 0 31 6 74 111 0 IS 71 M. '1) 11I()A1,1 D) it 22 0 4 6 13 111 1 14 SS 112 4 )POW D) 35 24 0 10 5 1111 214 1 19 61 Y4 61 IIU IM N 46 22 0 ?2 5 Ur7 2.2 7 19 71 S)1 IS 2(01.`•1 b? 42 14 0 4 6 11,1 210 9 19 7) 1:. ar.ll\1 :/ 21 12 1 4 6 $4 b•) 1 to 7) 2Y) 67 41•If3I SI 21 12 4 12 5 53 1v) 7 IA III 3f, VI SmiNI 11 21 16 6 2') 3 114 217 J IA 91 112 4 w0m 11 H la t. 2.1 2 I,4 221 2 16 JO 14 22 71017.1 10 )7 17 6 10 1 lol lu 1 IF 92 ML A SWI?.I 0 21 17 6 S 0 57 111 I IS FI I4 IIA f:+tea 111 P?/r,:u.fcr a94:JIJ<I DaIN o0 ETl11trIJ.ISr.:rml,J lae?{Irll l,rcaule olerrr afl0a,i:e lul Jrrr.J ra1vr iII SDSI fr.•ePr•1111 a:rnti-.u:NF,xJon Aletuua afc.-sr,l•?,+ a-.J k'J1::1 So.^.'wl p1 0,W ul,\AI f:of<1 «x c.tm•ol la+d e? Ur lam ofot,rati„f zJ k+ND):f Ls? rtu[ 1115.)::ne1'?1f3R'J" rlikflb (lfb f'; Vj"..f-JV-)UGA Ikh fJd- P"Aill frn'runr,F)2`.1EN4II't E""flal ir_,NrLWe Ul'rII" 4._?e tlJ.)1F.n1.:lf•.+•r.rt'v:I.Jf.+)-,:/.'4c.Jf1 ?•.,.:i33 31 C-3o TASK I?aJIYe CNWC.r< n.uri•J Rn6v uel 1'.a.;y Rn4vuyt 5410.1 A"I J4Jr.1-Mn1J OfSu ??r R,tJI Yu.aI OIAU 7'u ul Rt Wl Pnyrned ilrnu Cuter Slle R u 11 P? lom mr 1310 MF Ill IASF 1769 FINF IO Mir 1.100 ).NF S IMF 5615 Air 6 IMF 1100 ASF J IMF 71522 KIF S IMF 7400 ASY 3IMF 4.19526F 3WIF 116001Sr SS iMF IJ 76.009 Con:{arllcn wr . 1 Q.. 11 Spt.111 16 Sfr. 11 Sf<. 6 Spr.I11 JI Spl. 6 sr. 116 51.. 9 Sfc. 71 sr.. 101 Slc. sh'.4 P.I?1nd Surflr 166 S 1 (1 6 1tt n-". Namhrof sm.. NaeJ<r of t S •' ,ramfarof It u , N.eofSr nl no... NudSe of r S <' NcrOer r! s l... Nu.Jar o! Sn<u fkccillJ T"A :9vuUar of S t , Number of s p.4% Numhr<I S M... Prr\Ini lk-J Sarllul MIUu1)1 6(0A.%( 0 3 G u U O 7 12 U 0 6) Tl 2.17 74 A!.l u S 11 0 V 0 4 25 U 2 J9 (r. y0 IIWA5l 0 9 16 0 21 0 19 74 0 1 11 IVl 157 941ASi 0 I1 25 U 12 11 45 117 1 S 41 Ib) I47 IOIUAI.1 U 2f 11 0 11 I 67 157 1 12 JI 2"1 IW 11(•)A 51 0 51 Y1 U 31 I SI 161 1 If IJ 2!; I]1 121111 T( ii JI J 14 1 9J 111 I 16 J1 2!n I10 IU/FS{ U J1 29 U U U IIN 161 I 19 72d 1•i 2192^1 0 ]7 T] U n 116 I41 U 71 276 111 pgi56 n 17 15 z 0 U 114 ICJ 0 21 110 LV. 601161 0 24 IT 6 n 11 I11 Ih1 a .) V 227 1711 fr+IIM V 27 12 6 i) U R0 I6J U 1'i 2(r. its! 61111M 0 )7 15 6 9 U 9S 166 V 17 2'c 7(010.1 0 55 25 6 U 0 ?1 1!6 tl 16 51+11!.1 0 21 2J 6 0 16 171 1115 171 1'.Ard nx. fon9lcJ an 6.x7 on C! I Oa W:re uJav1:x11n srssa fs.6u6t e7lcrn 6fdbluL'6 tat\ 4aa:J Dtbv 121 CT 31 C t prri.7n .:7 rlem,!rJ Fa!aJ<n 12<Sau. of cprnl?o+uJ kel?..\ 6n11.D 117 ESenul nnr f:ot&n:r Mi-Uerl6ucJ e0 447 an of9P•r.Gm+ r •.1 k<Jtcl\ H?_I snlT 117 SaurPm?cd SlJel offt•J`]tTrb f:<ttr+pap_-N FI 310 s:1 iS Wiu9.!'...J+,f ficrrvnon f,6t1AN 6) RcL-IIC.I<of Ir?+purtt(i:01'r7 F<m ' s:..:,t rrLrtr.>.L:.Jtwr.•r'.w.•.7n,rt.'::A•.ax•rJrs;:.x•;1 31C-31 TABLE 5 "BLENDED" WEEKDAY SHARED PARKING DEMAND ANALYSIS9 • THURSDAY (EXISTING COUNTED DEMAND PLUS SHARED PARKING FOR VACANT USES Lnntl Be Existing norm Park Promenade Vacant Office Vacant Retail Proposed Fitness Center Size Pkg Rateill 50.305 KSF 2.900 KSF 3 /KSF 4.195 KSF 5 /KSF 18.600 KSI' 5.5 /KSF131 76.000 Comparison ?d/ Gross spaces Obser%od Hourly 9 Six. 21 SIle. 103 Six. Shared Parking Supply 366 Spaces Time of Day Parking Demand 121 Number of Spaces Number of Spaces Number of Spaces Parking Demand Surplus (Deficiency) 6:00 ANI 42 0 0 73 115 251 7:00 A M 67 2 2 44 115 251 8:00A1N 77 6 3 44 130 236 9:00 A 1vI 104 9 8 73 194 172 10:00 A Ni 143 9 13 73 238 128 11:00 AM 171 8 16 83 278 88 12:00 PM 162 7 19 63 251 115 1:00 PM 176 7 19 73 275 91 2:00 PM 150 9 19 73 251 115 3:001',4( 148 8 18 73 247 119 4:00 PM 165 7 18 83 273 93 5:00 PM 144 4 18 93 259 107 6:00 PM 136 2 18 103 259 107 7:00 PNI 130 1 18 92 2,11 125 8:00 PIN 98 1 15 81 195 171 Notes: f i] Parki ig rates for all land uses based on ULl procedure nornxilized to cress percentage oa teats of absolute peak demand ratios. 121 Existing Counts were conducted on Thursday, November 15, 2012- [31 Source: Parking Studies of Health Club facilities prepared by I,LG and 41h Wition, Parking Genernlion published by the Institute of"Ihansportation Frigineers. 9 Source: Ul.l - lb•ban Lat,d b?sliHrre "Shored Pm•ki?rg, "Second Edilioo, 2005. 31C-32 TABLE 6 "BLENDED" WEEKDAY SHARED PARKING DEMAND ANALYSIS10 - FRIDAY (EXISTING COUNTED DEMAND PLUS SHARED PARKING FOR VACANT USES) Land Be Existing floral Park Promenade Vacant Office Vacant Retail Proposed Fitness Center Size Pkg Ratel11 50.305 [4Sf 2.900 KSF 3 /ICSF 4.195 KSF 5 IICSF 18.600 1CSF 5.5 116 F131 76.000 Conyxrrison NN/ Gross Simees Observed Hourly 9 Six. 21 Spc. 103 Six. Shared Parking Supply 366 Spaces Time of Day Parking Demand 2 Number of Spaces Number of Spnces Number of Spaces Parking Demand Surplus (Deficiency) 6:00 AM 50 0 0 73 123 243 7kOAM 98 2 2 44 146 220 8:00 A NI 82 6 3 44 135 231 9:00 AM 119 9 8 73 209 157 10:00 A M 149 9 13 73 244 122 11:00 A M 154 8 16 83 261 105 12:00 PNI 143 7 19 63 232 134 1:00 PM 150 7 19 73 249 117 2:00 PM 143 9 19 73 244 122 3:00 PM 133 8 I8 73 232 134 4:00 PM 149 7 I8 83 257 109 5:00 PM 154 4 I8 93 269 97 6:001'M 152 2 I8 103 275 91 7:00 PM 142 1 18 92 253 113 19 (v) P 12,7 !._ 1 15 81 217 149 Notes: (1) Parking rates for all land uses based on IJLI procedure nomulized to express percentage in terms of absolute pcnk demand nit ios, 12J VAsting Counts were conducted on Friday, November 16, 2012, (3j Source: Parking Studies ofHealth Club facilities prepared by LLGand 4th Edition, Parking Generation published by the Institute ofTranspollation Engineers. 10 Source: UL/ - Urban Lard brstitute "Shared Parking. " Second rdition, 2005. 31C-33 TABLE 7 "BLENDED" WEEKEND SHARED PARKING DEMAND ANALYSIS" - SATURDAY (FXISTINC COUNTED DEMAND PLUS SHARED PARKING FOR VACANT USES) Land Be Existing Floral Park Promenade Vacant Office Vacant Retail Proposed Fitness Center Size Pkg Rate[ 11 50.305 l(SF 2.900 l(SF 3 /16F 4.195 KSF 5 116E 18.600 16F 5.5 ll(SF131 76.000 Con)lparison ii/ Cross aces S Observed Hourly 9 Spc. 21 Six. 103 Spe. Shared Parking Supply 366 Spaces p Time of Da Parking Demand 121 Number of Spaces Number of S ces Number of Spaces Parking Demand Surplus (Deficiency) 6:00 AM 37 0 0 67 104 262 7:00 AM 50 0 2 39 91 275 8:00 AM 65 0 4 31 100 266 9:00 A NI 73 l 8 43 125 241 10:00 A M 112 1 12 31 156 210 11:00 AM 126 1 15 43 185 181 12:00 PM 127 1 18 43 189 177 1:00 PM 128 1 19 27 175 191 2:00 PM 133 0 21 23 177 189 3:00 I'M 150 0 21 27 198 168 4:00 PM 136 0 20 47 203 163 5:001'M 125 0 19 84 228 138 6:00 PM 118 0 17 80 215 151 7:00 PM 114 0 16 51 181 185 8:00 p%,l 88 0 14 27 129 237 t s• 11] Parking rates forall land uses based on U1.I procedure noinmlized to eNpress percentage in temrs of absolute peak demand ratios. [21 Existing Counts were conducted on Saturday, November 17, 2012. [3) Source: Parking Studies ofHcalth Club facilities prepared by LLGand 41h Edition, Parking Generation published by the Institute of Tmnspoiiation I-?igineers. Sources Ul.l - Urban Land hulilule "Shared Parking, "Second Edition, 2005 31 C-34 APPENDIX A LINSCDI I, WY & GREENSPAN, ongloe915 EXISTING PARKING COUNT WORKSHEETS LLG Ref. 2-12-33371 Floral Park Promenade, Senor Ana N J I V ,.11L: a.l hoed YvM1 P:,..u.. uln, S..,u.\n?a.pop !! i b:.A'.n.In: 31 C-35 TAULE A-1 PARKING COUNTS rtdvv. November 15. 2012 2e?M A q C D E Puling Type R tic GrtenC I.I.W. Puling Gntn Cw IOMInme PMlln1 Yel1a Cnb10 Minwe Vm ffk Hek u TMA R Drten Cw 60 Miwle PWfog NO R {k TOM R R GD<0 pllp3 IWd1t4p THtl ME TOTAL C".Iy 201 I3 1 1 2 219 66 10 76 23 1 24 36 ) ) I 11 266 600AM 4 1 5 14 0 14 6 6 12 0 N 7.OOAM 19 2 21 Ig 1 19 12 It is 0 67 Loom 23 1 24 23 3 l6 I8 18 9 0 17 900Ab1 42 1 1 47 26 3 29 IB O 9 1 1 Id ,am AM 66 1 1 88 )) J J6 II 11 7 1 1 I43 ILOOAH 111 1 1 1? 29 1 33 I/ It 9 2 t Ill ROOPM 100 1 101 12 5 42 14 14 1 2 1 162 200PM 19 2 1 92 46 8 m 17 1 18 t0 2 2 176 100PM 82 1 1 1 13 34 2 26 12 17 10 2 I 120 76 1 1 78 35 5 40 19 19 9 2 2 148 97 1 1 1 90 39 6 45 18 18 10' 2 l 166 swim F 72 2 1 1 76 )7 6 43 13 13 10 2 2 144 66 1 1 70 37 6 U 10 10 31 2 2 Id wrm 29 2 61 32 4 J6 2 10 2 2 130 41 1 42 23 1 26 16 16 12 2 2 98 NM,: R-RepdvP U, IM-HWiHp 31 C-36 TADLEA-2 PARIGNG COUNTS "J... Nn?rmRer 16.2012 2 A O, C 0 C Pedi,br R IR' Ortt.C 20 Mm le IWL.6 G.C IO Minp P".9 Yd w Cm610 Ma+m O1op0R& toNku TOO R 11C iolAl R R Gm3 T9u1 SITE TOTAL CJytpi)9 201 I3 1 2 2 219 W 23 1 24 J6 3 1 1 11 J66 6:00 AM 2 0 1 J 9 9 l7 0 7:00AM 17 2 19 19 34 12 11 14 0 96 6:00AM 27 1 26 24 4 21 16 I6 10 0 62 9:00 AM 63 1 1 I 66 31 3 14 10 11 6 1 I 119 1090 AM 51 1 9i 36 2 JA I3 P 9 1 1 119 11.WAM 92 1 1 34 40 4 44 I6 I6 7 1 1 15J 1290 PM 66 1 I 61 U 4 42 IB I6 9 1 1 IQ IN PM 72 1 1 1 75 46 3 41 15 O 7 1 1 2 WPM 63 2 1 1 69 41 1 46 20 10 7 1 1 143 1 1 66 1 J6 20 r 1 2 61 26 6 J4 15 IS 11 1 1 61 36 1 44 15 19 60 1 1 11 39 45 2 1 i00 PM 60 1 61 JI I 25 k 9 A 0 1 1 111 500 PM 62 1 61 J6 1 20 1 I 1 120 X01111 R-Rt4u14r Pe W9 A IIC.Hu kep 31 C-37 TABLE AJ PARKING COUNTS' .. v_......1... w roll 2uc A v. R ? ° R PSMngt)p R lie GreSnc, ]O Minnie U..CW IOFSMW Pv21ng YPN9w Nk10 1,11W. mwl" PiPk- TOM R Grten C91 0?m:te Toll A HC TSI.1 G6156 l3l.d HOndi<9p TOM MA Tf/TAL hpuq xal II 1 ] 2 ]19 10 ]6 2l I J 3 boo AFI 1 1 2 12 It 3 5 0 1) ]00 AM 1 20 2 21 a a i.00 AM 5 6 24 4 10 I2 It Ig . 1 65 9.00 MS 11 1 If & J 27 ] 1 6 ]i 1 1 ]! 10.00 AM 19 I 40 JO S 15 19 19 I] 1 1 Iu II OOAM f0 1 51 A 3 39 18 10 16 I 1 126 1100 PFI 5] I 2 0 32 6 10 14 14 14 1 1 113 100 PM 50 1 2 V 41 4 45 19 1 0 9 I 5 125 x:00 PM 0 1 1 66 34 J 19 19 19 6 I 1 131 I'M PM 61 3 0 42 7 49 20 26 16 2 ] 10 100 PM SI I 59 42 It b 14 14 Il 1 - 1 - 116 - 5.00 PM 0 2 62 13 6 39 11 11 11 1 I lit 6:00 PM SI 1 6J 36 4 19 10 t 11 14 1 1 110 7:00 PM 42 1 2 45 39 8 47 9 9 12 1 1 114 1:00 Phi ]i I 1 2 31 29 4 32 10 10 Il 1 1 0 Neltl, R=Aeryly PULing fIC =HWlcnp 31 C-38 APPENDIX B 11IbC01I, IAVI &GREENSPAN. CngWelS ULI PARKING CALCULATION WORKSHEETS UA Ref. 2.12-7337-I Floral Pak Wonicnadc, Sonia Ana we",".,n,,+`a•r,"`-?n, Lln1--', 31 C-39 Appendix Table B-1 FAST-FOOD RESTAURANT WEEKDAY SHARED PARKING DEMAND ANALYSIS [1] Floral Park Promenade, Santa Ana Land Use Fast-Food Restaurant Size Pkg Rate[21 4.570 KSF 10 /KSF Gross 46 Spaces Spaces 39 Guest S pc. 7 Em .5 e. Shared Time of Da % Of Peak [3] N Of Spaces % Of Peak [31 N Of Spaces Parking Demand 6:00 AM 5% 2 15% 1 3 7:60 AM 10% 4 20% 1 5 8:00 AM 20% 8 30% 2 10 9:00 AM 30% 12 40% 3 15 10:00 AM 55% 21 75% 5 26 11:00 AM 85% 33 100% 7 40 12:00 PM 100% 39 100% 7 46 1.00 PM 100% 39 100% 7 46 2:00 PM 90% 35 95% 7 42 3:00 PM 60% 23 70% 5 28 4:00 PM 55% 21 60% 4 25 5:00 PM 60% 23 70% 5 28 6:00 PM 85% 33 90% 6 39 7:00 PM 80% 31 90% 6 37 8:00 PM 50% 20 60% 4 24 Notes: [1] Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [2] Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs, employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-40 Appendix Table B-2 FAST-FOOD RESTAURANT WEEKEND SHARED PARKING DEMAND ANALYSIS [11 Floral Park Promenade, Santa Ana Land Use Fast-Food Restaurant, Size Pkg Rate[21 4.570 KSF 10 /KSF Gross 46 Spaces Spaces 39 Guest Spe. 7 Emp. S e. Shared Time of Da % Of Peak [31 # Of Spaces % Of Peak 31 # Of Spaces Parking Demand 6:00 AM 5% 2 14% 1 3 7:00 AM 9% 4 19% 1 5 8:00 AM 19% 7 28% 2 9 9:00 AM 28% 11 37% 3 14 10:00AM 51% 20 70% 5 25 11:00 AM 79% 31 93% 7 38 12:00 PM 93% 36 93% 7 43 1.00 PM 93% 36 93% 7 43 2:00 PM 84% 33 89% 6 39 3:00 PM 56% 22 65% 5 27 4:00 PM 51% 20 56% 4 24 5:00 PM 56% 22 65% 5 27 6:00 PM 79% 31 84% 6 37 7:00 PM 75% 29 84% 6 35 8:00 PM 47% 18 56% 4 22 Notes: [11 Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [21 Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-41 Appendix Table B•7 FAMILY RESTAURANT WEEKDAY SHARED PARKING DEMAND ANALYSIS 11] Floral Park Promenade, Santa Ana Land Use Occupied Family Restaurant Size Pkg Rate[21 3.280 KSF 10 /KSF Gross 33 Spaces Spaces 28 Guest S pc. 5 Em p. Spe. Shared Time of Da % Of Peak 131 N of Spam % Of Peak [31 # Of Spaces Parking Demand 6:00 AM 18% 5 35% 2 7 7:00 AM 35% 10 53% 3 13 8:00 AM 42% 12 63% 3 [5 9:00 AM 53% 15 63% 3 18 10:00 AM 60% 17 70% 4 21 11:00 AM 63% 18 70% 4 22 12:00 PM 70% 20 70% 4 24 1:00 PM 63% 18 70% 4 22 2:00 PM 35% 10 70% 4 14 3:00 PM 32% 9 53% 3 12 4:00 PM 32% 9 53% 3 12 5:00 PM 53% 15 67% 3 18 6:00 PM 56% 16 67% 3 19 11- 7:00 PM 56% 16 67% 3 19 8:00 PM 56% 16 67% 3 19 Notes: [11 Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [21 Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [31 Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-42 Appendix Table B•4 FAMILY RESTAURANT WEEKEND SHARED PARKING DEMAND ANALYSIS 111 Floral Park Promenade, Santa Ana Occupied Family Restaurant 3.280 KSF 10 /KSF 33 Spaces Spaces F 28 Guest Spe. 5 Em p. Spe. Shared % Of Pcak [31 Hof Spaces % of Peak 31 # of Spaces Parking Demand E 10% 3 50% 3 6 OOA 25% 7 75% 4 11 45% 13 90% 5 18 9:00 AM 70% 20 90% 5 25 10:00 AM 90% 25 100% 5 30 11:00 AM 90% 25 100% 5 30 12:00 PM 100% 28 100% 5 33 1:00 PM 85% 24 100% 5 29 2;00 PM 65% 18 100% 5 23 3:00 PM 40% 11 75% 4 15 4:00 PM 45% 13 75% 4 17 5:00 PM 600/6 17 95% 5 22 6:00 PM 70% 20 95% 5 25 7;00 PM 70% 20 95% 5 25 8:00 PM 65% 18 95% 5 23 Notes: [11 Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [2] Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-43 Appendix Table B-5 MEDICALIDENTAL OFFICE WEEKDAY SHARED PARKING DEMAND ANALYSIS [1l Floral Park Promenade, Santa Ana Land Use Occupied Medical/Dental Office Size Pkg Rate[2l 5.613 KSF 6 /KSF Gross 34 Spaces Spaces 23 Visitor Spe. 11 Enrp. S e. Shared Time of Day % Of Peak [3[ H Of Spaces % Of Peak [3[ # Of Spaces Parking Demand 6:00 AM 0% 0 07 0 0 7:00 AM 0% 0 0% 0 0 8:00 AM 90% 21 60% 7 28 9:00 AM 90% 21 100% 11 32 10:00 AM 100% 23 100% 11 34 11:00AM 100% 23 100% 11 34 12:00 PM 30% 7 1009/0 11 18 1:00 PM 90% 21 1000/0 11 32 2:00 PM 100% 23 100% Il 34 3:00 PM 100% 23 100% 11 34 4:00 PM 90% 21 100% 11 32 5:00 PM 80% 18 100% 11 29 6:00 PM 67% 15 67% 7 7:00 PM 30% 7 30% 3 LH 8:00 PM 15% 3 15% 2 Notes: [ll Source: ULI -Urban Land Institute "Shared Parking," Second Edition, 2005. [21 Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [31 Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-44 Appendix Table B•6 MEDICAUDENTAL OFFICE WEEKEND SHARED PARKING DEMAND ANALYSIS [1] Floral Park Promenade, Santa Ana Land Use Occupied Medical/Dental Office Size Pkg Rate[21 5.613 KSF 6 (KSF Gross 34 Spaces Spaces 23 Visitor S c. 11 Em p. S e. Shared Time of Day % Of Peak 3 # Of Spaces % Of Peak 31 # Of S aces Parking Demand 6:00 AM 0% 0 0% 0 0 7:00 AM 0% 0 0% 0 0 8:00 AM 90% 21 60% 7 28 9:00 AM 90% 21 100% 11 32 10:00 AM 100% 23 100% 11 34 11:00 AM 100% 23 100% 11 34 12:00 PM 30% 7 100% 11 18 1:00 PM 0% 0 0°/U 0 0 2:00 PM 0% 0 0% 0 0 3:00 PM 0% 0 0% 0 0 4:00 PM 0% 0 0% 0 0 5:00 PM 0% 0 0% 0 0 6:00 PM 0% 0 0% 0 0 7:00 PM 0% 0 0% 0 0 8:00 PM 0% 0 0% 0 0 Notes: [1] Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [2] Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-45 Appendix Table B-7 OFFICE WEEKDAY SHARED PARKING DEMAND ANALYSIS [11 Floral Park Promenade, Santa Ana Land Use Office Size Pkg Rate[21 1.800 KSF 3 /KSF Gross 6 Spaces S aces 0 Visitor S e. 6 Emp. S e. Shared Time of Day % Of Peak [3 H Of Spaces % Of Peak[3] # Of Spaces Parking Demand 6:00 AM 0% 0 3% 0 0 7:00 AM 1% 0 30% 2 2 8:00 AM 20% 0 75% 5 5 9:00 AM 60% 0 95% 6 6 10:00 AM 100% 0 100% 6 6 11.00 AM 45% 0 100% 6 6 12:00 PM 15% 0 90% 5 5 1:00 PM 45% 0 90% 5 5 2:00 PM 100% 0 100% 6 6 3:00 PM 45% 0 100% 6 6 4:00 PM 15% 0 90% 5 5 5:00 PM t0% 0 50% 3 3 6:00 PM 5% 0 25% 2 2 7:00 PM 2% 0 10% 1 1 8:00 PM 1% 0 7% 0 0 Notes: [11 Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [21 Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [31 Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-46 Appendix Table B-8 OFFICE WEEKEND SHARED PARKING DEMAND ANALYSIS [11 Floral Park Promenade, Santa Ana Land Use Office Size PkgRate[21 1.800 KSF 3 /KSF Gross 6 Spaces spaces 1 1 0 Visitor S e. 6 Em p. S pc. Shared Time of Day % Of Peak [3] # Of Spaces % Of Peak 3 # Of 5 aces Parking Demand 6:00 AM 0% 0 0% 0 0 700 AM 2% 0 2% 0 0 8:00 AM 6% 0 6% 0 0 9:00 AM 8% 0 8% 0 0 10:00 AM 9% 0 9% 1 1 11:00 AM 10% 0 10% 1 1 12:00 PM 9% 0 9% 1 I 1:00 PM 8% 0 8% 0 0 2:00 PM 6% 0 6% 0 0 3:00 PM 4% 0 4% 0 0 4:00 PM 2% 0 2% 0 0 5:00 PM 1% 0 1% 0 0 6:00 PM 1% 0 1% 0 0 7:00 PM 0% 0 0% 0 0 8:00 PM 0% 0 0% 0 0 Notes: [t] Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [21 Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-47 Appendix Table B-9 SHOPPING CENTER (TYPICAL DAYS[ WEEKDAY SHARED PARKING DEMAND ANALYSIS [11 Floral Park Promenade, Santa Ana Land Use Shopping Center (Typical Days) Size Pkg Rate[21 23.522 KSF 5 /KSF Gross 118 Spaces Spaces 95 Guest S e. 23 Emp. Spe. Shared Time of Da % Of Peak [31 # Of Spaces % Of Peak [31 # Of Spaces Parking Demand 6:00 AM 1% 1 90/. 2 3 7:00 AM 5% 5 14% 3 8 8:00 AM 14% 13 36% 8 21 9:00 AM 32% 30 68% 16 46 10:00 AM 59% 56 77% 18 74 11:00 AM 77% 73 86% 20 93 12:00 PM 86% 82 9010 21 103 1:00 PM 90% 86 90% 21 107 2:00 PM 86% 82 90% 21 103 3:00 PM 81% 77 90% 21 98 4:00 PM 81% 77 90% 21 98 5:00 PM 86% 82 86% 20 102 6:00 PM 86% 82 86% 20 102 7:00 PM 86% 82 86% 20 102 8:00 PM 72% 68 81% 19 87 Notes: [1] Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. 12] Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs, employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-48 Appendix Table B•10 SHOPPING CENTER (TYPICAL DAYS) WEEKEND SHARED PARKING DEMAND ANALYSIS [1] Floral Park Promenade, Santa Ana Land Use Shopping Center (Typical Days) Size Pkg Rate[21 23.522 KSF 5 /KSF Gross 118 Spaces Spaces 94 Guest S e. 24 Em r. S e. Shared Time of Da % of Peak [31 # Of Spaces % Of Peak [31 It Of Spaces Parking Demand 6:00 AM 1% 1 10% 2 3 7:00 AM 5% 5 15% 4 9 8:00 AM 10% 9 40% 10 19 9:00 AM 30% 28 75% 18 46 10:00 AM 50% 47 85% 20 67 11:00 AM 65% 61 95% 23 84 12:00 PM 80% 75 100% 24 99 1:00 PM 90% 85 100% 24 109 2:00 PM 100% 94 100% 24 118 3:00 PM 100% 94 100% 24 118 4:00 PM 95% 89 100% 24 113 5:00 PM 90% 85 95% 23 108 6:00 PM 80% 75 85% 20 95 7:00 PM 75% 71 80% 19 90 8:00 PM 65% 61 75% 18 79 Notes: [l] Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [21 Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-49 Appendix Table 8.17 OFFICE WEEKDAY SHARED PARKING DEMAND ANALYSIS [11 Floral Park Promenade, Santa Ana Land Use Vacant Office Size Pkg Rate[2] 2.900 KSF 3 /KSF Gross 9 Spaces Spaces I Visitor Spc. 8 Em p. S e. Shared Time of Da % Of Peak [3] # Of Spaces % Of Peak 31 # Of Spaces Parking Demand 6:00 AM 0% 0 3% 0 0 7:00 AM 1% 0 30% 2 2 8:00 AM 20% 0 75% 6 6 9:00 AM 60% 1 95% 8 9 10:00 AM 100% 1 100% 8 9 11:00 AM 45%' 0 100% 8 8 12:00 PM 15% 0 90% 7 7 1:00 PM 45% 0 90% 7 7 2:00 PM 100% 1 1000/0 8 9 3:00 PM 45% 0 1000/0 8 8 4:00 PM 15% 0 90% 7 7 5:00 PM 10% 0 50% 4 4 6:00 PM 5% 0 25% 2 2 7:00 PM 2% 0 10% I 1 8:00 PM I% 0 7% 1 ] Notes: [11 Source: UL1 -Urban Land Institute "Shared Parking," Second Edition, 2005. 121 Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios: Breakdown of guest vs. employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-50 Appendix Table 0.12 OFFICE WEEKEND SHARED PARKING DEMAND ANALYSIS [1] Floral Park Promenade, Santa Ana Land Use Vacant Office Size Pkg Ratc[21 2.900 KSF 3 /KSF Gross 9 Spaces Spaces 1 Visitor S e. 8 Em p. Spe. Shared Time of Da % Of Peak [3] # Of Spam % Of Peak [3] # Of Spaces Parking Demand 6:00 AM 0% 0 0% 0 0 7:00 AM 2% 0 2% 0 0 8:00 AM 6% 0 6% 0 0 9:00 AM 8% 0 8% 1 1 10:00 AM 9% 0 9% 1 1 11:00 AM 10% 0 10% 1 1 12:00 PM 9% 0 9% 1 1 1:00 PM 8% 0 8% 1 1 2:00 PM 6% 0 6% 0 0 3:00 PM 4% 0 4% 0 0 4:00 PM 2% 0 2% 0 0 5:00 PM 1% 0 1% 0 0 6:00 PM 16/0 0 1% 0 0 7:00 PM 0% 0 0% 0 0 8:00 PM 0% 0 0% 0 0 Notes: [t] Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [2] Parking rates for all land uses based on ULI procedure normalized to express percentage in terns of absolute peak demand ratios. Breakdown of guest vs. employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31C-51 Appendix Table B-13 SHOPPING CENTER (TYPICAL DAYS) WEEKDAY SHARED PARKING DEMAND ANALYSIS 11] Floral Park Promenade, Santa Ana Land Use Shopping Center (Typical Days) Size Pkg Rate[21 4.195 KSF 5 /KSF Gross 21 Spaces 8 aces 17 Guest S e. 4 Em p. S e. Shared Time of Day # Of Spaces % Of Peak 3 # Of S aces Parking Demand 6:00 AM t 0 9% 0 0 7:00 AM 5% 1 14% 2 8:00 AM 2 36% 1 3 9:00 AM 32% 5 68% 3 8 10:00 AM 59% 10 77% 3 13 11:00 AM 77% 13 86% 3 16 12:00 PM 86% 15 90% 4 19 1:00 PM 90% IS 90% 4 19 2:00 PM 86% 15 90% 4 19 3:00 PM 81% 14 90% 4 18 4:00 PM 81% 14 90% 4 18 5:00 PM 86% 15 86% 3 18 6:00 PM 86% 15 86% 3 18 7:00 PM 86% 15 86% 3 18 8:00 PM 72% 12 81% 3 15 Notes: [l] Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [2] Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manaal. 31 C-52 Appendix Table B•14 SHOPPING CENTER (TYPICAL DAYS) WEEKEND SHARED PARKING DEMAND ANALYSIS I11 Floral Park Promenade, Santa Ana Land Use Shopping Center (Typical Days) Size Pkg Rate[21 4.195 KSF 5 /KSF Gross 21 Spaces Spaces 17 Guest S e. 4 Em . S e. Shared Time of Day % Of Peak [3) n of Spaces % Of Peak [3] # Of Spaces Parking Demand 6:00 AM 1% 0 JO% 0 0 7:00 AM 5% 1 15% 1 2 8:00 AM 10% 2 40% 2 4 9:00 AM 30% 5 75% 3 8 10:00 AM 50% 9 85% 3 12 11:00 AM 65% 11 95% 4 15 12:00 PM 80% 14 100% 4 18 1:00 PM 90% 15 100% 4 19 2:00 PM 100% 17 100% 4 21 3:00 PM 100% 17 100% 4 21 4:00 PM 95% 16 100% 4 20 5:00 PM 90% 15 95% 4 19 6:00 PM 80% 14 85% 3 17 7:00 PM 75% 13 80% 3 16 8:00 PM 65% 11 75% 3 14 Notes: [ I ] Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [2] Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [31 Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-53 Appendix Table B•15 HEALTH CLUB WEEKDAY SHARED PARKING DEMAND ANALYSIS [11 Floral Park Promenade, Santa Ana Land Use Health Club Size Pkg Rate[2] 12.090 KSF 5.5 /KSF 141 Gross 67 Spaces Spaces 63 Guest S e. 4 Emp. Spe. Shared Time of Da % Of Peak 3 # Of Spaces % Of Peak [3] # Of Spaces Parking Demand 6:00 AM 70% 44 75% 3 47 7:00 AM 40% 25 75% 3 28 8:00 AM 40% 25 75% 3 28 9:00 AM 70% 44 75% 3 47 10:00 AM 70% 44 75% 3 47 11:00 AM 80% 50 75% 3 53 12:00 PM 60% 38 75% 3 41 1:00 PM 70% 44 75% 3 47 2:00 PM 70% 44 75% 3 47 3:00 PM 70% 44 75% 3 47 4:00 PM 80% 50 75% 3 53 5:00 PM 90% 57 100% 4 61 6:00 PM 1000/0 63 100% 4 67 7:00 PM 90% 57 75% 3 60 8:00 PM 80% 50 50% 2 52 Notes: [1] Source: UL[ - Urban Land Institute "Shared Parking," Second Edition, 2005. [2] Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs, employee [3] Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual. 31 C-54 Appendix Table B•16 HEALTH CLUB WEEKEND SHARED PARKING DEMAND ANALYSIS [1) Floral Park Promenade, Santa Ana Land Use Health Club Size Pkg Rate[21 12.090 KSF 5.5 /KSF [41 Gross 67 Spaces Spaces 64 Guest S e. 3 Em p. S c. Shared Time of Da % Of Peak [31 # Of Spaces % Of Peak [31 # Of Spaces Parking Demand 6:00 AM 66% 42 41% 1 43 7:00 AM 37% 24 41% 1 25 8:00 AM 29% 19 41% 1 20 9:00 AM 41% 26 41% 1 27 10:00 AM 29% 19 41% 1 20 11:00 AM 41% 26 41% 1 27 . 12:00 PM 41% 26 41% 1 27 1:00 PM 25% 16 41% 1 17 2:00 PM 21% 13 41% 1 14 3:00 PM 25% 16 41% 1 17 4:00 PM 45% 29 62% 2 31 5:00 PM 82% 52 82% 2 54 6:00 PM 78% 50 82% 2 52 7:00 PM 49% 31 62% 2 33 8:00 PM 25% 16 41% l 17 Notes: [11 Source: ULI - Urban Land Institute "Shared Parking," Second Edition, 2005. [21 Parking rates for all land uses based on ULI procedure normalized to express percentage in terms of absolute peak demand ratios. Breakdown of guest vs. employee [31 Percentage of peak parking demand factors reflect relationships between weekday parking demand ratios and peak parking demand ratios, as summarized in Table 2-2 of the "Shared Parking" manual 31 C-55 Newport Beach Bicycle Counts Name: Date: Salurda Manlh Da , 2013 TBD Time: 10:30 a.m. -1:30 .m. TBD Location: TBD City: Newport Beach Time Period Startin : Male Female Child (under 13) No Helmet Sidewalk Wrong Way (on street 10:30 - 10:45 10:45 -11:00 11:00- 11:15 11:15 - 11:30 11:30 - 11:45 11:45. 12:00 12:00 - 12:15 12:15. 12:30 12:30 - 12:45 12:45 - 1:00 1:00 - 1:15 1:15 -1:30 Totals Notes: 31 C-56 ROH - 09/23/13 RESOLUTION NO. 2013-19 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING VARIANCE NO. 2013-11 AS CONDITIONED TO REDUCE THE REQUIRED PARKING FOR THE PROPERTY LOCATED AT 2725 NORTH BRISTOL STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Variance No. 2013-11 to reduce the required parking standards for a health club within the Floral Park Promenade retail center located at 2725 North Bristol Street. B. Variance No. 2013-11 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on September 23, 2013, to consider all testimony, written and oral. C. Variance No. 2013-11 has been filed with the City of Santa Ana seeking to reduce the required parking standards set by Santa Ana Municipal Code section 41-1375. D. Santa Ana Municipal Code Section 41-638 authorizes the Planning Commission to grant a variance upon making certain findings. 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. The project site has a special circumstance related to its location and surroundings. The proposed use will be located within a built out development site on North Bristol Street that is surrounded by commercial and residential uses. Due to its location, there is no feasible option for providing additional parking for the health club. The number of on-site parking spaces will be sufficient as identified in the parking analysis for the project, which has determined that a surplus of parking spaces will be provided for the project, even Resolution No. 2013-19 Page 1 of 5 31 C-57 during times of peak demand. As a result, the parking variance will allow the applicant the ability to use the property in a manner that is consistent with similar surrounding commercial uses. 2. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. The granting of the parking variance will preserve the property owner's ability to lease the building to a use that will identify the site as an economically viable development. The tenant space that is the subject of this application has accommodated a variety of uses, including grocery markets, a pharmacy, and miscellaneous seasonal establishments, that have been unsuccessful in remaining viable over a long- term period. The granting of the variance will allow a new type of commercial use to establish itself in the existing multi-tenant center. 3. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties. As demonstrated in the parking analysis for the project, the site will have sufficient parking to accommodate the various uses during the peak parking hours. Therefore, the reduction in parking will not be detrimental to the surrounding community as it will not result in parking impacts affecting adjacent commercial or residential neighborhoods. Further, the granting of the variance will allow the property owner to fill a long-vacant tenant space, contributing to the vitality and success of the existing commercial center. Finally, conditions have been placed to ensure that the site be in compliance with all other development standards applicable to the property. 4. That the granting of a variance will not adversely affect the General Plan of the City. The project will not adversely affect the General Plan as the proposed health club use is consistent with Goals 1 and 2 of the Land Use Element of the General Plan. These goals encourage uses such as Planet Fitness that promote a balance of land uses to address basic community needs and which enhance the City's economic and fiscal viability. In Resolution No. 2013-19 Page 2 of 5 31 C-58 addition, the project is consistent with Policy 2.2 of the Land Use Element, which supports commercial uses that accommodate the City's needs for goods and services. E. In accordance with the California Environmental Quality Act, the proposed project is exempt from further review pursuant to Section 15061(b)(3), which is a general rule exemption applying to projects that have no possibility of having a significant effect on the environment. Categorical Exemption Environmental Review No. 2013-12 will be filed for this project. Section 2. The Planning Commission, after conducting the public hearing, hereby approves Variance No. 2013-11 as conditioned in Exhibit "A" attached hereto and incorporated herein, to reduce the required parking standards for a health club within the Floral Park Promenade retail center located at 2725 North Bristol Street. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Planning Commission Action dated September 23, 2013, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 23rd day of September , 2013. AYES: Commissioners: Bacerra, Crespo, Gartner, Mill, Nalle, Yrarrazaval (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete(1) ABSTENTIONS: Commissioners: None (0) Sean H. Mill Vice Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney Resolution No. 2013-19 Page 3 of 5 31 C-59 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2013-XX to be the original resolution adopted by the Planning Commission of the City of Santa Ana on September 23, 2013 . Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2013-19 Page 4 of 5 31 C-60 Conditions for Approval for Variance No. 2013-11 Should the Planning Commission approve Variance No. 2013-11, the approval is subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division 1. All proposed improvements must conform to the Site Plan Review approval of DP No. 2013-7 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the variance must be amended. 3. Prior to issuance of a certificate of occupancy, the two existing, nonconforming freestanding signs on site must be removed or reconstructed in a manner that conforms to Sections 41-860 through 41-862 of the Santa Ana Municipal Code. 4. Any damaged, faded, or dilapidated wood siding, wood trellises, or paint must be restored prior to building permit issuance. B. Police Department 1. The existing tenant space 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's lighting, door/window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. 2. Provide a Closed Circuit Television System approved by the Police Department and capable of viewing and recording events at both the front and rear parking areas with monitoring capability from management offices at the facility. Provide a tape or disc storage library of recorded cameras kept for a minimum of 60 days. Resolution No. 2013-19 Page 5 of 5 31 C-61 31 C-62 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: RESOLUTION FOR CENTER STREET URBAN GREENING GRANT APPLICATION AT JEROME PARK I CITY MANAGER 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 Adopt a resolution authorizing the submittal of an Urban Greening Grant application in the amount of $595,600 for the urban greening of Center Street at Jerome Park. DISCUSSION On April 2013, the Parks, Recreation and Community Services Agency submitted a preliminary concept application under the Urban Greening Grant program to remove a portion of Center Street, adjacent to Jerome Park, and to renovate the area with drought tolerant landscaping (Exhibit 1). The City was notified on August 26, 2013 that the preliminary application is eligible to compete under this grant program. A resolution is required authorizing the submittal of the full application. The proposed project will include removal of 500 linear feet of roadway that was officially vacated by City Council in 1994. The area will be re-graded with contour changes, installation of a bio- Swale to percolate any street water runoff, permeable or decomposed granite walkway, drought tolerant native planting, drip irrigation, architectural bollards, and interpretive signage on water conservation, and bike racks. A pedestrian walkway will also be installed to connect the east and west ball fields. FISCAL IMPACT The grant will require $20,000 matching funds that are available in cell tower expenditure account (no. 05113263 66220). Gerardo Mouet Executive Director Parks, Recreation & Comm. Serv. Agy APPROVED AS TO FUNDS AND ACCOUNTS: 55A-1 Executive Directory Finance & Management Services Agency 55A-2 EXHIBIT 1 ? I E IEROM[C[NTER E ~ ( Z v p"ke PetN?A W WY4er?nv? Mew {Me fwr*A ("r) M" O"L,W.) grr l nviha 9 MCMTE VISTA ELEMWARY SCHOOL ----..r 2E.-. _.- IK• flee cm) W wine _ Df[CM'Meev 4MwYb i WhLFNAY Mur W = 0"6" F MO GrTF 7 60 UAALI IMTe'erelwe 9LGMMC' reFMeAeLe 4VMhae 9%L1prINS PAFfWS LOP - E- l ? r If 41171 "Moig AffW044(ILY SAO LIMfr or 4MM- NA1MS rLAMY0I4 W eMkown flM 61TY'S up"N 9!!04041 erroTs SOOTNVIEST 1E111011 [E"R - V f YE CENTER STREET URBAN GREENING PROJECT Removal and Greening of Center Street 55AAA3 55A-4 9/20/13LES RESOLUTION NO. 2013- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE APPLICATION FOR GRANT FUNDS FOR THE URBAN GREENING GRANT PROGRAM UNDER THE SAFE DRINKING WATER, WATER QUALITY AND SUPPLY, FLOOD CONTROL, RIVER AND COASTAL PROTECTION BOND ACT OF 2006 (PROPOSITION 84) 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 California State Legislature and Governor of the State of California have enacted Proposition 84 and provided funds for the program above, which provides funds for urban greening programs. B. The Strategic Growth Council has been delegated the responsibility for the administration of the grant program and setting up necessary procedures governing the program. C. Said procedures established by the Strategic Growth Council require a resolution certifying the approval of application by the City Council before submission of said application to the State. D. If chosen, the City will enter into an agreement with the State of California to carry out the urban greening of Center Street at Jerome Park (the "Project'). Section 2: The City Council understands the assurances and certifications in the application and hereby approves the filing of an application for "Proposition 84" urban greening grant program funds and certifies that the City has or will have sufficient funds to operate and maintain the Project or will secure the resources to do so. Section 3: The City Council hereby certifies that it will comply with the provisions of section 1771.5 of the California Labor Code regarding payment of prevailing wages on projects awarded Proposition 84 funds. Section 4: The City Council hereby certifies that, if applicable, the Project will comply with any laws and regulations, including but not limited to, legal requirements for building codes, health and safety codes, disabled access laws, environmental laws, and that prior to commencement of construction, all applicable permits will have been obtained. Resolution No. 55A-5 Page 1 of 3 9/20/13LES Section 5: The City Council hereby certifies that it will work towards the Governor's State Planning Priorities intended to promote equity, strengthen the economy, protect the environment, and promote public health and safety as included in Government Code section 65041.1. Section 6: The City Council hereby appoints the Executive Director of the Parks, Recreation and Community Services Agency as the agent for the City of Santa Ana to conduct all negotiations, execute and submit all documents including, but not limited to applications, agreements, amendments, payment requests which may be necessary for the purpose of securing grant funds and completion of the Project. Section 7: 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 October 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Lisa E. Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY Resolution No. 55A-6 Page 2 of 3 9/20/13LES 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 October 1 2013. Date: Clerk of the Council City of Santa Ana Resolution No 55A-7 Page 3 of 3 55A-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: RESOLUTION - MEASURE M2 COMPREHENSIVE TRANSPORTATION FUNDING PROGRAM GRANT APPLICA N CITY MANAGER 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 Adopt a resolution authorizing the City Manager to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program. 2. Direct staff to amend the Seven-Year Capital Improvement Program to incorporate the Comprehensive Transportation Funding Program projects list. DISCUSSION The City will be submitting five applications totaling $19,730,000 in grant fund requests. Adoption of the recommended Resolution and amending the Seven-Year Capital Improvement Program is a qualifying requirement to submit the grant applications. The Orange County Transportation Authority (OCTA) has issued a call for projects under the Measure M2 Comprehensive Transportation Funding Program (CTFP) for FY 2014/15 through FY 2016/17. Funding in the amount of $35 million will be awarded on a countywide competitive basis in the Regional Capacity and Traffic Signal Synchronization programs. Existing and future local funding sources will be used to provide the required matching funds for the recommended projects. Staff is requesting authorization to apply for the following projects: RECOMMENDED PROJECTS PHASE GRANT $ FY Bristol Street Widening: Civic Center to Washington RNV $6,500,000 14115 Bristol Street Widening: Warner to St. Andrew R/W $11,500,000 14/15 Grand Avenue and 1s` Street Intersection Widening Design $60,000 14/15 Harbor Boulevard Corridor Traffic Signal Synchronization Implementation / maintenance $570,000 14/15 Bristol Street Corridor Traffic Signal Synchronization Implementation / maintenance. $1,100,000 14/15 Total $19,730,000 55B-1 Measure M2 Comprehensive Transportation Funding Program Grant Applications October 21, 2013 Page 2 Given the need for these street improvements and the eligibility requirements defined by OCTA, staff recommends that the City Council adopt the resolution authorizing submittal of these project applications for funding consideration, and direct staff to incorporate the projects into the Seven- Year CIP. Staff anticipates a response to the grant funding request in March 2014 and an OCTA Board action on the call for projects in May 2014. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Edwin "William vez, P.E. Interim Executive Director Public Works Agency EWG/KN Exhibit: 1. Resolution 55B-2 RESOLUTION NO. 2013- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE SUBMITTAL OF IMPROVEMENT PROJECTS TO THE ORANGE COUNTY TRANSPORTATION AUTHORITY FOR FUNDING UNDER THE COMPREHENSIVE TRANSPORTATION PROGRAM BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City of Santa Ana desires to implement the transportation improvements listed below. B. The City of Santa Ana has been declared by the Orange County Transportation Authority to meet the eligibility requirements to receive Measure M "turnback" funds. C. The City's Circulation Element is consistent with the County of Orange Master Plan of Arterial Highways. D. The City of Santa Ana will provide matching funds for each project as required by the Orange County Comprehensive Transportation Funding Programs Guidelines. E. The Orange County Transportation Authority intends to allocate funds for transportation improvement projects within the incorporated cities and the County. F. The City of Santa Ana will not use Measure M funds to supplant Developer Fees or other commitments. G. The City of Santa Ana will use Arterial Highway Rehabilitation Funding as a supplement to the existing pavement management program. Reso #2013- Page 1 of 3 55B-3 Section 2: The City Council of the City of Santa Ana hereby requests the Orange County Transportation Authority allocate funds in the amounts specified in the City's application to the City of Santa Ana from the Comprehensive Transportation Programs. Said funds shall be matched by funds from Santa Ana as required and shall be used as supplemental funding to aid the City in the improvement of the following street(s): PROJECT PROGRAM FY Bristol St Widening: Civic Center to Washington RCP 14/15 Bristol St. Widening: Warner to St. Andrew RCP 14/15 Grand Ave. and 1st St. Intersection Widening RCP 14/15 Harbor Blvd Corridor Traffic Signal Synchronization TSSP 14/15 Bristol St Corridor Traffic Signal Synchronization TSSP 14/15 Section 3: The City Council appoints the City Manager, or the Executive Director of the Public Works Agency or his designee, as agent for the City of Santa Ana to conduct all negotiations, execute and submit all documents, including but not limited to applications, agreements, amendments, payment requests and so on, which may be necessary for allocation of the requested funds to Santa Ana. Section 4: This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this - day of 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Laura Sheedy Assistant City Attorney Reso #2013- Page 2 of 3 55B-4 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby 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 Reso #2013- Page 3 of 3 55B-5 55B-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: RESOLUTION AND AUTHORIZATION TO SUBMIT BICYCLE CORRIDOR IMPROVEMENT PROGRAM APPLICATI NS CI &1 L 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 Adopt a resolution authorizing the City Manager to submit the Newhope Avenue, Civic Center Drive, and Grand Avenue Bike Lane projects for funding consideration under the Bicycle Corridor Improvement Program. DISCUSSION The recommended action will complete a grant application requirement in order to be eligible to receive funding to install Class II (on-street) bike lanes along three roadway segments. The proposed installations are consistent with the City's Bicycle Master Plan, and would help extend and connect existing and planned bike paths. The Orange County Transportation Authority (OCTA) issued a call for Bicycle Corridor Improvement (BCI) Program applications for Fiscal Year 2013-2014. BCI Program is federally funded and provides construction funds for projects that improve safety and convenience for bicycle commuters. In response to this call, the City is requesting authorization to submit grant applications for three bike lane projects: (1) Newhope Avenue from First Street to McFadden Avenue, (2) Civic Center Drive from Bristol Street to Broadway, and (3) Grand Avenue from 21st Street to Fairhaven Avenue (Exhibit 1). All three project locations involve new Class II bike lane installations, which include appropriate signage, pavement markings, and detector loops at traffic signalized intersections. The application deadline was September 30, 2013, however before the grants are evaluated in early 2014, OCTA will need a resolution. ENVIRONMENTAL IMPACT Per Section 15061(b)(3) of the California Environmental Quality Act, this action is exempt from further review as there is no potential for any environmental impact. 55C-1 Resolution and Authorization to Submit BCI Program Applications October 21, 2013 Page 2 of 2 FISCAL IMPACT The BCI Program will fund 88 percent of an approved project. A minimum 12 percent local match is required for each grant application. The City's 12 percent match for those projects receiving BCI grant funds will be budgeted in a future Capital Improvement Program. Edwin "William" ez, P.E. -OW I Interim Executive Director Public Works Agency EWG/SF Exhibits: 1. Resolution 2. Project Estimated Costs 3. Location Map 55C-2 RESOLUTION NO. 2013-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE SUBMISSION OF PROJECTS FOR FUNDING UNDER THE BICYCLE CORRIDOR IMPROVEMENT PROGRAM Lss10/7/13 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 United States Congress enacted the Moving Ahead for Progress in the 21 at Century (MAP-21) Act which makes Congestion Management and Air Quality (CMAQ) funds available to the Orange County Transportation Authority for transportation-related projects that reduce congestion and improve air quality. B. The Orange County Transportation Authority (OCTA) administers CMAQ funds, and has set aside ten percent (10%) of those funds for projects that improve safety and convenience for bicycle commuters through the Bicycle Corridor Improvement Program (BCIP). C. OCTA has issued a call for projects to be funded through the BCIP, which provide measurable air quality improvement through the construction of bicycle trails and facilities, including gap closures and bikeways. Section 2. The City Council of the City of Santa Ana nominates the following projects and authorizes the City Manager and/or the Executive Director of the Public Works Agency to submit applications for Bicycle Corridor Improvement Program funding: Newhope Avenue bike lane from First Street to McFadden Ave Civic Center Drive bike lane from Bristol Street to Broadway Grand Avenue bike lane from 2151 Street to Fairhaven Avenue Section 3. The City Council of the City of Santa Ana certifies that, if selected, the City will provide the required twelve percent (12%) matching funds, and will have sufficient funds to operate and maintain the project(s). Exhibit 1 Resolution 2013-xxx 55C-3 Page 1 of3 Section 4. The City Council of the City of Santa Ana authorizes the City Manager and/or the Executive Director of the Public Works Agency to execute and submit all documents and take any actions necessary, for and on behalf of the City of Santa Ana, for the purpose of obtaining financial assistance from the Orange County Transportation Authority, under the Bicycle Corridor Improvement Program, including the execution of a cooperative agreement with OCTA to facilitate delivery of the projects. Section 5. The City of Santa Ana will commence work on the project within six months following notification from the State that funds have been authorized by the Federal Highway Administration, and complete the project with reasonable diligence. Section 6. The City of Santa Ana will provide Caltrans and OCTA's representatives reasonable access to and the right to examine all records, books, papers or documents related to the bicycle projects. Section 7. The City of Santa Ana will comply with applicable provisions of the California Environmental Quality Act, the National Environmental Policy Act, the Americans with Disabilities Act, Federal Transit Administration Title VI, and other applicable federal, state and local laws, rules and regulations. Section 8. 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 12013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Laura S. Sheedy Assistant City Attorney Resolution 2013-xxx Page 2 of 3 55C-4 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF PUBLICATION 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: Clerk of the Council City of Santa Ana Resolution No. 2013-xxx Page 3 of 3 55C-5 55C-6 Bicycle Corridor Improvement Bicycle Facilities Locations Recommended for Grant Application FY 2013-2014 Location Project Cost Newhope Street from 151 Street to $64,262 Mcfadden Avenue Civic Center Drive from Bristol Street to $128,176 Broadway $90,387 Grand Avenue from 2151 Street to Fairhaven Avenue Total $282,825 Exhibit 2 55C-7 55C-8 Civic Center Drive: Bristol Street to Broadway 22 d 9 W Newhope Street: Mcfadden Avenue to tat Street SANTA ANA ? City Council P¦? WA ; Agenda Date .,L,C.wcsnoexcr October 21, 2013 6vic Ctr. S---- Santa tna Blvd _ Willits Grand Avenue: 213t Street to Fairhaven Avenue 55 Fairhaven r? I . 1 t a,St M m e c to 7 F ;hop E C d 49 C I ^ V Wa nor Avt ....: . Dyer Rd. Oft NORTH RESOLUTION AND AUTHORIZATION FOR BCI APPLICATION FOR NEWHOPE STREET, CIVIC CENTER DRIVE, GRAND AVENUE BIKE LANES IBIT 3 55C-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 21, 2013 TITLE: PUBLIC HEARING - AMENDMENT TO DEVELOPMENT AGREEMENT NO. 2007-01 FOR A NEW MULTI-FAMILY RESIDENTIAL DEVELOPMENT AT 1901 EAST FIRST STREET - LYON COMMUNITY DEVEL ME T, APPLICANT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL 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 Adopt a resolution approving the Addendum to the Final Environmental Impact Report No. 2006- 01 and approve the Mitigation Monitoring and Reporting Program. Adopt an ordinance approving the first amendment to Development Agreement No. 2007-01. PLANNING COMMISSION ACTION On August 26, 2013, the Planning Commission recommended that the City Council adopt a resolution approving the Addendum to the Final Environmental Impact Report No. 2006-01 and approve the Mitigation Monitoring and Reporting Program; adopt an ordinance approving the first amendment to Development Agreement No. 2007-01; adopt a resolution approving Vesting Tentative Tract Map No. 2013-04 as conditioned; and adopt a resolution approving Site Plan Review No. 2013-03 as conditioned by a vote of 7:0 for a new multi-family residential development at 1901 East First Street in the Arterial Commercial/Metro East Mixed Use (C5/MEMU) zoning district. The Planning Commission made no changes to the terms of the agreement as outlined in the attached staff report (Exhibit A). DISCUSSION The Lyon Community project at 1901 E. First Street will be a new 254-unit multi-family residential project in a contemporary architectural style featuring a wide variety of unit types, an extensive amenity package, a retail component, and the provision of both private and publicly-accessible open space. Parking for the project will be provided within an existing parking structure. The project site is located within the Metro East Mixed Use Overlay Zone and was previously entitled as the First and Cabrillo Towers, for which environmental impacts reports were previously prepared. Additional environmental analysis was performed for the proposed project in the form of 75A-1 Amend DA No. 2007-01 October 21, 2013 Page 2 an addendum to the previously-certified EIRs. This addendum did not identify any additional environmental impacts. The requested actions would approve the addendum to the EIR, modify the existing development agreement to reflect the proposed project, approve a vesting tentative tract map that would allow for the potential for future condominium sales of the units, and approve the site plan for the project. Additionally, after the Planning Commission hearing, a condition of approval has been recommended by staff to be added to the entitlements that require the construction of a block wall and decorative wrought iron fence along the east property line of the site, in line with an agreement reached between property owners. CITY COUNCIL AD HOC COMMITTEE FINDINGS AND RECOMMENDATIONS As a part of its deliberations at its meeting on September 16, 2013, the City Council discussed the proposed $3,000 per unit in-lieu fee for affordable housing. It was noted that this fee was based on the prior development agreement, which was approved prior to the adoption of the City's Housing Opportunity Ordinance. The Housing Opportunity Ordinance would require a significantly higher commitment to affordable housing and, thus, the Council discussed whether this fee was appropriate under today's circumstances. It is estimated that the Housing Opportunity Ordinance costs would be in the range of $12,000 per unit. In order to evaluate this issue further, the Mayor appointed an Ad Hoc Committee comprised of Council Member Sarmiento and Mayor Pro Tern Tinajero to study the issue and report its findings and recommendations. In follow up meetings and discussions the Ad Hoc Committee reviewed the history and policies as they relate to affordable housing, including looking at the fees paid by prior projects. The committee also evaluated the circumstances of this development project, including the fact that this site was originally approved for two high-rise residential towers. Additionally, it was noted that the applicant proposes to keep and re-use the existing parking garage, which saves considerable costs. And while the committee concluded that the project should include a larger commitment to affordable housing, the committee agreed that the project should not have to comply fully with the Housing Opportunity Ordinance. The committee therefore directed staff to work further with the applicant to find ways to increase the commitment to affordable housing, including exploring the concept of incorporating affordable units within the project instead of paying an in-lieu fee. The committee believed this approach would begin to implement the City's Council's commitment to affordable housing in a meaningful way. In follow up meetings and discussions, staff and the applicant explored approaches to fulfill the goals expressed by the committee. More specifically, the applicant proposed incorporating ten affordable housing units within the LOW affordability category if it were balanced by a density bonus of ten additional market-rate one-bedroom units. In other words, the 254-unit project would become 264 units, ten units of which would be set aside for affordable housing. The ten affordable units would be comprised of five one-bedroom units and five two-bedroom units. The committee found this noteworthy because the two-bedroom units would be suitable for families. The value of 75A-2 Amend DA No. 2007-01 October 21, 2013 Page 3 this approach is estimated at $1,325,000, which is an increase of $563,000 or 74% over the $3,000 fee. While the applicant would build the affordable units instead of paying an in-lieu fee, this approach would be the equivalent of a $5,200/unit fee. The committee determined this proposal to be appropriate and fair. The environmental analyses have also been updated to evaluate the proposed density bonus units. These analyses determined that the ten additional units do not affect the conclusion. The proposed project will not result in any new or significant impacts that were not previously analyzed and adequately addressed in the Metro East Mixed Use Overlay Zone and First and Cabrillo Towers EIR (Exhibits B and C). The Ad Hoc Committee therefore recommends that the City Council approve the development project with changes to incorporate the affordable housing units as outlined above. The provisions necessary to implement the committee's recommendation have been incorporated into the draft development agreement for the City Council's consideration. Second reading of the ordinance for the development agreement, together with the revised Tentative Tract Map and Site Plan Review, will be brought back for final approval at the November 4, 2013, City Council meeting. FISCAL IMPACT There is no fiscal impact associated with this action Jay . Trevino E, cutive Director Planning and Building Agency VF:rb vflreportsWDA07-1 & VTTM13-41901 1st Street. 0102113 Exhibit: A. Planning Commission Staff Report B. Updated Environmental Analysis - Phil Martin & Associates C. Updated Traffic Analysis - Pirzadeh & Associates 75A-3 75A-4 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 26, 2013 TITLE: PUBLIC HEARING - AMENDMENT TO DEVELOPMENT AGREEMENT NO. 2007-01, VESTING TENTATIVE TRACT MAP NO 2013-04 AND SITE PLAN REVIEW NO. 2013.03 FOR A NEW MULTI-FAMILY RESIDENTIAL DEVELOPMENT AT 1901 EAST FIRST STREET Prepared by _ Vince Fregoso Executive Director RECOMMENDED ACTION Recommend that the City Council: PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO Planning ManNger Adopt a resolution approving the Addendum to the Final Environmental Impact Report No. 2006-01 and approve the Mitigation Monitoring and Reporting Program. Adopt an ordinance approving the first amendment to Development Agreement No. 2007-01. 3. Adopt a resolution approving Vesting Tentative Tract Map No. 2013-04 as conditioned. 4. Adopt a resolution approving Site Plan Review No. 2013-03 as conditioned. DISCUSSION Request of the Applicant Lyon Community Development is requesting approval to construct a new 254-unit multi-family residential development at 1901 East First Street. Specifically, the applicant is requesting to amend provisions of the existing First and Cabrillo Towers development agreement, approval of a vesting tentative tract map, site plan review approval and approval of an addendum to the certified environmental impact report. Protect Location and Site Description The subject property is a 5.18-acre parcel of land that is located at the northeast corner of First Street and Cabrillo Park Drive. The site previously contained a two-story, 75,300 square foot building that was recently demolished to accommodate the proposed project. A four-level, 669- space parking structure that served the previous development was preserved and will be integrated into the design of the proposed project. EXHIBIT A 75A-5 Amend DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 2 The project is located within the Metro East Mixed Use (MEMU) Overlay Zone, which is comprised of the properties generally bounded by the Santa Ana (1-5) Freeway on the west, Park Court Place and its prolongation to Tustin Avenue on the north, First Street on the south, and Tustin Avenue and the Costa Mesa Freeway (SR-55) on the east. The overlay zone comprises over 200 acres of land that is designated in the General Plan as District Center (DC) and is currently developed with commercial, office and several large vacant parcels along the western boundary of the overlay zone. Surrounding land uses include office development to the north, office and vacant land to the south and west, and office and office and commercial uses to the east (Exhibits 1, 2 and 3). Project Description The applicant proposes to construct a 254-unit condominium development with 2,400 square feet of retail space on a partially vacant parcel of land. The units, which will consist of a combination of flats and townhomes, will be located within four separate buildings. The project will initially operate as an apartment complex, with units available for rent. However, a vesting tract map is proposed to be approved for the project that will allow the eventual sale of the units as condominiums as the for-sale market dictates. A total of 240 units (flats) will be provided within two five-story buildings. A total of 186 units will located with the five-story, U-shaped building that will be constructed along the west side of the preserved parking structure and extend toward Cabrillo Park Drive. Another 54 units are within the five-story freestanding building that will be located on the north end of the site. Due to the location of the existing parking structure, a different type of unit is proposed to wrap the south and east side of the structure. To address this unique design challenge, the applicant is intending to construct 14 townhome units within two separate buildings. These three-story units will have access to private two-car garages that will be located within the existing parking structure. The entire project will contain one, two and three bedroom units. The flats will range in size from 769 square feet for the smallest one bedroom unit to 1,721 square feet for a two bedroom unit. The townhome units range in size from 1,613 square feet for a one-bedroom unit to 1,990 square feet for a three-bedroom unit. Table 1 on the following page provides a breakdown of the units within the project. 75A-6 Amend DA No. 2007-01, VI-TM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 3 Table 1 Lyon Condominium Project Summary Unit Type Units Proposed Percent of building Square Footage 1-bed flat 115 42% 769-969 1-bed flatw/mezz. and/or den 8 7% 886-1,161 2-bed 105 35% 1,012-1,675 2-bed flatw/mezz. and/or den 12 10% 1,124-1,721 2-bed townhome 8 3°k 1,613-1,740 3-bed townhome 6 3% 1,990 Total 254 100% n/a The architectural style proposed for this mid-rise project is contemporary. Building materials will primarily consist of painted plaster finishes with architectural pop outs at the upper level. Also, the building will provide vertical articulation and staggered rooflines in the form of mezzanines for upper floor units. These elements have been included to provide visual relief from First Street and Cabrillo Park Drive. The project proposes to provide a total of 559 parking spaces, while only 508 spaces are required. As a result, the proposed parking complies with the parking requirement for multi-family developments in the Metro East Mixed Use Overlay zoning district as parking is provided in excess of the two parking stalls per unit, or 508 spaces, requirement. Guest parking within the MEMU is inclusive of the two spaces per unit. Access to the project will be provided from an existing driveway on First Street and from a driveway on Cabrillo Park Drive. An extensive menu of project amenities is planned for the development. Exterior amenities include an enhanced public plaza that will be located on the west side of the site. Adjacent to this plaza area will be the 2,424-square foot retail amenity, which will incorporate an exterior seating area into its design. Further, the applicant is proposing to enhance the public plaza through the installation of a public art piece. The outdoor area between the main five-story building will feature an open courtyard with decorative landscaping, hardscaping, seating areas and potential water element. A new recreation deck will be constructed on top of the south end of the parking structure that will contain a pool, seating areas, a barbeque, garden rooms, and a recreation room. The recreation room will contain facilities such as a fitness room and game area and may also incorporate space for a yoga room, screening room and clubroom (Exhibits 4, 5, 6 and 7). 75A-7 Amend DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 4 Protect Background The project site previously contained a 75,300 square foot, two-story building that was built in 1978 and was continuously used as an athletic club. In 2007, the City approved several entitlements (Amendment Application No. 2007-01, Environmental Impact Report No. 2006-01, General Plan Amendment No. 2007-01, Zoning Ordinance Amendment No. 2007-01, Tentative Tract Map No. 2007-01 and Site Plan Review No. 2007-01) for the Metro East Mixed Use Overlay Zone (MEMU), a 200-acre area of the City that is generally located east of the Santa Ana (1-5) Freeway. The MEMU introduced development forms and uses that provided for the creation of a high-intensity, mixed-use urban village within a previously established mid and high-rise office environment. The overlay zone established standards which would fulfill objectives to create an active, mixed-use urban village where it is possible to live, work, shop and play within a short walk of each other. Concurrently with the MEMU approval, the City also approved the First and Cabrillo Towers mixed-use development, a 22- story and 23-story high-rise project with 374 condominium units and approximately 8,800 square feet of commercial space. However, due to a significant shift in housing market conditions beginning in late 2007, the high rise project was never constructed and the buildings on the site remained vacant. General Plan and Zoning Analysis The General Plan land use designation for the site is District Center (DC), which allows for major development sites such as multi-family residential developments. District Centers are designed to serve as anchors to the City's commercial corridors, and to accommodate major commercial and residential development activity. The proposed project is consistent with the General Plan land use designation. The zoning for the site is Metro East Mixed Use (MEMU) Overlay Zone in the Active Urban sub- zone. The property has an underlying zone of Arterial Commercial (C5), but these standards do not apply for this application as the applicant is seeking to develop pursuant to the MEMU development standards. In order to develop to the MEMU standards the applicant must receive approval of an overlay zone site plan (SAMC 41-595.5). This begins the zoning conversion process. Upon issuance of the utility release or the certificate of occupancy for the completed building(s), whichever comes first, the overlay zone becomes the sole zone on the property and the underlying zone ceases to exist. When the First and Cabrillo Towers project was approved in 2007, the process to permanently convert the zoning began. However, because the project was never constructed, the final conversion of the underlying zoning did not take place. The project proposed by Lyon Community Development has been designed to the MEMU-Active Urban standards and is consistent with this zoning designation. Upon completion of the project the zoning will be permanently converted. 75A-8 Amend DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 5 Project Analysis Amendment to the Development Agreement In 2007, the City approved several entitlements, including a development agreement, for the First and Cabrillo Towers project. The development agreement established development intensity, permitted uses and development standards for the term of the agreement. Further, the approved development agreement required certain improvements and public benefits such as in-lieu fees for parkland dedication and payment of an inclusionary housing fee. Over the last few years, a significant shift in the local and national economy has occurred that severely impacted the real estate and development market. Evidence of the severe nature of the economic downturn in real estate development is conspicuous; of the 14 large projects that were submitted to the City for review in the past five to six years (Brookhollow Office project, City Place retail/residential project, Sky Loft Tower, Cordoba courtyard housing, First and Cabrillo condominiums, Montage condominiums, Nexus Skyline Towers, Nexus Phase II, One Broadway Plaza office tower, Promenade Pointe condominiums, Sixth and Parkcenter development, Town and Country Manor, Village Green and the West End Lofts), only the City Place, Montage (now The Marke) and Skyline Towers projects have begun or completed construction. These same trends were evident in communities throughout the country. Due to the shift in the housing market, the previous developer was unable to proceed with its entitled high-rise residential development. In response, Lyon Community Development purchased the site with the intent to commence construction on the proposed lower-scale development. The amendments to Development Agreement No. 2007-01 are minor changes that recognize Lyon as the developer for the project. Further, the amendments reflect the new scope of the project, such as a decrease in size and intensity of the project and the extension of the agreement for another 10 years. Additionally, Lyon is proposing to add a new provision to the agreement that requires a minimum of $125,000 be spent on public art for the project. This provision is similar to other developments in the City, including The Marke, which is currently under construction by Lyon. All other elements of the development agreement will remain, with Lyon committed to developing the project as proposed, with all finishes and amenities for the project to be of the highest quality (Exhibit 8). Lyon is also committed to the eventual sale of units within the project and will also be involved in the sale, rental and managing of the units. Their intention is to rent the units in the near-term, but construct the project in a way as to allow them to be sold as condominiums when economic conditions warrant. Vesting Tentative Tract Map Vesting tentative tract map requests are governed by Section 34-119 through 34-318 of the SAMC. Vesting tentative tract map requests may be granted when it can be shown that the following can be established: 75A-9 DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 6 The proposed project, as conditioned, and its design and improvements are consistent with the Industrial land use designation of the General Plan and are otherwise consistent with all other elements of the General Plan and any applicable specific plans. • The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. • The project site is physically suitable for the type and density of the proposed project. • The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. • The design or improvements of the proposed project will not cause serious public health problems. The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project. If these findings can be made, then it is appropriate to grant the vesting tentative tract map. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. Although the applicant is initially intending to market the project as a rental project, the long term goal of the applicant is to make the units available for-sale, which requires approval of a tentative map for condominium purposes. Based on a review of the tentative map by the Planning Division and Public Works Agency, the project has been designed to be in compliance with the applicable development standards found in Chapters 34 (Subdivision) and 41 (Zoning) of the Santa Ana Municipal Code as well as the provisions of the Metro East Mixed Use overlay zoning document (Exhibit 9). Further, approval of the map will be consistent with the goals and policies identified in the City's General Plan. • The proposed subdivision, Vesting Tentative Tract Map No. 2013-04, will be consistent with the proposed District Center land use designation and density prescribed and all other elements of the General Plan. Policy No. 1.3 of the General Plan Land Use Element encourages high- density residential development within the City's District Centers. Further, Policy No. 1.4 promotes the maintenance and fostering of a variety of residential land uses in the City. • The proposed subdivision conforms to the minimum condominium requirements, as well as meets the letter and intent of the State of California Subdivision Map Act Provisions. Tentative Tract Map No. 2013-04 is in keeping with the site plan review for the project as well as 75A-10 DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 7 Chapters 34 and 41 of the Santa Ana Municipal Code. Covenants, Conditions and Restrictions (CC&Rs) are required for the project, which need to be approved by the City prior to the recordation of the final map. • The proposed site consists of approximately five acres of land within the Metro East Mixed Use Overlay Zone, which is physically suitable for the residential development as proposed. Access to the site will occur on First Street and Cabrillo Park Drive. There are no physical constraints on the site to preclude development. An Environmental Impact Report (EIR), as well as an addendum to the certified EIR, was prepared pursuant to the California Environment Quality Act for the project. The project site is located in an urbanized area, and there are no known fish or wildlife populations existing on the project site. Therefore, the proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. • The proposed subdivision will not have any detrimental effects upon the general public. The short-term and long-term unavoidable adverse impacts identified in Environmental Impact Report No. 2006-01, and affirmed by the recently completed addendum to the EIR, as it pertains to air quality and traffic, were addressed by the adoption of a statement of Overriding Considerations by the City Council. Any other negative or adverse impacts will be mitigated through mitigation measures identified in Environmental Impact Report No. 2006-01. • There is no easement for public access currently existing on this property. Therefore, the proposed project will not conflict with easements necessary for public access through or use of the property. However, the applicant will be granting an easement for pedestrian purposes over the northern portion of the site, which will allow public access throughout the Metro East area. Site Plan Review The applicant is requesting site plan approval for the project. Pursuant to Section 2 of the Metro East Mixed Use Overlay Zone document, the Planning Commission is required to review and approve all plans for development within the Metro East area to ensure the project is in conformity with the MEMU Overlay Zone standards. The review ensures that the buildings, structures and grounds are in keeping with the neighborhood and will not be detrimental to the development of the MEMU area. The Metro East Mixed-Use Overlay Zone (MEMU) design and development standards are intended to create a unique urban environment by allowing for the introduction of well-designed mixed-use projects into the existing primarily office environment. The standards provide great 75A-11 DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 8 detail regarding architectural design and have a substantial open space requirement in acknowledgement of the fact that the area does not contain the types of open spaces one would find in a typical residential area. The following analysis will provide a summary of the project's compliance with the MEMU standards. MEMU Section 4.0 Development Standards Analysis Development Active Urban District Proposed Project Standard Max. no. of stories No max./3 story min. 5 stories w/some mezzanines Min. development 1.5 acres 5.18 acres site area Permitted street Fore Court Shop Front level bldg. Shop Front Gallery frontages Gallery Units on the east of the site have the Arcade Stoop frontage type, but do not face a public street. Publicly accessible 15% of total lot area - 33,838 33,881 sq. ft. open sace s q. ft. Private/common 100 sq. ft. per unit - 36,680 40,470 sq. ft. open sace s q. ft. Building setbacks Front - 0 to 20 ft. Front -1S Street/Cabrillo Park Dr. Side - 0 to 10 ft. varies from 10' to 20' 9". Rear - 0 to 20 ft. Side/Rear - North fire lane varies from 24' 3" to 36' 2" East fire lane varies from 33' to 37' 10". Parking 2 spaces per unit - 508 559 spaces - excess of 51 spaces spaces In all cases the proposed project meets or exceeds the MEMU minimum standards. The ground level in particular uses several creative approaches to engage the street by incorporating a 2-story volume, 2,474 square foot retail space at the southwest corner of the site that fronts onto the public open space. This passive publicly-accessible park measures 33,881 square feet in size, over'/ of an acre, and fronts onto Cabrillo Park Drive. It features a variety of amenities, such as seating areas and a large lawn, which will allow people who reside in the project or work in the area to gather and enjoy this substantial space. This publicly-accessible open space is provided in addition to the private open space within the project itself. The unit mix in the project is also innovative. There are live/work units at the ground floor along First Street and along the East Fire Lane. In order to create variability at the roofline, mezzanine units were included at the upper levels. The existing parking structure created a design challenge 75A-12 DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 9 that was overcome by the placement of units to screen the structure. The units screening the structure along First Street have a Shopfront look, consistent with their live/work use, and a townhouse configuration. The units along the East Fire Lane are also townhouses, rather than stacked flats, and the fire lane has been designed as a small street with sidewalks and street trees. Some of these units have private garages. The overall unit mix has a wide variety of floor plans and sizes, which allow for enhanced architectural articulation on all of the building elevations. The project was also extensively reviewed by the City's urban design consultant, John Kaliski. Mr. Kaliski's analysis focused on the MEMU Section 5 - Design Principles. The following table will provide a summary of the project's compliance with these design principles. MEMU Section 5.0 Design Principles Design Principle Proposed PrLDject 5.1 Integrated design The use of a consistent style of contemporary architecture throughout the project site provides for an inte rated sign. 5.2 Architectural quality The project features high quality materials and finishes. 5.3 Architectural variety The project includes varied massing and heights, as well as the project containing separate buildings. The project was peer reviewed by a second architectural firm and design workshops were conducted with City staff and the Planning Commission in the early phase of design. 5.4 Massing The building planes were provided with breaks and the building incorporates a variety of massing and forms to introduce variety at the ground plane and skyline. 5.5 Facades Street facing facades include a variety of frontage types and details, the building facades are articulated through the use of varying window types, colors, and architectural projections. 5.6 Ground floor uses Ground floor uses are oriented towards street-facing pedestrian accessibility. 5.7 Community connections The project is designed with a high degree of pedestrian accessibility. 5.9 Parkin Parkin is completely screened from public view. 5.10 Energy conservation - shade and The project was analyzed for solar access and it shadow com lies with this guideline. 5.11 Residential unit size The average unit size of the project is 1,036 sq. ft. with unit sizes weighted more heavily towards larger sized units. 75A-13 DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 10 Following this analysis staff finds that the project is in compliance with both the standards and the spirit of the Metro East Mixed Use Overlay Zone. Public Notification The project site is not located within a neighborhood association. As required by the recently adopted Sunshine Ordinance, the applicant held a neighborhood meeting on May 28, 2013 at St. Jeanne de Lestonnac School, which is located south of the subject site. At that meeting, a total of six members from the public attended the meeting. At the conclusion of the meeting, one member from the public expressed concerns regarding the project. Staff has since met with this individual and other concerned persons on several occasions to discuss the project and review the plans (Exhibit 10). The project site itself 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 and tenants 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 any members of the public. CEQA Analysis In accordance with the California Environmental Quality Act, the recommended actions have been reviewed through an Addendum to the previously certified Environmental Impact Report 2006-01. CEQA guidelines (California Code of Regulations 15000, et seq.) authorizes the use of an addendum for the purpose of making minor or technical changes, as long as these changes do not rise to the level of requiring a subsequent or supplemental EIR pursuant to CEQA Guidelines 15162. The originally certified Environmental Impact Report was analyzed in light of the revised site plan and it was determined that there are no new significant impacts resulting from the changed plan. Several mitigation measures that required modification and/or further clarification have been added to the conditions of approval for this project. Additionally, a new traffic study was performed to analyze the potential changes in traffic circulation as a result in the change to traffic patterns over the past few years. The result of the traffic analysis concluded that the residential use at this site will result in 67 fewer trips in the morning peak hour, 77 fewer trips in the afternoon peak hour and 894 less trips on a daily basis. According to the revised traffic study, the proposed project will not exceed, either individually or cumulatively, a level of service standard established by the County congestion management agency for designated roads or highways. Therefore, no additional review or mitigation measures related to traffic are needed. 75A-14 DA No. 2007-01, VTTM No. 2013-04 & SPR No. 2013-03 August 26, 2013 Page 11 The determination that there are no new significant impacts or any increases in the severity of the impacts previously identified in the original Environmental Impact Report mean that in accordance with CEQA 15164, the Addendum to the previously certified First and Cabrillo Towers project EIR and Mitigation Monitoring and Reporting Program is the appropriate document for the actions proposed (Exhibits 11 and 12). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission recommend that the City Council approve the Addendum to Environmental Impact Report No. 2006-01, the first amendment to Development Agreement No. 2007-01, Vesting Tentative Tract Map No. 2013-04 as conditioned and Site Plan Review No. 2013-03 as conditioned. Vince Fregoso, ICP Principal Plann r VF:jm vNeporMADA074 8 VrrM18.4 1901 1sl Street.082810.pe Attachments: Exhibit 1 - General Vicinity Map Exhibit 2 - Land Use Map Exhibit 3 - Site Photo Exhibit 4 - Site Plan Exhibit 5 - Floor Plans Exhibit 6 - Building Elevations Exhibit 7 - Landscape Plan Exhibit 8 - Amendment to the Development Agreement Exhibit 9 - Vesting Tentative Tract Map Exhibit 10 - Community Meeting Minutes Exhibit 11 -Addendum to the EIR Exhibit 12 - Mitigation Monitoring & Reporting Program 75A-15 ?fl1 j k, - --- - I I ; - -.. , N, liR4-FPD 1. I[ _'li- pl p . RE p RI R4 RIwRO a RI ? ? Al B B I \ ' 111 'jl '?I Nl RI ' RI R3 RI i RO B i j^-, I x a AT- RI ?'9A. r1 I R7 ? Rl O ? O Rq ? 50-21 RI RI RI ? RI R \ '? w r` L RI ? - 'II RI\ p _ '"" 3 fll fll Al 6 P O e p Q p 0 R-Iw LP p v y, v P P SP P.i? ?p _-p- r R2 R2 R2 : wPi R2 MI $0 54 p ' R2 ' we. P3B1 nr R? 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LC - U t t} o ?l?II?III??!} 4 11?aala[E`34 I ! 4 4 4 ??'tt?la ? ? 9 ? 1 4 t 4 9,4? i I I t - - ? i, 'i I I I RECORDING REQUESTED BY AND 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 FREE RECORDING VIENT CODE 4 6103 FIRST AMENDED AND RESTATED DEVELOPMENT AGREEMENT by and between THE CITY OF SANTA ANA Aeda-nd a-?A-STLYON HOUSING (FIRST STREET-PART-N9R-9 X-LVlJI, LLC; A DE-I.AWAR NMIT€Dt4ABILIT-Y40MRANY Dated: MaFGh t9 , 20072013 EXHIBIT 8 75A-56 DEVELOPMENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND 'ON HOUSING [ARU STREET-PARTN€RSl XW!, LLC, This FIR- T..AMENDED AND RESTATED DEVELOPMENT AGREEMENT ("Agreement") is entered into between THE CITY OF SANTA ANA, a charter city and municipal corporation duly authorized under the Constitution and laws of the State of California ("City") and 4004--& TLYON HOUSING__(FIRST STREET-P-ARTINERS _X, LLC, a Delaware limited liabilitv company ("Owner" er"Weae 9wper-M. The.City_and Owner 1. RECITALS. The First Amended and Restated Develo men Agreement is entered into with reference to the following facts: 1.1 PUr-pe68. 11 U (-1 }--The parpase-of-this Agreement is-to-fasititate -the-development-of--the Propert The real property which is the subject of this First Amended and Restated Development A reement is located at 1901 East 1 iFsIE a 5.49TTl g_ Property is a 5.1 acre parcel of-landwithin the Metro East Mixed Use Overlay Zone that is located at the northeast comer of First Street and Cabrillo Park Drive-, more tr thwilarly c/ascribed-i?a sesf#e of Cal On April 2. 2007, the City Council of the Cit of llwl (the 6-.W0 2 0 616 111d2.1791554.i&8J2v2S 4- 75A-57 The Pro ._ert was?reviously 0cctrpied b,va two.-story-,%5,300 squato foot_builditig (the "Maim B?il?iing"1 and an exist pwo)ci s(ructiircp. W (O m D U Pura_ose of this First Amended and Restated Development Aareement. U rise buildiiug , a 22-st,,)ry tower-on-the nerth por#ion--oE-the-sitea new 254- u i Itfamily residwitiat-development (the Prot.e 1? The 6S902062619_W2-379 -SSIM 05_ -2- 75A-58 (2)-The-Owner proposes to develop on the Property (defined in and a 23new 3-story tower-eaT-YaQ p1-1g the south ped4w -?the--site; 1.4 1-.2-Code Authorization. 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 deyelQpment certainty for both the City and Owner in the development process. City enters into thethis First Amended and Resta-t_ed Development Agreement pursuant to the provisions of the Government Code and applicable City policies. The paFfies 'es acknowledge: (a) (-4-}-This First Amended and Rita ed Development Agreement is intended to assure adequate public facilities at the time of development. (2-)-This First Amended and Restated Development Agreement is intended to assure development in accordance with City's General Plan, applicable Specific Plans and the Metro East Mixed-Use Overlay Zone. M (3}-This First Amended and Restated De"tQpm nt Agreement will permit achievement of goals and objectives as reflected in the City's General Plan, all applicable Specific Plans and the Metro East Mixed-Use Overlay Zone. (4) Owner is required by existing City regulations to provide mitigation for certain identified impacts and pay certain regulatory fees as conditions of approvals through the regulatory process. (a)-This First Amende"-.nd Restated_ Qev l!a- r t Agreement will allow City to realize extraordinary and significant public ?wap1G? l?aa.?a?n?ax ?av?s -3- 75A-59 for -sale ?ts-1r? additiea; a ata4-of 8 600--sgaare-feef of someaersiai spare -will be-provided-#or-Eh"reject, with-4;480 sgeare-feet -#o he infrastructure facilities and other supplemental benefits in addition to those available through the existing regulatory process. f (6)-Many of the extraordinary and significant benefits identified as consideration to City for entering into this First_ Amended and Restated Development Agreement are of regional significance, relate to existing deficiencies in public facilities, require Owner to contribute a greater percentage of benefits than would otherwise be required, and represent benefits which would not otherwise be required as part of the development process. LO 1.3 Owner. Owner represents and warrants that it has a legal or equitable interest in the reat areperty-lesatedaa Ditv?f- Sar}Ia AFla-Galiforr?ia-leeal?r de6sfibeed--on-€-v,hib4-B--attached-hefets-aed-inGwperated herein (defined -in sestien 2.6 as-the "Proporty"}, The Prvl)erty-is-sarrentl"c Gtil)iecl-liy a-1w©-stery, -75,300-square-foot hirit(Iirl0-that- va&4ormerly4)ome-t©-the-Sequoia-Athletic-CAub and-the-Australian-Switii-Ssheel; that-will be dereelished-#o-assommedate-the propGsed-pn@ kIF-6teFY, 169 SpaGe J arkii) /- strvdure that c 4FFentfy-exists-en-the east?+de-ef heprepefty-will rennain as part-9 h,-Droject (as-that?aroFcI4&4efined-in-sestio^2.7- of this,AgFeerne#)-.PrQ r s I .Q. -1-4--interest of Owner. Owner hemby-rep resents that it has aa-equ4able approved this First Amended and Restated Development Agreement and is authorized to enter into this First Amended and Restated Developmen t Agreement. 11 add tioll, this First Amended and Restated Development Agreement was h-"-lect of the following pAiblic -ear rigs; (=q) 1.5-Planning Commission--Council Hearings. On I ebruar-y-26-and March-42 2007201.3, the Planning Commission -ef-the-city E Rtar*niogGefnmissier}, after giving notice pursuant to Government Code Sections 65090 and 65091, held a public hearing to consider the Owner's application for this Agree44;ent7--The-P4anein -Carcmission 6-5-W2467619\42S79155448832v25 -4- 75A-60 (W U 1,$ 1-.6--C-it t Council Findings. The Qt?t Council finds that this First Amended and Res.taAed_Dever Agreement is consistent with the General Plan, applicable Specific -Plan(&--as--well--asspec fic algrnos* appAcat"le zoning relations, and all other applicable ordinances, plans, policies and regulations of the City. M 177-City Ordinance. On AOf -? , 200-72Q-U, the C-ft Council adopted Ordinance No. NS-2741 approving this First Amended and Restated Development Agreement. The That ordinance becomes effective thirty (30) days thereafterafter the date of _adoption. 2. DEFINITIONS. In thethis First<__AmeMod Agreement, unless the context otherwise requires: 2,1 2-_2 "Applicable Rules" means all rules, regulations, ordinances and official plans and policies of the City in force as of the Effective Date as included within the Santa Ana Municipal Code ("SAMC"), the Metro East Mixed- Use Overlay Zone, this it ..-Amended and Restated Development Agreement and the Entitlements, as defined below. 2?3 "Effective Date" means May 2, 2007, the date upon which the ordinance approving thisthe Original Agreement besomesbecame effective. 2s4 "Entitlements" bt902W-612142374t454-18832v25, -5- 75A-61 City Council. On Mareta--S , 2,097-2 13, the City Council-of the-Eity-of Santa Ana-C-?Geuneil"), after providing notice as required by law, held a public hearing to consider the-Owner's application for this First Amended and gestated Develop m-ent Agreement. Amendment No. 2007-01, Amendment-Application-No-2007 t3!Ve_s.ting Tentative Tract Map No. 20072013-01---4Gount-y-MaVNo--I-70W4, Zoning Ordinance Amendment No. 2007-01, the Metro East Overlay Zone Public Realm Improvement Plan-and, Site Plan Review Apr vat No. 20072013- 013,_-and any changes to M Owner has consented in rtinU- 26 2.6 ' (weer" means Lyon Housing (First Street) XLVIII. LLC. -a_QDawelje linutod liability compauty. 2.? 2$ 2--9 21Q 2,1 "Public Art" is defined in Section 5 1 7 = "Public Art Fee" is defined in Section 5.1.7 2JI 2.14 "Reserved Powers" means the rights and authority excepted from this First Amended and Restated Develoament Agreement's restrictions on the City's police powers and which are instead reserved to the City. The Reserved Powers include the power to enact and implement rules, regulations, ordinances and policies after the Effective Date that are not in conflict with the Applicable Rules or that may be in conflict with the Applicable Rules, but: (a) prevent or remedy conditions which the City has found to be injurious or detrimental to the public health and/or safety, (b) are Uniform Codes; (c) are required to comply with mandates under state and federal laws, rules and regulations (whether enacted previous or subsequent to the Effective Date) or to comply with a court order or judgment of a state or federal court; or (d) relate to increases in development impact fees occurring after the Effective Date. GSI)02Q67.6D\-12 IM SS44S -2v25 -6- 75A-62 Council on Aaril 2. 2007, by Ordinance No. N$-2741. Brope means be realmoper y described in Exhibit-A- and Ceferred to in Exhibit B. - ZM "Uniform Codes" means those building, electrical, mechanical, fire and other similar regulations o€--a--City-wide--ssape--which are based on recommendations of a multi- state professional organization and become applicable throughout the City, such as, but not limited to, the California Building Code, the California Electrical Code, the California Mechanical Code, or the California Fire Code (including those amendments to the promulgated Uniform Codes which reflect local modification to implement the published recommendations of the multi-state organization and which are applicable City-wide) 2.16 "Utility Release" means the formal approval of the City Building Department, following its inspection, that residential unit(s) may be released for initial connection to the electrical power system, water service system, gas service system, and sanitary sewer system. Utility Release(s) do not include temporary utility service provided to any structure during construction. 3. EXHIBITS. The following documents referred to in thethis First Amended and Restated Developme Agreement are attached to this First Amended and Restated Dever men Agreement and are identified as follows: Exhibit Designation Description Referred to in Section A Property Legal Description B Property Graphical Description-(Site- Plan) - C_ Public Art Plan 2,13 ?p Additional-Offsite Mitigation- (.590206.76-N\42374F5M}i 32v25. -7- 75A-63 "R?ogert?y' is-tl?s r?sal f?rof?r?rly elessril?ecl ire f=xhil?il-A-arrE?reisrfeE?ta-ire-€?lailiit?-3: Realn;4rnprovement-Rtan-and4%ite44an Review--Ne-2907-91- Measureslm proveme nts 4. GENERAL PROVISIONS. 4.1 9uratiomef-Agreement, -The-terfn-af4hi&Agreement-shall for teeyears. 4.1 4.2 Assignment. Owner shall have the right to transfer or assign the Property, 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 First Amended and Restated Development Agreement; provided, however, the rights of Owner under this First Amended and Restated Development 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 Fir-*t Ammer l-ed-atid Restates Develo me Agreement shall include in writing the assumption of the duties, obligations, and liabilities arising from this First Amended and Restated Development Agreement if the City grants written consent to transfer the rights. Nor shall the rights of the Owner hereunder be subject to assignment by attachment, execution, or proceedings under any provision of the Bankruptcy Act, and any such assignment or transfer of the rights under this F'rs Amended and _Restated Development Agreement shall be wholly void and of no force and effect unless such written consent thereto be obtained from the Council. A transfer or assignment of the rights under this First Amended _a-R-estated Development Agreement without the consent of the City shall not relieve Owner of any accrued duty, obligation or liability to City. No consent shall be required for sale of units to condominium unit buyers. During the term of this First Amended and Restated Development Agreement, any approved assignee or transferee of the rights under this First Amended and Restated Development Agreement shall observe and perform all of the duties and obligations of Owner contained in this First Amended and Restated Development 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 65902067619W174,145.44883201-, -8- 75A-64 have all of the same rights, benefits, duties, obligations, and liabilities of Owner under this Firat_A.mend,ed and Restated Deyel-opment 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 First Amended and Restated Development Agreement. Upon assignment or transfer of the rights of Owner under this Fir, Amended and Restated Development Agreement, the obligations of Owner and the transferee or assignee shall be joint and several. individk4Should the Project be condominium unit buyers shall not have any liability or obligation pursuant to thatthisFirst Amended an I estated Development Agreement. 4.3 Amendment or Cancellation of First Amended and Restated Development Agreement. This First Amended and Restated Development Agreement may be amended from time to time or cancelled by the mutual consent of the parties i s, but only in the same-manner as-its-adoption-byan-erEiinaase as-set-forth-ia qu red by Government Code Section 65868. Tbe-tefmAs used within this First Amended and Restated Development Agreement, the terms "Agreement" orand "DevelopmentOftin_a1 Agreement" as--ssed--herejn---shall include any amendment properly approved and-executed. 4.4 Enforcement. Notwithstanding Government Code Section 65865.4, this First Amended and Restated Development Agreement is enforceable by any-party- to th"greementeither Party in any manner provided by law. The remedies provided in Section 7.4 of-this-Agreement-shall not include, and City shall not be liable for, any action in damages or any costs or attorney's fees resulting from any dispute, controversy, action or inaction, or any legal proceeding arising out of this Fimt_Araended and Restated Develornent Agreement. 4.5 Mold- Harmlesslndemnification by Owner. Owner agrees to and shall indemnify, defend (through its own counsel) and hold City, its officers, agents, employees, consultants, and representatives harmless from liability for damages, attorneys' fees, restitution, judicial or (to the extent legally possible) equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from construction activities with respect to the Project by the Owner or their contractors, subcontractors, agents, employees, or other persons acting on their behalf. Owner further agrees to indemnify, defend (through its own counsel) and hold City, its officers, agents, employees, consultants, and representatives harmless from any Litigation, as hereinafter defined. For purposes of this paragraph, "Litigation" shall mean shall-rnean-any W0246761 W2374F35i3ti2f31v25_ -9- 75A-65 lawsuit, action or cross-action, challenging the validity of this transaction, the Project as defined in Section 2-.72 9, or any portion thereof or the rights of either party hereunder and/or the rights of either party to engage in the acts and transactions contemplated by this First Amended and Restated Development Agreement. Notwithstanding any other provision of this First Amended and Restated Deve oament Agreement, this indemnity and duty to defend shall be limited as follows: U (4),Owner shall have no responsibility to defend the City under this section for any aspect of Litigation challenging Amendment Application 2007-01, General Plan Amendment No. 2007-01, and/or Zoning Ordinance Amendment No. 2007-01 (the "Overlay"). (2)-In the event the Litigation results in a judgment and/or award of damages and/or attorneys' fees related to the Overlay but in no way related to the application of the Overlay to the Property, Owner shall have no responsibility to indemnify the City therefor. (,q) (-3}-In the event of any Litigation the parties hefeb?--agree to affirmatively cooperate in defending said action. W1 (4)-Owner shall have approval of any settlement if, (i) it will affect Owner's project, or (ii) Owner will be required to pay (or reimburse) any amounts (regardless of type) in connection with the settlement (including attorneys' fees and eostcost . (i) If City determines to settle over Owner's objections, then Owner may upon thirty (30) days written notice terminate defense of the action. (ii) If City rejects a settlement offer that Owner deems reasonable, then Owner may upon thirty (30) days written notice terminate defense of the action. (5)--Owner shall be allowed to terminate its defense if it determines to abandon defense of its project application; provided, however, that in such circumstance Owner shall be solely liable for award, if any, of costs or attorneys' fees to plaintiff/petitioner incurred prior to the effective date of termination. 4.6 Binding Effect of Fitt Amendf ed and Restated Develoamen Agreement. To the extent not otherwise provided in Section 4.2 of this First Amended and Restated Develoamen Agreement, the burdens of thethis First Amended and Restated Dove lop ent Agreement bind, 65W201,7612142 379Fa54388.2v2S. _10- 75A-66 and the benefits of the First Amended and Restates, Development Agreement inure, to the parties' successors in interest. 4.7 Relationship of the Parties. The contractual relationship between City and Owner arising out of theth.is-First Amended and Restated DeveIQt?ment Agreement is one of independent contractor and not agency. This First Amended and Restated _Development Agreement does not create any third party beneficiary rights. 4.8 Notices. Any notice, tender, demand, delivery, or other communication pursuant to this F_[WtAmended and Restated Development 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: If to City, to: City Manager City of Santa Ana 20 Civic Center Plaza M-31 P.O. Box 1988 Santa Ana, California 92702 telefacsimile-(714) 647-6954 and City Attorney, City of Santa Ana 20 Civic Center Plaza M-29 P.O. Box 1988 Santa Ana, California 92702 telofacsirxiiie-E744y647-6a4y If to Owner, to: a?4 1=.-1st-L yQn Housing (First Street Partners?XLVlll, LLC 4901 Birch Street 0GADC-DevelspMeflt 4400-MaeAdhur4ulevard,-Suite 150 Newport Beach, Galifer-n aCA 92660 Attention: --r-fiief-Legat-Of#iserGeneral Counsel telefacsimile-(945-622-9019 - and; 75A-67 Han& Van-Ligten-R44taA44 sker; ? P.O. Box 1060 Gesta-Mesa; G li€emia 02626 10604e1efas6itni?.e (7-14) 6436-99 5 A par-tyParty 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 telefacsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County, or city holidays shall be excluded. 5. DEVELOPMENT OF THE PROPERTY. 5.1 City Obligations. In consideration for Owner entering into this Fi s An?nded and Restated Development Agreement and performing its obligations hereunder and in order to effectuate the purposes and intentions set forth in this f=irst Amended! -and Restated Development Agreement and the Development Agreement Act, the City hereby agrees during the Term as follows: 5,1.1 5.4-Vested Rigtiteftbt to Develop. Owner is hereby granted the vested right to develop the Project subject to the terms and conditions of the Applicable Rules and the Reserved Powers. 5.1.2 5.3 --Non,applisationNon-An lip cation of Changes in Applicable Rules. Any change in, or addition to, the Applicable Rules, including, without limitation, any change in the General Plan, zoning ordinance, subdivision ordinance, or building regulation adopted or becoming effective after the Effective Date, including, without limitation, any such change by means of ordinance, initiative, referendum, resolution, motion, policy, order or moratorium, initiated or instituted for any reason whatsoever, however 6sv020,6761242179 E `541583205- -12- 75A-68 denominated, and adopted by the City Council, Planning Commission or any City Agency, or by the electorate, as the case may be, which would, absent this First Amended and Restated DayeWpmen Agreement, otherwise be applicable to the Project and which would conflict with the Applicable Rules, shall not be applied to the Project unless such changes represent an exercise of the City's Reserved Powers or are otherwise expressly allowed by this Fit Amended and Restated Devel.opm-eftt Agreement. In the event that state or federal laws or regulations enacted after this First Amended and Restated D_eveloament Agreement has been entered into, prevent or preclude compliance with one or more provisions of this First Amended and Restated Dvye14? ment Agreement, such provisions of this First_9me-ride_d and Restated Develop Agreement shall be modified or suspended as may be necessary to comply with such state or federal laws or regulations. 5.- Zesewed: 5.1.3 5:6--Agreed Changes and Other Reserved Powers. This First Amended. and Restated__ D e opment Agreement shall not preclude application to the Project of rules, regulations, ordinances and officially adopted plans and policies in conflict with the Applicable Rules where such additional rules, regulations, ordinances and officially adopted plans and policies (a) are mutually agreed to in writing by Owner and the City, or (b) result from the Reserved Powers. 5_1A 6-.6-Subsequent Development Approvals. The City shall require Owner to obtain only those Subsequent Development Approvals that are required by the Applicable Rules or the Reserved Powers. City hereby -agrees that it shall condition any Subsequent Development Approvals based only on the Applicable Rules and/or Reserved Powers. .51.5 5--7-Moratoria. In the event an ordinance, resolution or other measure is enacted, whether by action of the City, by initiative, or otherwise, which relates to the rate, amount, timing, sequencing, or phasing of the development or construction of the Project on all or any part of the Property, City agrees that, unless required by applicable state law, such ordinance, resolution or other measure shall not apply to the Project, Property or this Fist Amended and R-eetated_ Development Agreement, unless such changes are adopted pursuant to the City's exercise of its Reserved Powers or -13- 75A-69 other applicable provision of this First Amended-an LRestated Qovel99 ent Agreement. 50A 6:8-Timing of Development. The parties acknowledge that Owner cannot at this time predict when or if the Property will be developed. Such decisions depend upon numerous factors which are not within the control of Owner such as market orientation and demand, interest rates, absorption, completion and other similar factors. Because the California Supreme Court held in Pardee Construction Co. v. City of Camarillo (1984) 37 Cal. 3d 465, that the failure of the parties therein to provide for the timing of development resulted in a later adopted initiative restricting the timing of development to prevail over such parties' agreement, it is the parties' intent to cure that deficiency by acknowledging and providing that except as provided in and subject to Section 5.11, Owner shall have the right to develop the Property at such rate and at such time as Owner deems appropriate within the exercise of its subjective business judgment. 5.1.7 5.1.8 "-Additional Offsite Mitigation Measures. The offsite mitigation measures (i.e., which clarify mitigation measures set forth in the Project entitlements) which must be constructed by Owner are as set forth in Exhibit SD to this First Amended and Restated Developlll" Agreement. All funds or costs for offsite mitigation measures required pursuant to the approvals set forth in section 2.4 of this First Amended and Restated Develop-nt Agreement shall be paid or security provided therefor in conformance with the provisions of the Subdivision Map Act, no later than recordation of the final subdivision map for the Project, or issuance of the first building permit for the Project, whichever comes first. 5.1.9 5.10-Irrevocable Offer to Dedicate Easements or Land To Implement Public Realm Improvement Plan. On the face of the final map for the Project, or contemporaneous with offering the final map for filing with the County if it is not placed on the final map, Owner shall execute an irrevocable offer to dedicate to the City such property interest (easement for the breezeway/lane along the 65902061.6121423191 z5I4883205- _ 14_ 75A-70 north side and fee title along the south side of the Project) as is necessary to effectuate the Metro East Public Realm Improvement Plan adopted contemporaneously with the Project. Owner shall not be required to dedicate additional land pursuant to any amendments to said Plan which may or-may-occur following its adoption. Owner shall be entitled to an offset against its obligations under sestieaSec.ti_on 5.7 of this Fi s ended and Restated Develoament Agreement for such property. 5.2 5-41 -Exclusion from Existing Rules, Regulations and Policies. La) (4-)-Pursuant to Government Code Section 65866; and Pardee Construction Co. v. City of Camarillo (1984) 37 Cal.3d 465, 208 Cal.Rptr. 228, 690 P.2d 701, City retains the right to enact police power regulations on matters not covered by section io 5.1 of this First Amended and Restated Deve-Logftmt Agreement, including without limitation: (2-)-Municipal laws and regulations which do not interfere with Owner's vested rights to develop and use the Property in accordance with seationSectiorl 5.1 of this First Amended and Restated Development Agreement, Owner and its successors and assigns and all persons and entities in occupation of any portion of the Property shall comply with such non-conflicting laws and regulations as may from time to time be enacted or amended hereafter. Specifically, but without limitation on the foregoing, such non-conflicting laws and regulations include the following: (a.)-Taxes, assessments, fees and charges, except as otherwise specifically provided in this First Amended--and Restated Development Agreement; (4}-Building, electrical, mechanical, fire and similar codes based upon uniform codes incorporated by reference into the Santa Ana Municipal Code; (5y-Laws, including zoning code provisions, which regulate the manner in which business activities may be conducted or which prohibit any particular type of business activity on a city-wide basis; and (6yProcedural rules of general City-wide application. (.3gQ0671iM4237V I-Mm" 1 32v2-5 _15- 75A-71 5 6-12-Construction Standards and Specifications. The construction standards (e.g., the Uniform Codes) and specifications for all Project construction shall be subject to applicable construction standards and guidelines in effect at the time that any development approval shall be sought for the Project or any unit or structure contained within the Project. 5.4 €.13 FAA Approval. Owner shall obtain and maintain, during the term of the--agfeemeetthis First Amended an"estated Development _Agrrgenient, any and all necessary approvals from the FAA for the Project. Should such approvals lapse; and not be reinstated or reapproved prior to the issuance of the first building permit, the City shall have the right to terminate the-agreementthis First Amended and Restated Development Agreement. U 6.14-Processing Fees. All fees and charges intended to cover City costs associated with processing development of the Property, including but not limited to fees and charges for applications, processing, inspections, plan review, plan processing, and/or environmental review, which are existing or may be revised or adopted during the term of this First Amended and Restated Development Agreement, shall apply to the development of the Property. 5.6 5.16 Amendments or Additions to Citywide Fee Programs. This First Amended and Restated Develument Agreement shall not preclude the inclusion of and changes to fee programs, taxes whether special or general, or assessments (hereafter collectively referred to as "fees") adopted by the City after the effective date of this Fi_r_st_.Am.c.nd a i -cL Restated Development Agreement, which shall be applicable to the Project or the Property provided that they (1) are standard fees applicable to all development in the City (although actual fee rates may vary within the City where bona fide Citywide fee zones have been established), (2) are not applicable primarily or only to this Project, or (3) are not imposed to either (a) mitigate, offset or compensate for Project impacts which were analyzed in the environmental impact report prepared for the Project, or (b) duplicate any project design features conditions of approval, Agreeme{atssgreements, or mitigation measures contained in this First mended and Restated Developmen Agreement: 5J 6-46-Comm unity Facilities District or Other Financing Tool. Owner agrees to petition for, and fully support (including voting to establish, if required), the establishment of or annexation into a Community Facilities District or similar financing mechanism covering the Property, in order to fund the proposed project's fair share of eligible items, e.g., the costs of implementing the Metro East Public Realm Improvement Plan; provided, ?sw?a?z?uwz 3?ea Ss??xtlva5 -16- 75A-72 however that the total effective tax rate (including but not limited to regular property or ad valorem taxes, special taxes, benefit assessment or other imposition) shall not exceed an annual levy of one and six-tenths percent (1.6%) of the Property's valuation, as improved. Owner and City shall cooperate in good faith to designate those improvement and/or fees to be funded by the Community Facilities District or other mechanism. Owner shall have the right to review and approve any final list of said facilities and/or fees; provided, however that Owner's approval may not be unreasonably withheld. 5.8 &.464-Phasing of Project. The parties agree and acknowledge that the Project may be built in up to two (2) phases (with one tower in each phase), but that, except as otherwise expressly stated herein, all conditions and mitigation measures shall be implemented as part of the initial phase; provided, however that Owner may propose to delay to the second phase on-site conditions (e.g., sidewalks) that could be damaged by future construction. Prior to issuance of the first building permit for the prejedPrQje, Owner shall submit a proposed Phasing Plan to the City, for review and approval by the City's Planning Commission. The proposed Phasing Plan shall contain those items Owner deems necessary, but shall include the timing for first and second phase construction and interim site improvements (i.e., landscaping, internal circulation) between the phases. The approved Phasing Plan must be implemented within aix_(6) months after completion of the first phase (i.e., issuance of first Utility Release). 544?-2-Inclusionary Housing. Owner shall pay to the City the sum of Three Thousand Dollars ($3,000) for each Residential Unit contained in each phase ("Inclusionary Housing Fee"). The Inclusionary Housing Fee shall be paid with respect to each phase at such time as 95% of the residential units within such phase have received Utility Releases. The Inclusionary Housing Fee shall be used by the City for planning (including, but not limited to, preparation of one or more elements of its general plan or for zoning amendments), conceptual design, final design, bid preparation, award of bid, property appraisal, property acquisition, relocation, lost goodwill, and/or construction of new or substantially rehabilitated existing affordable housing in the City. 5_.1Q 5.164-In-Lieu Park Development Fee. The Owner shall pay an in-lieu park development fee in the amount of One Million Four Hundred Fifty Thousand Dollars ($1,450,000) with respect to the Project ("In-Lieu Park Development Fee") payable pro rata, which pro rata fraction shall be determined based on a fraction the numerator of which is the total number of residential units in a phase and the denominator of which is the total number of residential units in the Project. The pro rata In-Lieu Park OWIQL1 e2Gll11) ?.]- y5441 JZOS. -17- 75A-73 Development Fee shall be paid prior to issuance of the building permit for each phase. The City shall use said fees for new parkland, capital improvements at existing parks, and deferred maintenance at existing parks (up to a maximum of fifty percent of amount of the fee). If not used or appropriated this fee shall be returned to Developer, consistent with the provisions of (and subject to the exceptions contained within) the California Mitigation Fee Act, Government Code § 66000 et seq. Owner may propose in future an alternative in-lieu of the provisions of this section which fully satisfies this requirement, and if such proposal is consistent with City's park plans and standards, the City shall consider such proposal in good faith; provided, however, that if approved such proposal shall be the subject of an amendment to this Fi_ra Am-e (L_anA_FL"1a_Wd Development Agreement entered into pursuant to Government Code section 65868. a.14.441$served 5.11 S46-.&-Covenants, 9 -All initial sales of residential units by Owner shall include a covenant that the buyer may not re-sell the unit for a period on one (1) year. (c) (3)-No home oseupancyoccu?ation shall be permitted in a unit, except Erin accordance with ses#ionSection 41-192 et seq. of the Santa Ana Municipal Code. 6W)2067,619\42 3714554AMUV25 _18- 75A-74 (1)-No more than four residents peFshall be er itted for each unit, except that for three-bedroom units, there shall be no more than five residents per unit. (4)--Assignment--ofAllocatiol of reapoii ibility fo repair of perimeter walls and common areas, including landscaping, will be specified in the CC&R SR's in the event of damage. (5)-0i6dos e-and Felease C?l?'-? siaall provide aetise tQ prespestlve ewnersNotice of the urban character of the City and this area, including but not limited to W the permitted uses of the property and buildings in the immediate area of the development (e.g., Xerox Towers, State Compensation Insurance Fund, 1-5 and SR-55 whiGh-may-arise frem or Felate-ts-th"isslesedFattsrs. (?}-Terms-at?d-Cer}tant: (f? tM (-)-A term of the CC&R' s are4e45e4e-effect-€arR's of an initial period of ninety- nine years-and4hen-aetGmatisally-expanded4oF-6ucges6ive ore 4???ndred-yeaF-peri©ds} with automatic and repeating_ _one- hundred (1001 year extensions. unless terminated r i by the joint consent of Li) the City and U not less than seventy five percent of those condom iniunowners entitled to vote under the CC$R_a. U 0 Association-to-any inember who violates-these- . WAS 17-Resewe? 5-.48-Renewed: 5.12 6.4-9-Conditions of Discretionary Approvals. The requirements imposed as conditions of any discretionary approval received through the City's existing regulatory process shall be governed by the terms of GWI420fiMl9\4 2;70-5544H =0s_ -19- 75A-75 The imposil on of a sign ficartt._ fins rlcial_ ponally by the Home Owner's Association upon an membor who violates the those approvals, and in no event shall such conditions be affected by the termination, cancellation, rescission, revocation, or default or expiration of this First_._ AmenAod__ and Restated Development; Agreement (although such conditions must comply with the Applicable Rules). &20-Compliance With w M Governmental Requirements. Owner shall carry out the design, construction, and operation of the Project in substantial conformity with all applicable laws, ordinances, statutes, codes, rules, regulations, orders, and decrees of the United States, the State of California, the County of Orange, the City, or any other political subdivision in which the Property is located, and of any other political subdivision, agency, or instrumentality exercising jurisdiction over the City, the-Owner or the Property, including all applicable federal, state, and local occupation, safety and health laws, rules, regulations and standards, applicable state and labor standards, applicable prevailing wage requirements, the City zoning and development standards, City permits and approvals, building, plumbing, mechanical and electrical codes, as they apply to the Property and the Project, and all other provisions of the City and its Municipal Code (as they apply to the Property and the Project), and all applicable disabled and handicapped access requirements, including, without the--limitation, the Americans With Disability Act, 42 U.S.C. § 12101 et seq., Government Code§ 4450 et seq., and the Unruh Civil Rights Act, Civil Code§ 51 et seq. (collectively. "Governmental Requirements"). 6. ANNUAL REVIEW. 6.1 City and Owner Responsibilities. City shall, at least every twelve (12) months during the term of this Fist _Atnended._.,_and Restated Development Agreement, review the extent of good faith substantial compliance by Owner with the terms of this First Amend_Qd_an Restate! Development Agreement. Pursuant to Government Code Section 65865.1, as amended, Owner shall have the duty to demonstrate by substantial evidence its good faith compliance with the terms of thet_hi-s it _ Amended and Restated Development Agreement at the periodic review. 6.2 Review Letter. If Owner is found to be in compliance with thethis Fire Amended and Restated Developmen_ Agreement after annual review, City shall, upon written request by Owner, issue a Review Letter to Owner (the "Letter") stating that based upon information known or made known to the City Council, the City Planning Commission and/or the City Planning Director, thethis First Amended and ReslaAad Development Agreement 6M2067.6t2k42-.?7y4-55Aa832v?S, -20- 75A-76 remains in effect and Owner is not in default. Owner may record the Letter in the Official Records of the County of Orange. 6.3 Failure of--PeriodiGto Conduct Annual Review. City's failure to review at least annually Owner's compliance with the terms and conditions of this First Amended and RestatesDeylrltr Agreement shall not constitute or be asserted by any party__ar as a breach of thethis First A.me_ndod and Restak_od-D)_ey-o1o__Rment Agreement by Owner or City. 7. DEFAULT. 7.1 Events of Default. Property-Owner is in default under this First Amended and Rest ted Development Agreement upon the happening of one or more of the following events or conditions: aM (44-If a warranty, representation, or statement made or furnished by Property-Owner to the City is false or proves to have been false in any material respect when it was made; (2-}-A finding and determination made by the City Council following a periodic review under the procedure provided for in Government Code Section 65865. 165865.1 that upon the basis of substantial evidence the Property-Owner has not complied in good faith with one or more of the terms or conditions of this First Amended and Restated Development Agreement; M (3yFailure to comply with Governmental Requirements; (4)--Any other event, condition, act, or omission which materially interferes with the intent and objectives of this First Amended and Restated Development Agreement. 7.2 Procedure (I)--Upon the occurrence of default, City shall give Property-Owner (the "defaulting party") thirty (30) days written notice specifying the nature of the alleged default and, when appropriate, the manner in which said default may be satisfactorily cured. After proper notice and expiration of said thirty (30) day cure period without cure, City may terminate or amend this First Amended and Restated Deyeloarnen Agreement in accordance with the procedure adopted by the City as to all defaults that may be cured within said thirty (30) day cure period. For defaults that cannot be cured within said thirty (30) day cure period, City may terminate or amend this 6SW20676t9W?4P)15544MJ2v25 21- 75A-77 First Amended and Restated Der prn.M Agreement in accordance with the procedure adopted by the City should at any time Owner fail to diligently proceed in curing the default. Failure or delay in giving notice of default shall not constitute a waiver of any default, nor shall it change the time of default. JW (City does not waive any claim of defect in performance by Property-Owner, if on periodic review the City does not propose to modify or terminate this Rm -Am_n_d_ .e_d and Restated Development Agreement. W (3-yNon-performance shall not be excused because of a-failure of a third person. Ld) (4)-An express repudiation, refusal, or renunciation of the contract, if the same is in writing and signed by the Property-Owner, shall be sufficient to terminate this First Amended -and Resorted Development Agreement and a hearing on the matter shall not be required. (2) (-&)-Adoption of a law or other governmental activity making performance by the Owner unprofitable or more difficult or more expensive does not excuse the performance of the obligation by the Property-Owner. (&YAII other remedies at law or in equity which are not inconsistent with the provisions of this First Amended and Restated i evell i ent Agreement are available to the parties to pursue in the event there is a breach. 7.3 Damages upon Termination. In no event shall Property-Owner be entitled to any damages against City upon termination of this Fir Amended and ResUted DeyelopmWt Agreement. 7.4 Institution of Legal Action. In addition to any other rights or remedies, either party may institute legal action to cure, correct, or remedy any default or breach, to specifically enforce any covenants or Agreerneotsagreements set forth in thethis First Amended and Restated Development Agreement, or to enjoin any threatened or attempted violation of the#}?i First =Amended . and Re-Wte-d Development Agreement; or to obtain any remedies consistent with the purpose of thethl? First Amended and Restated DeyeLpment Agreement. Legal actions shall be instituted in the Superior Court of the County of Orange, 040 K7619VIMVI-55,44883205- 75A-78 State of California, or in the Federal District Court in the Central District of California, Southern Division. 8. MORTGAGEE PROTECTIONS 8.1 Right to Owner/Notice/Multiple Mortgagees. Owner shall have the absolute right to encumber Owner's right, title and interest in, to and under this Eirst Amended and Restated Dev In ment Agreement and the Property pursuant to one or more Mortgages. Because certain portions of the Project may be developed by one or more assignees, the Parties acknowledge and agree that different Mortgages may encumber the Property and that there may be a separate Mortgage in effect with respect to separate parcels within the Property. It is the intention of the Parties that the rights and protections granted in this Section 8 to each Mortgagee shall only apply to the parcels upon which such Mortgagee's Mortgage is a lien (each a "Mortgage Parcel"), and to the rights, privileges and obligations under this First Amen and Restated Q velopment Agreement relating to such Mortgage Parcel. 8.2 Notice of Breach to Mortgagee or Deed of Trust Holders; Right to Cure. With respect to any mortgage or deed of trust granted by Owner as provided herein, whenever the City delivers any Notice or demand to Owner with respect to any Breach by Owner under this First Amended and Restated Development Agreement and if Owner fails to cure the Breach within the time set forth herein, the City shall deliver to each Mortgagee a copy of such notice or demand accompanied by a writing to the affect that Owner has failed to cure a Breach ("Mortgagee Notice"); provided that Owner or Mortgagee has provided City with addresses for such purpose. Each such Mortgagee shall (insofar as the rights granted by the City are concerned) have the right, at its option, within thirty (30) days after the receipt of the Mortgagee Notice, to cure or remedy or commence to cure or remedy and thereafter to pursue with due diligence the cure or remedy of any such Breach and to add the cost thereof to the mortgage debt and the lien of its mortgage; provided, however if the Mortgagee is legally prevented from curing such Breach because of a bankruptcy by the Owner then the thirty (30) day period shall be tolled until such bankruptcy is confirmed or rejected. Nothing contained in this First Amended and Restated Development Agreement shall be deemed to permit or authorize such Mortgagee to take advantage of Owner's rights hereunder, or any portion thereof, without first having expressly assumed Owner's obligations to the City by written agreement reasonably satisfactory to the City. It is understood that a Mortgagee shall be deemed to have satisfied the thirty (30) day time limit set forth above for commencing to cure or remedy a Owner default which requires title and/or possession of the Site-Propvfty 6598206761Qw2371 55AA 13205. -23- 75A-79 (or portion thereof) if and to the extent any such Mortgagee has within such thirty (30) day period commenced proceedings to obtain title and/or possession and thereafter the Mortgagee diligently pursues such proceedings to completion and cures or remedies the Breach, provided that, in such event, all noncurable Defaults shall be waived. 8.3 Mortgagee Not Obligated Under thethis First-Amended and Restated E)eye Lament Agreement. Unless a Mortgagee expressly assumes Owner's Obligations to the City in accordance with Section 8.2-above, no Mortgagee shall in any way be obligated by the provisions of this First Amended and Restated De?eIQ Agreement, nor shall any covenant or any other provision in this First Amended and Restated Development Agreement be construed so-to obligate such Mortgagee. Nothing in this First Amended and-Restated Development Agreement shall be deemed to construe, permit or authorize any such Mortgagee to devote the Mortgage Parcel to any uses or to construct any improvements thereeaon the MQtgage-e-Parcel, other than those uses or improvements provided for or authorized by this First_ Amended and Restated Develo ment Agreement. 8.4 No Liability. No Mortgagee shall have any persona[-liability beyond its interest in the Mortgage Parcel acquired bot-through enforcement of its Mortgage for the performance or payment of any covenant, liability, warranty or obligation hereunder; -and-t heu n der this First Amende -an-d Restated Deyelopment_Agreement. City agrees that it shall look solely to the interests of such Mortgagee in such Mortgage Parcel for payment or discharge of any such covenant, liability, warranty or obligation. 8.5 No Amendment or Termination. This First Amended and Restated DeMQp-merM Agreement shall not, without the prior written consent of all Mortgagees holding Mortgages on eashVy- portion of the Property-to--be affected-thereby, be amended eo-as-to (a) terminate this First Amended and Restated Developme to Agreement prior to the expiration of the Term hereah-(except as expressly provided in -Section-8-4--above-with resped to-SUGh--P-repeFt#j or (b) change any provision of this First Amended and Restated Development Agreement which, by its terms{ is specifically for the benefit of Mortgagees--or--spesifieally-Confers-Fights--oR Mortgagees. No amendment to this First Amended and Restated Develoam?tr Agreement affecting the Property or any part thereof, made without the consent of any Mortgagee holding a Mortgage on such Property, or any part thereof, shall be binding upon such Mortgagee or its successors in interest should it become a party hereto. 0942067M\42374 { 5"4883205 -24- 75A-80 8.6 Condemnation or Insurance Proceeds. Nothing in this Eire Amended and Restated Develop en Agreement shall impair the rights of any Mortgagee, pursuant to its Mortgage, to receive insurance and/or condemnation proceeds which are otherwise payable to Owner granting such Mortgage. 8.7 Title by Foreclosure. Except as otherwise set forth herein, all of the provisions contained in this Fisst_A_mernded and Restated Development Agreement applicable to any of the Mortgage Parcel shall be binding on and for the benefit of any person who acquires title to the property, or any part thereof, by foreclosure under a Mortgage or transfer by deed in lieu. 8.8 Delegation to Mortgagee. Owner may delegate and/or assign irrevocably to any Mortgagee the non-exclusive authority to exercise any or all of Owner's obligations and/or rights hereunder with respect to the Mortgage Parcel, but no such delegation shall be binding upon the City unless and until either Owner or such Mortgagee shall give to the City a true and correct copy of a written instrument effecting such delegation. Such delegation of authority may be effected by the terms of the Mortgage itself, in which case service upon the other Party of an executed counterpart or conformed copy of said Mortgage, together with written notice specifying the provisions therein which delegates such authority to said Mortgagee, shall be sufficient to give such other Party notice of such delegation. No such delegation or assignment shall relieve the Owner of that Mortgage Parcel of any of its obligations hereunder with respect to such Mortgage Parcel. 8.9 No Obligation to Cure. Nothing herein contained shall require any Mortgagee to cure any default of Owner referred to above. 8.10 Separate Agreement. The City shall, upon request, execute, acknowledge and deliver to each Mortgagee requesting same, an agreement prepared at the sole cost and expense of Owner, in form satisfactory to such Mortgagee and the City, between the City and the Mortgagees, agreeing to all of the provisions hereof, provided Owner pays for all legal and other consulting costs incurred by City in reviewing same. 8.11 Estoppel Certificate. Within thirty (30) days after written request therefore, the City shall execute and deliver to any proposed Mortgagee in connection with its new Mortgage and to such Mortgagee thereafter from time to time an estoppel certificate in form and substance satisfactory to Owner and such Mortgagee ("Estoppel Certificate"). The City hereby agrees to reasonably cooperate in including in any such Estoppel Certificate from time to time any provision which may reasonably be 65902067619\4247W c54_4hBJ2v25 .25- 75A-81 requested by any proposed Mortgagee for the purpose of implementing the Mortgagee protection provisions contained in this Section 8 and allowing such Mortgagee reasonable means to protect or preserve the lien and security interest of its Mortgage hereunder, clarifying the non- applicability of the provisions of this First Amended -and_Restated Development Agreement to such Mortgagee as it relates to parcels other than the Mortgage Parcel, and/or such other terms and provisions as are customarily required by Mortgagees (taking into account the customary requirements of their participants, syndication partners or ratings agencies) in connection with any such financing; provided, however, that no such Estoppel Certificate shall in any way materially adversely affect any rights of the City or increase any obligations of City under this Fiat Amended and Restated Developmens Agreement. 8.12 Conflicts. If there is any conflict between this Section 8 and any other provision contained in this First._Atnen?st_?nd Restated Devel4gmerit Agreement, this Section 8 shall control. 9. MISCELLANEOUS PROVISIONS. 9.1 Rules of Construction. The singular includes the plural; the masculine gender includes the feminine; "shall" is mandatory; "may" is permissive. If there is more than one signer of this Fret Amended --i-d_R-estated 0-em me Agreement, their obligations are joint and several. 9.2 Entire Agreement, Waivers and Amendments. This First Amended and Restated De eel-Qpm.ent Agreement constitutes the entire understanding and Agreementagre n of the paaieWarties with respect to the matters set forth in this First Amended and Restated D_ eYe.L9ument Agreement. This First Amended and Restated Develo ment Agreement supersedes all negotiation or previous Agreementsagreements between the parties Pwt s respecting this ELC? Amended and Restated Development Agreement. All waivers of thean(- provision of this First Amended and Restated Development Agreement must be in writing and signed by the appropriate authorities of City or of Owner. All amendments to this First A 1gnded and R st eveloament Agreement must be in writing signed by the appropriate authorities of City and Owner, in a form suitable for recording in the Official Records of Orange County, California. Upon the completion of performance of this Firms.Amend_a?.n?.?e?tt??.-Developmen Agreement or its revocation or termination, an appropriate Certificate of Completion acknowledging such occurrence signed by the appropriate agents of Owner and City shall be recorded in the Official Records of Orange County, California. 6590 0G1619\421791 551 2v2S. 26- 75A-82 9.3 Project as a Private Undertaking. It is specifically understood by the parties that: (a) the Project is a private development for purposes of Government Code Section 65864 et seq.; (b) City has no interest in or responsibilities for or duty to third parties concerning any improvements to the Property or in connection with the Project; and (c) Owner shall have the full power and exclusive control of the Property subject to the obligations of Owner set forth in this First Amend and Restated_ Develo_?merlf Agreement. 9.4 Incorporation of Recitals. The Recitals set forth in Section 1 of this First Arnon.ded-artd R-e-stated-Development Agreement are part of this First Amended and Restated Developmomit Agreement. 9.5 Captions. The captions of this Fir-st__Amended__ and Restated Development Agreement are for convenience and reference only, and shall not define, explain, modify, construe, limit, amplify, or aid in the interpretation, construction, or meaning of any of the provisions of this First Amended and Restated Devel o nent Agreement. 9.6 Consent. Where the consent or approval of a paayl?" is required 0by or necessary under this First Amended and Restated Development Agreement, the consent or approval shall not be unreasonably withheld. 9.7 Covenant of Cooperation. The paoiesParties shall cooperate with; and deal with each other in good faith;-ands ! assist each other to the extent needed in the performance of the provisions of this First Amended and Restated Development Agreement. 9.8 Time of Essence. Time is of the essence for each provision of this First Amended and Restated Develo m n Agreement of which time is an element. 9.9 Conflicts of Law. In the event that state or federal laws or regulations enacted after this Firs Amended a.t_d Restad Development Agreement has been entered into or the action or inaction of any other affected governmental jurisdiction prevent or preclude compliance with one or more provisions of this EJ-ratA mended and Restated Develo meat Agreement or require changes in plans, maps, or permits approved by the City, the parties shall provide the other party with written notice of such state or federal restriction, provide a copy of such regulation or policy, and a statement of conflict with the provisions of this First._ Amended_ and_tated Develo ment Agreement. The parties i s shall, within thirty (30) days, meet and confer in good faith in a reasonable attempt to modify this _Fir3t 59A20161902.N944544 205_ -27- 75A-83 Amended and Restated _Develo ment_Agreement to comply with such federal or state law or regulation. Thereafter, regardless of whether the parties reach an Agreementa"r on the effect of such federal or state law or regulation upon thethis First Amended-_Rrl( Restated Development Agreement, the matter shall be scheduled for hearing before the Council. Public notice of such hearing shall be given pursuant to Government Code Section 65854.5. The City Council, at such hearing, shall determine the exact modification or suspension which shall be necessitated by such federal or state law or regulation pursuant to Government Code Section 65869.5. At the hearing Owner shall have the right to offer oral and written testimony. 9.10 Recording. The City Clerk shall cause a copy of this First Amended and Restated Development Agreement to be recorded with the Office of the County Recorder of Orange County, California, within ten (10) days following the effective date of this First Amend -d and Restated Development Agreement. IN WITNESS WHEREOF, this First Amended an.d-Re tated Development Agreement has been executed by the City of Santa Ana and by Wopeay-Owner. Dated this day of eg 20 3, ATTEST: PXTRICtA E. HEADY Clerk of the Council THE CITY OF SANTA ANA DArYII-N -REAM City Manager Approved as to Form: _-W-F-L TCt 1 _ ; ? (r W2DUL19\42370 ,51MJZQ5, -2g- 75A-84 Wgmturse-continued-h-om-prior-page) 4-801- 45TT-&TR€€T-RARTNF= S?G- a Delaware limited-liabililycompany- Ely- GRu 11 o1, 6LG a--Delawawlilnite(i liabilit"oml)atly, i"embef By: Gapilai-R86iii"eldings; 4nG-.r a4)eiawa Fa-6ofpofati9n it"ole-Member Name- Title: Ghief-tegai-9fkef BY; Nam Iwo; Title; 1r541?MV 14%42J79155148832Y25 30- 75A-85 EXHIBIT A Property Legal Description THAT PORTION OF LOT 15 OF THE MAYBURY TRACT, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 36, PAGE 65 OF MISCELLANEOUS MAPS, RECORDS OF LOS ANGELES COUNTY, CALIFORNIA, DESCRIBED AS FOLLOWS: PARCEL No. 1 AS SHOWN ON A MAP FILED IN BOOK 98, PAGE 30 OF PARCEL MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF ORANGE COUNTY, CALIFORNIA, AS AMENDED BY A CERTIFICATE OF CORRECTION RECORDED OCTOBER 20, 1977 IN BOOK 12424, PAGE 543 OF OFFICIAL RECORDS. EXCEPTING THEREFROM THAT PORTION OF PARCEL 1 AS SHOWN ON A MAP FILED IN BOOK 98, PAGE 30 OF PARCEL MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF ORANGE COUNTY, CALIFORNIA, SITUATED IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, DESCRIBED AS FOLLOWS: BEGINNING AT THE SOUTHWESTERLY ALONG THE SOUTHERLY LINE OF SAID FEET; THENCE NORTH 45°19'14" WEST AND CORNER OF SAID PARCEL I; THENCE PARCEL 1 NORTH 89°31'52" EAST 34.14 38.26 FEET TO A LINE PARALLEL WITH 7-.00-FEET EASTERLY FROM THE WESTERLY LINE OF SAID PARCEL 1; THENCE SOUTH 89°49'39" WEST 7.00 FEET TO SAID WESTERLY LINE; THENCE ALONG SAID WESTERLY LINE SOUTH 0 010'21" EAST 27.18 FEET TO THE POINT OF BEGINNING, AS GRANTED TO THE CITY OF SANTA ANA, IN DEED RECORDED SEPTEMBER 18, 1990 AS INSTRUMENT No. 90-493896, OF OFFICIAL RECORDS. Orange County Assessor's Parcel Number 400-081-08 tiQ?419Ft: S1 I?}?.viC 1',xhib1(A-1 7v-A=$6 EXHIBIT B Property Site Plan ? 20b2Sil114 4+3 BflJ2v2? Exhi i IL- - 8,? EXHIBIT C 1= he Public Art shall be designed, constructed, and installed bv_Qwner. I I capture or reinforce the unique character of the new pl m 4s I I 7 I I 10, Expenses not include-ljn. the Public Art Fee. a? Expenses to locate the artist(s) (e.g., airfare for artist interviews etc ) 11 470) 5448832v?5 VA I 11b 1t C-1 75A=88 No Public Art shall include advertising of any type ingludina but not limited to products. service, or businesses, b, 9. d.. -e, Lighting elements not integral to the illumination of the RubrIcArt. f. IL Dedication ceremonies including---s-cLtlpture unveilings or grand -Qpe1]ings. 067619\ Exhibit C-2 75A-89 EXHIBIT D Additional Offsite Mitigation Measures Improvement Location Pay fair share of all costs to acquire Fourth Street at Southbound SR-55 on- required right of way for and construct ramp (Tustin Avenue to SR-55) eastbound right turn lane In order to implement & satisfy mitigation measure MM 4.12 2, construct raised First Street and Cabrillo along the "pork- chop" island to Public Works project frontage Agency specifications Note: For offsite public improvements constructed by Owner (i.e., "pork-chop" island), it shall pay all workers employed in connection with the work not less than the prevailing rates of wages, as provided in the statutes applicable to public works contracts, including without limitation§§ 1770-1780 of the California Labor Code. 06'7619 344S8320 F X11 ibi( D- I 75A-90 • Y_ --ui /f/J -- 5 O O n r Z EL I H U Ikkkk Q F Z W F 0 Z N W ij Y ti e Eli ¢ ? s e t si'•R ez ? .P R0 j Y p ae Ff p.e, sad, f 9 ? ? q ? ? q 7 ?? aR 1n ? i 9• ?diyt yy 99E i IE 9 :9C. &s Ce a 3i.,N. 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Y, t s I ? ? ?' 1a' I r - I If \? ' t r 13! zo ?I? ?II?-1!?p?p tt@ t?ls;3 to , I E : t li? I? ?{ L r _ G t { ' 51 f t; I• i ? ,.. 4 , s s 13 p. III+IIt- i-?l - }? : it -, o 3!.a F? t!; O I i? r .Y t 2 t y 3,?. a 111 j` ?Iyy .(}r 1 .,I? r z i? 7p? ?? 3 I e Y! Ft ?"? ?ls I}; i°iti €? xe't 't'J ?if? !1 )t'ti fi s¢Il tit ?-I / PS e??__ '? s 1` lip -4 I } '? E} l?d ill Yi tl :I t.1 F,1 ? t t?t t., d9 a 2 rLYO)NCOMMUNITIES" VAIWALWN1011F8. COMMUNIIYCANRO)PMEN1 F'80"WYNIANAIANIFNI MEETING MINUTES Date & Time: Tuesday, May 28, 2013 at 6:0013M Location: Lestonnac Retreat Center 16791 E. Main Street, Tustin, CA 92780 Subject: Community Meeting for 1901 E. 1St Street (151 Street & Cabrillo) Lyon Team: Chris Coe-COE Architecture (Architect) Duane Border - Duane Border Design (Landscape Architect) Ashley Liddiard - Lyon Communities (Assistant Project Manager) Cynthia Eppeldauer - Lyon Communities (Vice President, Development) Jim Teegarden - Lyon Communities (Construction Manager) Peter Zak - Lyon Communities (Senior Vice President, Development) The Community Meeting began at 6:20PM with Chris Coe of COE Architecture International presenting a PowerPoint presentation outlining: • Site location o Corner of 1st Street and Cabrillo Park Drive, across from the Xerox tower. • implementation of the development forms and uses outlined in the MEMO Overlay Zone to create a vibrant neighborhood o Activate the ground floor. o Create streetscapes with more pedestrian orientation and connection. o Include retail space on the corner of 1St Street and Cabrillo Park Drive for neighborhood serving retail, such as a cafh/deli. • Project Description o Retain the use of the existing parking garage to save on cost and resources. o 3-story townhomes and 5-story residential flats will wrap the 4-level parking garage. o The recreation deck with the pool, spa, seating areas and clubhouse will be located above the parking garage. o Public open space, common, and private open spaces (patios and balconies) are incorporated into the project. EXHIBIT 10 75AELS33 o Public Open Space represents 15%of the property, meeting the requirement and equates to a 33,000 sf community park. Duane Border of Duane Border Design presented the landscape plans. Duane described the public open space as the jewel of the project. The public open space will have an urban feel and include vibrant landscape, seating walls and inviting spaces where the community can gather. The fire lanes are designed with trees lining along the alley way to promote walkability, creating a strong pedestrian environment. The main recreation center is programmed with more active entertainment spaces while the courtyard serves as a more passive outdoor setting. Peter Zak, Senior Vice President of Lyon Communities, discussed Lyon Communities' 50-year history of developing and managing its portfolio of 10,000 units. Lyon primarily builds and owns its projects for the long-term. Lyon also has a strong working relationship with the City of Santa Ana primarily due to the successful progress of Lyon Communities' high-end residential project, The Marke, currently under construction with 300 units at Main & MacArthur. The presentation was followed by questions: 1. Is the project for purchase or rental? a. The project will be entitled as condos and operated as rentals. 2. What will be the (rental) price per square foot? a. Lyon is unable to answer at this time. The price is determined by the market. 3. Will there be gated access? a. Yes, the garage will be gated. 4. Will this project be considered low, middle or high end? a. High end 5. Is there a website for the project? a. The project will be posted on the Lyon Communities website in the next month or so. 6. Is the site plan set in stone? a. We are open to suggestions. 7. How are we going to treat the chain link fence? a. As we move through the design process, fencing detail will be developed. 8. Will we replace the jacaranda trees along Golden Circle? a. Yes. 9. A tenant of The Georgetown Building is concerned with its balcony losing privacy to the residents of the townhomes. a. Chris Coe explained that the floors will most likely not align with their building's floor height, typically different between office and residential buildings. 10. A tenant of the Xerox Building expressed concern with the homeless. a. The project will include many levels of security including access control, video cameras and onsite staff. 11. What is the timeframe of the project? 75PKIN a. The leasing office and first units are anticipated to be open in about a year and a half. 12. What is the demo schedule? a. We will spend the next 6-7 months demoing the site. 13. Will there be pylons? a. No, buildings are slab on grade. The meeting adjourned at 7:20PM. Page 3 of 3 75A-95 Addendum 1901 East First Street Metro East Mixed Use Overlay Zone, First and Cabrillo Towers Project - Environmental Impact Report Lead Agency City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 Contact: Vince Fregoso, Principal Planner 714-667-2713 Project Proponent Lyon Communities, Inc. 4901 Birch Street Newport Beach, CA 92660 Cynthia Eppledauer, Vice President 949-838-1234 Environmental Consultant Phil Martin & Associates 3002 Dow Avenue, Suite 122 Tustin, CA 92780 Phil Martin - President 949-454-1800 August 14, 2013 EXHIBIT 11 75A-96 TABLE of CONTENTS Section Pi¢e I. Introduction and Summary .............................................................................................................1 II. Purpose of an Addendum ................................................................................................................1 III. Proposed Project and Environmental Detennination ................................................................5 W. Evaluation of Environmental Impacts ..........................................................................................5 V. Summary of Findings .......................................................................................................................9 Appendices Appendix A - Addendum Checklist Appendix B-Air Quality/GHG Report Appendix C -Traffic Report 1901 Enst First Street -Addendum August 14, 2013 Page i 75A-97 I. Introduction and Summary This Addendum is to the Final Environmental Impact Report (EIR) that was certified on nfarch 19, 2007 (Resolution 2007-26, Environmental Impact Report (State Clearinghouse #2006031041) and Mitigation Monitoring Plan ("NIMP")) for The Metro East Mixed Use Overlay Zone and First and Cabrillo Towers project (Project) and analyzes the potential environmental effects of a less intense development for the same site between the approved Project and the proposed 1901 E. First Street project (Proposed Project). The proposed 1901 East First Street project proposes the development of 343,675 square feet of residential use (254 units) and 2,424 square feet of retail space on a 5.1 acre site at the northeast corner of First Street and Cabrillo Park Drive. An existing 4 level parking structure with 664 existing parking spaces will be incorporated into the project. The project proposes to construct two five-story low-rise buildings totaling 240 units on the west side of the existing 4 level parking structure. Fourteen three-story townlronies will be constructed along die south and east sides of die parking structure. A 5,000 square foot club house and recreation deck with a swimming pool will be constructed over die southern half of the existing parking structure that will eflnrinate approximately 137 of the existing spaces in the parking structure. Other recreational amenities that are proposed for the recreation deck on the parking structure include a spa, fitness center, billiards and game room, outdoor fireplaces, barbecues, etc. Once completed, the project will provide a total of 555 parking spaces, including 527 spaces in the existing parking structure and 28 surface parking spaces throughout the site. The proposed site plan is shown in Figure 1. Project Background The City approved the First and Cabrillo Towers project along with the Metro East Overlay Zone on Nfarch 19, 2007. The Metro East Overlay "Lone EIR includes an area over 200 acres and includes the 5.1 acre First and Cabrillo Towers project site. The First and Cabrillo Towers project is approved for the development of up to 435,000 square feet of residential areas in a 22-story and 23- story building, approximately 8,900 square feet of retail/commercial areas, and approximately 774 parking spaces, 661 of which are located in an existing garage. The Proposed Project, as described in this Addendum, involves the proposed development of a less intense project on the same site as the approved First and the Cabrillo Towers project. The Proposed Project does not result in any new potentially significant environmental impacts or cause a substantial increase in the severity of the impacts that were identified in the Final FIR that was certified March 19, 2007 and no substantial circumstances under which the Project is undertaken have occurred. Thus, this Addendum to the certified Final FIR on ALarch 19, 2007 is appropriate pursuant to the provisions of the California Environmental Quality Act, Public Resources Code section 21000, el req. (CLQA), and 14 Cal. Code Regulations, section 15000, el Seel. (CEQA Guidelines). II. 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 1901 East First Street - Addendum August 14, 2013 Page I 75A-98 w w cr LL Q W O rn li u a 0 N e r a • IU!U11T':M11Y iE L11 IILtlI0.V LL5]Y031V K G]1H P:QPo N r. _.. _-. -. -._ .. __. _. _. _. _.._.._ 34tl3 3813 41404 ° :ue once, r V oFnIN» f` ..,.I 1 ?y g s o? V5 /?f,?ro-r \ 9 Y, - Jx e e i s [4j --Ilj a ;'. 13381 ISM • • leni]•vefilrniw ? ? mrrlnv'leJVeuu , n oma a wu C ma LL Ti c g ti pn L w e W O V O Z h 75A-99 Proposed Project, the City of Santa Ana (City) is the lead agency and prepared and adopted the Final EIR for the Project on March 19, 2007. As the Proposed Project is a reduced development compared to the Project (96,687 square feet of residential and 6,476 square feet of retail less), the City must review the Proposed Project and the approved Project in accordance with Sections 15162 and 15164 of the CEQA Guidelines. CEQA Guidelines §15162 (a) When an EIR has been ccrtified or a negative declaration adopted for a project, no subsequent EIR shall be prepared for that project unless the lead agency determines, on the basis of substantial evidence in the light of the whole record, one or more of the following: (1) Substantial changes are proposed in the project which will require major revisions of the previous EIR or negative declaration due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; (2) Substantial changes occur with respect to the circumstances under which the project is being undertaken which will require major revisions of the previous EIR or negative declaration due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; (3) 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 EIR or negative declaration was certified as complete or the negative declaration was adopted shows any of the following: (A) The project will have one or more significant effects not discussed in the previous EIR or negative declaration; (B) Significant effects previously examined will be substantially more severe than shown in the previous EIR; (C) Mitigation measures or alternatives previously found not to be feasible would in fact be feasible and would substantially reduce one or more significant effects, but the project proponents decline to adopt the mitigation measure or alternative; or (D) Mitigation measures or alternatives which are considerably different from those analyzed in the EIR would substantially reduce one or more significant effects on the environment, but the project proponents decline to adopt the mitigation measures or alternatives (Pub. Res. Code §21166; CEQA Guidelines §15162. Given that none of the conditions requiring preparation of a Subsequent EIR (CEQA Guidelines 515162) are present and only special study upgrades to the previous EIR are necessary to reflect the development proposed for the site, an Addendum to the previously adopted Final Environmental Impact Report is proper and complies with CEQA Guidelines §15164. CEQA Guidelines §15164(x) states, "The lead agency or responsible agency shall prepare an addendum to a previously certified EIR if some changes or additions are necessary but none of the conditions described in Section 15162 calling for preparation of a subsequent EIR have occurred." In the case of the proposed project, none of the conditions in Section 15162 calling for the preparation of a subsequent FIR have occurred. Therefore, the City exercises the right to prepare all Addendum in this case and not a subsequent EIR. 1901 East First Street-Addendum Augrust 14, 2013 Page 3 75A-100 The City finds that none of the conditions described in CEQA Guidelines 515162 requires the preparation of a Subsequent Environmental Impact Report. Specifically, the City has determined the following: No Substantial Cbeinges in Chrumstances. There are no substantial changes with respect to the existing conditions or circumstances under which the site was evaluated ill The Metro East Mixed Use Overlay Zone and Cabrillo Towers FIR. The site has remained in its existing condition approximately seven years after the preparation of The Metro East Mixed Use Overlay Zone and First and Cabrillo Towers FIR. There have not been any substantial changes in the existing environmental setting on the site since the project was approved in 2007. No New 1gfonuation of Substantial Irnpottanre. There is no 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 Environmental Impact Report was adopted that shows the project will have one or more significant effects or substantially more severe effects not discussed in the Environmental Impact Report. Except for the new site specific environmental information regarding the proposed development of 254 residential units and 2,424 square feet of retail space on 5.1 acres, the project and its associated impacts all remain the same as contemplated and evaluated in the Environmental Impact Report. There are no mitigation treasures that were considerably different from those analyzed in The Metro East Mixed Use Overlay Zone and First and Cabrillo Towers project FIR. Consequently, there is no new information indicating that new significant or substantially more severe environmental effects would result from the development of the project than identified in The Metro East Mixed Use Overlay Zone and First and Cabrillo Towers EIR. CEQA Guidelines §15164 Addendum to an EIR or Negative Declaration In accordance with CEQA Guidelines §15164, the City, as the lead agency, has prepared this Addendum to the previously adopted Final Environmental Impact Report. The Addendum Checklist is included in Appendix A. As described above, the City has determined the information provided herein will result in none of the conditions described in CEQA Guidelines §15162 requiring die preparation of a Subsequent Environmental Impact Report. Given that none of the conditions requiring preparation of a Subsequent FIR (CEQA Guidelines §15162) are present and only special study upgrades to the previous FIR are necessary to reflect the development proposed for the site, an Addendum to the previously adopted Final Environmental Impact Report is proper and complies with CEQA Guidelines §15164. CLQA Guidelines §15164(x) states, "The lead agency or responsible agency shall prepare all addendum to a previously certified EIR if some changes or additions are necessary, but none of the conditions described in Section 15162 calling for preparation of a subsequent EIR have occurred." In the case of the proposed project, none of the conditions in Section 15162 calling for the preparation of a subsequent EIR hive occurred. Therefore, the City exercises the riglht to prepare an Addendum in this case and not a subsequent FIR. CEQA requires that the decision making body consider the Addendum along and in conjunction with The Metro East Ivftxed Use Overlay Zone and First and Cabrillo Towers Final EIR prior to [Waking a decision on whether or not to approve the Proposed Project. A brief explanation of the decision not to prepare a Subsequent Environmental Impact Report pursuant to Section 15162 1901 East First Sneet - Addendum August 14, 2019 Page 4 75A-101 should be included in an Addendum or elsewhere in the record and must be supported by substantial evidence. In accordance with CEQA Guidelines §15164 the City of Santa Ana (the "City's has prepared this Addendum in response to the request by the project applicant (Lyon Communities) to allow the development of a total of 254 homes, including 2,10 homes in two 5-story buildings west of an existing 4 level parking structure and 14, three-story townhomes along the south and east project boundaries, 2,424 square feet of retail space and recreational facilities approximately 5.1 acres at the northeast corner of First Street and Cabrillo Park Drive. The proposed amenities for the recreation deck on the top level of the parking structure includes a 5,000 square foot club house, swimming pool, spa, Fitness center, billiards and game room, outdoor fireplaces, barbeques, etc. Once completed, the project will provide a total of 555 parking spaces, including 527 spaces in the existing 4level parking structure and 28 surface parking spaces throughout the site. CEQA authorizes a lead or responsible agency to prepare an Addendum to a previously adopted EIR if some changes or additions are necessary, but none of the conditions described in CEQA Guidelines §15162 requiring the preparation of a Subsequent FIR. III. Proposed Project and Environmental Documentation The proposed 1901 East First Street project proposes the development of 343,675 square feet of residential use (254 units) and 2,424 square feet of retail space on the same 5.1 acre site. The Proposed Project proposes 96,687 less square feet of residential and 6,476 square feet less of retail development than allowed by the approved First and Cabrillo Towers Project. 'llte Proposed Project is consistent with and less dense than the square footage of residential and retail/commercial space allowed by the previously approved Project. All of the environmental impacts of the Proposed Project 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 the same mitigation measures that were recommended for incorporation into the approved Project. Impacts to Aesthetics, Agricultural, Biological, Cultural Resources, Geology, Hazards/Hazardous Materials, Hydrology, Land Use, Mineral Resources, Population/Housing, Public Services, Utilities and Recreation will have no impacts. Air Quality, Noise and Traffic impacts will be positive because they will be less impact than the Project. IV. Evaluation of Environmental Impacts 1'he scope of this Addendum is to provide information in support of the development of 254 homes, including 240 homes in two 5-story buildings west of the existing 4 level parking structure and 14, three-story townhomes along the south and east project boundaries, 2,424 square feet of retail space and recreational facilities on approximately 5.1 acres at the northeast corner of First Street and Cabrillo Park Drive. The proposed amenities for the recreation deck on the top level of the parking structure includes a 5,000 square foot club house, swimming pool, spa, fitness center, billiards and game room, outdoor fireplaces, barbeques, etc. Once completed, the project will provide a total of 555 parking spaces, including 527 spaces in the existing parking structure and 28 surface parking spaces throughout the site. Together, The Metro East Mixed Use Overlay Zone and First and Cabrillo Towers project EIR and this Addendum serve as the environmental review of the Proposed Project, as required pursuant to the provisions of CEQA and the CEQA Guidelines. The 1901 East First Street - Addendum August 14, 2013 Page 5 75A-102 Proposed Project's impacts were largely covered in The Metro East Mixed Use Overlay Zone and First and Cabrillo Towers FIR. This analysis addresses any changes to the impacts that were identified in The Metro East Mixed Use Overlay Zone and First and Cabrillo Towers FIR that could potentially occur with the less intense Proposed Project. Aestbelirs The Proposed Project is less dense and will result in less development on the 5.1 acre site than the Approved Project. The approved First and Cabrillo Towers project allows the construction of 627,547 square feet of residential use within two towers (22 story "North Tower" and a 23 story "South lower" with 374 residential units), whereas the Project proposes 240 residential units in a five-story building and a three-story building and 14 ground level townhomcs. The Proposed Project would improve the fine of sight across the site from surrounding areas as the height of the proposed five-story and three-story buildings are lower in height than the 23 and 22 story buildings that are approved for the site. The Proposed Project would not negatively impact the aesthetics of the site because it proposes less density than the approved Project. Furthermore, the Proposed Project would generate less light and glare than the approved Project since there will be less development. The Proposed Project would have no aesthetic impacts compared to the approved Project. Agindlurnl Resources Like the approved Project, the Proposed Project will not have an}' agricultural resource impacts because there is no agricultural activity on or adjacent to the site. The Proposed Project will have no impact to agricultural resources consistent with the analysis for the Project. The Proposed Project is consistent with the analysis in the March 19, 2007 EI.R. Air,Qunli/y The Proposed Project will reduce operational air emissions compared to the approved Project because there will be less development. As a result, the Proposed Project will have a positive air quality impact because fewer air emissions will be generated throughout the life of the project. The short-term construction emissions will also be less because there is less development and the mile to construct the project will be less. The Local Significant Thresholds (LST) generated during project construction will not exceed thresholds and therefore, the LST emissions will not be significant. The Proposed Project will not exceed any South Coast Air Quality Management District (SCAQMD) thresholds and will have a positive impact on air quality compared to the approved Project because fewer air emissions will be generated. The main source of potential odors by the Proposed Project, like the approved Project, will be trash receptacles within the project. The incorporation of Mitigation Measure MM-OZ 4.2-1 of the Metro East Mixed Use Overlay Zone, First and Cabrillo Towers Volume II EIR will reduce odor impacts by the Proposed Project to less than significant. The Proposed Project will have less than significant air quality impacts. 1901 East First Street- Addendum August Id, 2013 Page 6 75A-103 13io%gieul Resources The Proposed Project will not result in any new or changed impacts to biological resources compared to the approved Project. The project site is developed and there are no native biological resources on the property. The vegetation that exists on the site includes introduced non-native urban plant species and will not be impacted by its removal to construct the Proposed Project. As with the approved Project, the Proposed Project will not have any biological resource impacts. The Proposed Project is consistent with the analysis in the March 19, 2007 EIR. Collin-al Resolares The Proposed Project will not result in any new or changed impacts to cultural or paleontological resources compared to the approved Project. The project site is developed and there are no known cultural or paleontological resources on the property. Mitigation measures associated with the approved Project are in place to protect any cultural or paleontological resources that may be uncovered during project construction. The Proposed Project will not hive any cultural resource impacts. The Proposed Project is consistent with the analysis in the March 19, 2007 EIR. Geology and Soils The Proposed Project would not result in any new or increased geology or sod impacts compared to the approved Project. Like the approved Project, the Proposed Project would be exposed to potential liquefaction. And Eke the Project, the incorporation of the same applicable mitigation measures to mitigate potential seismic event, liquefaction and soil erosion impacts will be applicable to the Proposed Project. The Proposed Project will not have any new or added geological and soils impacts compared to the approved Project. The Proposed Project is consistent with the analysis and mitigation measures in the March 19, 2007 EIR. Greenbouse Gas Emissims Because a greenhouse gas emission analysis was not required by CEQA at the time of the approval of the Project, a greenhouse gas analysis was conducted for the Proposed Project. A copy of the greenhouse gas analysis is attached as Appendix B. Based on the greenhouse gas analysis, the Proposed Project will not have any significant greenhouse gas impacts and no mitigation measures are recommended. Hazards and Ha?ardwu Dlaletials The Proposed Project will not result in any significant hazards or hazardous material impacts. The potential hazards and hazardous materials of the approved Project will be the same for the Proposed Project. The Proposed Project will not result in any new or increased hazards compared to those identified with the Project. The Proposed Project is consistent with the analysis and mitigation measures in the March 19, 2007 EIR. 1901 East Post Street - Addendum Aubnist 14, 2013 Page 7 75A-104 HjdWogy and tl!aler flitalib, The Proposed Project will not have any significant hydrology or water quality i npacts. The amount and the quality of the surface water generated by the Proposed Project will be the same as the approved Project. The Proposed Project is consistent xvith the analysis in the March 19, 2007 EIR. Land Use and Planning The Proposed Project proposes 120 less residential units than the approved Project. As a result, there will be less density and the building heights will be less than the approved Project. The Proposed Project, like the approved Project, meets all applicable design and development standards for development in the Active Urban District the project. The Proposed Project is consistent with the analysis in the March 17, 2007 EIR and there will be no land use impacts. Minewl Resoares The Proposed Project will not have any mineral impacts. Based on the approved Project EIR there are no mineral resources on or adjacent to the project site. Therefore, the Proposed Project is consistent with the analysis and mitigation measures in the Ivlarch 19, 2007 EIR. Toile The Proposed Project will not result in any new or significant noise impacts compared to the approved Project. The project proposes 120 fewer residential units than the approved Project and as a result the time of construction will be less. Because the Proposed Project will have less development there will less traffic and less traffic noise. T1te Proposed Project will have a positive noise impact compared to the approved Project because there will be less noise generated during project construction and the life of the project. Population and Houshig The Proposed Project will have 120 fewer residential units than the approved Project. As a result, the project will generate fewer people than the approved Project. Like the Project, the Proposed Project will not eliminate any existing housing and require the construction of replacement housing. With fewer project residents the Proposed Project will have a less growth inducement. The Proposed Project will not have any population or housing impacts. Public Senviar The Proposed Project will have a positive impact to public services compared to the Project because the Proposed Project will have 120 fewer residential units. With fewer residents the demand for public services will be less with a positive impact on the public services that serve the project. The Proposed Project will have a positive impact to public services compared to the Project. 1901 Fast First Street - Addendum August 14, 2013 Page 8 75A-105 Remo/ion Like the approved Project the residents of the Proposed Project will most likely use the recreational facilities that will be provided by the project. The Proposed Project residents, like the residents of the approved Project, are not anticipated to use existing city recreational facilities and significantly impact existing city recreational facilities. The Proposed Project will be required to pay parkland fees that will be used to provide additional park and recreational facilities in Santa Ana. The Proposed Project is consistent with the analysis in the March 19, 2007 EIR and will not have any recreational impacts. Reltirbol-lalionl Traffic The Proposed Project will generate approximately 894 fewer daily trips, including 67 fewer AM peak hour trips and 77 fewer PM peak hour trips than the approved Project. The proposed 2,424 square feet of retail space will mainly serve the project residents and is not anticipated to generate additional trips. The Proposed Project would have a positive traffic impact because there will be a net traffic trip reduction compared to the approved Project. UNNies and .Serpie Systems The Proposed Project will have a positive hnpact to the utilities and service systems that serve the project because there will be 120 fewer residential units. As a result, there will be less consumption of water and less generation of wastewater and solid waste. The Proposed Project will have a positive impact on utilities and service systems compared to the approved Project. V. Summary of Findings Based on the environmental analysis, the Proposed Project will not result in any new or significant impacts that were not previously analyzed and adequately addressed in the Metro East Mixed Use Overlay Zone and First and Cabrillo Towers FIR and adopted March 19, 2007. The Proposed Project will provide 120 less residential units and 6,476 square feet of retail space less than the approved Project. As demonstrated by this Addendum: The Proposed Project does not constitute substantial changes that will require major revisions of the previous FIR due to the involvement of new significant environmental effects or a substantial increase in the severity of previously significant effects; The Proposed Project does not constitute substantial changes with respect to the circumstances under which the Proposed Project is undertaken which will require major revisions of the previous EIR due to the involvement of new significant environmental effects or a substantial increase in the severity of previous identified significant effects; and • The Proposed Project does not constitute new information of substantial importance that show that the Proposed Project will have one of more significant effects not discussed in the 1901 Fast First Street-Addendum August 14, 2013 Page 9 75A-106 previous EIR or that the previously examined significant effects Nvill be substantially more severe than shown in the previous EIR. Therefore, pursuant to CEQA Guidelines Section 15162 and 15164, the March 19, 2007 Final EIR and this Addendum are appropriate to analyze the potential environmental effects of the Proposed Project. Considered together, the March 19, 2007 Final EIR and this Addendum satisfy the City's obligation under CEQA to evaluate and address the potential significant environmental ilupacts of the Proposed Project. The facts cited above and provided in this Addendum allow the City to use an Addendum in accordance with Section 15164(x) of the State of California CEQA Guidelines for this project. The Santa Ana City Council serves as the CEQA Lead Agency for this project. It is recommended that the Addendum be adopted as the appropriate CEQA environmental determination for the development of 254 homes and 2,424 square feet of retail space on 5.1 acres. 1901 East First Street-Addendum August 14, 2013 Page 10 75A-107 APPENDIX A Addendum Checklist 75A-108 Environmental Checklist CEQA Compliance PLANNING DIVISION Project Title: 1901 East First Street it. Project Numbers: III, Lead Agency Name and Address: City of Santa Ana. 20 Civic Center Plaza Santa Ana CA 92702 IV. Contact and Phone Number: Cynthia Eppeldauer 949-838-1234 V. Project Location: 1901 East First Street - northeast corner of First Street and Cabrillo Park Drive VI, Project Sponsor's Name and Address: Lyon Communities, 4901 Birch Street. Newport Beach CA VI. General Plan Designation: DC 3.0 - District Center VII. Zoning: C5 Metro East Mixed Use Overlay Zone 1 VIII. Description of Project: The project proposes the development of 254 muiti-family units and 2,424 square feet of retail space on a 5.1 acre site. An existing 4 level parking structure with 664 existing parking spaces will be incorporated into the project. The project proposes to construct a five-story low-rise building with 240 units against the west side of the existing parking structure. A three-story building with 14 townhomes will be constructed along the south and east sides of the parking structure. A 5,000 square foot club house and recreation deck with a swimming pool will be constructed over the southern half of the existing parking structure and eliminate approximately 137 of the existing spaces in the parking structure. Once completed, the project will provide a total of 555 parking spaces, including 527 spaces in the existing parking structure and 28 surface parking spaces throughout the site. The proposed site plan is shown in Figure 1. IX. Surrounding Land Uses and Setting: North: Multi-tenant office buildings including Kaiser Permanente medical offices, a 2-story parking structure, vacant land, multi-family housing, Cabrillo Park and single-family residences. South: Office, a private elementary school, a soccer field, and Interstate 5. West: Cabrillo Park Drive and west of Cabrillo Park Drive is the 15-story Xerox Centre office building, Interstate 5, and further west is vacant land and commercial development. East: Low rise office building adjacent to and east of the site and further east are commercial uses, including restaurants. X. Other agencies whose approval is required. The only project approvals are a development agreement amendment, vesting tentative tract map and a site plan by the City of Santa Ana. Page 1 75A-109 "' 1,, LY) lIl l/'1 W rn r- 5 N yC 4 ¦ Iq+.p1?!WIJ Yln )J11 IJbIt6.M 9 Y x RA1 15 "A8 f5 M19 tY 55 •? m Y ?? ;;?m ll\ \ 1? [i ... r nJL ? . I F i r n of 9j c cl 1 Frl -, ,; 2} 133NLS 1SHIi ?•?• ' tanltvciflvn MU n'NN H1tlON J.? ?. R I r ?a_ j -LL ' ' WMIt',.vlaYYA)?l P. MN t ? L _I x ( 75A-110 c ma LL 'i; u C r D 4 J a z® n Environmental Checklist CEQA Compliance Factors Potentially Affected: The environmental factors checked below would be potentially affected by that project, involving at least one impact that is a "Potentially Significant Impact" as indicated by the checklist on the following pages. ? Aesthetics ? Agricultural Resources ? Air Quality ? Biological Resources ? Cultural Resources ? Geology and Soils ? Hazards and Hazardous Materials ? Hydrology and Water Quality ? Land Use and Planning ? Mineral Resources ? Noise ? Population and Housing ? Public Services ? Recreation ? Transportation and Traffic ? Utilities and Service Systems ? Mandatory Findings of Significance Environmental Determination On the basis of this initial evaluation, I find that: A. ? The proposed project COULD NOT have a significant effect on the environment and a NEGATIVE DECLARATION will be prepared. B. ? Although the proposed project could have a significant effect on the environment, there will not be a significant effect in this case because revisions to the project have been made by or agreed to by the applicant. A MITIGATED NEGATIVE DECLARATION will be prepared. C. ? The proposed project MAY have a significant effect on the environment and an ENVIRONMENTAL IMPACT REPORT is required. D, ? Although the proposed project could have a significant effect on the environment, because all potentially significant effects (a) have been analyzed adequately in an earlier EIR (EIR No. - ) pursuant to applicable standards and (b) have been avoided or mitigated pursuant to that earlier EIR, including revisions or mitigation measures that are imposed upon the project, nothing further is required. E. ? Pursuant to Section 15162 of the CEQA Guidelines, an EIR (EIR No. - ) has been prepared earlier; however, subsequent proposed changes in the project and/or new information of substantial importance will cause one or more signifiicanteffects nopreviouslydiscussed, A SUBSEQUENT EIR shall be prepared. F. ? Pursuant to Section 15162 of the CEQA Guidelines, an EIR (EIR No. - ) has been prepared earlier, however, subsequent proposed changes in the project and/or new information of substantial importance will cause one or more significant effects no previously discussed. A SUBSEQUENT EIR shall be prepare \ N1\\tt? Signature Aucust8 2013 Dale Phil Martin Printed Name Page 3 75A-111 Environmental Checklist CEQA Compliance Issues & Supporting Information Sources Less Than Potentially Significantwith Less Than Significant Mitigation Significant Impact Incorporated Impact No Impact 1. Aesthetics - Would the project: A. Have a substantial adverse effect on a scenic vista? B. Damage scenic resources, including but not limited to, trees, rock outpourings and historic buildings within a state highway? C. Substantially degrade the existing visual character or quality of the site and its surroundings? D. Create a new source of substantial light or glare which would adversely affect day or nighttime views in the area? ? ? ? ? ? ? ? ? ? ? ? ? IL Agricultural 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 prepared by the California Department of Conservation as an optional model to use In assessing Impacts on agricultural farmland. Would the project: A. Convert Prime Farmland, Unique Farmland or Farmland of Statewide Importance (Farmland) to non- agricultural use? (The Farmland Mapping and ? ? ? Monitoring Program in the California Resources Agency, Department of Conservation maintains detailed maps of these and other farmland categories) B. Conflict with existing zoning for agricultural use or a ? ? ? Williamson Contract? C. Involve other changes in the existing environment which, due to their location or nature, could individually ? ? ? or cumulatively result in loss of Farmland, to non- agricultural use? III. Air Quality - Where available, the significant criteria established by the applicable air quality management or pollution control district may be relied upon to make the following determinations. Would the project: A. Conflict with or obstruct implementation of applicable Air Quality Attainment Plan or Congestion Management ? ? ? Plan? B. Violate any stationary source air quality standard or ? ? ? Page 4 75A-112 Environmental Checklist CEQA Compliance Less Than Issues & Supporting Information Sources Potentially Significant wilh Less Than Significant Mitigation Significant Impact Incorporated Impact No Impact contribute to an existing or proposed 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 emission which exceeds quantitative thresholds for ozone precursors). D. Expose sensitive receptors to substantial pollutant ? ? ? concentrations? E. Create objectionable odors affecting a substantial number ? ? ? of people? IV. Biological Resources -Would the project: A. Have a substantial adverse impact, 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 Services? S. Have a substantial adverse impact on any riparian habitat or 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. Adversely impact federally protected wetlands (including, but not limited to, marsh, vernal pool, coastal, etc.) either individually or in combination with ? ? ? the known or probable impacts of other activities through direct removal, filling hydrological interruption, or other means? D. Conflict with any local policies or ordinances protecting biological resources, such as tree ? ? ? preservation policy or ordinance? E. Implementation of the proposed project would not result in a potential reduction in nesting opportunities for ? ? ? resident and migratory avian species of special concern? Page 5 75A-113 Environmental Checklist CEQA Compliance Less Than Issues & Supporting Information Sources Potentially Significant with Less Than Significant Mitigation Significant Impact Incorporated Impact No Impact V. Cultural Resources -Would the project: A. Cause a substantial adverse change in the significance of a historical resource as defined in Section 15064.5? B. Cause a substantial adverse change in the significance of a unique archaeological resource pursuant to define Seclion 15064.5? C. Directly or indirectly disturb or destroy a unique paleontological resource or site? D. Disturb any human remains, including those interred outside of formal cemeteries? VI. 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: 1. Rupture of a known earthquake fault, as delineated on the most recent Alquisl-Priolo Earthquake Fault Zoning map issued by the Slate Geologist for the area or based on other substantial evidence of a known fault? 2. Strong seismic ground shaking? 3. Seismic-related ground failure, including liquefaction? 4. Landslides? B. Would the project result in substantial soil erosion or the loss of topsoil? C. Would the project result in the loss of a unique geologic feature? D. Is the project located on strata 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? E. Where sewers are not available for the disposal of Page 6 ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? 75A-114 r?'t Environmental Checklist CEQA Compliance Less Than Issues & Supporting Information Sources Potentially Significant with Less Than Significant Mitigation Significant Impact Incorporated Impact No Impact wastewater, is the soil capable of supporting the use of septic tanks or alternative wastewater disposal systems? VII. Hazardous 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. Emit hazardous emissions or handle hazardous or acutely hazardous materials, substance or waste ? ? ? within one-quarter mile of an existing or proposed school? C. Be located on a site which Is located on a list of hazardous materials sites compiled pursuant to Government Code Section 659662.5 and, as a result, ? ? ? would it create a significant hazard to the public or the environment? D. For a project located within an airport land use plan or where such a plan has not been adopted, within two miles where 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? E. 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? F. Would the project expose people or structures to a significant loss, injury, or death involving wildland fires, including where wildlands are adjacent to urbanized ? ? ? areas or where residences are intermixed with wildlands? G. Would the project impair implementation of or physically interfere with an adopted emergency response plan or ? ? ? emergency evacuation plan? VIII. Hydrology and Water Quality- Would the project: A. Violate Regional Water Quality Control Board water ? ? ? quality standards or waste discharge requirements? Page 7 75A-115 Environmental Checklist CEQA Compliance Less Than Issues & Supporting Information Sources Potentially Significant with Less Than Significant Mitigation Significant Impact Incorporated Impact No Impact B. 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 (i.e., the production ? ? ? 19 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 stream or river, in a manner, which would result in substantial erosion or siltation on or off-site? D. Substantially alter the existing drainage pattern of the site or area, including through the alteration of the course of stream or river, or substantially increase the ? ? ? rate or amount of surface runoff in a manner, 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 run-off? F. Otherwise substantially degrade water quality? ? ? ? G. Place housing within a 100-year floodplain, as mapped on a federal Flood Hazard Boundary or Flood ? ? ? Insurance Rate Map or other flood hazard delineation map? H. Place within a 100-year floodplain structures which ? ? ? would impede or redirect flood flows? 1. Expose people or structures to a significant risk of loss, injury or death involving flooding, including flooding as ? ? ? a result of failure of a levee or dam? J. Inundation by seiche, tsunami, or mudflow? ? ? ? IX. 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 Page 8 75A-116 Environmental Checklist CEQA Compliance Less Than Issues & Supporting Information Sources Potentially Significant vdth Less Than Significant Mitigation Significant Impact Incorporated Impact No Impact 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? X. Mineral Resources -Wouldtheproject: A. 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? XI. Noise-Would the project result in: A. 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? 6. Exposure of persons to or generation of excessive ? ? ? 19 groundborne vibration or groundborne noise levels? C. A substantial permanent increase in ambient noise levels in the project vicinity above levels existing without the ? ? ? project? D. A substantial temporary or periodic increase in ambient noise levels in the project vicinity above levels existing ? ? ? without 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? XII. Population and Housing - Would the project: A. Induce substantial population growth in an area, either directly (for example, by proposing new homes and ? business) or indirectly (for example, through extension El El N of roads or other infrastructure)? 8. Displace substantial numbers of existing housing, ? ? ? necessitating the construction of replacement housing Page 9 75A-117 Environmental Checklist CEQA Compliance Less Than Issues & Supporting Information Sources Potentially Significant Significant with Mitigation Less Than Significant Impact Incorporated Impact No Impact elsewhere? C. Displace substantial numbers of people, necessitating ? ? ? the construction of replacement housing elsewhere? XIII. Public Services A. Would the project 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 rations, response times or other performance objectives for any of the public service: 1. Fire protection? ? ? ? 2. Police protection? ? ? ? 3. Schools? ? ? ? 4. Parks? ? ? ? 5. Other public facilities? ? ? ? XIV. Recreation A. Would the project increase the use of existing neighborhood and regional parks or other recreational ? ? ? facilities such that substantial physical deterioration of the facility would occur or 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? XV. Transportation/ Traffic A. Cause an increase in traffic which is substantial in relation to the existing traffic load and capacity of the street system (i.e., result in a substantial increase in ? ? ? either the number of vehicle trips, the volume to capacity ration on roads, or congestion at intersections)? Page 10 75A-118 Environmental Checklist CEQA Compliance Issues & Supporting Information Sources Less Than Potentially Significantwitb Less Than Significant Mitigation Significant Impact Incorporated Impact No Impact B. Exceed, either individually or cumulatively, a level of service standard 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? D. Substantially Increase hazards to a design feature (e.g., sharp curves or dangerous intersections) or incompatible uses (e.g., fans equipment)? E. Result in Inadequate emergency access? F. Result in inadequate parking capacity? G. Conflict with adopted policies supporting alternative transportation (e.g., bus turnouts, bicycle racks)? XVI. Utilities and Service Systems 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 facilities or 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. Are sufficient water supplies available to serve the project from existing entitlements and resources or are new or expanded entitlements needed? E. Result in the 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 provider's existing commitments? F. Is the project served by a landfill with sufficient permitted capacity to accommodate the project's sold Page 11 ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? ? 75A-119 Environmental Checklist CEQA Compliance Issues & Supporting Information Sources Less Than Potentially Significant with Significant Mitigation Impact Incorporated Less Than Significant Impact No Impact waste disposal needs? G. Comply with federal, state and local statutes and ? ? ? regulations related to solid waste? XVII. 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 history or prehistory? 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, effects of other current projects and the effects of probable future projects.) C. Does the project have environmental effects which will cause substantial adverse effects on human beings, ? ? ? either directly or indirectly? References A. Metro East Mixed Use Overlay Zone, Final EIR, March 2007, Volume I. B. Metro East Mixed Use Overlay Zone, First and Cabrillo Towers Project, Final EIR, March 2007, Volume 11. Page 12 75A-120 APPENDIX B Air Quality/ Greenhouse Gas Report 75A-121 AIR QUALITY and GREENHOUSE GAS EMISSIONS IMPACT ANALYSIS 1901 EAST FIRST STREET CITY OF SANTA ANA, CALIFORNIA Giroux & Associates 1820 E Garry St., #211 Santa Ana, CA 92705 Prepared for: Phil Martin & Associates Attn: Phil Martin 3002 Dow Avenue, Suite 122 Tustin, CA 92780 Date: August 8, 2013 Project No.: P13-024A 75A-122 INTRODUCTION The proposed 1901 East First Street project proposes the development of 343,675 square feet of residential use (254 units) and 2,424 square feet of retail space on a 5.1 acre site at the northeast corner of First Street and Cabrillo Park Drive. The project proposes to construct two five-story low-rise buildings totaling 240 units on the west side of the existing 4 level parking structure. Fourteen three-story townhomes will be constructed along the south and east sides of the parking structure. This report calculates the air quality and greenhouse gas (GHG) emissions from the proposed action using the currently approved California Emissions Model (CaIEEMod). Air pollution emissions from project construction and operation are compared to SCAQMD CEQA significance thresholds. There are no adopted GHG significance thresholds for CEQA Purposes and the City of Santa Ana has not yet adopted a climate action plan (CAP). The SCAQMD has developed advisory thresholds which are used as a benchmark for analyzing GHG emissions significance. As noted in the following analysis, the limited scope of the proposed project does not cause any significance thresholds to be exceeded for either construction of operations. However, because of the non-attainment status of the air basin for photochemical smog and particulate matter, the use of reasonably available control measures is recommended for project construction activities. AIR QUALITY IMPACT STANDARDS OF SIGNIFICANCE Air quality impacts are considered "significant" if they cause clean air standards to be violated where they are currently met, or if they "substantially" contribute to an existing violation of standards. Any substantial emissions of air contaminants for which there is no safe exposure, or nuisance emissions such as dust or odors, would also be considered a significant impact. Appendix G of the California CEQA Guidelines offers the following five tests of air quality impact significance. A project would have a potentially significant impact if it: a. Conflicts with or obstructs implementation of the applicable air quality plan. b. Violates any air quality standard or contributes substantially to an existing or projected air quality violation. c. Results in a cumulatively considerable net increase of any criteria pollutants 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). d. Exposes sensitive receptors to substantial pollutant concentrations. e. Creates objectionable odors affecting a substantial number of people. I•TII E I'SI AQ 75A-1 23 Primary Pollutants Air quality impacts generally occur on two scales of motion. Near an individual source of emissions or a collection of sources such as a crowded intersection or parking lot, levels of those pollutants that are emitted in their already unhealthful form will be highest. Carbon monoxide (CO) is an example of such a pollutant. Primary pollutant impacts can generally be evaluated directly in comparison to appropriate clean air standards. Violations of these standards where they are currently nnet, or a measurable worsening of an existing or future violation, would be considered a significant impact. Many particulates, especially fugitive dust emissions, are also prinnary pollutants. Because of the non-attainment status of the South Coast Air Basin (SCAB) for PM-10, an aggressive dust control program is required to control fugitive dust during project construction. Secondary Pollutants Many pollutants, however, require tine to transform from a more benign form to a more unhealthful contaminant. Their impact occurs regionally far from the source. Their incremental regional impact is minute on an individual basis and cannot be quantified except through complex photochemical computer models. Analysis of significance of such emissions is based upon a specified amount of emissions (pounds, tons, etc.) even though there is no way to translate those emissions directly into a corresponding ambient air quality impact. Because of the chemical complexity of primary versus secondary pollutants, the SCAQMD has designated significant emissions levels as surrogates for evaluating regional air quality impact significance independent of chemical transformation processes. Projects with daily emissions that exceed any of the following emission thresholds are recommended by the SCAQMD to be considered significant tinder CEQA guidelines. Daily Emissions Thresholds Pollutant Construction Operations ROG 75 55 NOx 100 55 CO 550 550 PM-10 lS0 150 PM-2.5 55 55 sox 150 150 Lead 3 3 Source: SCAQMD CEQA Air Quality Handbook, November, 1993 Rev. Phil E 1' St AQ 75A-124 CONSTRUCTION ACTIVITY IMPACTS Dust is typically the primary concern during construction of new homes and infrastructure. Because such emissions are not amenable to collection and discharge through a controlled source, they are called "fugitive emissions." Emission rates vary as a function of many parameters (soil silt, soil moisture, wind speed, area disturbed, number of vehicles, depth of disturbance or excavation, etc.). These parameters are not known with any reasonable certainty prior to project development and may change from day to day. Any assignment of specific parameters to an unknown future date is speculative and conjectural. Because of the inherent uncertainty in the predictive factors for estimating fugitive dust generation, regulatory agencies typically use one universal "default" factor based on the area disturbed assuming that all other input parameters into emission rate prediction fall into midrange average values. This assumption may or may not be totally applicable to site-specific conditions on the proposed project site. As noted previously, emissions estimation for project- specific fugitive dust sources is therefore characterized by a considerable degree of imprecision. Average daily PM-10 emissions during site grading and other disturbance average about 10 pounds per acre. This estimate presumes the use of reasonably available control treasures (RACMs). The SCAQMD requires the use of best available control measures (BACMs) for fugitive dust from construction activities. With the use of BACMs, fugitive dust emissions can be reduced to 1-2 pounds per day per acre disturbed. Current research in particulate-exposure health suggests that the most adverse effects derive from ultra-small diameter particulate matter comprised of chemically reactive pollutants such as sulfates, nitrates or organic material. A national clean air standard for particulate matter of 2.5 microns or smaller in diameter (called "PM-2.5") was adopted in 1997. A limited amount of construction activity particulate matter is in the PM-2.5 range. PM-2.5 emissions are estimated to comprise 10-20 percent of PM-10. In addition to fine particles that remain suspended in the atmosphere scinkindefinitely, construction activities generate many larger particles with shorter atmospheric residence times. This dust is comprised mainly of large diameter inert silicates that are chemically non-reactive and are further readily filtered out by human breathing passages. These fugitive dust particles are therefore more of a potential soiling nuisance as they settle out on parked cars, outdoor furniture or landscape foliage rather than any adverse health hazard. Exhaust emissions will result from on and off-site heavy equipment. The types and numbers of equipment Will vary among contractors such that such emissions cannot be quantified with certainty. Demolition and grading activities will shift towards construction and paving, etc. The CalEEMod was developed by the SCAQMD and provides a model to calculate both construction emissions and operational emissions from a residential land use project. It calculates both the daily maximum and annual average emissions for criteria pollutants as well as total or annual greenhouse gas (GHG) emissions. The CalEEMod 2011.1.1 computer model was I'm G 1- S4 Ap - J 75A-125 used to calculate emissions from the prototype construction equipment fleet and schedule anticipated by CalEEMod for a residential land use consisting of 254 condo/townhouse units and 2,400 square feet of retail space as shown below. The equipment fleet shown is CalEEMod'S default fleet a project of this size. CaIEEMod Equipment Fleet 2 Excavators Demolition 72,000 sf (20 Days) 2 Dozers I Concrete Saw I Excavator Grading 2,017 CY Export I Dozer (30 (lays) I Grader 3 Tractor/Loader/Backhoes 1 Crane 3 Forklifts Construction (230 (lays) 1 Generator Set 3 Tractor/Loader/Backhoes I Welder 2 Pavers Paving 0 2 Paving equipment (2 days) 2 Rollers Utilizing this indicated equipment fleet the following worst case daily emissions were calculated by CalEEMod. The oft-road equipment emissions load factors were adjusted in CalEEMod to account for a 33 percent reduction attributable to overestimation of load factors, which CARB has indicated to be appropriates Construction Activity Emissions Maximum Daily Emissions (pounds/day) Maximal Construction Emissions ROG NOx CO SO: PM-10 PM-2.5 2014 Unmitigated 6.1 493 32.9 0.1 14.2 5.2 Mitigated 6.1 49.3 32.9 0.1 11.6 3.2 2015 Unmitigated 51.6 27.4 31.6 0.1 4.7 2.0 ' In September 2010, the CARB announced that its methods used to estimate the load factor for off-road equipment were incorrect and led to an overestimate of emissions by a factor of 33 percent. CARB is currently revising their emissions model, a modified OFFROAD which has not yet been released. CalEEMod is based on the historical OFFROAD. xi Erst aQ 75A-126 Mitigated 51.6 27.4 3 L6 0.1 4.7 2.0 SCAQMD Thresholds 75 100 550 I50 150 55 Peak daily construction activity emissions are estimated be below SCAQMD CEQA thresholds without the need for added mitigation. The only model-based mitigation measured applied for this project was watering exposed dirt surfaces at least three times per day as required per SCAQMD Rule 403 (Fugitive Dust), to minimize the generation of fugitive dust. LOCALIZED SIGNIFICANCE THRESHOLDS The SCAQMD has developed analysis parameters to evaluate ambient air quality on a local level in addition to the more regional emissions-based thresholds of significance. These analysis elements are called Localized Significance Thresholds (LSTs). LSTs were developed in response to Governing Board's Environmental Justice Enhancement Initiative 1-4 and the LST methodology was provisionally adopted in October 2003 and formally approved by SCAQMD's Mobile Source Committee in February 2005. Use of an LST analysis for a project is optional. For the proposed project, the primary source of possible LST impact would be during construction. LSTs are applicable for a sensitive receptor where it is possible that an individual could remain for 24 hours such as a residence, hospital or convalescent facility. LST screening tables are available for 25, 50, 100, 200 and 500 meter source-receptor distances. For this project the nearest sensitive use would be the residences southeast of the project site at approximately 1200 feet from the closest site perimeter along Moir Court, and therefore, as a conservative approach, the receptor distance of 200 meters was selected for analysis. LSTs are only applicable to the following criteria pollutants: oxides of nitrogen (NOx), carbon monoxide (CO), and particulate matter (PM-10 and PM-2.5). LSTs represent the maximum emissions from a project that are not expected to cause or contribute to an exceedance of the most stringent applicable federal or state ambient air quality standard, and are developed based on the ambient concentrations of that pollutant for each source receptor area and distance to the nearest sensitive receptor. The SCAQMD has issued guidance on applying CalEEMod to LSTs. LST pollutant screening level concentration data is currently published for 1, 2 and 5 acre sites for varying distances. Since CaIEEMod calculates construction emissions based on the number of equipment hours and the maximum daily soil disturbance activity possible for each piece of equipment, the following tables should be used to determine the maximum daily disturbed-acreage for comparison to LSTs. Maximum Daily Disturbed Acreage 1 ni nient Type Acresl8-hr-day Tractor 0.5 Graders 0.5 1.1 F 1'SI.AO .6- 75A-127 Rubber Tired Dozers 0.5 Scrapers Based on this table, the proposed will result in a maximum of l acre disturbed during peak construction grading activity (1 dozer x 0.5 + I grader x 0.5 = I acres disturbed). Per LST guidance, only on-site construction activity is considered in the LST analysis. On-site construction emissions are provided in the CalEEMod output files and do not include sources such as on-road haul, worker commuting or vendor delivery emissions. Therefore, the following thresholds and emissions are determined (pounds per day). LST and Project Emissions CO NOx PM-10 PM-2.5 LST Thresholds Centrnl Orange County 1 acre 200 meters 2,109 123 60 22 Max On-Site Emissions Demolition Unmitigated 25 42 6 2 Mitigated 25 42 3 2 Grading Unmitigated 20 31 8 5 Mitigated 20 3l 4 3 onstruction L nmiti ated 19 25 2 iti ted 19 25 2 2 CalEEMod Output in Appendix (maximum mitigated emissions from on-site construction) LSTs were compared to the maximum daily construction activities. As seen above, emissions are below the LST for construction. The only mitigation measure applied was the following dust suppression measure: • Water exposed surfaces at least 3 titres per day for fugitive dust suppression Facilities such as churches are not included in the definition of sensitive receptor because church employees do not typically remain on site for a full 24 hours, but are present for shorter periods of time, such as eight hours. However, by applying a 24-hour standard for pollutants with shorter averaging periods, such as N02 and CO, LSTs could also be applied to these receptors since it is reasonable to assume that an employee at these sites could be present for periods of one to eight hours. The Orange County Southern Baptist Church is immediately east of the site. Therefore, comparing LSTs for CO and NOx for a source receptor distance of 25 meters would provide the comparison (pounds per day). Again, LST emissions are much less than significance thresholds. IAIIE VSL AQ -l 75A-128 LST and Project Emissions Church Uses (pounds/day) Allowable LST Emissions 25 CO NOx meters, I acre 485 81 Max Ou-Site Emissions Demolition Unmitigated 25 42 Mitigated 25 42 Grading Unmitigated 20 31 Mitigated 20 31 Construction Unmitigated 19 25 Mitigated 19 25 CalEEMod Output in Appendix (maximum mitigated emissions from on-site construction) OPERATIONAL IMPACTS Project uses would generate 1,067 daily trips utilizing trip generation numbers provided by the project traffic consultant. Uses with a residential component also generate small quantities of area source emissions derived from organic compounds from cleaning products, landscape maintenance, etc. The contribution of this source is small and is incorporated in the analysis below. Operational emissions for proposed uses were calculated using CaIEEMOd2011. 1.1 for an assumed project build-out year of 2016. The table below shows operational emissions for the proposed residential and retail uses and assumes inclusion of gas hearths rather than wood burning fireplaces. The project would not cause any operational emissions to exceed their respective SCAQMD CEQA significance thresholds. Operational emissions impacts are judged to be less than significant. Daily Operational Impacts (254 Units and 2,400 square feet Retail use, 1,067 Daily Trips) O erationat Emissions Ibs/da Source ROG NOx CO SO= PM-10 PM-2.5 C02 Area 6.8 0.3 21.5 0.0 0.4 0.4 4,909.4 Ener 0.2 1.6 0.7 0.0 0.1 0.1 2,112.0 Mobile 7.3 13.2 71.7 0.2 17.7 1.3 14,066.6 Total 14.3 15.1 94.1 0.2 18.2 1.8 21,088.0 SCAQMD Threshold 55 55 550 150 150 55 - Exceeds Threshold? No No No No No No NA Source: CaIEEMod Output in Appendix MI F. PSI AQ -8- 75A-129 CONSTRUCTION EMISSIONS MITIGATION As identified above, construction activities are not anticipated to cause dust emissions to exceed SCAQMD CEQA thresholds. Nevertheless, mitigation through enhanced dust control measures is recommended for use because of the non-attainment status of the air basin, Recommended mitigation includes: Fugitive Dust Control • Apply soil stabilizers or moisten inactive areas. • Prepare a high wind dust control plan. • Address previously distrvbed areas if subsequent construction is delayed. • Water exposed surfaces as needed to avoid visible dust leaving the construction site (typically 3 times/day). • Cover all stock piles with tarps at the end of each day or as needed. • Provide water spray diving loading and unloading of earthen materials. • Minimize in-out traffic from construction zone • Cover all trucks hauling dirt, sand, or loose material and require all trucks to maintain at least two feet of freeboard • Sweep streets daily if visible soil material is carried out from the construction site Similarly, construction activity ozone precursor emissions (ROG and NOx) are calculated to be below SCAQMD CEQA thresholds. However, because of the non-attainment for photochemical smog, the use of reasonably available control measures for diesel exhaust is recommended. Combustion emissions control includes: Exhaust Emissions Control • Utilize well-tuned off-road construction equipment. • Establish a preference for contractors using Tier 3 or better heavy equipment. • Enforce 5-minute idling limits for both on-road bucks and off-road equipment. OPERATIONAL EMISSIONS MITIGATION Operational emissions would not exceed their respective SCAQMD significance thresholds with the following mitigation measure: Utilize gas hearths rather than wood burning fireplaces for any residential use. M1 a 1'sl AQ 75A-130 GREENHOUSE GAS EMISSIONS "Greenhouse gases" (so called because of their role in trapping heat near the surface of the earth) emitted by human activity are implicated in global climate change, commonly referred to as "global warming." These greenhouse gases contribute to an increase in the temperature of the earth's atmosphere by transparency to short wavelength visible sunlight, but near opacity to outgoing terrestrial long wavelength heat radiation in some parts of the infrared spectrum. The principal greenhouse gases (GHGs) are carbon dioxide, methane, nitrous oxide, ozone, and water vapor. For purposes of planning and regulation, Section 15364.5 of the California Code of Regulations defines GHGs to include carbon dioxide, methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons and sulfur hexafluoride. Fossil fuel consumption in the transportation sector (on-road motor vehicles, off-highway mobile sources, and aircraft) is the single largest source of GHG emissions, accounting for approximately half of GHG emissions globally. Industrial and commercial sources are the second largest contributors of GHG emissions with about one-fourth of total emissions. California has passed several bills and the Governor has signed at least three executive orders regarding greenhouse gases. GHG statues and executive orders (EO) include AB 32, SB 1368, EO S-03-05, EO S-20-06 and EO S-01-07. AB 32 is one of the most significant pieces of environmental legislation that California has adopted. Among other things, it is designed to maintain California's reputation as a "national and international leader on energy conservation and environmental stewardship." It will have wide-ranging effects on California businesses and lifestyles as well as far reaching effects on other states and countries. A unique aspect of AB 32, beyond its broad and wide-ranging mandatory provisions and dramatic GHG reductions are the short time frames within which it must be implemented. Major components of the AB 32 include: • Require the monitoring and reporting of GHG emissions beginning with sources or categories of sources that contribute the most to statewide emissions. • Requires immediate "early action" control programs on the most readily controlled GHG sources. • Mandates that by 2020, California's GHG emissions be reduced to 1990 levels. • Forces an overall reduction of GHG gases in California by 25-40%, from business as usual, to be achieved by 2020. • Must complement efforts to achieve and maintain federal and state ambient air quality standards and to reduce toxic air contaminants. Statewide, the framework for developing the implementing regulations for AB 32 is under way. Maximum GHG reductions are expected to derive from increased vehicle fuel efficiency, from greater use of renewable energy and from increased structural energy efficiency. Additionally, through the California Climate Action Registry (CCAR now called the Climate Action Reserve), IWTE YSLAQ -11, 75A-131 general and industry-specific protocols for assessing and reporting GHG emissions have been developed. GHG sources are categorized into direct sources (i.e. company owned) and indirect sources (i.e. not company owned). Direct sources include combustion emissions from on-and off-road mobile sources, and fugitive emissions. Indirect sources include off-site electricity generation and non-company owned mobile sources. Greenhouse Gas Emissions Significance Thresholds In response to the requirements of S1397, the State Resources Agency developed guidelines for the treatment of GHG emissions under CEQA. These new guidelines became state laws as part of Title 14 of the California Code of Regulations in March, 2010. The CEQA Appendix G guidelines were modified to include GHG as a required analysis element. A project would have a potentially significant impact if it: • Generates GHG emissions, directly or indirectly, that may have a significant impact on the environment, or, • Conflicts with an applicable plan, policy or regulation adopted to reduce GHG emissions. Section 15064.4 of the Code specifies how significance of GHG emissions is to be evaluated. The process is broken down into quantification of project-related GHG emissions, making a determination of significance, and specification of any appropriate mitigation if impacts are found to be potentially significant. At each of these steps, the new GHG guidelines afford the lead agency with substantial flexibility. Emissions identification may be quantitative, qualitative or based on performance standards. CEQA guidelines allow the lead agency to "select the model or methodology it considers most appropriate." The most common practice for transportation/combustion GHG emissions quantification is to use a computer model such as CalEEMod, as was used in the ensuing analysis. The significance of those emissions then must be evaluated; the selection of a threshold of significance must take into consideration what level of GHG emissions would be cumulatively considerable. The guidelines are clear that they do not support a zero net emissions threshold. If the lead agency does not have sufficient expertise in evaluating GHG impacts, it may rely on thresholds adopted by an agency with greater expertise. On December 5, 2008 the SCAQMD Governing Board adopted an Interim quantitative GHG Significance Threshold for industrial projects where the SCAQMD is the lead agency (e.g., stationary source permit projects, rules, plans, etc.) of 10,000 Metric Tons (MT) CO2 equivalent/year. In September 2010, the Working Group released revisions which recommended a threshold of 3,500 MT COze for residential projects. This 3,500 MT/year recommendation has been used as a guideline for this analysis. Some jurisdictions have adopted a numerical annual GHG emissions level as a CEQA threshold of significance. Others have taken the numerical threshold to be an indicator level that signals a requirement for incorporating reasonable and feasible enhanced "greed" building practices withal formal adoption of an absolute significance standard. IM E I-S%AV n- 75A-132 Construction Activity GHG Emissions The build-out timetable for this project is estimated by CaIEEMod to be between l and 2 years. During project construction, the CaIEEMod computer model predicts that the construction activities will generate the annual C02(e) emissions identified below. Construction Emissions (Metric Tons C02(0) C02(e Year 2014 690.3 Year 2015 95.2 Overall Total 785.5 Amortized 26.2 •CaIEEMod Output provided in appendix SCAQMD GHG emissions policy from construction activities is to amortize emissions over a 30-year lifetime. The amortized level is also provided. GHG impacts from construction are considered individually less-than-significant. Project Operational GHG Emissions The input assumptions for operational GHG emissions calculations, and the GHG conversion from consumption to annual regional C02(e) emissions are summarized in the CaIEEMod output files found in the appendix of this report. The total operational and annualized construction emissions are identified below. Operational Emissions Consumption Source MT C02(e) tons! ear Area Sources 172.1 Etter Utilization 673.4 Mobile Source 1644.1 Solid Waste Generation 54.3 Water Consumption 112.9 Annualized Construction 26.2 Total 2,683.0 Total project GHG emissions are less than the proposed significance threshold of 3,500 MT. GHG emissions for the proposed project are less than significant. IWIEI- SS AQ -12- 75A-133 APPENDIX I'M E 1' SL AQ CaIEEMod2011.1.1 Computer Model Output 13. 75A-134 m N N n N W c 0 W c p 3 E b 0 N 0 W W m U 0 Lo O w W W m U N C R Q ? c C C Q y C r 7 y O d U ( b . 0 IL u U ?a L U O r T qC EE 0 U ? , Q YJ c :o y ; °o 3 0 N ? N ^! T A O N P N ? N 9 b ? ° n 9 N D 'y U C y { 3 a i . p m .. . d u C ° E o a o t O ' ?. r c c 3 vi W C L q '] No b 01 U U N ? J O c B E 7 0 ? r N U M d ?? pp J r I r C 0 _rn C E . W v m 0 4L 0 0 15 c O U N N O 75A-135 N O d a N O Y m N O M N v ui 0 O LL M c G 12 U c 2 N O U O E W O 4 O d G ; LL n p O A E 10 5 C t; 2 h l U' E o :Q O H U > c r ? Q N = •H E W N C V d L U C O N fV U '? m h N 8 ?8 Z d m U" U -, h o m .m n fI ' m . o m0 ' ?^ y U Z ,p • m m ? N U o '8 d ;o W: ?m ? 6 y m ? E r 'O e IL d me R a r u'a N V a % N •N Y O Z Y ?O V ? o t • u, ° 11 Y N ' N F- N 75A-136 C V V y C O V rv N G C U r '2 ? r n 'R 0 U y W U .. . a '0 0 2 2 a q U ' O F ? ? U o a o. • m 'O ZU $ ?m .y d N U . o ?m e b m c h ? "f ?LL' ?O y . 0 2N ?O e LL 0 a Yg, 'o ry q? µ y N N O O ?N b V 6 ;o e 2 d .y C T N F°- C c !O+ ` d d ? 0 A m r ? E 0 G N ? ?O ?m d V ' ,Y O o 2 0 ;d ,d ;d 6 U N U ? m : ? ? •'l N ' qy q t] y m :?° :'C 'ry 'm u f • . . N ... ... ... A LN •,? •$ e ZU ?rS .N N m m .N 'o p m •N ?o 'O 'S .- erv b m ? 'H N N . w 4 q? w ;o 4 4 Yy O •? LL d 4 a 4- $ 10 •a .o 4 l? ? u . . a` Y 4 w g g i U v i ? o ? of z V 75A-137 N N O m A O 0 A N CL O m O Cl tV c b d ? O ' : N u ?? ;y ? m b .L. p i 2 'o .r rm • ' U 0 o a o ;o :o ri ? ? N U ? n '? , e •n w •b r b - N F • 1 b n zc?i' n '? '$ .g :m $ U N •O O 'o ? 'y m- . . . ....... ? ... ... . . h n mg ° Din °o 'OO 'g• ?n 2? W 'O IL 6h o ,o ;oi ,o 'g° LL 'OO •o 'Oo ? ° O .-L ` ..L .. ?o LL O N O q •? •y U . i L o .. ... .. - . z. c; cs ? •O r O K d Q C O v a C 0 U O M 75A-138 C u H C Q U v d e •a° m a M Q d a 3 N O Q 0 N C O O E d N M C C C E c Or ° ?e a O ;g Z o ,o U o 4 0 0 • O U o • r ?y .1 g d ;o a do 8 ?? n m ZU ;o Y e U •o m fig' a ?o ar ;o Q Wd i LLd £a o : o °o LL a N m ;$ v •N "? ? 'p O z ,o o rc ;o O ' e a v C u b C U 1 V A r E M U N ,O O $ $ 00 2 0 o 'o R U O c e N O ? N ' fl „ R q 1 ; b0 m 0 'Om 'n t Zo N p N . q. m a? 2 W? 'e N O p O IL LL ? 'g a 'o u'; a •o 'e c o fee o ;8 ;g o w O- 8 'O 4 m O O O 'O ;0 o .e O ;o v Z O .F . tt' ,o e O N N w O N 75A-139 O N G O i7 .Q E o" N M l I U N t0 O U ?a r z ;o 2 R U 40 0 U .r ry y a 0 ;> N r 2V ° O b m N? e ?F U d LL 3 F a ;? ? 9 ? u° 0 N ;g N ;O o a Z O e LL s C O U 7 C U d m 6 N N q U 4 O . . °o °o g Z ;a U N U N •° mm Z N U S m O aF ?N ><y o w 'N ,g ; Q w? LL 6 ' aig ° r"o u'4 O o 'S N ;O U .S U Z.- c C ' ° C o o N O O 75A-140 N O a N 01 C Lo C) C) M M C c E c U N 2 I ° 'O U o Lo O F ? e U e Y Y O p N r i N U d m n o n e e 4.f ? ° .c e uy? 4 4 2? o LL4: o_ 'Q a Fo zy 0 ;o ' 2? e o w a O N U •N R i . O Z v 0 rc j . . r o ?? o •o C u t c O U v m E c U L o . $ 'o '0 0 2 U ,d ,o O ? r} y Oi , N F • i y y do ZO Z 8 ' ° m ? 5 e?? o a ?N m LL d i o S " ,o ,o 0 a ?1 uu ° mF un o , o p $ W U p 2 R ? o 75A-141 N N O Q N OI C 0 lh M 2 V .v °a N Z ;O O U U O F- . ? bO . OO .p N 2U G ;? i N : U g d m 1= a , ' Q? O N O o 4 4 a a ;o ?o a 4 w a' N ;O ? o U ' -1 O ? S ? .C c 2 ?r F U- 'O IL Q V 2 C U d O C C p, ,N . z . ;d g U 0 o o ,0 O ? U ? m A ,N F y y C ('1 ' g ' C1 i U N ? CI N U U °? 1 g o m-- 2,2 g IN . g wa 8 :g 'g m? LL d ^B ? 'B a ' o e e 0 nt- o ,o ,0 0 Fe za :d p° :g g LL ? Q .g .g VJ ; ° Y c5 6 Z ;O .g ?- c ;o ;o Z a U m 75A-142 N O O 0 N C O u N C O U rn c v m a M 19 C c 32 c Y n N Q N u g O g i o V c e A U g 3 0 F a N y YI g 2 U ? N U O O a m N -? b S' 6f-- ?b y W4 LH a? LL6' a?- je b N? d °1 b LLq. O w o R U x r Z ? O ? g q f g ? A d 2 C C U ?E c O g :a N .N U ? Qi ? g • Fi z o ;o S U o V f ? N .O H O F zu ' f ? N 1 U O O '? •O a o ,o :o N o N •a e df :o 1 Yb w LLq e H S $ ; N ?1 a? S ` a o o ?e • N ! U? ? LL LL O e ,o y e ? S 'S g w V p a Z ;O ;O O ? ¢ ;0 0 S w :? o 75A-143 N N O a 0 N C O `V M O V m C v 00 a, M c G c 2 rv h V ° O 2 e U ? ° e F O ? o a a r + ZU $ ° n n U o a o m N 2 , LI N or, V e o e n, N ? Il aa: e A0 g n ? N N o ^, U o e n 2 p 0 0 o ? c3 ; L G G U f 'n n ry O g O Z o 0 g V N U m r ?m F ?O 8 h a 2 U N '8 b m R o 4 6 f- SY O n o o ,o 8 wa IL e-? ?a0 ^S ? F 6 io ` ai $ H IL n o y 8 8 'o 0 8 ?? S U 0 ? o . . . . . 0 ' s e a O 75A-144 N a N C _G M C U m C m a ri C C w N N N U p N Z o ° ? o q o e u % h N N f F a o m Z U,. n r U d o m N q Qf a ?d ?a O 3' o o ate' E o y ' 6 LLQ Q g m d r ry U rv n Z O a 0 O Q' 0 r ? o d r O C ?E C s q U N . 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Cl) c c E c ° 0 n :$ n U °n p N . ,0 O 0 O $ ? ?G O U O O ? o ,C f ' A0 ^ $ ; ZU N , N N U $ R b ' m No q e ar LQ_ O O >'If IL 4 ao Fo ££ a W? 8O ° u'd O N O U x O I n Z o ? o rc z. o ° 3 m a ;a o C C O u 0 U E c 7 U O 'O 'O ° r'z O O o ; d e U ,d ,o N O e C; 0 m01 '° '.Nri 4 2Oi O $ b m ;o ar e ?N ;p0 Ly Wd O 'O •0 O LL4 0 L O-? Fad' 'm ? 55 ? a O b p p 'Oo Z o p rc r a ? s o m 75A-147 N 0 N OI c A a Lq m c C n 0 U O 2 °o ,c o° o U f v ,o O ? V r 9 o F . m ZU, rv U m 'n o : N O CF 'e C? 'O O WLL' a? li LL oID 6t e O ?e o N? Q ?a ;e LLd N O V i O U Z O g a a r ? . 0 o .a A G O i+ e O U a O r '? N U 8 0 0'0; U e F O 3 .. U c :o .N h F N : ;d m F 6 V •O 6 0? 8 - e§ $ •S '8 a?- n oI . . 6 e ? $ :R R a LL N N O ? 'O 'o o ' e O U p 'o Z o ; o O 8 g ' g a ' o ; o N N O V 75A-148 N O N 0) L R O U v d r Q M C c U o U i6 O O °e Z o o U ,C O U g ;o F ' ZU- v N 8 •8 a b m ° ° o r ? N qq 'uia o ;o d LL a? ?o ?'e 8 IL d 0 '0 0 w d u g 4 Z rc a ° U ;p 90 C c E L o r o n u ; ; p g 'g 'g Z O ;G ... y . e 2 U ,d O J? , r r m0' S •e a zV ;n n N _ U 8 m N? • e0 6 O YN O LL1 aF_ 8 'g ;a g vi $ 6 a iL d h S •g U o 'o° °o O o 'S 'o Z c ;c rc o ,o ,o U N 0 75A-149 N N ti O h O N OI C A O U r u ,a0?+ r L a M 02 C C C U 2 O O p Z °o U o ,o p ? U °o F ' bo ' S . ZU:. O ?vl N u m rtrt g 5 ° 'Oo 2 Y Ah .Y w? LLd ' ? d p S ? W?2 O.d O m O 'g e U O '0 0 z 0 m m ? o w U a D y C U O ° U µ z o ; o ; o 0 ° U o ;o .. . .. ... F bo 8 '8 'a a . IU r r Y Y .. . °u o ,o ;o m p NS 8 ? 4 ? F-- 6 6 y ? .S L d I ? p p O 'O 6 1174 ?° ?m ? Y Y C 'O P? u'4 p 8 'g 'g m O 'o e U .o p e z o ; o ; o ' m d o ;o q l . . . ;Y O d d :n c0 i O v N O fN QY A C O A OI L 75A-150 ? 'o u q y 3 ?? Z ?S 2 ? 2 0 •O U 0 ' O e n v Q bN U N ,aV Q Z .? N V S ,g 4 0 nN Z 6 u7 ° ? ' ° Y Q WE LL u T y fe N 'f Q $ o h-, w ; mo 9: LL Y ? IA N C Q ? O U 1 ? N N a Z ; o; o 'a r v ;'E t c O m E 0 c A E E 0 U) a .C N 75A-151 C 0 m w C a a M a Ip ' O O ? pl ..t- m: ? f0 O•o N • ? O Op;IO N;V 0,h o•o O;M r•? °rn Nam n; n o:N a'E N O n N N O T m W C W w 7 N A m J d C T A rn m G W r. 01 La N ; ? Z p. ei ri ? o ° 1O 2 Y L O 'O O U O ; G - N ? O U ? ?? v rv r 'R "t Q ? n 'n 'rvi 'e? Z ?.N n ,I(1 ;N QQ Z U... r1 ;? ; ; 2 N m R T1 2 rj O ; O Z p' Y ? •Y ry 2 Q Z LLd a ?o z ? S° w3 IL d 0 p 'O 'O Q 2 NS L O, Q U ;p L z - . :g :g a r ray °j3v,uF a) 75A-152 N w Z d D C A J a a m w W N Vf I ry O 'O Z x U e ? ;o a F ' n ZV ? iH e n N U Q 'O o °o b o ;0 0 a m q NSF 6 o 'O O? 6 LLLL oo g IL d O 'o Q h Q U ? z ?d O ° d :Q K ? m p m '^ z ro $ T 8 3 t U f s m io e p U ? •$ Z a x U :oo o c o 0 o N U F m ? o u f d ? m a ?N V N ?Q' X e5 N O U R b m "?c o 0 ri R W y >m LL off. . - 4 :4 4 of T.m S o ul° S m b z2' ?u Q O ' O N Q V p w ' ? °n z r ;o rc 3 ? rr ? v T N ? z u F t ;? a 3 a U N O m 75A-153 N N 0 NN i+" U w U W W d N a C N J a cn d w M N 1 n O U o ? $ o 'S 2 5 Z o g U ,d C7- 0 . m ` ?0 N N O U p; Z a o W x' al A F O U e N O ?S Z e C ` 2 'a U N - ? a O ? b ? 1V N O V O Z rc m e w 9 m < g - ? g ;$ n T. F U mR d m L a O (O A Q 7 CD W c 0 m m t: m d S C7 L m z 0 d 75A-154 N O u o 'm z U O .0 ° • Q Z o o ' 2 o U f O U S - n Q 2 d ? a U ?m Q d ,r 0 m Q n 2'0 ? Z IL Op- ' N 6 O d ;o 1- un; ? Q h Z O po ' vp a I 0 N Q Z Z t7 a rc z d zi a m 'a A _ j ? b O d A U a m Q 'c N 7 tO o U o ;o 'm ;e 2 0 ,o ,O o 'o U ,c R U H m U Z o N U O 'O o ;o 'n ID • •,N 1. R O y n? ' ?N O jN It d :4 :g o e aH ,o ..Q l 'O •° '° til g? Ra p p N O ' $ vS X ' V1 rv ' r O Z o R ,C ;o R O 'a rv N N 75A-155 A U a N a m Q N rC tC y ;6 °o ;v a 0 ;o 'N h V .....f 2 .o o 'o ;O ?D U d f . dN ZU .. .......... . ;? ;m ;? o ? o n ; , N U •o m N O 'O Q ar? ?O O ; O [I O ; O O G ? IL 4' . _O? r N a . ....... .. .. .. ? •o a ul Eig LL d N - N U g ? 2 R K a m d r r 0 V 3 d .7 A c 0 A OI 75A-156 N 0 N N N O fh N Y ^ dl O N Z U ry Z O g; y U d ° u m r O < N S U 2 8 O 2 2 C Pf ? O E F- o 4) H D C J T ? a m Y 3 E C N ? n m O u- N 0 Z e ` Z N U N D w 0 U' $f 2 O K a 'pm 3 3 t ?F $ .n t 75A-157 N 0 a N d N C A J a A N n I H IO . OI b U O g Z o , j N N U N a n FO- ' N O ' U O Z 0 ,m O u a N ? • i ' ? ? ' 5 ? t U r N 3 Q Y 3 d N A d C a m g d 0 V U h ?n O o Q N Z O O O Z F' U °u a°S !4 ? ? N Z o < N Z U Z T a z ? O Z K .y. a °v a o ? E 75A-1 58 N O N N d 9 C co a w A I N N '? U 2 0 4 , U N N r N O ' N ? i.. O U O 2 O K i. u? 3 C ?y p .N o •N O O S ?? 9 U 9I d A ? n O ° Z e ,c i °a a U- O rt U n ry q H N o r y O U s p Z U R y? m 3,Q . N ? r c° sg a iie- o U 75A-159 M O N n ai m D 0 Cl! O 7 W W m U 1 w W W 0 m ? Q E E m N ? C d ? O L) y fA a y C ?e IL 0 9 N CD u 12 m d t U v0 u d a c O J ad 7 o .- j •? pl • N ;S .o ? a o ' y c U G O D W m E U E v S a N T C N EE 0 U 7 N T D N y LL D ao v 9 N 'n D 'u c 3 a u N r C E E A U ? U n 0 ? m V U d d ? p d a c C 4 o W N m N r Al S d O a E N ? U M v L Y l0 N a 0 J M NN 0 O a (7 c 0 '- E w ci O C O o v g V l0 V (V (7 W a m m U O W L j m 2 d a 0 ? c tL O U m U O1 d U O U N 0 O N O (O N l? N E d c O E a W O tt? 0 N r- O 75A-160 d N 3 N d O Y m d a 0 J M N O 0 LL M c U 0 `0 c O U c 0 E d i 111 O O 4 0 v 0 K N C E a w m N CL N a M a c E w O 0 v 5 LL Q r E } V 0 y 0 ? ' ? y r ? N c a 12 cD ? 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' Jf ? ` e u a 2 o u o .s N 0 0 N 75A-179 N O N r d O v A 0 V d d 3 N d 7 Yl d d C O w m m w d W 3 0 co d r N A 3 Vi d 7 N d d C O m m F_ 0 75A-180 APPENDIX C Traffic Report 75A-181 FIRST STREET APARTMENTS CITY OF SANTA ANA TRAFFIC ANALYSIS 2nd SUBMITTAL CASE NUMBER: Prepared for: Lyon Communities 4901 Birch Street Newport Beach, CA 92660 (949) 252-9101 By: Pirzadeh & Associates, Inc. 30 Executive Park, Suite 270 Irvine, California 92614-4726 (949) 851.1367 August 12, 2013 75A-182 CONTENTS EXECUTIVE SUMMARY ...................................................................................... 1 INTRODUCTION ................................................................................................. 1 TRIP GENERATION ............................................................................................. 5 TRIP DISTRIBUTION/TRIP ASSIGNMENT ............................................................ 6 SITE ACCESS AND CIRCULATION ....................................................................... 6 Gate Stacking Analysis ............................................................................... 9 Parking ................................................................................................... 12 REQUIRED MITIGATION MEASURES AND/OR RECOMMENDATIONS ................. 12 CONCLUSIONS ..................................................................................................12 75A-183 LIST OF TABLES Table l Trip Generation Comparison -First and Cabrillo Towers vs. First Street Apartments ........................................................................................... 6 LIST OF FIGURES Figure 1 Project Location .......................................................... ........................... 2 Figure 2 Project Site Plan .......................................................... .......................... 3 Figure 3 Driveway Lane Configuration ....................................... .......................... 4 Figure 4 Project 'hip Distribution .............................................. ........................... 7 Figure 5 Project Driveway Peak Hour Volumes ............................ ........................... 8 Figure 6 Gated Entry 1 ............................................................. ......................... 10 Figure 7 Gated Entry 2 ............................................................. ......................... 11 Figure 8 On-Street Parallel Parking Detail .................................. ......................... 13 APPENDIX Appendix A ........................................................................................ Scope of Work 75A-184 EXECUTIVE SUMMARY This Traffic Analysis is prepared in order to evaluate the operational and design characteristics of the proposed First Street Apartments project at 1901 East lst Street in the City of Santa Ana and to evaluate the project's potential impacts at the project access locations. The project is situated on an approximately 5 acre site located at the northeast corner of Cabrillo Park Drive and East lst Street in the City's Metro East Mixed Use Overlay Zone, see Figure 1. The site is developed with a 3-story commercial building and a 4-story parking garage. The project includes the demolition of the existing 3-story commercial building and construction of 254 residential apartment units and 2,424 square feet of support service retail, see Figure 2. The project site was previously approved for development of the First and Cabrillo Towers project consisting of 374 residential dwelling units and 8,957 square feet of specialty retail, The proposed project will be developing fewer units thereby generating fewer peak hour trips. Therefore per the scope of work only the project access driveways are analyzed in this report. A copy of the Scope of Work is provided in the Appendix for reference. The findings of the traffic analysis with the proposed project did not indicate any significant project impacts at the project access locations. The proposed project will utilize two existing driveways and will be stop sign controlled. There will be two project entries to the existing parking garage and both are gated. The findings of the gate stacking analysis shows that there is adequate storage capacity at the two (2) gated entries to accommodate the expected residential and visitor stacking needs without backing onto the adjacent public and/or private street. It should be noted that the gates will be open during the day and closed at night. INTRODUCTION This report summarizes the results of a Traffic Analysis conducted for the proposed development of 254 residential apartment units and 2,424 square feet of support service retail at 1901 East Pt Street in the City of Santa Ana, see Figure 1. The project site is approximately 5 acres and has an existing 3-story commercial building and existing 4-story parking garage. The site is located at the northeast corner of Cabrillo Park Drive and East fat Street in the City's Metro East Mixed Use Overlay Zone. The site is bounded by Kaiser Permanente to the north, existing church and office building to the east, East l.t Street to the south, and Cabrillo Park Drive to the west. The existing lane configuration at the project driveways is shown in Figure 3. The site is accessed by an existing driveway on Cabrillo Park Drive approximately 530' north of East lst Street that connects to an east-west drive aisle along the northern property line. There is an existing driveway on East Pt Street approximately 270' east of Cabrillo Park Drive that connects to a north-south drive aisle in the middle of the site. There is another existing driveway on East 18r Street approximately 476' east of Cabrillo Park Drive that connects to a north-south drive aisle along the eastern property line. To accommodate the proposed project the existing 3-story commercial building, the driveway on East la Street approximately 270 feet east of Cabrillo Park Drive, and the 75A-185 r Q ? m LLJ SEVE TEENTH?? ° 0 0 0 3 z J r WELLINGTON of D Project 11 ? ? Location FRUIT FRUIT 0 5 w z C m o z M J 0 Co FX -J 00 E FOURTH v IRVINE =F=IRST TRW 5 N. T. S. 55 e?ivis Figure 1 Project Location Mrzadeh First Street Apartments, Santa Ana 2 75A-186 C? OMMYa?OV?YV fLLLAYiNYU a:u - Yt MY j ,(?, iipl9 z -IT I i 1_ r°, ? 1 ? Srxl3USi?uxap °: _Il? a .L ' ?I ?h U li I II V j, j , y ? `? x ? ?Y l I = ? f ? II 1; ? a; co a ? 4lr.u I i ' f '? w e ra 1. I is YJ ? ~ J. a ? i.a I 9,41 !'l. , .III ? -? I L 1 rCIb . _. j ?. I. L7 ? ? . Y m ? ? l-.I O J?N ST ?Ol? 6(L 1RY ? -' i 1 ? i_ I?a I? 1 i ? m I s r N a III ' ?n 11 I+ 1 1 tru hlai f? ".I x Q y CIA cq `j"• . ?? z,'= c? 0 Q?E1E?gB 413 d •i T I . 133WS 1SUf °? mMmars?va?vu NmY 1 Z M Z4 75A-187 &17)13 Figure 3 Driveway Lane Configuration First Street Apartments, Santa Ana irzadeh 75A-188 middle drive aisle will be demolished. The existing 4-story parking garage, the northern drive aisle and the eastern drive aisle will remain. The project will have restricted right-turn in/right-turn out access from the existing driveway (Driveway 1) on Cabrillo Park Drive that connects to the drive aisle along the northern property line, see Figure 2. As a project feature, the drive aisle will be turned into a fire lane with decorative paving. The north fire lane will include a drop-offloading area approximately 80 feet east of Cabrillo Park Drive. Cabrillo Park Drive is a four-lane arterial street with a raised median. The project will have restricted right and left-turn inh-ight-turn out access from the existing driveway (Driveway 2) on East 161 Street approximately 475' east of Cabrillo Park Drive that connects to the drive aisle along the eastern property line, see Figure 2. As a project feature, the drive aisle will be turned into a fire lane with decorative paving. There is also a covered loading area at the northeast corner of the project site that can be accessed by both fire lanes. The left-turn in access is provided by an existing left-turn lane. East ls' Street is a six-lane major arterial with a raised median along the project frontage. The purpose of this analysis is to evaluate the operational characteristics and design features of the site access locations based on the projected inbound and outbound peak hour volumes. The impact of the decrease in the number of residential apartment units from the previously analyzed 374 units to the proposed 254 units will be documented. TRIP GENERATION The proposed project will develop the same parcel as the previously approved First and Cabrillo Towers project except it will contain 120 fewer residential dwelling units and changing the 8,957 square feet of retail/commercial use into 2,424 square feet of support service retail use. Also, the project will have two (2) access locations; a restricted right-turn in/right-turn out access on Cabrillo Park Drive that is presently operational and a restricted right and left-turn in/right-turn out access on East tae Street that is presently operational. Consistent with the Traffic Analysis Scope of Work the trip generation rates for the proposed project were calculated using the ITE Trip Generation Manual, 8th Edition for a high-rise apartment development. To determine the potential level of project impact, the trips being generated by the previously approved project based on the approved First and Cabrillo Towers Project Traffic Impact Study dated March 2007 prepared by EIP Associates were compared to the trips being generated by the proposed project. As shown in Table 3 the First and Cabrillo Towers project was projected to generate 1,961 daily trips with 143 and 166 trips occurring during the AM and PM peak hours. The proposed First Street Apartments project is projected to generate 1,067 daily drips with 76 and 89 trips occurring during the AM and PM peak hours. By comparison, the proposed project is projected to generate 894 fewer daily trips, 67 fewer AM peak hour trips and 77 fewer PM peak hour trips than the First and Cabrillo Towers project. It should be stated that the small accessory/support retail service provided on-site in intended mainly for the project residents. This use is not expected to generate any additional trips, and in fact could reduce project trips. 75A-189 Table 1 Trip Generation Comparison -First and Cabrillo Towers vs. First Street Apartments Land Use Units AM Peak Hour PM Peak Heur In Out Total In out Total ADT First and Cabrillo Towers High-Rise Condominium 374 DU 24 103 127 88 54 142 1,563 Specialt Retail 8,957 SF 10 6 16 10 19 29 398 Totals 34 109 143 98 68 166 1,961 First Street Apartments High-Rise Apartments 264 DU 19 57 76 54 35 89 1,067 Project Differential (120) DU (15) (52) (67) (44) (33) (77) (894) Trip Generation Rates Land Use ITE Land Units AM Peak Hour PM Peak Hour ADT Use Code In Out Total In O High-Rise Condomini um DU 0.06 34 0.24 0.1 4.18 Specialty Retail SF 0.99(r) 0.77fu 1.7do 1.19 1.5 R 44.32 High-Rise Apartments DU 0.07 0.23 0.30 0.21 0.1 O.36 4.20 (1) ITE Trip Generation Manual 8w Edition does not provide a trip generation rate for calculating AM trips. Therefore, the trip generation rate that was used in the approved First and Cabrillo Towers Project Traffic Impact Study dated March 2007 was used in this report. Based on the trip generation comparison the proposed project will reduce 67 AM and 77 PM peak hour trips at the project access locations and to the adjacent roadway network. TRIP DISTRIBUTION/TRIP ASSIGNMENT The project trips were manually distributed at the proposed access locations based on its design features, proposed land uses, available turn movements, accessibility to residence and visitor parking areas/parking structure and, proximity to the local and regional roadway network. The project trip distribution is shown in Figure 4 and is consistent with the approved First and Cabrillo Towers Project Traffic Impact Study dated March 2007. The AM and PM peak hour volumes for Driveway 1 and Driveway 2 is shown in Figure 5. SITE ACCESS AND CIRCULATION The project will have two (2) access locations. Driveway 1 is an existing driveway located off of Cabrillo Park Drive. The driveway is restricted to right-turns in/right-turns out and is stop sign controlled. 3 AM and 6 PM inbound peak hour trips and 30 AM and 19 PM outbound peak hour trips are projected. The driveway will access a 20' wide fire lane along the northern property line and consists of one (1) inbound lane and one (1) outbound lane. A new gated entry into the existing parking garage will be installed approximately 305 feet east of Cabrillo Park Drive. As shown on the proposed site plan, this distance is also the effective driveway throat. Therefore, Driveway 1. will be able to accommodate the projected trips. 75A-190 8112113 Figure 4 Project Trip Distribution First Street Apartments, Santa Ana Pirzadeh 75A-191 8112/13 Figure 5 Project Driveway Peak Hour Volumes First Street Apartments, Santa Ana Pirzadeh 75A-192 Driveway 2 is an existing driveway located off of East Pt Street. The driveway is restricted to right and left-turns in/right-turns out and is stop sign controlled. A total of 16 AM and 48 PA4 inbound peak hour trips and 27 AM and 16 PM outbound peak hour trips are projected. The projected eastbound left-turn movement, 6 AM and 19 PM peak hour trips, will utilize the existing 140' left-turn lane. The existing signal at East 151 Street and North Golden Circle Drive will provide adequate gaps for the left-turn movement. The driveway will access a 20' wide fire lane along the eastern property line and consists of one (1) inbound lane and one (1) outbound lane. A new gated entry into the existing parking garage will be installed approximately 260 feet north of East 16t Street. As shown on the proposed site plan, this distance is also the effective driveway throat. Therefore, Driveway 2 will be able to accommodate the projected trips. Both access drives provide direct access to the existing parking garage for the project that will accommodate resident and visitors parking needs. The north fire lane connects with the east fire lane to enable site circulation from Driveway 1 to Driveway 2. A drop- off/loading area is provided on the north fire lane approximately 80 feet east of Cabrillo Park Drive and a covered loading area is provided at the northeast corner of the project site. It should be noted that the existing Driveway 1 and Driveway 2 serves an existing 3- story commercial building and the project site was previously approved for 374 residential dwelling units and 8,957 square feet of specialty retail. The proposed project will generate fewer trips and have less impact at the existing driveways. Gate Stacking Analysis The County of Orange Environmental Management Agency (EMU) Standard Plan No. 1107 criteria is being utilized for determining the amount of vehicle storage length behind the garage entry gates for the proposed residential project. This standard requires that gates be set back between the prolongation of the near curb of any public street and the gate to provide one (1) foot per dwelling unit or a minimum of 100 feet of storage for entering vehicles to stack without interfering with the through movement along the adjacent public street. The project is served by two (2) parking garage entries that will be gated. Entry 1 is located off of the northern fire lane approximately 305 feet east of Cabrillo Park Drive. The gate is located at the face of the parking garage and is 22 feet wide that provides one 11-foot inbound lane and one 11-foot outbound lane. The entry widens to a 24-foot parking aisle inside the parking garage, see Figure 6. It should be noted that the parking garage is existing. The only modification is a project feature that will install the gate at the face of the parking garage. Driveway 1 is projected to have 3 AM and 6 PM peak hour trips. The distance between the prolongation of the near curb along Cabrillo Park Drive and the gate is approximately 317 feet. Entry 2 is located off of the eastern fire lane approximately 260 feet north of East 1st Street. The gate is located approximately 38 feet inside the parking garage and is 24 feet wide that provides one 12-foot inbound lane and one 12-foot outbound lane, see Figure 7. The parking garage is existing and the only modification is a project feature that will install the gate inside the garage. Driveway 2 is projected to have 16 AM and 48 PM peak hour trips. The distance between the prolongation of the near curb along East 13t Street is approximately 290 feet. 75A-193 • vwd nERTY IL INF ¢z B. la 0'-0? 120'• ELEC - I B d 1I 4 LOBBY i A307 t s °w u .1 . t i. g N 8.4a A. oII jai ?? ; A pl m a _ N.T.S. K :t B 14A C. la i. irc 1 B.7gA y_ - - 9LD03A •l' rss + .,s•'°-*8? c.?.i_ ___ ._.. _-?- ?I i11?1 N ELEC ?I -- A b A A _ SWITCH m -_ GEAR 'M .I m TI w,.. li I {( J , R I u uui i, irxso el" ?? 1.s GTGROVi ?. r G ,? s a g7 I, a P I i 1'RESIOENMLPARKING ' ....? 2 63 SPACES T -T I } i?--L 13,' 11 g? a=il F)l12I13 Figure 6 Gated Entry 1 ?? Pirzadeh First Street Apartments, Santa Ana 10 75A-194 rli rl ,M ' J% fl?fl U ? 3 `? I p • enema auaoa ovum ? avusna ('? ? o ai ue 1 ro sir .0-X& J I iI s d a i a ' ( ]Z 1 ? d 9 a r m ? I.Id a J? r?`? a e' ly r•1 qi a r I Y - ?Y I -d W N ? ? of 1 ? ?1 j \ I W ? ?RI ` 9 log 9 - e . o e I e (? ? U b 1 , M 1 Z r!1]ll]lV All W C? H-A ]J 11 M N N 11 I II 41 Y 1. ? III I ? 1 1 S Z I I .J ., I 11 : 1. - `1 lr W ?, ¢ Y I I I m a , W ?? I_ r 1 11 I 'I 0 S O 75A-195 The proposed gate operation at Entry 1 is a 22-foot wide security gate that will open from one end and at Entry 2 is a 24-foot side security gate that will open from one end. Both of the gates will be open during the day and closed at night. There is another rolling gate inside the parking garage that will separate the visitor parking and the residential parking. Therefore, based on the entry design shown on the plans, the operational characteristics of the gate mechanisms, and the setback of each gate from the adjacent public street we have determined that the vehicle stacking area at the gated entries provides adequate storage capacity that will allow vehicles to enter the site without interfering with the traffic flow on the adjacent public street. Parking The proposed project will modify the existing 4-story 664 space parking garage to provide 531 shared parking spaces (including 51 visitor parking spaces) and 28 private parking spaces for a total of 559 parking spaces. In addition, a curb cutout will be provided along Cabrillo Park Drive for on-street parallel parking. The cutout is approximately 95 feet long and 8 feet wide. Based on the City requirement of 20 feet long parallel space and 5 feet of buffer, a total of 4 vehicles can be accommodated at the cutout (see Figure 8). These parking spaces will also provide short term parking close to the support service retail which may be used by project visitors or by pass-by traffic. The design of the cutout is not expected to impact the thru movement on Cabrillo Park Drive. Furthermore, the cutout ends approximately 260 feet south of Driveway 1 and is not expected to impact the operation of the driveway. REQUIRED MITIGATION MEASURES AND/OR RECOMMENDATIONS Based on the results of the Traffic Analysis there are no required mitigation measures needed to support the project. It should be noted that the proposed First Street Apartments project will continue to provide its fair share for the mitigations identified in the approved First and Cabrillo Towers Project Traffic Impact Study dated March 2007 prepared by EIP Associates. CONCLUSIONS This report presented the findings of a Traffic Analysis carried out for the proposed First Street Apartments project, 254 residential apartment units and 2,424 square feet of support service retail, which is located at the northeast corner of Cabrillo Park Drive and East 19° Street in the City of Santa Ana's Metro East Mixed Use Overlay Zone. The design characteristics of the existing access driveways proposed to serve the site were evaluated based on projected entry and exit peak hour volumes. Based on this evaluation it is concluded that the project access driveways have adequate carrying capacity for the projected demand and pose no significant impact to the adjacent roadway system. It should be noted that the proposed project will be develop 120 fewer residential dwelling units and changing the 8,957 square feet of retail/commercial use into 2,424 square feet of support service retail use. Therefore, the proposed project will reduce 67 AM peak hour trips and 77 PM peak hour trips at the project access locations and to the adjacent roadway network. 12 75A-196 1 W RED CURB N.T.S. Zo x 0 N 1' TYP. o N CURB 100' Project N Site 1' TYP. W RED CURB 70' w 0 U East 1st Street &12/13 Figure 8 On-Street Parallel Parking Detail Pirzadeh First Street Apartments, Santa Ana 13 75A-197 Appendix A Scope of Work 75A-198 FIRST STREET APARTMENTS TRAFFIC ANALYSIS SCOPE OF WORK July 1, 2013 The proposed project, First Street Apartments, consists of 250 residential apartment units and about 2,000 square feet of support service retail to be located at the intersection of First and Cabrillo in the City of Santa Ana. The area-wide traffic impacts of the proposed project site were previously analyzed for a 374 unit Residential Condominium and 8,957 square foot specialty retail project that was previously approved for this site. The proposed project trip generation is significantly less that the previously approved project. Therefore it is proposed that a focused Traffic Analysis be conducted to provide the evaluate the design of the project circulation and access drive elements and to further evaluate any required traffic control measures at the project access drives. This analysis will also provide a comparison of the project trip generation to the trip generation of the previously approved project for the site. It should be noted that the proposed project will continue to provide its fair share funding of the mitigation measures identified at the two impacted intersections identified in the March 2007 First and Cabrillo Towers Project Traffic Study. The study will include the following sections: I. EXECUTIVE SUMMARY This section will provide a short, clear and concise description of the Project, background, and the Traffic Analysis findings. Also, included in this section will be a general description of all data, conclusions, mitigation measures and/or recommendations. II. INTRODUCTION This section of the report will include a comprehensive description of the Project and key elements of the Traffic Analysis including the project site location, existing uses, proposed project, study area, and existing description of the adjacent roadway network will be discussed. The Traffic Analysis will evaluate the proposed access driveways. III. TRIP GENERATION The trip generation for the proposed project will be based on the Institute of Transportation Engineer's Trip Generation Manual, 8m Edition for a high-rise apartment development. The trips being generated by the proposed project will be compared to the trips contained in the approved First and Cabrillo Towers Project Traffic Impact Study dated March 2007 prepared by EIP Associates. The comparison will demonstrate that the decrease in the number of units will result in Approved: Date: Page 1 75A-199 significantly fewer peak hour and daily trips being generated by the proposed project than were previously analyzed with the underlying approved project. IV. SITE ACCESS AND CIRCULATION The operational characteristics and design features of the proposed site access on First Street will be evaluated based on the projected inbound and outbound volumes at the driveway. The on-site circulation will be examined to ensure that there is adequate maneuvering area available for residents and visitors to access the parking structure. A gate stacking analysis will be conducted for the gated entries using the County of Orange Environmental Management Agency (EMA) Standard Plan No. 1107 to determine the vehicle stacking requirements for the proposed project. VII. REQUIRED MITIGATION MEASURES AND/OR RECOMMENDATIONS Based upon the results of the Traffic Analysis physical, operational improvements, and/or identifying fair share costs required in order to mitigate any potentially adverse Project impacts will be identified in the Traffic Analysis. VIII. A summary of the results of the 14•affic Analysis and recommended improvements, if any, will be provided. YAI I4916I1 }Firsi9treerApt.-0701201S-TrsirieMelysisSmpeenise.pkp Approved: Date: Page 2 75A-200 CHAPTER 4 Mitigation Monitoring and Reporting Program 4.1 INTRODUCTION The Califonria Eiwhonmenfal puaG!yAcl (CFQA) requires the adoption of feasible mitigation measures to reduce the severity and magnitude of potentially significant environmental impacts associated with project development. Tlic Final Environmental Impact Report (Final FIR) for the proposed Metro East Mixed Use Overlay Zone EIR (State Clearinghouse No.2006031041) located within the City of Santa Ana (City), includes program and project-specific mitigation measures to reduce the potential environmental effects of the Overlay Zone, as well as the First and Cabrillo Towers Project. Monitoring of the implementation of adopted mitigation measures is required by Public Resources Code Section 21081.6. The Final EIR for the proposed project provides a list of mitigation measures, and describes the process whereby the mitigation measures would be monitored. Following certification of the Final EIR and approval of this Ntigation Monitoring Program (MMP) by the City, the mitigation measures included in the Final EIR would be monitored as described in this MMP. It should be noted that because this EIR contained program- and project-level components, two separate MMP tables are presented as part of this MMP for the Overlay Zone and for the First and Cabrillo Towers project. 4.2 PURPOSE The purpose of the proposed Overlay Zone EIR M-IMP is to ensure compliance with all mitigation measures to m tigate or avoid potentially significant adverse environmental impacts resulting from the proposed project that were identified in the Final FIR. Implementation of this Iv1IvfP shall be accomplished by the City of Santa Ana. Mitigation measures will be implemented (1) as part of design development of the project, (2) during project construction, or (3) as part of project operations. 4.3 RESPONSIBILITIES AND DUTIES In general, monitoring will consist of demonstrating that mitigation measures were implemented, and that the responsible urut monitored the implementation of the measures. The responsible unit for determining compliance with all mitigation measures will be the City. Monitoring will consist of determining whether ¦ The specific issues identified in the mitigation measures were considered in the design development phase ¦ Construction contracts included the provisions specified in die mitigation measures ¦ The required actions specified in the mitigation measures occurred prior to or during construction ¦ Ongoing administrative activities included the provisions identified in the mitigation measures Metro East Mixed Use Overlay Zone (Volume III) 4.1 AIR01 Chapter4 Mitigation Monitoring and Reporting Program Any concerns between monitors and construction personnel shall be addressed by the City of Santa Ana, Planning Department. 4.4 LIST OF MITIGATION MEASURES As mentioned above, due to the program- and project-level components of this EIR, the NIMP has been divided into two parts to address each component separately. The mitigation measures that pertain to implementation of the Overlay Zone and their method of implementation are fisted in Table 4-I. The mitigation measures, which include several mitigation measures from the program-level component, that pertain to the First and Cabrillo Towers project are fisted in Table 42. All project-specific mitigation measures included in the Final EIR for this project would be monitored as described above. The mitigation monitoring matrix on the following pages is formatted to parallel the format of die Executive Summary table contained in die Final EIR. The matrix identifies the required mitigation measures, the time frame for monitoring, and the responsible monitoring agencies. It should be noted that the mitigation measures from Volume I that are contained within Table 4-2 have been modified slightly so as to directly apply to the First and Cabrillo Towers project. 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U d E ° R U N ms" d ? C d E C 15 7 n C L L d N O N d S w E Z N 3 ° n d V y N '(J E s o w° v c v d Id c 0 N N i O 75?; ? 18 D MA Phil Martin & Associates, Inc. October 16, 2013 Mr. Vince Fregoso Principal Planner City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 RE: 1901 East First Street Addendum Dear Mr. Fregoso: It my understanding the project applicant, Lyon Communities Inc. has recently revised their project to include ten (10) affordable housing units as part of their proposed 254 unit project. In addition, ten market rate units will be added to the project, bringing the total unit count to 264. As you are aware, Phil Martin & Associates prepared an Addendum dated August 14, 2013 that addressed the proposed development of 254 units. The 254 unit project was 120 units less than the units that are presently allowed for the site with the approved First & Cabrillo Towers project. Therefore, the currently proposed project of 264 units will be 110 units less that the First & Cabrillo Towers project. We have reviewed and evaluated all of the environmental disciplines that are discussed in the August 14, 2013 Addendum. Our review and evaluation focused on potential new or additional environmental impacts with the inclusion of ten affordable units and the addition of ten units. Based on our review and analysis, it is our opinion that providing ten affordable units and adding ten additional units for a total of 264 units will not result in any new or additional environmental impacts compared with the 254 units. With the exception of traffic and circulation, which will be provided under separate cover by the project traffic consultant, the proposed project changes to allow ten affordable units and ten additional units for a total of 264 units will not have any environmental impacts. Sincerely, I,&, Phil Martin EXHIBIT B 3002 Dow Avenue, Suite 122 ? Tustin, CA 92780 ? Phone 949-454-1800 • Fax 949-454-1801 75A-219 75A-220 / Pirzadeh October 16, 2013 Ms. Cynthia Eppeldauer Vice President, Development Lyon Capital Ventures 4901 Birch Street Newport Beach, CA 92660 Subject: First Street Apartments - City of Santa Ana, California Dear Cynthia: 30 Executive Park (949) 851-1367 Suite 270 (949) 851-5179 wine, CA 92614-4726 w pirzaceh,com Pursuant to your request we have evaluated the potential impacts of increasing the unit count at the subject site by an additional ten (10) apartment homes. The additional units will generate 3 AM Peak Hour trips, 4 PM Peak Hour trips and 42 Average Daily Trips. As shown on the attached tables, the proposed project with a total of 264 apartment homes would still have a significantly lower trip generation when compared to the previously approved project. The traffic associated with the additional ten (10) units will not have any measurable impacts on the project access drives and will not result in any changes to the findings and conclusions presented in our August 12, 2013 Traffic Analysis conducted for the project site. Please call me if you have any questions regarding the information presented in our traffic analysis or this letter. Sincerely, IIXA Peter K. Pirzadeh, P.E. Principal Attachment c: Pete Zak, Lyon Capital Ventures PAI 14316(2)-FirstStreetApts-10162013-CEppeldauerAdditi0na1UnitsAna1ysis-ltr.pkp EXHIBIT C 75A-221 Traffic Analysis Dated 8/12/13 Trip Generation Comparison - First and Cabrillo Towers vs. First Street Apartments Land Use Units AM Peak Hour PM Peak Hour In Out Total In Out Total ADT First and Cabrillo Towers High-Rise Condominium 374 DU 24 103 127 88 54 142 1,563 Specialty Retail 8,957 SF 1.0 6 16 10 14 24 398 Totals 34 109 143 98 68 166 1,961 First Street Apartments High-Rise Apartments 254 DU 19 57 76 54 35 89 1,067 Project Differential (120) DU (15) (52) (67) (44) (33) (77) (894) Trip Generation Rates Land Use TIE Land Units AM Peak Hour PM Peak Hour ADT Use Code In Out Total In Out Total High-Rise Condominium 232 DU 0.06 0.28 0.34 0.24 0.14 0.38 4.18 Specialty Retail 814 SF 0.99i1 0.771 1.761 1.19 1-52 2.71 44.32 High-Rise Apartments 222 DU 0.07 0.23 0.30 0.21 0.14 0.35 4.20 (1) ITE Trip Generation Manual 8th Edition does not provide a trip generation rate for calculating AM trips. Therefore, the trip generation rate that was used in the approved First and Cabrillo Towers Project Traffic Impact Study dated March 2007 was used in this report. Additional 10 Units Trip Generation Comparison - First and Cabrillo Towers vs. First Street Apartments Land Use Units AM Peak Hour PM Peak Hour . , In Out Total In Out Total 1 AD First and Cabrillo Towers High-Rise Condominium 374 DU 24 103 127 88 54 142 1,563 Specialty Retail 8,957 SF 10 6 16 10 14 24 398 Totals 34 109 143 98 68 166 1,961 First Street Apartments High-Rise Apartments 264 DU 19 60 79 55 37 92 1,109 Project Differential (110) DU (15) (49) (64) (43) (31) (74) (852) Trip Generation Rates Land Use ITE Land Units AM Peak Hour PM Peak Hour ADT Use Code In Out Total In Out Total High-Rise Condominium 232 DU 0.06 0.28 0.34 0.24 0.14 0.38 4.18 Specialty Retail 814 SF 0.991 0.771 1.761 1.19 1.52 2.71 44.32 High-Rise Apartments 222 DU 0.07 0.23 0.30 0.21 0.14 0.35 4.20 75A-222 ROH - 10/21/13 RESOLUTION NO. 2013- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ADDENDUM TO THE FINAL ENVIRONMENTAL IMPACT REPORT NO. 2006-01 AND APPROVING THE MITIGATION MONITORING AND REPORTING PROGRAM FOR THE PROPERTY LOCATED AT 1901 EAST FIRST STREET BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The Applicant is requesting approval of an addendum to a final environmental impact report, an amendment to a development agreement, a vesting tentative tract map, and a site plan review to allow the construction of a new multi- family residential development at 1901 East First Street. B. The Planning Commission has, following a duly noticed public hearing, on August 26, 2013, recommended the approval of the following items: 1. Adopt a resolution approving the Addendum to the Final Environmental Impact Report No. 2006-01 and approve the Mitigation Monitoring and Reporting Program. 2. Adopt an ordinance approving the first amendment to Development Agreement No. 2007-01. 3. Adopt a resolution approving Vesting Tentative Tract Map No. 2013-04 as conditioned. 4. Adopt a resolution approving Site Plan Review No. 2013-03 as conditioned. C. On September 16, 2013 the City Council of the City of Santa Ana held a duly noticed public hearing to consider all testimony, written and oral. At that time, the City Council continued the public hearing to October 21, 2013. On October 21, 2013, the City Council held a duly notice public hearing and further considered all testimony, written and oral, pertaining to the applicant's request for approval of the Addendum to the Final Environmental Impact Report No. 2006-01 and request for approval of the first amendment to Development Agreement No. 2007-01. Resolution No. 2013- 75A-223 Page 1 of 3 Section 2. The City Council previously approved and adopted Final Environmental Impact Report No. 2006-01. In accordance with the California Environmental Quality Act, an Addendum to the Final Environmental Impact Report No. 2006-01 and the mitigation monitoring and reporting program was prepared for this project. Based upon the studies, the City Council determines that there are no new significant impacts or any increases in the severity of the impacts previously identified in the original Environmental Impact Report. The City Council hereby approves the Addendum to the Final Environmental Impact Report No. 2006-01 and approves the mitigation monitoring and reporting program, attached hereto as Exhibit "A" and incorporated as though fully set forth herein. Section 3. These decisions are based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Council Action dated September 16, 2013, and exhibits attached thereto; the Request for Council Action dated October 21, 2013, and exhibits attached thereto; the public testimony, written and oral; and, the Final Environmental Impact Report No. 2006-01 and Mitigation Monitoring and Reporting Program that was previously approved and adopted by the City Council, all of which are incorporated herein by this reference. Section 4. This Resolution shall not be effective unless and until Ordinance No. NS- becomes effective. If said ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise does not go into effect for any reason, then this resolution shall be null and void and have no further force and effect. Section 5. Applicant has requested the approval of the above entitlements which are incompatible with previously granted entitlements. As such, any and all previously approved inconsistent entitlements are hereby null and void and of no further force and effect. Section 6. 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 October, 2013. Miguel A. Pulido Mayor Resolution No. 2013- 75A-224 Page 2 of 3 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 the attached Resolution No. 2013-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No. 2013- 75A-225 Page 3 of 3 75A-226 (ROH 10/21/13) ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN AMENDMENT TO THE DEVELOPMENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND LYON HOUSING (FIRST STREET) XLVIII, LLC 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 Amendment to 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 August 26, 2013, recommended approval of this First Amendment to Development Agreement. D. Entering into this First Amendment to Development Agreement would provide the City with extraordinary and significant benefits that are of regional significance, relate to existing deficiencies in public facilities, require the owner of 1901 East First Street to contribute a greater percentage of benefits than would otherwise be required, and represent benefits which would not otherwise be required as part of the development process. E. The City Council has held a noticed public hearing on this Ordinance and has considered all testimony presented thereto. F. The previously adopted and certified Final Environmental Impact Report EIR for the property, No. ER 2006-01, and its Addendum, have been approved and certified by this Council by resolution simultaneously with the introduction of this ordinance. Ordinance No. NS-XXX Page 1 of 3 75A-227 G. The proposed project will not adversely affect the General Plan, as is expressly set forth in the Request for Council Action dated October 21, 2013, together with all supporting documents, including but not limited to, proposed resolutions, which are incorporated herein by this reference. Section 2. The Amendment to 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 Recorder's Office. Section 3. This ordinance shall not be effective unless and until Resolution No. 2013- is adopted and becomes effective. If said resolution is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise does not go into effect for any reason, then this ordinance shall be null and void and have no further force and effect. Section 4. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of , 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney Ordinance No. NS-XXX Page 2 of 3 75A-228 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 Ordinance No. NS-XXX Page 3 of 3 75A-229 75A-230 RECORDING REQUESTED BY AND 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 FREE RECORDING GOVERNMENT CODE 46103 FIRST AMENDED AND RESTATED DEVELOPMENT AGREEMENT by and between THE CITY OF SANTA ANA and LYON HOUSING (FIRST STREET) XLVIII, LLC Dated: ,2013 Exhibit 1 067619\5448832v5 75A-231 DEVELOPMENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND LYON HOUSING (FIRST STREET) XLVIII, LLC, a Delaware limited liability company This FIRST AMENDED AND RESTATED DEVELOPMENT AGREEMENT is entered into between THE CITY OF SANTA ANA, a charter city and municipal corporation duly authorized under the Constitution and laws of the State of California ("City") and LYON HOUSING (FIRST STREET) XLVIII, LLC, a Delaware limited liability company ("Owner"). The City and Owner are referred to jointly within this First Amended and Restated Development Agreement as the "Parties" and individually as a "Party." 1. RECITALS. The First Amended and Restated Development Agreement is entered into with reference to the following facts: 1.1 The Property. The real property which is the subject of this First Amended and Restated Development Agreement is located at 1901 E. 1st Street in Santa Ana, California (the 'Property"). The Property is more particularly described in Exhibits A and B to this First Amended and Restated Development Agreement. The Property is a 5.1 acre parcel within the Metro East Mixed Use Overlay Zone that is located at the northeast comer of First Street and Cabrillo Park Drive. The Property is bounded by multi-tenant office buildings, a parking structure, and Kaiser Permanente medical offices to the north, low-rise office buildings and retail development to the East, First Street to the South, and Cabrillo Park Drive and a 15-story Xerox Centre office building to the West. The Property was previously occupied by a two-story, 75,300 square foot building (the "Main Building") and an existing parking structure with approximately 660 parking spaces (the "Existing Parking Structure"). The Main Building has been demolished, but the Existing Parking Structure remains on the Property. 1.2 The Original Agreement. (a) On April 2, 2007, the City Council of the City of Santa Ana (the "City Council") adopted Ordinance No. NS-2741 approving a Development Agreement between the City and 1901 E. 1st Street Partners, LLC (the "Original Agreement'). Ordinance No. NS-2741 became effective on May 2, 2007, which became the effective date of the Original Agreement. 067619\5448832v5 75A-232 (b) Before approving the Original Agreement, the City Council certified Environmental Review No. 2006-01 for the Original Agreement and the development proposal which was the subject of the Original Agreement (the "Original EIR"). (c) Both this First Amended and Restated Development Agreement and the Original Agreement pertain to the Property. (d) 1901 E. 1st Street Partners, LLC, a Delaware limited liability company, was the owner of the Property at the time of the Original Agreement (the "Original Owner'). (e) On September 30, 2012, Owner acquired the Property from 1901 Santa Ana Land, LLC, a Delaware limited liability company and a successor of the Original Owner. (f) By entering into this First Amended and Restated Development Agreement, the City Council approves the assignment of the rights and delegation of the obligations under the Original Agreement to Owner. 1.3 Purpose of this First Amended and Restated Development Agreement. (a) The purpose of this First Amended and Restated Development Agreement is to facilitate the development of the Property. This First Amended and Restated Development Agreement is not a new development agreement, but rather an amendment and restatement of the terms of the Original Agreement. The purpose of this First Amended and Restated Development Agreement is to (1) reflect a revised development plan for the Property and (2) extend the term set forth in the Original Agreement. (b) Owner proposes to develop on the Property a new 264-unit multifamily residential development (the "Project'). The Project will consist of a new 5-story low-rise Type III-A building containing 250 units to be constructed against the west side of the Existing Parking Structure and a new 3-story Type V-A townhouse building wrapping the south and east sides of the garage containing 14 townhouse units. A 5,000 GSF clubhouse and recreation deck with pool will be added over the southern half of the Existing Parking Structure. The project will also include approximately 2,424 SF of retail space on the corner of First Street and Cabrillo Park Drive. 067619\5448832v5 75A-233 1.4 Code Authorization. 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 development certainty for both the City and Owner in the development process. City enters into this First Amended and Restated Development Agreement pursuant to the provisions of the Government Code and applicable City policies. The Parties acknowledge: (a) This First Amended and Restated Development Agreement is intended to assure adequate public facilities at the time of development. (b) This First Amended and Restated Development Agreement is intended to assure development in accordance with City's General Plan, applicable Specific Plans and the Metro East Mixed-Use Overlay Zone. (c) This First Amended and Restated Development Agreement will permit achievement of goals and objectives as reflected in the City's General Plan, all applicable Specific Plans and the Metro East Mixed-Use Overlay Zone. (d) Owner is required by existing City regulations to provide mitigation for certain identified impacts and pay certain regulatory fees as conditions of approvals through the regulatory process. (e) This First Amended and Restated Development Agreement will allow City to realize extraordinary and significant public infrastructure facilities and other supplemental benefits in addition to those available through the existing regulatory process. (f) Many of the extraordinary and significant benefits identified as consideration to City for entering into this First Amended and Restated Development Agreement are of regional significance, relate to existing deficiencies in public facilities, require Owner to contribute a greater percentage of benefits than would otherwise be required, and represent benefits which would not otherwise be required as part of the development process. 1.5 Owner. Owner represents and warrants that it has a legal or equitable interest in the Property. 067619A5448832v5 3 75A-234 1.6 Interest of Owner. Owner represents that it has approved this First Amended and Restated Development Agreement and is authorized to enter into this First Amended and Restated Development Agreement. 1.7 Public Hearings. The Original Agreement was the subject of a series of Planning Commission and City Council public hearings in 2007. In addition, this First Amended and Restated Development Agreement was the subject of the following public hearings: (a) Planning Commission. On August 26, 2013, the Planning Commission, after giving notice pursuant to Government Code Sections 65090 and 65091, held a public hearing to consider the Owner's application for this First Amended and Restated Development Agreement and the environmental documentation evaluating the potential impacts of the First Amended and Restated Development Agreement. (b) City Council. On September 16, 2013, and continued to October 21, 2013, the City Council, after providing notice as required by law, held a public hearing to consider Owner's application for this First Amended and Restated Development Agreement (c) Environmental Analysis. Before approving this First Amended and Restated Development Agreement, the Planning Commission and the City Council reviewed an Addendum to previously prepared Environmental Review No. 2006-01 and the City Council approved the Addendum (the "Addendum"). 1.8 City Council Findings. The City Council finds that this First Amended and Restated Development Agreement is consistent with the General Plan, applicable specific plan(s), applicable zoning regulations, and all other applicable ordinances, plans, policies and regulations of the City. 1.9 City Ordinance. On , 2013, the City Council adopted Ordinance No. approving this First Amended and Restated Development Agreement. That ordinance becomes effective thirty (30) days after the date of adoption. 2. DEFINITIONS. In this First Amended and Restated Development Agreement, unless the context otherwise requires: 2.1 "Amendment Date" means _ 2013, the date on which the Adopting Ordinance became effective. 067619\5448832v5 4 75A-235 2.2 "Applicable Rules" means all rules, regulations, ordinances and official plans and policies of the City in force as of the Effective Date as included within the Santa Ana Municipal Code ("SAMC"), the Metro East Mixed- Use Overlay Zone, this First Amended and Restated Development Agreement and the Entitlements, as defined below. 2.3 "Effective Date" means May 2, 2007, the date upon which the ordinance approving the Original Agreement became effective. 2.4 "Entitlements" means this First Amended and Restated Development Agreement modifying Development Agreement No. 2007-01, Environmental Review No. 2006-01, the Addendum, General Plan Amendment No. 2007-01, Vesting Tentative Tract Map No. 2013-4, Zoning Ordinance Amendment No. 2007-01, the Metro East Overlay Zone Public Realm Improvement Plan, Site Plan Review Approval No. 2013-3, and any changes to these to which Owner has consented in writing. 2.5 "In Lieu Park Development Fee" means the fee to be paid by Owner to fully satisfy all park-related obligations of the Project as provided in Section 5.10 below. 2.6 "Owner" means Lyon Housing (First Street) XLVIII, LLC, a Delaware limited liability company. 2.7 "Original Agreement" means the Development Agreement between the City and 1901 E. 1 st Street Partners, LLC approved by the City Council on April 2, 2007, by Ordinance No. NS-2741. 2.8 "Original Hearing Date" means the date on which the City Council conducted the first reading of Ordinance No. NS-2741 approving the Original Agreement. 2.9 "Project" is the development on the Property of a 264-unit multiple family residential development and approximately 2,424 square feet of retail space as generally set forth in the Entitlements. 2.10 "Property" means the real property described in Exhibit A and referred to in Exhibit B. 2.11 "Public Art" is defined in Section 5.1.7. 2.12 "Public Art Fee" is defined in Section 5.1.7 2.13 "Public Art Plan" is set forth in Exhibit C to this First Amended and Restated Development Agreement. 067619\5448832v5 5 75A-236 2.14 "Reserved Powers" means the rights and authority excepted from this First Amended and Restated Development Agreement's restrictions on the City's police powers and which are instead reserved to the City. The Reserved Powers include the power to enact and implement rules, regulations, ordinances and policies after the Effective Date that are not in conflict with the Applicable Rules or that may be in conflict with the Applicable Rules, but: (a) prevent or remedy conditions which the City has found to be injurious or detrimental to the public health and/or safety; (b) are Uniform Codes; (c) are required to comply with mandates under state and federal laws, rules and regulations (whether enacted previous or subsequent to the Effective Date) or to comply with a court order or judgment of a state or federal court; or (d) relate to increases in development impact fees occurring after the Effective Date. 2.15 "Uniform Codes" means those building, electrical, mechanical, fire and other similar regulations which are based on recommendations of a multi- state professional organization and become applicable throughout the City, such as, but not limited to, the California Building Code, the California Electrical Code, the California Mechanical Code, or the California Fire Code (including those amendments to the promulgated Uniform Codes which reflect local modification to implement the published recommendations of the multi-state organization and which are applicable City-wide) 2.16 "Utility Release" means the formal approval of the City Building Department, following its inspection, that residential unit(s) may be released for initial connection to the electrical power system, water service system, gas service system, and sanitary sewer system. Utility Release(s) do not include temporary utility service provided to any structure during construction. 3. EXHIBITS. The following documents referred to in this First Amended and Restated Development Agreement are attached to this First Amended and Restated Development Agreement and are identified as follows: Exhibit Designation Description Referred to in Section A Property Legal Description 1.1, 2.10 B Property Graphical Description 1.1 C Public Art Plan 2.13, 5.1.7 067619\5448832,5 6 75A-237 D Offsite Improvements 5.1.8 4. GENERAL PROVISIONS. 4.1 Term of First Amended and Restated Development Agreement (the "Term"). The ten-year term of the Original Agreement started on the Effective Date of May 2, 2007, and would have ended on May 2, 2017. This First Amended and Restated Development Agreement shall extend the end of the Term to ten years after the effective date of the ordinance approving this First Amended and Restated Development Agreement. 4.2 Assignment. Owner shall have the right to transfer or assign the Property, 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 First Amended and Restated Development Agreement; provided, however, the rights of Owner under this First Amended and Restated Development 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 First Amended and Restated Development Agreement shall include in writing the assumption of the duties, obligations, and liabilities arising from this First Amended and Restated Development Agreement if the City grants written consent to transfer the rights. Nor shall the rights of the Owner hereunder be subject to assignment by attachment, execution, or proceedings under any provision of the Bankruptcy Act, and any such assignment or transfer of the rights under this First Amended and Restated Development Agreement shall be wholly void and of no force and effect unless such written consent thereto be obtained from the Council. A transfer or assignment of the rights under this First Amended and Restated Development Agreement without the consent of the City shall not relieve Owner of any accrued duty, obligation or liability to City. No consent shall be required for sale of units to condominium unit buyers. During the term of this First Amended and Restated Development Agreement, any approved assignee or transferee of the rights under this First Amended and Restated Development Agreement shall observe and perform all of the duties and obligations of Owner contained in this First Amended and Restated Development 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 First Amended and Restated Development Agreement. If the Property is subdivided, any subdivided parcel may be sold, 067619\5448832v5 7 75A-238 mortgaged, hypothecated, assigned, or transferred to persons for development by them in accordance with the provisions of this First Amended and Restated Development Agreement. Upon assignment or transfer of the rights of Owner under this First Amended and Restated Development Agreement, the obligations of Owner and the transferee or assignee shall be joint and several. Should the Project be developed as or later converted to condominiums, individual condominium unit buyers shall not have any liability or obligation pursuant to this First Amended and Restated Development Agreement. 4.3 Amendment or Cancellation of First Amended and Restated Development Agreement. This First Amended and Restated Development Agreement may be amended from time to time or cancelled by the mutual consent of the Parties, but only in the manner required by Government Code Section 65868. As used within this First Amended and Restated Development Agreement, the terms "Agreement" and "Original Agreement" shall include any amendment properly approved executed. 4.4 Enforcement. Notwithstanding Government Code Section 65865.4, this First Amended and Restated Development Agreement is enforceable by either Party in any manner provided by law. The remedies provided in Section 7.4 shall not include, and City shall not be liable for, any action in damages or any costs or attorney's fees resulting from any dispute, controversy, action or inaction, or any legal proceeding arising out of this First Amended and Restated Development Agreement. 4.5 Indemnification by Owner. Owner agrees to and shall indemnify, defend (through its own counsel) and hold City, its officers, agents, employees, consultants, and representatives harmless from liability for damages, attorneys' fees, restitution, judicial or (to the extent legally possible) equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from construction activities with respect to the Project by the Owner or their contractors, subcontractors, agents, employees, or other persons acting on their behalf. Owner further agrees to indemnify, defend (through its own counsel) and hold City, its officers, agents, employees, consultants, and representatives harmless from any Litigation, as hereinafter defined. For purposes of this paragraph, "Litigation" shall mean any lawsuit, action or cross-action, challenging the validity of this transaction, the Project as defined in Section 2.9, or any portion thereof or the rights of either party hereunder and/or the rights of either party to engage in the acts and transactions contemplated by this First Amended and Restated Development Agreement. Notwithstanding any other provision of this First 067619\5448832v5 8 75A-239 Amended and Restated Development Agreement, this indemnity and duty to defend shall be limited as follows: (a) Owner shall have no responsibility to defend the City under this section for any aspect of Litigation challenging Amendment Application 2007-01, General Plan Amendment No. 2007-01, and/or Zoning Ordinance Amendment No. 2007-01 (the "Overlay"). (b) In the event the Litigation results in a judgment and/or award of damages and/or attorneys' fees related to the Overlay but in no way related to the application of the Overlay to the Property, Owner shall have no responsibility to indemnify the City therefor. (c) In the event of any Litigation the parties agree to affirmatively cooperate in defending said action. (d) Owner shall have approval of any settlement if, (i) it will affect Owner's project, or (ii) Owner will be required to pay (or reimburse) any amounts (regardless of type) in connection with the settlement (including attorneys' fees and costs). (i) If City determines to settle over Owner's objections, then Owner may upon thirty (30) days written notice terminate defense of the action. (ii) If City rejects a settlement offer that Owner deems reasonable, then Owner may upon thirty (30) days written notice terminate defense of the action. (e) Owner shall be allowed to terminate its defense if it determines to abandon defense of its project application; provided, however, that in such circumstance Owner shall be solely liable for award, if any, of costs or attorneys' fees to plaintiff/petitioner incurred prior to the effective date of termination. 4.6 Binding Effect of First Amended and Restated Development Agreement. To the extent not otherwise provided in Section 4.2 of this First Amended and Restated Development Agreement, the burdens of this First Amended and Restated Development Agreement bind, and the benefits of the First Amended and Restated Development Agreement inure, to the parties successors in interest. 4.7 Relationship of the Parties. The contractual relationship between City and Owner arising out of this First Amended and Restated Development Agreement is one of independent contractor and not agency. This First 067619A5448832v5 9 75A-240 Amended and Restated Development Agreement does not create any third party beneficiary rights. 4.8 Notices. Any notice, tender, demand, delivery, or other communication pursuant to this First Amended and Restated Development 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: If to City, to: City Manager City of Santa Ana 20 Civic Center Plaza M-31 P.O. Box 1988 Santa Ana. California 92702 and City Attorney, City of Santa Ana 20 Civic Center Plaza M-29 P.O. Box 1988 Santa Ana, California 92702 If to Owner. to: Lyon Housing (First Street) XLVIII, LLC 4901 Birch Street Newport Beach, CA 92660 Attention: General Counsel and Tim Paone Cox Castle & Nicholson LLP 19800 MacArthur Boulevard Irvine, CA 92612-2480 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 067619\5448832v5 10 75A-241 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 telefacsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County, or city holidays shall be excluded. 5. DEVELOPMENT OF THE PROPERTY. 5.1 City Obligations. In consideration for Owner entering into this First Amended and Restated Development Agreement and performing its obligations hereunder and in order to effectuate the purposes and intentions set forth in this First Amended and Restated Development Agreement and the Development Agreement Act, the City hereby agrees during the Term as follows: 5.1.1 Vested Right to Develop. Owner is hereby granted the vested right to develop the Project subject to the terms and conditions of the Applicable Rules and the Reserved Powers. 5.1.2 Non-Application of Changes in Applicable Rules. Any change in, or addition to, the Applicable Rules, including, without limitation, any change in the General Plan, zoning ordinance, subdivision ordinance, or building regulation adopted or becoming effective after the Effective Date, including, without limitation, any such change by means of ordinance, initiative, referendum, resolution, motion, policy, order or moratorium, initiated or instituted for any reason whatsoever, however denominated, and adopted by the City Council, Planning Commission or any City Agency, or by the electorate, as the case may be, which would, absent this First Amended and Restated Development Agreement, otherwise be applicable to the Project and which would conflict with the Applicable Rules, shall not be applied to the Project unless such changes represent an exercise of the City's Reserved Powers or are otherwise expressly allowed by this First Amended and Restated Development Agreement. In the event that state or federal laws or regulations enacted after this First Amended and Restated Development Agreement has been entered into, prevent or preclude compliance with one or more provisions of this First Amended and Restated Development Agreement, such provisions of this First Amended and Restated Development Agreement shall be modified or suspended as may be necessary to comply with such state or federal laws or regulations. 067619\5448832v5 t t 75A-242 5.1.3 Agreed Changes and Other Reserved Powers. This First Amended and Restated Development Agreement shall not preclude application to the Project of rules, regulations, ordinances and officially adopted plans and policies in conflict with the Applicable Rules where such additional rules, regulations, ordinances and officially adopted plans and policies (a) are mutually agreed to in writing by Owner and the City, or (b) result from the Reserved Powers. 067619\5448832v5 5.1.4 Subsequent Development Approvals. The City shall require Owner to obtain only those Subsequent Development Approvals that are required by the Applicable Rules or the Reserved Powers. City agrees that it shall condition any Subsequent Development Approvals based only on the Applicable Rules and/or Reserved Powers. 5.1.5 Moratoria. In the event an ordinance, resolution or other measure is enacted, whether by action of the City, by initiative, or otherwise, which relates to the rate, amount, timing, sequencing, or phasing of the development or construction of the Project on all or any part of the Property, City agrees that, unless required by applicable state law, such ordinance, resolution or other measure shall not apply to the Project, Property or this First Amended and Restated Development Agreement, unless such changes are adopted pursuant to the City's exercise of its Reserved Powers or other applicable provision of this First Amended and Restated Development Agreement. 5.1.6 Timing of Development. The parties acknowledge that Owner cannot at this time predict when or if the Property will be developed. Such decisions depend upon numerous factors which are not within the control of Owner such as market orientation and demand, interest rates, absorption, completion and other similar factors. Because the California Supreme Court held in Pardee Construction Co. v. City of Camarillo (1984) 37 Cal. 3d 465, that the failure of the parties therein to provide for the timing of development resulted in a later adopted initiative restricting the timing of development to prevail over such parties' agreement, it is the parties' intent to cure that deficiency by acknowledging and providing that except as provided in and subject to Section 5.11, Owner shall have the right to develop the Property at such rate and at such time as Owner deems appropriate within the exercise of its subjective business judgment. 12 75A-243 5.1.7 Development, Construction, and Completion of Public Art. Owner shall include within the Project single or grouped permanent work of public art consistent with the Public Art Plan (collectively, "Public Art") at a cost of not less than One Hundred Twenty Five Thousand Dollars ($125,000) (the 'Public Art Fee"). 5.1.8 Additional Offsite Mitigation Measures. The offsite mitigation measures (i.e., which clarify mitigation measures set forth in the Project entitlements) which must be constructed by Owner are as set forth in Exhibit D to this First Amended and Restated Development Agreement. All funds or costs for offsite mitigation measures required pursuant to the approvals set forth in section 2.4 of this First Amended and Restated Development Agreement shall be paid or security provided therefor in conformance with the provisions of the Subdivision Map Act, no later than recordation of the final subdivision map for the Project, or issuance of the first building permit for the Project, whichever comes first. 5.1.9 Irrevocable Offer to Dedicate Easements or Land To Implement Public Realm Improvement Plan. On the face of the final map for the Project, or contemporaneous with offering the final map for filing with the County if it is not placed on the final map, Owner shall execute an irrevocable offer to dedicate to the City such property interest (easement for the breezeway/lane along the north side and fee title along the south side of the Project) as is necessary to effectuate the Metro East Public Realm Improvement Plan adopted contemporaneously with the Project. Owner shall not be required to dedicate additional land pursuant to any amendments to said Plan which may occur following its adoption. Owner shall be entitled to an offset against its obligations under Section 5.7 of this First Amended and Restated Development Agreement for such property. 5.2 Exclusion from Existing Rules, Regulations and Policies. (a) Pursuant to Government Code Section 65866 and Pardee Construction Co. v. City of Camarillo (1984) 37 Cal.3d 465, 208 Cal.Rptr. 228, 690 P.2d 701, City retains the right to enact police power regulations on matters not covered by Section 5.1 of this First Amended and Restated Development Agreement, including without limitation: (i) Municipal laws and regulations which do not interfere with Owner's vested rights to develop and use the Property in accordance with Section 5.1 of this First Amended and 067619\5448832x5 13 75A-244 Restated Development Agreement. Owner and its successors and assigns and all persons and entities in occupation of any portion of the Property shall comply with such non-conflicting laws and regulations as may from time to time be enacted or amended hereafter. Specifically, but without limitation on the foregoing, such non-conflicting laws and regulations include the following: • Taxes, assessments, fees and charges, except as otherwise specifically provided in this First Amended and Restated Development Agreement; • Building, electrical, mechanical, fire and similar codes based upon uniform codes incorporated by reference into the Santa Ana Municipal Code; • Laws, including zoning code provisions, which regulate the manner in which business activities may be conducted or which prohibit any particular type of business activity on a city-wide basis; and • Procedural rules of general City-wide application. 5.3 Construction Standards and Specifications. The construction standards (e.g., the Uniform Codes) and specifications for all Project construction shall be subject to applicable construction standards and guidelines in effect at the time that any development approval shall be sought for the Project or any unit or structure contained within the Project. 5.4 FAA Approval. Owner shall obtain and maintain, during the term of this First Amended and Restated Development Agreement, any and all necessary approvals from the FAA for the Project. Should such approvals lapse and not be reinstated or reapproved prior to the issuance of the first building permit, the City shall have the right to terminate this First Amended and Restated Development Agreement. 5.5 Processing Fees. All fees and charges intended to cover City costs associated with processing development of the Property, including but not limited to fees and charges for applications, processing, inspections, plan review, plan processing, and/or environmental review, which are existing or may be revised or adopted during the term of this First Amended and Restated Development Agreement, shall apply to the development of the Property. 067619\5448832v5 14 75A-245 5.6 Amendments or Additions to Citywide Fee Programs. This First Amended and Restated Development Agreement shall not preclude the inclusion of and changes to fee programs, taxes whether special or general, or assessments (hereafter collectively referred to as "fees") adopted by the City after the effective date of this First Amended and Restated Development Agreement, which shall be applicable to the Project or the Property provided that they (1) are standard fees applicable to all development in the City (although actual fee rates may vary within the City where bona fide Citywide fee zones have been established), (2) are not applicable primarily or only to this Project, or (3) are not imposed to either (a) mitigate, offset or compensate for Project impacts which were analyzed in the environmental impact report prepared for the Project, or (b) duplicate any project design features conditions of approval, agreements, or mitigation measures contained in this First Amended and Restated Development Agreement 5.7 Community Facilities District or Other Financing Tool. Owner agrees to petition for, and fully support (including voting to establish, if required), the establishment of or annexation into a Community Facilities District or similar financing mechanism covering the Property, in order to fund the proposed project's fair share of eligible items, e.g., the costs of implementing the Metro East Public Realm Improvement Plan; provided, however that the total effective tax rate (including but not limited to regular property or ad valorem taxes, special taxes, benefit assessment or other imposition) shall not exceed an annual levy of one and six-tenths percent (1.6%) of the Property's valuation, as improved. Owner and City shall cooperate in good faith to designate those improvement and/or fees to be funded by the Community Facilities District or other mechanism. Owner shall have the right to review and approve any final list of said facilities and/or fees; provided, however that Owner's approval may not be unreasonably withheld. 5.8 Phasing of Project. The parties agree and acknowledge that the Project may be built in up to two (2) phases (with one tower in each phase), but that, except as otherwise expressly stated herein, all conditions and mitigation measures shall be implemented as part of the initial phase; provided, however that Owner may propose to delay to the second phase on-site conditions (e.g., sidewalks) that could be damaged by future construction. Prior to issuance of the first building permit for the Project, Owner shall submit a proposed Phasing Plan to the City, for review and approval by the City's Planning Commission. The proposed Phasing Plan shall contain those items Owner deems necessary, but shall include the timing for first and second phase construction and interim site improvements (i.e., landscaping, internal circulation) between the phases. 067619A5448833v5 15 75A-246 The approved Phasing Plan must be implemented within six (6) months after completion of the first phase (i.e., issuance of first Utility Release). 5.9 Inclusionary Housing. Owner shall produce and incorporate a total of ten (10) low-income affordable units, including five (5) one-bedroom units and five (5) two-bedroom units, within the Project pursuant to the terms and regulations of Article XVIII.I of Chapter 41 of the Santa Ana Municipal Code. 5.10 In-Lieu Park Development Fee. The Owner shall pay an in-lieu park development fee in the amount of One Million Four Hundred Fifty Thousand Dollars ($1,450,000) with respect to the Project ("In-Lieu Park Development Fee") payable pro rata, which pro rata fraction shall be determined based on a fraction the numerator of which is the total number of residential units in a phase and the denominator of which is the total number of residential units in the Project. The pro rata In-Lieu Park Development Fee shall be paid prior to issuance of the building permit for each phase. The City shall use said fees for new parkland, capital improvements at existing parks, and deferred maintenance at existing parks (up to a maximum of fifty percent of amount of the fee). If not used or appropriated this fee shall be returned to Developer, consistent with the provisions of (and subject to the exceptions contained within) the California Mitigation Fee Act, Government Code § 66000 et seq. Owner may propose in future an alternative in-lieu of the provisions of this section which fully satisfies this requirement, and if such proposal is consistent with City's park plans and standards, the City shall consider such proposal in good faith; provided, however, that if approved such proposal shall be the subject of an amendment to this First Amended and Restated Development Agreement entered into pursuant to Government Code section 65868. 5.11 Covenants, Conditions, and Restrictions. Owner may, at its sole option, decide in the future to sell individual residential units as condominiums. Prior to the issuance of the first building permit for the Project, Owner shall provide to the City the proposed Covenants, Conditions, and Restrictions ("CC&R's") to be recorded against the Property for the condominiums. Those CC&R's must be approved by the Planning and Building Agency's Executive Director (or the person acting in the equivalent role if the title of the position is changed. The City's review and approval of the CC&R's shall be limited to determining inclusion of the following restrictions within the CC&R's: 067619\5448832v5 16 75A-247 (a) No more than four residents shall be permitted for each unit, except that for three-bedroom units, there shall be no more than five residents per unit. (b) All initial sales of residential units by Owner shall include a covenant that the buyer may not re-sell the unit for a period on one (1) year. (c) No home occupation shall be permitted in a unit, except in accordance with Section 41-192 et seq. of the Santa Ana Municipal Code. (d) Allocation of responsibility for repair of perimeter walls and common areas, including landscaping, will be specified in the CC&R's in the event of damage. (e) Notice of the urban character of the City and this area, including but not limited to (i) the permitted uses of the property and buildings in the immediate area of the development (e.g., Xerox Towers, State Compensation Insurance Fund, 1-5 and SR-55 freeways). (f) The release of the City from all claims which may arise from or relate to the urban character of the City and this area. (g) A term of the CC&R's of an initial period of ninety- nine years, with automatic and repeating one-hundred (100) year extensions, unless terminated earlier by the joint consent of (i) the City and (ii) not less than seventy five percent of those condominium owners entitled to vote under the CC&R's. (h) The need for the approval of the City to any proposed modifications to the provisions of the CC&R's identified in this Section 5.11. (i) The imposition of a significant financial penalty by the Home Owner's Association upon any member who violates the provisions of the CC&R's identified in this Section 5.11. 5.12 Conditions of Discretionary Approvals. The requirements imposed as conditions of any discretionary approval received through the City's existing regulatory process shall be governed by the terms of those approvals, and in no event shall such conditions be affected by the termination, cancellation, rescission, revocation, or default or expiration of this First Amended and Restated Development Agreement (although such conditions must comply with the Applicable Rules). 067619\5448832x5 17 75A-248 5.13 Compliance with Governmental Requirements. Owner shall carry out the design, construction, and operation of the Project in substantial conformity with all applicable laws, ordinances, statutes, codes, rules, regulations, orders, and decrees of the United States, the State of California, the County of Orange, the City, or any other political subdivision in which the Property is located, and of any other political subdivision, agency, or instrumentality exercising jurisdiction over the City, Owner or the Property, including all applicable federal, state, and local occupation, safety and health laws, rules, regulations and standards, applicable state and labor standards, applicable prevailing wage requirements, the City zoning and development standards, City permits and approvals, building, plumbing, mechanical and electrical codes, as they apply to the Property and the Project, and all other provisions of the City and its Municipal Code (as they apply to the Property and the Project), and all applicable disabled and handicapped access requirements, including, without limitation, the Americans With Disability Act, 42 U.S.C. § 12101 et seq., Government Code§ 4450 et seq., and the Unruh Civil Rights Act, Civil Code§ 51 et seq. (collectively, "Governmental Requirements"). 6. ANNUAL REVIEW. 6.1 City and Owner Responsibilities. City shall, at least every twelve (12) months during the term of this First Amended and Restated Development Agreement, review the extent of good faith substantial compliance by Owner with the terms of this First Amended and Restated Development Agreement. Pursuant to Government Code Section 65865.1, as amended, Owner shall have the duty to demonstrate by substantial evidence its good faith compliance with the terms of this First Amended and Restated Development Agreement at the periodic review. 6.2 Review Letter. If Owner is found to be in compliance with this First Amended and Restated Development Agreement after annual review, City shall, upon written request by Owner, issue a Review Letter to Owner (the "Letter") stating that based upon information known or made known to the City Council, the City Planning Commission and/or the City Planning Director, this First Amended and Restated Development Agreement remains in effect and Owner is not in default. Owner may record the Letter in the Official Records of the County of Orange. 6.3 Failure to Conduct Annual Review. City's failure to review at least annually Owner's compliance with the terms and conditions of this First Amended and Restated Development Agreement shall not constitute or be 067619\5448832v5 18 75A-249 asserted by any Party as a breach of this First Amended and Restated Development Agreement by Owner or City. 7. DEFAULT. 7.1 Events of Default. Owner is in default under this First Amended and Restated Development Agreement upon the happening of one or more of the following events or conditions: (a) If a warranty, representation, or statement made or furnished by Owner to the City is false or proves to have been false in any material respect when it was made; (b) A finding and determination made by the City Council following a periodic review under the procedure provided for in Government Code Section 65865.1 that upon the basis of substantial evidence the Owner has not complied in good faith with one or more of the terms or conditions of this First Amended and Restated Development Agreement; (c) Failure to comply with Governmental Requirements; (d) Any other event, condition, act, or omission which materially interferes with the intent and objectives of this First Amended and Restated Development Agreement. 7.2 Procedure upon Default. The following principles and procedures shall be applied in the determination of any Default: (a) Upon the occurrence of default, City shall give Owner (the "defaulting party") thirty (30) days written notice specifying the nature of the alleged default and, when appropriate, the manner in which said default may be satisfactorily cured. After proper notice and expiration of said thirty (30) day cure period without cure, City may terminate or amend this First Amended and Restated Development Agreement in accordance with the procedure adopted by the City as to all defaults that may be cured within said thirty (30) day cure period. For defaults that cannot be cured within said thirty (30) day cure period, City may terminate or amend this First Amended and Restated Development Agreement in accordance with the procedure adopted by the City should at any time Owner fail to diligently proceed in curing the default. Failure or delay in giving notice of default shall not constitute a waiver of any default, nor shall it change the time of default. 067619\5448832x5 19 75A-250 (b) City does not waive any claim of defect in performance by Owner, if on periodic review the City does not propose to modify or terminate this First Amended and Restated Development Agreement. (c) Non-performance shall not be excused because of failure of a third person. (d) An express repudiation, refusal, or renunciation of the contract, if the same is in writing and signed by the Owner, shall be sufficient to terminate this First Amended and Restated Development Agreement and a hearing on the matter shall not be required. (e) Adoption of a law or other governmental activity making performance by the Owner unprofitable or more difficult or more expensive does not excuse the performance of the obligation by the Owner. (f) All other remedies at law or in equity which are not inconsistent with the provisions of this First Amended and Restated Development Agreement are available to the parties to pursue in the event there is a breach. 7.3 Damages upon Termination. In no event shall Owner be entitled to any damages against City upon termination of this First Amended and Restated Development Agreement. 7.4 Institution of Legal Action. In addition to any other rights or remedies, either party may institute legal action to cure, correct, or remedy any default or breach, to specifically enforce any covenants or agreements set forth in this First Amended and Restated Development Agreement, or to enjoin any threatened or attempted violation of this First Amended and Restated Development Agreement; or to obtain any remedies consistent with the purpose of this First Amended and Restated Development Agreement. Legal actions shall be instituted in the Superior Court of the County of Orange, State of California, or in the Federal District Court in the Central District of California, Southern Division. 8. MORTGAGEE PROTECTIONS 8.1 Right to Owner/Notice/Multiple Mortgagees. Owner shall have the absolute right to encumber Owner's right, title and interest in, to and under this First Amended and Restated Development Agreement and the Property pursuant to one or more Mortgages. Because certain portions of the Project may be developed by one or more assignees, the Parties 067619\5448832v5 20 75A-251 acknowledge and agree that different Mortgages may encumber the Property and that there may be a separate Mortgage in effect with respect to separate parcels within the Property. It is the intention of the Parties that the rights and protections granted in this Section 8 to each Mortgagee shall only apply to the parcels upon which such Mortgagee's Mortgage is a lien (each a "Mortgage Parcel"), and to the rights, privileges and obligations under this First Amended and Restated Development Agreement relating to such Mortgage Parcel. 8.2 Notice of Breach to Mortgagee or Deed of Trust Holders; Right to Cure. With respect to any mortgage or deed of trust granted by Owner as provided herein, whenever the City delivers any Notice or demand to Owner with respect to any Breach by Owner under this First Amended and Restated Development Agreement and if Owner fails to cure the Breach within the time set forth herein, the City shall deliver to each Mortgagee a copy of such notice or demand accompanied by a writing to the affect that Owner has failed to cure a Breach ("Mortgagee Notice"); provided that Owner or Mortgagee has provided City with addresses for such purpose. Each such Mortgagee shall (insofar as the rights granted by the City are concerned) have the right, at its option, within thirty (30) days after the receipt of the Mortgagee Notice, to cure or remedy or commence to cure or remedy and thereafter to pursue with due diligence the cure or remedy of any such Breach and to add the cost thereof to the mortgage debt and the lien of its mortgage; provided, however if the Mortgagee is legally prevented from curing such Breach because of a bankruptcy by the Owner then the thirty (30) day period shall be tolled until such bankruptcy is confirmed or rejected. Nothing contained in this First Amended and Restated Development Agreement shall be deemed to permit or authorize such Mortgagee to take advantage of Owner's rights hereunder, or any portion thereof, without first having expressly assumed Owner's obligations to the City by written agreement reasonably satisfactory to the City. It is understood that a Mortgagee shall be deemed to have satisfied the thirty (30) day time limit set forth above for commencing to cure or remedy Owner default which requires title and/or possession of the Property (or portion thereof) if and to the extent any such Mortgagee has within such thirty (30) day period commenced proceedings to obtain title and/or possession and thereafter the Mortgagee diligently pursues such proceedings to completion and cures or remedies the Breach, provided that, in such event, all noncurable Defaults shall be waived. 8.3 Mortgagee Not Obligated Under this First Amended and Restated Development Agreement. Unless a Mortgagee expressly assumes Owner's Obligations to the City in accordance with Section 8.2, no Mortgagee shall in any way be obligated by the provisions of this First 067619A5448832v5 21 75A-252 Amended and Restated Development Agreement, nor shall any covenant or any other provision in this First Amended and Restated Development Agreement be construed to obligate such Mortgagee. Nothing in this First Amended and Restated Development Agreement shall be deemed to construe, permit or authorize any such Mortgagee to devote the Mortgage Parcel to any uses or to construct any improvements on the Mortgagee Parcel, other than those uses or improvements provided for or authorized by this First Amended and Restated Development Agreement. 8.4 No Liability. No Mortgagee shall have any liability beyond its interest in the Mortgage Parcel acquired through enforcement of its Mortgage for the performance or payment of any covenant, liability, warranty or obligation under this First Amended and Restated Development Agreement. City agrees that it shall look solely to the interests of such Mortgagee in such Mortgage Parcel for payment or discharge of any such covenant, liability, warranty or obligation. 8.5 No Amendment or Termination. This First Amended and Restated Development Agreement shall not, without the prior written consent of all Mortgagees holding Mortgages on any portion of the Property, be amended to (a) terminate this First Amended and Restated Development Agreement prior to the expiration of the Term (except as expressly provided above) or (b) change any provision of this First Amended and Restated Development Agreement which, by its terms, is specifically for the benefit of Mortgagees. No amendment to this First Amended and Restated Development Agreement affecting the Property or any part thereof, made without the consent of any Mortgagee holding a Mortgage on such Property, or any part thereof, shall be binding upon such Mortgagee or its successors in interest should it become a party hereto. 8.6 Condemnation or Insurance Proceeds. Nothing in this First Amended and Restated Development Agreement shall impair the rights of any Mortgagee, pursuant to its Mortgage, to receive insurance and/or condemnation proceeds which are otherwise payable to Owner granting such Mortgage. 8.7 Title by Foreclosure. Except as otherwise set forth herein, all of the provisions contained in this First Amended and Restated Development Agreement applicable to any of the Mortgage Parcel shall be binding on and for the benefit of any person who acquires title to the property, or any part thereof, by foreclosure under a Mortgage or transfer by deed in lieu. 8.8 Delegation to Mortgagee. Owner may delegate and/or assign irrevocably to any Mortgagee the non-exclusive authority to exercise any 067619A5448832v5 22 75A-253 or all of Owner's obligations and/or rights hereunder with respect to the Mortgage Parcel, but no such delegation shall be binding upon the City unless and until either Owner or such Mortgagee shall give to the City a true and correct copy of a written instrument effecting such delegation. Such delegation of authority may be effected by the terms of the Mortgage itself, in which case service upon the other Party of an executed counterpart or conformed copy of said Mortgage, together with written notice specifying the provisions therein which delegates such authority to said Mortgagee, shall be sufficient to give such other Party notice of such delegation. No such delegation or assignment shall relieve the Owner of that Mortgage Parcel of any of its obligations hereunder with respect to such Mortgage Parcel. 8.9 No Obligation to Cure. Nothing herein contained shall require any Mortgagee to cure any default of Owner referred to above. 8.10 Separate Agreement. The City shall, upon request, execute, acknowledge and deliver to each Mortgagee requesting same, an agreement prepared at the sole cost and expense of Owner, in form satisfactory to such Mortgagee and the City, between the City and the Mortgagees, agreeing to all of the provisions hereof, provided Owner pays for all legal and other consulting costs incurred by City in reviewing same. 8.11 Estoppel Certificate. Within thirty (30) days after written request therefore, the City shall execute and deliver to any proposed Mortgagee in connection with its new Mortgage and to such Mortgagee thereafter from time to time an estoppel certificate in form and substance satisfactory to Owner and such Mortgagee ("Estoppel Certificate"). The City hereby agrees to reasonably cooperate in including in any such Estoppel Certificate from time to time any provision which may reasonably be requested by any proposed Mortgagee for the purpose of implementing the Mortgagee protection provisions contained in this Section 8 and allowing such Mortgagee reasonable means to protect or preserve the lien and security interest of its Mortgage hereunder, clarifying the non- applicability of the provisions of this First Amended and Restated Development Agreement to such Mortgagee as it relates to parcels other than the Mortgage Parcel, and/or such other terms and provisions as are customarily required by Mortgagees (taking into account the customary requirements of their participants, syndication partners or ratings agencies) in connection with any such financing; provided, however, that no such Estoppel Certificate shall in any way materially adversely affect any rights of the City or increase any obligations of City under this First Amended and Restated Development Agreement. 067619\5448832x5 23 75A-254 8.12 Conflicts. If there is any conflict between this Section 8 and any other provision contained in this First Amended and Restated Development Agreement, this Section 8 shall control. 9. MISCELLANEOUS PROVISIONS. 9.1 Rules of Construction. The singular includes the plural; the masculine gender includes the feminine; "shall" is mandatory; "may" is permissive. If there is more than one signer of this First Amended and Restated Development Agreement, their obligations are joint and several. 9.2 Entire Agreement, Waivers and Amendments. This First Amended and Restated Development Agreement constitutes the entire understanding and agreement of the Parties with respect to the matters set forth in this First Amended and Restated Development Agreement. This First Amended and Restated Development Agreement supersedes all negotiation or previous agreements between the Parties respecting this First Amended and Restated Development Agreement. All waivers of any provision of this First Amended and Restated Development Agreement must be in writing and signed by the appropriate authorities of City or of Owner. All amendments to this First Amended and Restated Development Agreement must be in writing signed by the appropriate authorities of City and Owner, in a form suitable for recording in the Official Records of Orange County, California. Upon the completion of performance of this First Amended and Restated Development Agreement or its revocation or termination, an appropriate Certificate of Completion acknowledging such occurrence signed by the appropriate agents of Owner and City shall be recorded in the Official Records of Orange County, California. 9.3 Project as a Private Undertaking. It is specifically understood by the parties that: (a) the Project is a private development for purposes of Government Code Section 65864 et seq.; (b) City has no interest in or responsibilities for or duty to third parties concerning any improvements to the Property or in connection with the Project; and (c) Owner shall have the full power and exclusive control of the Property subject to the obligations of Owner set forth in this First Amended and Restated Development Agreement. 9.4 Incorporation of Recitals. The Recitals set forth in Section 1 of this First Amended and Restated Development Agreement are part of this First Amended and Restated Development Agreement. 9.5 Captions. The captions of this First Amended and Restated Development Agreement are for convenience and reference only, and shall not define, 067619A5448832v5 24 75A-255 explain, modify, construe, limit, amplify, or aid in the interpretation, construction, or meaning of any of the provisions of this First Amended and Restated Development Agreement. 9.6 Consent. Where the consent or approval of a Party is required by or necessary under this First Amended and Restated Development Agreement, the consent or approval shall not be unreasonably withheld. 9.7 Covenant of Cooperation. The Parties shall cooperate with and deal with each other in good faith. They will assist each other to the extent needed in the performance of the provisions of this First Amended and Restated Development Agreement. 9.8 Time of Essence. Time is of the essence for each provision of this First Amended and Restated Development Agreement of which time is an element. 9.9 Conflicts of Law. In the event that state or federal laws or regulations enacted after this First Amended and Restated Development Agreement has been entered into or the action or inaction of any other affected governmental jurisdiction prevent or preclude compliance with one or more provisions of this First Amended and Restated Development Agreement or require changes in plans, maps, or permits approved by the City, the parties shall provide the other party with written notice of such state or federal restriction, provide a copy of such regulation or policy, and a statement of conflict with the provisions of this First Amended and Restated Development Agreement. The Parties shall, within thirty (30) days, meet and confer in good faith in a reasonable attempt to modify this First Amended and Restated Development Agreement to comply with such federal or state law or regulation. Thereafter, regardless of whether the parties reach an agreement on the effect of such federal or state law or regulation upon this First Amended and Restated Development Agreement, the matter shall be scheduled for hearing before the Council. Public notice of such hearing shall be given pursuant to Government Code Section 65854.5. The City Council, at such hearing, shall determine the exact modification or suspension which shall be necessitated by such federal or state law or regulation pursuant to Government Code Section 65869.5. At the hearing Owner shall have the right to offer oral and written testimony. 9.10 Recording. The City Clerk shall cause a copy of this First Amended and Restated Development Agreement to be recorded with the Office of the County Recorder of Orange County, California, within ten (10) days 067619\5448832v5 25 75A-256 following the effective date of this First Amended and Restated Development Agreement. IN WITNESS WHEREOF, this First Amended and Restated Development Agreement has been executed by the City of Santa Ana and by Owner. Dated this day of '2013. ATTEST: THE CITY OF SANTA ANA Clerk of the Council City Manager Approved as to Form: Title: 067619\5448832v5 LYON HOUSING (FIRST STREET) XLVIII, LLC a Delaware limited liability company By: Name: Title: 26 75A-257 STATE OF CALIFORNIA ) ss: COUNTY OF ORANGE ) On , 2013 before me, a Notary Public in for said state, personally appeared , who proved to me on the basis of satisfactory evidence to be the City Manager of THE CITY OF SANTA ANA, the charter city that executed the within instrument, known to me to be the person who executed the within instrument on behalf of the municipal corporation therein named, and acknowledged to me that such municipal corporation executed the within instrument pursuant to its bylaws or a resolution of its City Council. WITNESS my hand and official seal. Signature of Notary Public STATE OF CALIFORNIA ) ss: COUNTY OF ORANGE ) On , 2013 before me, a Notary Public in for said state, personally appeared , who proved to me on the basis of satisfactory evidence to be the City Manager of THE CITY OF SANTA ANA, the charter city that executed the within instrument, known to me to be the person who executed the within instrument on behalf of the municipal corporation therein named, and acknowledged to me that such municipal corporation executed the within instrument pursuant to its bylaws or a resolution of its City Council. WITNESS my hand and official seal. Signature of Notary Public 067619\5448832x5 27 75A-258 STATE OF CALIFORNIA ) ss: COUNTY OF ORANGE ) On , 2013 before me, a Notary Public in for said state, personally appeared , who proved to me on the basis of satisfactory evidence to be the City Manager of THE CITY OF SANTA ANA, the charter city that executed the within instrument, known to me to be the person who executed the within instrument on behalf of the municipal corporation therein named, and acknowledged to me that such municipal corporation executed the within instrument pursuant to its bylaws or a resolution of its City Council. WITNESS my hand and official seal. Signature of Notary Public 067619\5448832v5 28 75A-259 EXHIBIT A Property Legal Description THAT PORTION OF LOT 15 OF THE MAYBURY TRACT, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 36, PAGE 65 OF MISCELLANEOUS MAPS, RECORDS OF LOS ANGELES COUNTY, CALIFORNIA, DESCRIBED AS FOLLOWS: PARCEL No. 1 AS SHOWN ON A MAP FILED IN BOOK 98, PAGE 30 OF PARCEL MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF ORANGE COUNTY, CALIFORNIA, AS AMENDED BY A CERTIFICATE OF CORRECTION RECORDED OCTOBER 20, 1977 IN BOOK 12424, PAGE 543 OF OFFICIAL RECORDS. EXCEPTING THEREFROM THAT PORTION OF PARCEL 1 AS SHOWN ON A MAP FILED IN BOOK 98, PAGE 30 OF PARCEL MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF ORANGE COUNTY, CALIFORNIA, SITUATED IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, DESCRIBED AS FOLLOWS: BEGINNING AT THE SOUTHWESTERLY CORNER OF SAID PARCEL I; THENCE ALONG THE SOUTHERLY LINE OF SAID PARCEL 1 NORTH 89°31'52" EAST 34.14 FEET; THENCE NORTH 45°19'14" WEST 38.26 FEET TO A LINE PARALLEL WITH AND FEET EASTERLY FROM THE WESTERLY LINE OF SAID PARCEL 1; THENCE SOUTH 89°49'39" WEST 7.00 FEET TO SAID WESTERLY LINE; THENCE ALONG SAID WESTERLY LINE SOUTH 0 010'21" EAST 27.18 FEET TO THE POINT OF BEGINNING, AS GRANTED TO THE CITY OF SANTA ANA, IN DEED RECORDED SEPTEMBER 18, 1990 AS INSTRUMENT No. 90-493896, OF OFFICIAL RECORDS. Orange County Assessor's Parcel Number 400-081-08 067619\5448832x5 PSA aO EXHIBIT B Property Site Plan 067619\5448832v5 7%W 26 1 w ?? w ? a s ? n w ¢ ? 3 ??? a rn ?_ ?? ia? ?a a sp ? m ? O r3 ? I I II F^ _a 4. i I pl n lip 1 1 a- 1 y?3 SyE 2 k _ $ `L a I I Ill{iII p33@® e'i tl?!I I;Ir d?d,?. ? iA6166g5 ?? y1 ?I?t li4(9 I`` w.. a.. ? S?? ?S? ?zpa gsg <a • lIIIIII II,?l9 5 v?saa area ??8s?a8 II ??yu iC MAE 1 ? r ? 1 - Es „ o ? T e 133"Ps ISM 'E r ?- - I ?I I . .. EXHIBIT B-1 N C7 oa 4 4 k b r 1 { I P.J- ?E T77 7 a ?, r I ` <I f ?_ c. i I E I I I _ I (- EXHIBIT C Public Art Plan 1. The Public Art shall be designed, constructed, and installed by Owner. 2. A Final Design Plan for the Public Art shall be submitted to the City's Planning Commission within thirty (30) days prior to the issuance of a Final Certificate of Occupancy for the first unit of the Project. The Final Design Plan shall (i) identify one (1) or more specific items of Public Art for one (1) or more specific locations and/or application, and (ii) specify the timing of the installation of the Public Art. The installation shall occur no later than 180 days after the first utility release for the Project. Owner shall expend not less than One Hundred Twenty Five Thousand Dollars ($125,000) in total in connection with the Public Art. 3. The Public Art should invite participation and interaction, inspire, add local meaning, interpret the community by revealing its culture or history, and/or capture or reinforce the unique character of the new place. 4. The Public Art should be constructed using durable materials and finishes including but not limited to stone or metal. 5. The Public Art should be comprised of a single or grouped permanent work(s) at a prime location visible to the public and sited to complement features such as plaza or architectural components so that the Public Art is an integral part of the development site. 6. No Public Art shall include advertising of any type, including but not limited to products, service, or businesses. 7. All Public Art shall be properly maintained at all times, be free of any graffiti, and shall not incorporate any flashing or distracting form of illumination. 8. The Owner may assign ownership, maintenance and/or repair responsibilities of the Public Art to one or more Owners' Association(s). 9. All Public Art shall remain on the Property and may not be removed without the approval of the Planning Commission. 10. Expenses not included in the Public Art Fee. a. Expenses to locate the artist(s) (e.g., airfare for artist interviews, etc.) b. Architect and Landscape Architect fees incurred in connection with the Public Work(s) of Art. 067619\5448832v5 "61ALIA w C. Landscaping around Public Work(s) of Art that is not included as part of the artist's sculpture furnishings, including, but not limited to, functional structures, prefabricated water or electrical features not created by the artist, and ornamental enhancements. d. Utility fees associated with activating electronic or water generated artwork. e. Lighting elements not integral to the illumination of the Public Art. f. Publicity, public relations, photographs, educational materials, business letterhead or logos bearing artwork image. g. Dedication ceremonies, including sculpture unveilings or grand openings. 067619\5448832v5 M464 464 EXHIBIT D Additional Offsite Mitigation Measures Improvement Location Pay fair share of all costs to acquire Fourth Street at Southbound SR-55 on- required right of way for and construct ramp (Tustin Avenue to SR-55) eastbound right turn lane In order to implement & satisfy mitigation measure MM 4.12 2, construct raised First Street and Cabrillo along the "pork- chop" island to Public Works project frontage Agency specifications Note: For offsite public improvements constructed by Owner (i.e., "pork-chop" island), it shall pay all workers employed in connection with the work not less than the prevailing rates of wages, as provided in the statutes applicable to public works contracts, including without limitation§§ 1770-1780 of the California Labor Code. 067619\5448832v5 7? I16rJ 75A-266