HomeMy WebLinkAbout FULL PACKET_2014-08-05MINUTES OF THE SPECIAL AND REGULAR MEETING
OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA, CALIFORNIA
CALLED TO ORDER
JULY 15, 2014
SPECIAL CLOSED SESSION MEETING
COUNCIL CHAMBER
22 CIVIC CENTER PLAZA
SANTA ANA, CA
4:42 P.M.
ATTENDANCE COUNCILMEMBERS Present:
MIGUEL A. PULIDO, Mayor
SAL TINAJERO, Mayor Pro Tern (4:49 p.m.)
ANGELICA AMEZCUA
P. DAVID BENAVIDES
MICHELE MARTINEZ
ROMAN A. REYNA (4:49 p.m.)
VINCENT F. SARMIENTO (4:43 p.m.)
COUNCILMEMBERS Absent:
None
STAFF Present:
DAVID CAVAZOS, City Manager
SONIA R. CARVALHO, City Attorney
MARIA D. HUIZAR, Clerk of the Council
PUBLIC COMMENTS - None
COUNCIL RECESSED to Room 147 for Closed Session discussion at 4:42 p.m.
CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters
without members of the public present. The City Council finds, based on advice from the City Attorney,
that discussion in open session of the following matters will prejudice the position of the City in existing
and anticipated litigation:
CONFERENCE WITH
pursuant to Paragraph
Government Code:
CITY COUNCIL MINUTES
LEGAL COUNSEL-- EXISTIN G
(1) of subdivision (d) of Section
1 0A -1
LITIGATION
54956.9 of the
JULY 15, 2014
• JOINT ITEM — City of Santa Ana, Successor Agency and Housing
Authority: Peebler vs. State of California, Superior Court Case No. 34-
2012- 80001172; Court of Appeal Case No. C073698
• JOINT ITEM — City of Santa Ana, Successor Agency and Housing
Authority: Cuenca vs. State
• JOINT ITEM — City of Santa Ana, Successor Agency and Housing
Authority: City of Santa Ana vs. Ana Matosantos (DOF) Case No. 34-
2013- 80001477
• Gomez et al v City of Santa Ana (SAV06- 245DOC(RNBX) - (Vending
Trucks)
• Hao Tran v City of Santa Ana, WCAB Case Number ADJ6519716
• Gilbert Rodriguez v City of Santa Ana, WCAB Case Numbers
ADJ7989514, 4580205 and 1843984
2. PUBLIC EMPLOYEE — ANNUAL EVALUATION OF PERFORMANCE
pursuant to Section 54957(b)(1) of the Government Code:
Title: City Manager, City Attorney, and Clerk of the Council
CLOSED SESSION REPORT — See Agenda Item 19A. for reportable actions.
ADJOURNED THE CLOSED SESSION MEETING AT 6:11 P.M. AND CONVENED TO
THE REGULAR OPEN MEETING
CITY COUNCIL MINUTES 2 JULY 15, 2014
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REGULAR OPEN MEETING
CALLED TO ORDER COUNCIL CHAMBER
22 CIVIC CENTER PLAZA
SANTA ANA, CA
6:11 P.M.
ATTENDANCE COUNCILMEMBERS Present:
MIGUEL A. PULIDO, Mayor
SAL TINAJERO, Mayor Pro Tern
ANGELICA AMEZCUA
P. DAVID BENAVIDES
MICHELE MARTINEZ
ROMAN A. REYNA
VINCENT F. SARMIENTO
PLEDGE OF ALLEGIANCE
INVOCATION
PRESENTATIONS
COUNCILMEMBERS Absent:
None
STAFF Present:
DAVID CAVAZOS, City Manager
SONIA R. CARVALHO, City Attorney
MARIA D. HUIZAR, Clerk of the Council
MAYOR PULIDO
DAVID MITCHELL, POLICE CHAPLAIN
1. PROCLAMATION presented by MAYOR PULIDO to Mike Harrah for outstanding
business development and investment in the Santa Ana community.
2. SPECIAL INTRODUCTION by COUNCILMEMBER MARTINEZ - Ivan Pena,
Director of the California State University, Fullerton, Upward Bound Program.
3. CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER MARTINEZ
to Evangeline Gawronski and Dawn Gawronski for being active volunteers with the
Santa Ana Police Department and Community Preservation.
4. SPECIAL PRESENTATION by Orange County Vector Control - Jared Dever,
Director of Communications regarding West Nile Virus Prevention
CITY COUNCIL MINUTES 3 JULY 15, 2014
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CITY COUNCIL RECESSED AT 7:12 P.M. TO THE SUCCESSOR AGENCY
MEETING FOLLOWED BY THE SANTA ANA FINANCING AUTHORITY MEETING
AND RECONVENED AT 7:13 P. M. WITH SAME MEMBERS PRESENT.
AGENDA ITEM TAKEN OUT OF ORDER
65A. SUBMISSION TO THE VOTERS AT THE NOVEMBER 4, 2014
MUNICIPAL ELECTION: PROPOSED CHARTER AMENDMENTS
REGARDING DEPARTMENT HEADS AND CIVIL SERVICE; CREATION
OF ETHICS COMMISSION, CITY COUNCIL COMPENSATION; AND
LEGAL DEFENSE FUND AND CAMPAIGN CONTRIBUTION
LIMITATIONS (STRATEGIC PLAN NO. 5, 1)
Ad Hoc Council Committee approved recommendation.
The following members from the public spoke on the matter:
• Robin Cook, opined that Item 1A should be separated into 2 parts;
concerned with denial of civil service protection for Police Chief.
• Mathew Southgate, commented on proposed measure to increase city
council salary, opined that proposal is 5 separate issues.
• Thomas Gordon, opined that Ethics Committee already established
(Measure D); opposed to relaxing the campaign contribution limits and
salary increase for City Council.
• Douglas Lanphere, opposed to City Council adding another ballot
initiative on the 2014 Election ballot, not fiscally responsible.
Council discussion ensued.
• Councilmember Martinez, clarified that civil service protection would be
prospective and would not impact the current police chief; total cost to
place all of the proposed initiatives on the 2014 Election ballot is
estimated at $225,000; proposals require voter approval; supports
establishment of a full -time City Council; noted that City Council salary
approved in 1952 and campaign contribution limits are inconsistent
with State restrictions (other municipalities do not have limits); also,
council benefits could be approved by ordinance and separate action.
• Councilmember Benavides, noted that the 2006 Charter Review
Committee made recommendations that are part of items being
considered; salary has not been adjusted since 1952; recommended
amendments are in par with State requirements; Code of Conduct and
Ethics Committee should be an Ethics Commission; campaign limits
should be consistent with state amounts.
• Councilmember Sarmiento, opined that scope of Ethics Commission
could be expanded; salary proposed is about $8,000 a year difference;
CITY COUNCIL MINUTES 4 JULY 15, 2014
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existing campaign contribution limits are confusing and inconsistent
with State limits.
• Mayor Pro Tern Tinajero, concerned with current campaign limit of
$1,000; opined that salary adjustment needed to attract council
candidates with diverse experience; full -time city council members are
career politicians; does not support recommendations proposed.
• Mayor Pulido, too many factors included in the item; not support
recommendation.
• Councilmember Amezcua, thanked committee members for reviewing
matter; would support matters as separate items.
• Councilmember Martinez stated that she would bring back the civil
service portion of the proposed Charter amendment at the next
meeting.
MOTION: Reject recommendations as proposed by Ad Hoc
Committee on proposed Charter Amendments.
MOTION: Tinajero
VOTE: AYES:
NOES:
ABSTAIN:
ABSENT:
AGENDA ITEM TAKEN OUT OF ORDER
SECOND: Pulido
Amezcua, Pulido, Martinez,
Sarmiento, Tinajero (6)
Benavides (1)
None (0)
None (0)
Reyna,
85A DIRECT CITY ATTORNEY TO PREPARE BALLOT MEASURE TO BAN
MEDICAL MARIJUANA COLLECTIVES AND DIRECT CITY MANAGER
TO PREPARE ENFORCEMENT PLAN INCLUDING A TASK FORCE
FOR ADOPTION WITHIN 30 DAYS (STRATEGIC PLAN NO. 5, 1) -
(Councilmembers Amezcua, Martinez, and Benavides)
• Carl Benninger, supports agenda item; opined that medical marijuana
should be dispensed at pharmacies; thanked City Council and
committee for successful 4t" of July event.
• Jacqueline Hernandez, spoke against proposed ban; City to legalize
and regulate cannabis.
CITY COUNCIL MINUTES
:9
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JULY 15, 2014
• Nick Morrow, retired deputy sheriff, supports patient rights and use of
medical marijuana; opined that illegal dispensaries will bring cartels
and negative element; opposed to ban.
• Kandice Hawes, principal officer of voter initiative that has qualified
petition for the 2014 Election; noted that at previous City Council
meeting proposal considered but not approved; opined that proposal
would confuse voters; suggested the following: ban has not worked
and would cost taxpayers money; regulation would bring revenue.
• Steve McGuigan, commented that City has store retail fronts and not
medical facilities; concerned with facilities close to neighborhoods; by
having 3 measures it would dilute the vote; policies for police
enforcement is driven by the city council.
• Robin Cook, supports placing on the ballot; not enough code
enforcement and police personnel to address issue.
• Philip Escobedo, concerned with number of dispensaries in the City;
safety and mission of City not inline; medicinal use ok; strict
regulations need to be implemented; opined that revenue would not be
enough to address all of the negative effects in the community.
• John Grace, supports regulation of dispensaries; concerned with
proposed ban; controversial item with no unanimity; safe access to
those in need.
• Elisabeth Lopez, opposed to proposed ban; City resources not
available to address current dispensaries.
• Guy Lopez, spoke in opposition to proposed ban; opined that City has
failed to address current ban; access should be regulated.
• Rosa Maria Sanchez, noted that medical use is acceptable, but should
be sold at pharmacies.
• Ernestina Lopez, concerned with number of dispensaries and ease of
access to our youth.
• Monica Contreras, troubled with location and proximity of dispensaries
to Kidworks and other facilities;
• Michael S. Smith, Sr., supports legalizing and regulating medical
marijuana;
• Derick Wordon, member of the Committee to Support Medical
Marijuana; proposed ban would confuse voters.
• Mark Wager, M.D., supports medical marijuana regulation; cannabis
able to treat addictions and other ailments.
• Ernestine Latimer, consumer of medical marijuana; regulation should
be approved; opposed to ban.
• Isabelle Lopez, opined that medical marijuana should have medical
prescription.
CITY COUNCIL MINUTES 6 JULY 15, 2014
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• Jose Leal, resident of Lacy Neighborhood, concerned with access to
children and exposure; safety forum next week where Police Chief will
address the neighborhood.
• Cecilia Iglesias, opposed to medical marijuana dispensaries and close
to schools; school board collaboration between the Santa Ana Unified
School District and the City; opposed to location.
• Manuela Lopez, noted that youth in danger because of access;
dispensaries should not be close to schools or youth facilities and
decision should be favorable to the youth in our community.
• Tixoc Ventura, noted that ban has not been enforced since Moratorium
approved in 2007; troubled that current dispensaries in our
neighborhoods; regulate and far away from schools.
• Nancy Mejia, representing Latino Health Access, commented on safety
and hours of operation, criminal activity; legalizing will send wrong
message to community; concerned with dual morality of actions by the
City Council including ABC licenses in downtown.
• Aracely Robles, City should enforce ban; outside businesses moving to
City.
• Sarai Arpeo, supports regulation of medical marijuana; opportunities
for our youth need to be made available; prevention services also
required.
• Apolonio Cortes, strict enforcement and regulation if medical marijuana
approved; approval only for medical purposes.
• Carlos Melendez, urged the City Council to make right decision.
• Paul Bonyear, spoke in support of regulation of medical marijuana,
regulation needed.
• Thomas Gordon, spoke in opposition to medical marijuana, 58% of 2.4
first time users are under 18 years of age; opined that dispensaries
does not sell medical marijuana; supports placing ban for voter
consideration.
• Julie Stroud, opposed to having dispensaries in the City; concerned
with enforcement as it applies to graffiti, illegal dispensaries; regulation
of legal dispensaries would be difficult.
• Mayor Pulido left the meeting at 8:29 p.m. and did not return.
• Ms. Gwen, noted that her business complex has many dispensaries
next to her; in danger of businesses leaving the City; property owner's
rights have not been considered; image of the City would be tarnished.
• Sal Hernandez, dispensaries already in our neighborhoods; ban should
be enforced.
CITY COUNCIL MINUTES 7 JULY 15, 2014
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• Angie Aparicio, member of Latino Health Access, empathizes with
legitimate users, but opined that Santa Ana should not be haven for
such businesses.
• Rosalia Pileon, commented that by allowing dispensaries would allow
experimentation with drugs at a younger age; does not believe Santa
Ana should be first city to regulate; city should be safe and secure and
children are in safe environment.
• Douglas Lanphere, commented that City has not enforced ban; voter
initiative has qualified; addition of proposed ban would place additional
financial burden on the residents;
• Ramon Hernandez, concerned that marijuana is a gateway to other
drugs; also, current dispensaries in close proximity to schools.
• Irma Macias, bring parks and education to our City; mobile vending
trucks are selling guns and other illegal items.
• Steve Rocco, reflected on personal experience with illegal drugs and
impact to family.
• David Mason, noted that matter already considered and was not
approved; access to medical marijuana needed.
• Oscar Tenorio, stated that dispensaries close to neighborhood;
regulation needed.
Council discussion ensued.
• Councilmember Amezcua, supports item; voters to consider matter.
MOTION: DIRECT CITY ATTORNEY TO PREPARE BALLOT
MEASURE TO BAN MEDICAL MARIJUANA COLLECTIVES AND
DIRECT CITY MANAGER TO PREPARE ENFORCEMENT PLAN
INCLUDING A TASK FORCE FOR ADOPTION WITHIN 30 DAYS,
MOTION: Amezcua SECOND: Benavides
• Councilmember Benavides, noted that medical marijuana is not
banned, could be grown at home or obtained at pharmacies.
• Councilmember Martinez, reflected on need to have enforcement in
place for recreational user; supports task force and appropriation of
funds to close illegal businesses; need $500,000 to $1 million to
address matter.
• Councilmember Reyna, agreed that enforcement plan and financial
assistance needed; would not support moving funds from any
prevention programs.
CITY COUNCIL MINUTES 8 JULY 15, 2014
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• Councilmember Sarmiento, noted that ban has had enforcement
issues; resources have been allocated but not enough, finite funds
available in the general fund; committed effort to carve funds needs to
take place; proposed regulation would restrict to industrial areas; noted
that today County Board of Supervisors approved funds for first
homeless shelter — balanced effort needed; regulation would bring
revenues and move away from sensitive receptors; strong enforcement
and funds needed if City bans.
• Mayor Pro Tern Tinajero, supports regulating dispensaries and moving
away from schools; city proposition will remove from neighborhoods
and bring revenues; ban may win and opined that problem would
remain; as a school teacher is advocating to move away from our
residents; if City proposal wins Huffington Post of April poll noted that
65% support marijuana; precedence could be set by allowing in
industrial areas.
• Councilmember Martinez, City needs to make enforcement a priority
and direct the City Manager and approve resources.
• City Manager Cavazos, indicated that work -study session scheduled
for August 5;
■ Police Chief Rojas, vice squad needed to address drug issues (8
officers); different levels of enforcement could be implemented.
■ Cavazos - $1.5 million from US Marshalls met the efficiency savings;
land use enforcement would require code enforcement officers and
also attorneys.
• Councilmember Benavides, need to have enforcement plan now and
not wait until November.
■ City Manager Cavazos, options would be provided on August 5t"
• Chief Rojas, regulation and enforcement issues, lack of resources in
the Planning and Building, Police Department and City Attorney
offices.
• Councilmember Amezcua, supports regulation and prioritize
businesses close to school.
• City Attorney Carvalho commented that businesses in close proximity
of school are in violation of state law and are a higher priority.
• Councilmember Sarmiento, called for the question; thanked police
chief, code enforcement and city attorney efforts; ban that is not
funded not good policy.
• Councilmember Martinez, need task force with dedicating $500,000 of
overtime to develop a plan, identify and shut down; address all the dab
bars.
CITY COUNCIL MINUTES 9 JULY 15, 2014
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SUBSTITUTE MOTION: Direct staff to create a task force using
current resources; allocate $500,000 for overtime pay, and identify
and prioritize medical marijuana collectives operating illegally for
shut down.
MOTION: Martinez
VOTE: AYES:
NOES:
ABSTAIN
ABSENT:
SECOND: Tinajero
Amezcua, Martinez, Reyna Sarmiento,
Tinajero (5)
Benavides (1)
None (0)
Pulido (1)
CLOSED SESSION REPORT — See Agenda Item 19A for reportable action.
PUBLIC COMMENT
• Steve McGuigan, concerned that Santa Ana to be dumping ground; need to take
care of Santa Ana vision; also invited all to attend the Santa Ana Summer concert
series.
• Albert Castillo, commented on Agenda Item 20A; propose that it be used for
community policing; opposed to gang injunction on Townsend.
• Sam Romero, spoke in opposition to streetcar being located on 4t" Street.
Gary Obergfell, Santa Ana Community Business Alliance, opposition to fixed car
guideway; members are opposed to location; also, neighborhoods have not been
notified.
• Raul Yanez, submitted 85 signatures from downtown area businesses in opposition
to streetcar being located on 4t" street.
• Claudia Arellanes, read letter of opposition on street car project that was signed by
over 100 businesses in the downtown area.
• Cynthia Perez, spoke of Harbor Corridor Plan; include Santa Anita area in decision
making; also, City to reach out to neighborhoods.
• Carolyn Torres, commented on lack of funding and prevention programs; concerned
with 29 people named in Gang Injunction on Townsend and not able to attend
closed hearing.
• Gaby Hernandez, noted that group organized to address gap in services and
resources; ethical obligation to address gang injunction.
CITY COUNCIL MINUTES 10 JULY 15, 2014
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• Teresa DeRosas, concerned with enforcement plan and funds used to address gang
injunction; opposed to Agenda Item 20A.
• Alfonso Alvarez, spoke in opposition to gang injunctions and drug sales; also,
concerned with Agenda Item 20A.
• James Kendricks, provided complimentary copy of Trains Magazine; supports Street
Car project, but not on 4th Street; bicyclist have caused problems; Bristol street
landscaping not consistent; full cuts and underground of utilities needed.
*Councilmember Benavides left the meeting at 10 p.m. and did not return.
CONSENT CALENDAR ITEMS
MOTION: Approve Consent Calendar Items 10A through 31C as
recommended by staff, with the following modifications:
• Addition of Closed Session action, Agenda Item 19A;
• Councilmember Martinez pulled Agenda Items 20A and 25A for separate
discussion; and
• Councilmember Reyna pulled Agenda Item 32A for separate discussion.
MOTION: Sarmiento SECOND: Martinez
VOTE: AYES: Amezcua, Martinez, Reyna, Sarmiento, Tinajero (5)
NOES: None (0)
ABSTAIN: None (0)
ABSENT: Benavides, Pulido (2)
ADMINISTRATIVE MATTERS
MINUTES
10A. MINUTES FROM THE REGULAR MEETING OF JULY 1, 2014
(STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office
MOTION: Approve Minutes.
CITY COUNCIL MINUTES 11 JULY 15, 2014
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ORDINANCES /SECOND READING
In the event a Councilmember recorded an "abstention" before consideration of the following
ordinance(s) on first reading, such abstention will also be reflected in the minutes for second reading.
11A. SECOND READING ORDINANCES - AMENDMENTS TO EXECUTIVE
MANAGEMENT CLASSIFCIATIONS TO ADD, DELETE AND MODIFY
SELECTED JOB TITLES (STRATEGIC PLAN NO. 5, 1) - Clerk of the
Council Office
Placed on first reading at the July 1, 2014 City Council meeting and
approved by a vote of 6 -1 (Martinez dissented).
Published in the Orange County Reporter on July 5, 2014.
MOTION: Place ordinance on second reading and adopt.
ORDINANCE NO. NS -2869 — AN ORDINANCE OF THE CITY COUNCIL
OF THE CITY OF SANTA ANA AMENDING SECTIONS 2 -300 AND 2 -
300.5 OF THE SANTA ANA MUNICIPAL CODE ESTABLISHING THE
TITLE OF SPECIAL ASSISTANT TO THE CITY MANAGER AND
MAKING OTHER TECHNICAL MODIFICATIONS TO THE TITLES OF
OFFICERS AND DEPARTMENT HEADS OF THE CITY
BOARDS / COMMISSIONS / COMMITTEES
13A. MINUTES FROM THE MARCH 6, 2014 AND APRIL 28, 2014 -
DEVELOPMENT AND TRANSPORTATION COUNCIL COMMITTEE
(STRATEGIC PLAN NO. 5, 1) - Planning and Building Agency
MOTION: Receive and file Minutes.
13B. MINUTES FROM THE JANUARY 28, 2014 AND MARCH 31, 2014 -
PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT COUNCIL
COMMITTEE (STRATEGIC PLAN NO. 5, 1) - Police Department
MOTION: Receive and file Minutes.
MISCELLANEOUS ADMINISTRATION
19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's
Office
MOTION: Approve:
CITY COUNCIL MINUTES 12 JULY 15, 2014
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M
• Gilbert Rodriguez v City of Santa Ana, WCAB Case Numbers
ADJ7989514, 4580205 and 1843984 - Compromise and Release in
the amount of $95,000.00 including permanent disability and the value
of future exposure for lifetime medical care.
• Hao Tran v City of Santa Ana, WCAB Case Number ADJ6519716 -
Stipulated Award with Future Medical Care in the amount of
$52,670.00.
EXCUSED ABSENCES — None
BUDGETARY MATTERS
APPROPRIATION ADJUSTMENTS
Councilmember Martinez, asked if funds could be dedicated to Townsend
area.
Police Chief Rojas noted that supplemental law enforcement funds used
for community policing and gang suppression; helps with overtime in
controlling cruisers; if rules allow would be open to setting funds aside.
Councilmember Sarmiento, asked that as funds become available
earmark to Santa Anita and Townsend areas.
MOTION: Approve an appropriation adjustment. (Requires five
affirmative votes)
APPROPRIATION ADJUSTMENT NO. 2014 -119.- Recognize $455,029 in
the Supplemental Law Enforcement Services Fund revenue account and
appropriate same to the grant expenditure account for special
enforcement and gang detail overtime.
MOTION: Martinez
VOTE: AYES
NOES:
ABSTAIN:
CITY COUNCIL MINUTES
SECOND: Sarmiento
Amezcua, Martinez,
Tinajero (5)
None (0)
None (0)
13
1 0A -13
Reyna, Sarmiento,
JULY 15, 2014
ABSENT: Benavides, Pulido (2)
SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES
22A. SPEC. NO. 14 -027 — UPGRADE FIRE ALARM PANEL, WARRANTY
AND SUPPORT CONTRACT (STRATEGIC PLAN NO. 6, 2) (Police
Department) - Finance & Management Services
MOTION: Award a contract to Red Hawk Fire & Security for the
purchase of an Edwards EST -3 fire alarm system upgrade and post
warranty support contract, in an amount not to exceed $118,100,
subject to non - substantive changes approved by the City Manager
and City Attorney.
AGREEMENTS
Councilmember Martinez highlighted action as means to being efficient
and moving in the right direction.
MOTION: Authorize the City Manager and the Clerk of the Council to
execute agreements in an aggregate amount not to exceed $500,000
for a period of three years, subject to non - substantive changes
approved by the City Manager and City Attorney.
• AGMT NO. 2014 -167 - With Scott Fazekas & Associates, Inc.,
• AGMT NO. 2014 -168 - With CSG Consultants, Inc.,
• AGMT NO. 2014 -169 - With Century Structural Engineering Co., Inc.,
• AGMT NO. 2014 -170 - With Melad and Associates and
• AGMT NO. 2014 -171 - With J Lee Engineering Inc.
MOTION: Martinez
VOTE: AYES:
NOES:
ABSTAIN
ABSENT:
SECOND: Amezcua
Amezcua, Martinez, Reyna, Sarmiento,
Tinajero (5)
None (0)
None (0)
Benavides, Pulido (2)
CITY COUNCIL MINUTES 14 JULY 15, 2014
1 OA -14
25B. AGMT NO. 2014 -172 - ENVIRONMENTAL SERVICES FOR THE
HARBOR CORRIDOR SPECIFIC PLAN (STRATEGIC PLAN NOS. 3,2;
5, 3) - Planning and Building Agency
MOTION: Authorize the City Manager and Clerk of the Council to
execute the attached amendment to the agreement with Place Works
(formerly The Planning Center) to prepare an Environmental Impact
Report (EIR) and related technical studies for the Harbor Corridor
Specific Plan for a period no longer than six months for an additional
amount of $9,950 not to exceed a total contracted amount of
$162,134, subject to non - substantive changes approved by the City
Manager and City Attorney.
25C. SEXUAL ASSAULT EVIDENCE COLLECTION (STRATEGIC PLAN NO.
1, 3A) — Police Department
Continued from the July 1, 2014 City Council meeting by a vote of 6 -0
(Reyna absent).
MOTION: Continue consideration of matter, per staff's request.
25D. AGMT NO. 2014 -173 - JANITORIAL MAINTENANCE SERVICES
(STRATEGIC PLAN NO. 1, 3A) - Police Department
MOTION: Authorize the City Manager and the Clerk of the Council to
execute a two -year agreement, ending September 30, 2016, with
Santa Fe Building Maintenance Services, in an amount not to exceed
$795,592, subject to non - substantive changes approved by the City
Manager and City Attorney.
25E. AGMT NO. 2014 -174 - CLOSED CIRCUIT TELEVISION INSPECTION
OF SANITARY SEWER SERVICES (STRATEGIC PLAN NO. 6, 1C) -
Public Works Agency
MOTION: Authorize the City Manager and Clerk of the Council to
execute an agreement with Houston & Harris PCS Inc., subject to
non - substantive changes approved by the City Manager and City
Attorney, for a one -year period expiring June 30, 2015, with
provisions for two one -year renewal options exercisable by the City
Manager and City Attorney, in an amount not to exceed $400,000 for
each term.
CITY COUNCIL MINUTES 15 JULY 15, 2014
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25F AGMT NO. 2014 -175 - PURCHASE AGREEMENT OF THE PROPERTY
LOCATED AT 1315 NORTH BRISTOL STREET (APN 405 - 272 -13) FOR
BRISTOL STREET WIDENING IMPROVEMENTS (PROJECT NO.
116740 NONGENERAL FUND) (STRATEGIC PLAN NOS. 6, 1G; 3,2C) -
Public Works Agency
MOTION: Authorize the City Manager and Clerk of the Council to
execute a purchase agreement with Martin P. Cazarez and Sylvia Y.
Cazarez, husband and wife, as joint tenants in an amount of
$390,000, subject to non - substantive changes approved by the City
Manager and City Attorney.
LAND USE MATTERS
CONDITIONAL USE PERMIT /VARIANCES
31 A. CONDITIONAL USE PERMIT NO. 2014 -13 TO ALLOW AN UPGRADE
FROM A TYPE 41 TO A TYPE 47 ALCOHOLIC BEVERAGE CONTROL
LICENSE AT THE MARISCOS LOS CORALES RESTAURANT AT 2629
WESTMINSTER AVENUE - MARISCOS LOS CORALES, APPLICANT
(STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency
Planning Commission approved recommended action on June 23, 2014,
by a vote of 7 -0.
MOTION; Receive and file the staff report approving Conditional Use
Permit No. 2014 -13 as conditioned.
31 B. CONDITIONAL USE PERMIT NO. 2014 -15 TO ALLOW AN UPGRADE
FROM A TYPE 41 TO A TYPE 47 ALCOHOL BEVERAGE CONTROL
LICENSE AT LAS GUERITAS RESTAURANT LOCATED AT 230 WEST
WARNER AVENUE, SUITE 107 - RAMON BAGUIO, APPLICANT
(STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency
Planning Commission approved recommended action on June 23, 2014,
by a vote of 7 -0.
MOTION: Receive and file the staff report approving Conditional Use
Permit No. 2014 -15 as conditioned.
31 C. CONDITIONAL USE PERMIT NO. 2014 -20 TO ALLOW A TYPE 47
ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BUFFALO WILD
WINGS RESTAURANT AT 3811 SOUTH BRISTOL STREET - MIKE
CITY COUNCIL MINUTES 16 JULY 15, 2014
1OA -16
AYAZ, APPLICANT (STRATEGIC PLAN NO. 3, 2) - Planning and
Building Agency
Planning Commission approved recommended action on June 23, 2014,
by a vote of 7 -0.
MOTION: Receive and file the staff report approving Conditional Use
Permit No. 2014 -20 as conditioned..
TENTATIVE PARCEL /TRACT MAPS
Planning Commission approved recommended action on June 23, 2014,
by a vote of 7 -0.
Reyna, asked for clarification on proposed variance. Interim Planning and
Building Executive Director Haluza indicated that standard is 50 foot off
street frontage; lot was divided in 1925 and proposed 30 foot set -back; lot
is pre- existent and legally subdivided.
MOTION: Receive and file the staff report approving Variance No.
2013 -06 as conditioned, Variance No. 2013 -07 as conditioned, and
Variance No. 2014 -02 as conditioned.
MOTION: Reyna
VOTE: AYES:
NOES:
ABSTAIN:
ABSENT:
SECOND: Martinez
Amezcua, Martinez,
Tinajero (5)
None (0)
None (0)
Benavides, Pulido (2)
* *END OF CONSENT CALENDAR **
BUSINESS CALENDAR ITEMS
Reyna, Sarmiento,
CITY COUNCIL MINUTES 17 JULY 15, 2014
1 0A -17
REPORTS
65A. AGENDA ITEM TAKEN OUT OF ORDER
JOINT SESSION OF THE CITY COUNCIL AND THE HOUSING AUTHORITY
80A. RESOLUTIONS EXECUTING AGREEMENTS AND FINANCING
DOCUMENTS RELATED TO REFINANCING THE 2004 WATER
SYSTEM BONDS {STRATEGIC PLAN NO. 4, 2D} - Finance &
Management Services
MOTION: Adopt a resolution.
RESOLUTION NO. 2014 -048 - RESOLUTION OF THE CITY COUNCIL
OF THE CITY OF SANTA ANA AUTHORIZING THE EXECUTION AND
DELIVERY BY THE CITY OF A MASTER INSTALLMENT PURCHASE
AGREEMENT, A FIRST SUPPLEMENT TO MASTER INSTALLMENT
PURCHASE AGREEMENT, AN ESCROW AGREEMENT, A
CONTINUING DISCLOSURE CERTIFICATE AND A PURCHASE
CONTRACT IN CONNECTION WITH THE ISSUANCE OF SANTA ANA
FINANCING AUTHORITY WATER REVENUE REFUNDING BONDS,
SERIES 2014 (PAYABLE SOLELY FROM INSTALLMENT PAYMENTS
SECURED BY WATER SYSTEM NET REVENUES), APPROVING THE
ISSUANCE OF SUCH BONDS IN AN AGGREGATE PRINCIPAL
AMOUNT OF NOT TO EXCEED $17,000,000 AUTHORIZING THE
DISTRIBUTION OF AN OFFICIAL STATEMENT IN CONNECTION WITH
THE OFFERING AND SALE OF SUCH BONDS AND AUTHORIZING
THE EXECUTION OF NECESSARY DOCUMENTS AND CERTIFICATES
AND RELATED ACTIONS
MOTION: Martinez
VOTE: AYES:
NOES:
ABSTAIN
ABSENT:
SECOND: Sarmiento
Amezcua, Martinez, Reyna, Sarmiento,
Tinajero (5)
None (0)
None (0)
Benavides, Pulido (2)
COUNCIL AGENDA ITEMS
Pursuant to Santa Ana Charter Section 411, any member of the City Council may place items on the City
Council Agenda to be considered by the City Council.
CITY COUNCIL MINUTES 18 JULY 15, 2014
1 0A -18
85A AGENDA ITEM TAKEN OUT OF ORDER
WORK STUDY SESSION
WS. BRIEFING ON THE CITY'S MOBILE VENDING POLICIES (STRATEGIC
PLAN NOS. 1; 5, 4) — Planning Building Agency
Presentation by Interim Executive Director of Planning and Building, Karen
Haluza
Types of Vending Vehicles
• Catering Vehicles
• Sells hot and prepared foods.
• Currently 105 catering vehicles with active business licenses.
• Produce Vehicles
• Sells vegetables, fruit, candy, milk, etc.
• Currently 120 produce vehicles with active business licenses.
Mobile Vending Positives
• Provides access to food and other convenience items in dense
neighborhoods
• Easily accessible to those without transportation
• Sometimes extend credit for purchases
• Can act as "eyes on the street" due to their continual presence
Legislative History
• 1994 — City adopted ordinance to regulate mobile vending
• 1997 — Court injunction to cease enforcement of the regulations
• 2004/05 — City adopted new regulations
• 2006 — Ordinance challenged in both State and Federal Court
• Legislative History
• State Superior Court issued injunction to cease enforcement of:
• Hours of operation
• Requirement to move every 90 minutes
• Revocation of City permits
Federal District Court issued a Temporary Restraining Order
prohibiting enforcement of all aspects of the ordinance.
Common Concerns: Neighborhood Quality of Life
• Concentration of vending vehicles on neighborhood streets
• Loud noise
• Damage to parkways
• Overnight parking in residential zones
• Vehicles not returning to commissaries
CITY COUNCIL MINUTES 19 JULY 15, 2014
1 0A -19
• Vendors taking up limited parking spaces
• Late night operation
Common Concerns: Public Health
• Don't provide enough healthy food choices
• Sales of single cigarettes, fireworks, toy weapons
• Trash and litter accumulation
• Public urination
• Failure to comply with Orange County Health standards
Common Concerns: Public Safety
• Parking too close to intersections and driveways — blocks visibility at
crosswalks and sidewalks
• Mid -block pedestrian crossings to reach trucks
• Tables and chairs blocking sidewalks or set up in the road
• Can become targets for graffiti and gang identification
Existing Enforcement Tools Can Address:
• Obstruction on parkways /sidewalks
• Illegal or unsafe parking
• Inoperable Vehicles
• Trash
• Public urination
• County health standards
• Business license
• Graffiti
• Noise
Council discussion ensued.
Councilmember Martinez asked what the priorities are for enforcement.
Councilmember Sarmiento thanked staff for status; direct staff to provide
best practices and recommendations.
Staff to bring back plan in October.
Councilmember Amezcua, opined that matter needs to be prioritized.
COMMENTS
90A. CITY MANAGER'S COMMENTS
• Parking meters installed in Downtown; and
• Announced that free Wi -Fi available in Santa Ana.
CITY COUNCIL MINUTES 20 JULY 15, 2014
1 OA -20
90B. CITY COUNCILMEMBER COMMENTS
Councilmember Martinez:
• Discussed various bicyclist issues, narrow streets in downtown; need
to minimize contact with pedestrians and with other cyclist; promote
bicycling and safety.
Councilmember Amezcua:
• Thanked colleagues and staff for discussing Agenda Item 85A;
• Noted that all want best for Santa Ana; and
• Encouraged all to wear long sleeves and check property for stale water
— vigilant of West Nile Virus.
Councilmember Reyna:
• Encouraged all to conserve water;
• Commented on success of 4t" of July event and thanked all for hard
work;
• Remarked on William Spurgeon Award presented at tonight's meeting;
and
Hope all shop in Santa Ana.
Mayor Pro Tem Tinajero:
• Thanked all speakers for coming out to address the City Council;
dialogue important;
• Noted that City continues to make great strides;
• Adjourned meeting in memory of Tracy Monique Linwood, Lina
Borego, and Nancy Chalmers.
ADJOURNED - 10:39 P.M. - The next meeting of the City Council is scheduled for
Monday, August 5, 2014 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 in Memory of
Tracy Monique Linwood,
Lina Borego, and
Nancy Chalmers
Maria D. Huizar,
Clerk of the Council
CITY COUNCIL MINUTES 21 JULY 15, 2014
1 OA -21
FUTURE AGENDA ITEMS
• Santa Ana Street Car Project Locally Preferred Alignment
• Harbor Blvd. Mixed -Use Plan
• Solar Permit Fee Waiver
• Dangerous and Abandoned Buildings (2015)
• Proactive Rental Enforcement Program Renewal (2015)
CITY COUNCIL MINUTES 22 JULY 15, 2014
1 OA -22
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
QUARTERLY REPORT OF INVESTMENTS
AS OF JUNE 30, 2014
4
a
CITY M AGER
RECOMMENDED ACTION
Receive and file.
DISCUSSION
CLERK OF COUNCIL USE ONLY:
Mai -aem
❑ As Recommended
❑ As Amended
❑ Ordinance on 1" Reading
❑ Ordinance on 2ntl Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
In 1995, the State of California enacted legislation revising the reporting requirements relative to
investment of funds by governmental agencies. State statutes require that a quarterly report be
submitted within 30 days following the end of the quarter covered by the report; however, our
office continues to provide this information to the City Council monthly. Quarter- ending reports
continue to be presented at a City Council meeting. The legislation dictates that this quarterly
report contain the seven major elements listed below:
1. Type of investments,
2. Date of maturity,
3. Par and dollar amounts invested in each security,
4. Weighted average maturity of the investments,
5. Market value as of the date of the report,
6. Source of the market value information, and
7. Any funds, investments or programs, including loans,
under the management of contracted parties.
These requirements, which became effective on January 1, 1996, mandate that a statement
outlining the ability of the City to meet the budgeted expenditures for the subsequent six months
be submitted to the City Council on a quarterly basis. Staff performs an end -of -month
expenditure analysis to comply with the expenditure requirement and a statement confirming the
ability to meet this requirement in the monthly -and quarter- ending Treasurer's Report. The
information is in compliance with State law and the City's Investment Policy.
19C -1
Quarterly Report of Investments
August 5, 2014
Page 2
The attached report (Exhibit 1) accurately reflects all pooled investments held on behalf of the
City as of June 30, 2014.
The following table represents percentage policy limits set by the City's Investment Policy and
State Law and respective types, amounts and percentages, as of June 30, 2014.
Type of Investment
in $
in %
COSA
Policy
Limits
State Law
Limits
Certificate of Deposit (CD)
$0.00
0.00%
30%
30%
Commercial Paper (CP)
$0.00
0.00%
25%
25%
Federal Farm Credit Bank (FFCB)
$50,925,600.00
16.52%
None
None
Federal Home Loan Bank (FHLB)
$77,527,190.63
25.16%
None
None
Federal Home Loan Mortgage Corp. (FHLMC)
$42,636,278.34
13.84%
None
None
Federal National Mortgage Association (FNMC)
$42,136,808.34
13.67%
None
None
Overnight Sweep (CP)
$60,000,000.00
19.47%
25%
25%
Local Agency Investment Fund (LAIF)
$34,948,576.71
11.34%
None
None
Treasuries
$0.00
0.00%
None
None
Total
$308,174,454.02
100.00%
The following graph represents percentages within the respective investment types, as of June
30, 2014.
STRATEGIC PLAN ALIGNMENT
■ Federal Farm Credit Bank (FFCB)
■ Federal Home Loan Bank (FHLB)
Federal Home Loan Mortgage Corp. (FHLMC)
■ Federal National Mortgage Association (FNMC)
N Overnight Sweep (CP)
Loca I Agency Investment Fund (LAI F)
Approval of this item allows the City to meet Goal #4 City Financial Stability, Objective #1
(Maintain a stable, efficient and transparent financial environment).
19C -2
Quarterly Report of Investments
August 5, 2014
Page 3
FISCAL IMPACT
There is no fiscal impact associated with this action.
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
RP /w o-1
Exhibit 1 Treasurer's Report
19C -3
Quarterly Report of Investments
August 5, 2014
Page 4
CITY OF SANTA ANA
TREASURER'S REPORT
as of June 30, 2014
EXHIBIT 1
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19C -11
19C -12
REQUEST FOR
COUNCIL ACTION
AUGUST 5, 2014
TITLE:
QUARTERLY REPORT FOR HOUSING
DIVISION PROJECTS AND ACTIVITIES
APRIL 2014 — JUNE 2014
CITY MANAG
RECOMMENDED ACTION
Receive and file.
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on V' Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION
At its regular meeting on July 16, 2014, by a vote of 6:0, the Community Redevelopment and
Housing Commission recommended the action stated above.
DISCUSSION
This status report for the quarter ending on June 30, 2014 provides statistics for the day -to -day
affordable housing activities. The report is divided into three sections: Loan Activity, Loan
Portfolio Management and Monitoring, and Development Projects.
Loan Activity
Applications
The Housing Division offers several different programs including homebuyer down payment
assistance and rehabilitation loans for historic single- family, single - family and mobile homes,
Inquiries are received from the public and applications are mailed out and received for these
programs on a continuing basis. Table 1 shows the number of inquiries, applications sent out,
received and approved by type for the quarter and the total fiscal year.
19D -1
Quarterly Report Housing Division
Projects and Activities (Apr — Jun 2014)
August 5, 2014
Page 2
Table 1: Applications Sent Out, Received & Approved
Program
Inquiries
Applications
Sent Out
Applications
Received
Applications
Approved
Q4
Total
FY
Q4
Total
FY
Q4
Total
FY
Q4
Total
FY
Single-Family Rehabilitation
25
181
20
150
4
13
1
6
Mobile Home Rehabilitation
2
35
3
28
1
4
0
2
Homeownership
66
477
56
389
7
11
3
41
Rehabilitation Loan Underwriting and Approval Process
Staff reviews applicant eligibility, verifies income and assets, and oversees underwriting to
ensure compliance with program guidelines and requirements established by the funding source.
In addition, staff conducts an inspection of the property, prepares a work write up to determine
rehabilitation work to be performed, and develops a budget for the work. Due to the complex
funding requirements, applicants may be in underwriting several months. The length of time in
underwriting is largely determined by the applicant's timely submittal of the necessary paperwork.
Once approved, staff prepares all necessary loan documents, makes arrangements for
execution, and reserves the required loan funds.
Construction Process
During this phase, homeowners receiving rehabilitation loans are guided through an open
selection of contractors to complete the work on their homes. Each homeowner is given a list of
contractors that have been screened by staff for license and insurance requirements. However,
homeowners are allowed to select any contractor that meets these same requirements. Staff
assists the homeowners in selection of a contractor, monitors the construction work, approves
payments to contractors, and tracks expenditures to ensure they do not exceed available funds.
At the end of this quarter, there were two homeowner rehab projects out to bid, five under
construction and three were completed.
Homeownership Marketing and Approval Process
In January, the City began marketing a new down- payment assistance program. Outreach
included: Councilmember Sarmiento's newsletter, water bill insert, Nixie press release, Miniondas
newspaper article, interview with Orange County Register, contact with community partners and
Homebuyer Counseling Centers. Staff presented eleven workshops which were attended by 209
individuals, the majority being Santa Ana residents.
Staff evaluates applicant eligibility and oversees underwriting to ensure compliance with program
guidelines and requirements established by HUD. Applicants must meet established income
19D-2
Quarterly Report Housing Division
Projects and Activities (Apr -- Jun 2014)
August 5, 2014
Page 3
requirements, complete an eight -hour pre - purchase counseling program from a HUD - approved
agency, be pre - qualified for a first mortgage and have a minimum of three percent of the
purchase price from their own savings. Other HUD requirements apply, including a current
maximum sales price of $390,000 for a single family home or condo or $443,000 for a newly
constructed condo or home. Additionally, the property needs to be in good condition and pass an
inspection by staff. Staff received a significant interest in the program and is anticipating an
increase in the number of applications received and approved over the next few months.
Loan Portfolio Management & Monitoring
The Housing Division is responsible for ensuring the integrity of the residential loan portfolio. As
of the end of this quarter, the principal balance was $109,226,151. This is comprised of 448
loans of which 418 are deferred or residual receipt payment loans. As shown in Table 2, the loan
portfolio generated $380,700 in payments of principal and interest during the quarter;
Table 2: Portfolio Revenue
Monitoring
As part of the requirements for these funds, staff must monitor the owner - occupancy for single
family homes that have received loans, and the code compliance of units in rental projects with
long -term affordability covenants. During this quarter, 63 owner occupancy recertification letters
were mailed; 57 were returned and processed.
Staff also audited files for 29 units in two projects, and conducted code compliance inspections
for 48 units in two projects. Regulations require that only a sample be selected for inspection.
Staff also inspects the grounds and common areas such as laundry rooms to ensure they also
meet municipal code requirements. The majority of the inspected units as well as the grounds
and common areas were found to be in compliance at the time of initial inspection. Some of the
units had minor deficiencies including loose toilets, inoperative burners, faulty GFCI outlets,
inoperative smoke alarms, and carbon monoxide detectors. All of the deficiencies were repaired
and the units were found to be in compliance at the time of the subsequent re- inspection.
19D-3
4 Quarter
Total FY
Loan Payoffs
$67,376
$525,168
Residual Receipts Payments
$275,890
$405,423
Amortized Loan Payments
$37,434
$184,947
Total
$380,700.00
$1,115,538
Monitoring
As part of the requirements for these funds, staff must monitor the owner - occupancy for single
family homes that have received loans, and the code compliance of units in rental projects with
long -term affordability covenants. During this quarter, 63 owner occupancy recertification letters
were mailed; 57 were returned and processed.
Staff also audited files for 29 units in two projects, and conducted code compliance inspections
for 48 units in two projects. Regulations require that only a sample be selected for inspection.
Staff also inspects the grounds and common areas such as laundry rooms to ensure they also
meet municipal code requirements. The majority of the inspected units as well as the grounds
and common areas were found to be in compliance at the time of initial inspection. Some of the
units had minor deficiencies including loose toilets, inoperative burners, faulty GFCI outlets,
inoperative smoke alarms, and carbon monoxide detectors. All of the deficiencies were repaired
and the units were found to be in compliance at the time of the subsequent re- inspection.
19D-3
Quarterly Report Housing Division
Projects and Activities (Apr — Jun 2014)
August 5, 2014
Page 4
Development Projects
NSP 1. 2 and 3 Programs
The City's intermediaries, ANR Industries, Orange Housing Development Corporation, and C &C
Development, continue to look for eligible properties. The acquisition of a single - family home
located at 1235 S. Cypress is expected to close escrow in August 2014.
Multi - Family Acquisition / Rehabilitation Projects
940 Minnie, LP completed the acquisition of a multi - family property located at 940 S. Minnie
Street. The developer is currently in the process of relocating their tenants and the rehabilitation
is expected to commence in the fall of 2014. Once the rehabilitation is complete, the property will
yield eight affordable rental units consisting four 1- bedroom units, two 2- bedroom units and two
3- bedroom units.
In -Fill Development Projects
Habitat for Humanity of Orange County
Four single - family dwellings are currently under construction. The dwellings located at 1314 N.
Eastwood, 793, 797 and 812 Concord are expected to be completed in September 2014. The
construction of five single - family dwellings at 4010 and 4110 W. Mc Fadden is expected to begin
in the fall /winter of 2014.
Depot at Santiago (70 -Unit Affordable Rental Housing Development)
The developer has worked through planning entitlements and applied for a tax credit allocation.
Construction is anticipated to begin in March 2015.
815 N. Harbor (70 -Unit Affordable Rental Housing Development)
The conceptual site plan was approved. The Harbor Corridor Specific Plan is expected to be
approved in September 2014.
Santa Ana Station District — For Sale (25 affordable Homes)
Escrow closed and the developer, City Ventures Homebuilding LLC, has completed site
preparation and grading. On -site water and sewer is underway.
STRATEGIC PLAN ALIGNMENT
The activities covered by this report allow the City to meet Goal #5 - Community Health,
Livability, Engagement & Sustainability, Objective #3 - Facilitate Diverse Housing opportunities
and Support Efforts to Preserve and improve the Livability of Santa Ana Neighborhoods,
19D-4
Quarterly Report Housing Division
Projects and Activities (Apr — Jun 2014)
August 5, 2014
Page 5
FISCAL IMPACT
There is no fiscal impact associated with this action.
Shelly Lana -Bayle
Housing MAY
Community Development Agency
SLB /kg
19D -5
19D-6
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
UPDATE ON FIVE -YEAR STRATEGIC PLAN
ALIGNMENT
<_ �v 11/;�
CITY MANXGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on I" Reading
❑ Ordinance on 2"' Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Receive and file an update to the Five -year Strategic Plan alignment.
DISCUSSION
The Five -year Strategic Plan was unanimously approved by the City Council on March 18, 2014
with the implementation to coincide with the start of the new 2014 -15 fiscal year. Since July 1,
staff has been making the necessary modifications to align City efforts with the Strategic Plan. In
addition, staff has implemented a number of City Council recommendations as indicated below.
On July 1, 2014, the City Council provided direction to incorporate elements of the Five -year
Strategic Plan into the format of the City Council meeting agendas. In response to this request,
the following items have been incorporated into the agenda:
• Statement of the Vision, Mission and Guiding Principles
• Indication of the Strategic Plan webpage address
• Identification of the Goal, Objective and Strategy associated with each agenda item
• Request for Council Action (RFCA's) reports have been modified to include a new
"Strategic Plan Alignment" section that identifies a nexus between the recommended
action and the 5 -year Strategic Plan.
In addition to changes to the City Council agenda, staff is in the process of modifying the format
of the City Council Monthly Report to present information and demonstrate progress in alignment
with the Five -year Strategic Plan. Changes to the monthly report will commence with the July
monthly report which is scheduled to be available on Thursday, August 14.
Furthermore, the Five -year Strategic Plan has been translated into Spanish and Vietnamese and
available on our website at http: / /www.santa- ana.org /strategic- planning /. Copies of the plan are
available for review at both Santa Ana Public Library locations and Clerk of the Council Office.
19E -1
Update on Five -Year Strategic Plan Alignment
August 5, 2014
Page 2
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability,
Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement
initiative to expand access to information and create opportunities for stakeholders to plan an active
role in discussing public policy and setting priorities).
FISCAL IMPACT
There is no fiscal impact associated with this item.
19E -2
REQUEST FOR
COUNCIL /SANTA ANA
FINANCING AUTHORITY ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
UPDATE ON RESULTS OF THE 2004
WATER SYSTEM BONDS ISSUANCE
CITY MANAGER
RECOMMENDED ACTION
Receive and File.
DISCUSSION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on I" Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
On April 1, 2014, the financing team consisting of City staff, Urban Futures, Inc. (financial advisor),
Stifel /De La Rosa & Co. (underwriters) and Best, Best & Krieger LLP (bond counsel), began the
process of developing and preparing the documents necessary for the issuance of new Water
System Bonds. The bonds to be refinanced were used to finance capital projects relating to the
City's water system. More specifically, the funds were used for the Garthe Reservoir Project, the
South Reservoir Booster Station, as well as various water main replacement projects throughout
the City. The current bonds outstanding are in the amount of $12,785,000 with interest rates
ranging from 3.5% to 5.0 %. The final term for the 2004 Bonds was September 1, 2024.
On July 15, 2014 the City Council authorized the execution of financing documents related to the
refinancing of the 2004 Water Revenue Bonds. On July 9, 2014 a credit presentation was made to
Standard and Poor's that highlighted the City's strong financial position and strong water
enterprise. On July 15, Standard and Poor's issued a report that confirmed the City's strong AA
rating on the bonds. The report highlighted the City's financial operations as strong with a history
of strong debt service coverage. In addition, it referenced the water enterprise's stable operations,
adequate water supply and capacity to meet demand, and rated overall liquidity and financial
operations as strong.
Overall the timing for the issuance for the new bonds has improved tremendously over the past
year and more so over the past few months. With interest rates on US Treasury Bonds having
decreased from 3.0% to 2.5% since the beginning of the year, the municipal bond market has
followed suit as shown below.
19F -1
Update Results of 2004 Water
System Bonds Issuance
August 5, 2014
Page 2
5.0%
4.0%
3.0%
2.0%
1.0%
0.0%
'AAA' MMD Yield Curve Changes
Date (2119114)
4 7 10 13 16 19 22 25 28
With world events creating investor concern, the resulting effect was increased attention in the
municipal bond market by investors. As a result, Stifel's underwriter, Ben Stern, developed a
marketing program that targeted these investors. Stifel's sales staff highlighted the strong rating for
the bonds, the "essential service" nature of the Water System and the City's strong financial
position. Investors were very responsive to the "City's position ". Based on strong early feedback
from the sales force on the morning of the bond pricing, Mr. Stern took an aggressive approach by
lowering interest rates by .05% (5 basis points) when we formally released the bonds to the sales
force on July 22. By lowering interest rates by the 5 basis points for the 2017 -2022 maturities it
saved the City hundreds of thousands of dollars.
The graph below demonstrates the extent to which the bonds were strongly received and how
orders outweighed what was available.
$ in Millions
$6 Total Par: $15,690,000
$5 - ■ Total Orders: $41,960,000
Oversubscribtion:2.7x's
$4
$3
$2
$1
� Orders Y= Par
20152016201720182019202020212022202320242025202620272028202920302031
Maturity Year
19F -2
Update of 2004 Water
System Bonds Issuance
August 5, 2014
Page 3
Stifle indicated that the AA rated issuance even competed with AAA rated bonds in the
oversubscribed years which is rarely achieved. It demonstrates an affirmation by the market of the
City's work on strengthening its financial position and its commitment to building a strong water
system.
The final result demonstrated a successful outcome. Overall it locked the City's overall borrowing
cost at 2.96 %. It will save the enterprise operations over $150,000 annually over the next ten
years and by extending the bonds seven additional years will provide $5.9 million in additional
money for capital projects.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #4 City Financial Stability, Objective #2 (provide
a reliable five -year financial forecast that ensures financial stability in accordance with the strategic
plan) Strategy D (conduct an assessment of the City's debt and refinancing options to achieve
savings).
FISCAL IMPACT
There is no fiscal impact associated with this action.
Francisco Gutierrez
Executive Director
Finance and Management Services Agency
19F -3
19F -4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
QUARTERLY REPORT OF CONTRACTS
UNDER $25,000 ENTERED INTO BY THE
CITY MANAGER AS PERMITTED BY
CHARTER SECTION 421
f
CITY M AGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on1"Reading
❑ Ordinance on 2 "dReading
❑ Implementing Resolution
❑ Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Receive and file the Quarterly Report of Contracts entered into between April 1, 2014 to June 30,
2014 valued at $25,000 and less.
DISCUSSION
On November 7, 2006, the voters approved a Charter Amendment increasing the authority of the
City Manager to enter into contracts and agreements up to a value of $25,000. Section 421 of
the Charter requires the City Manager to report to the City Council quarterly on the contracts
entered into under his authority for informational purposes. The report is required to include the
names of contractors and the amounts of each contract.
Exhibit A is a listing of all purchase orders, agreements, and change notices entered into
between April 1, 2014 to June 30, 2014 valued at amounts between $500 and $25,000. Unless
included under a blanket contract, the City as a general rule does not purchase goods or services
valued at under $500 through either a purchase order or an agreement. Purchase orders and
service agreements valued at greater than $25,000 require approval by City Council.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #4 City Financial Stability, Objective
#1 (Maintain a stable, efficient and transparent financial environment).
FISCAL IMPACT
There is no fiscal impact associated with this action.
Exhibit A: Quarterly Report of Contracts
FG /sp
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19G -8
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
APPROPRIATION ADJUSTMENT
FOR THE MEDICAL MARIJUANA
ENFORCEMENT PLAN
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
;...• W
❑ As Recommended
❑ As Amended
❑ Ordinance on I" Reading
❑ Ordinance on 20d Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
HI�[1Pu13�i:7
Approve an appropriation adjustment to reallocate $500,000 in 2014 -15 General Fund reserve
appropriations to various departmental expenditure accounts to fund medical marijuana
enforcement plan efforts.
DISCUSSION
At the July 15, 2014 City Council meeting, the City Council directed staff to develop an
enforcement plan to address the negative effects resulting from illegal medical marijuana
collectives and cooperatives. In addition, the City Council recommended the reallocation of
$500,000 from the 2014 -15 adopted budget to fund the plan. The enforcement plan is a
collaborative effort between the Police Department, Planning and Building Agency, and the City
Attorney's Office.
The recommended action will provide $350,000 in overtime funding for the Police Department,
and Planning and Building Agency to investigate violations of the Santa Ana Municipal Code
related to prohibited marijuana dispensaries. In addition, $150,000 will be allocated to the City
Attorney's Office for contract legal services to prosecute the cases. The enforcement plan will
place emphasis on prohibited marijuana dispensaries near schools and residences.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #1 Community Safety, Objective #1 (Modernize
the Community Policing philosophy to improve customer service, crime prevention and traffic /
pedestrian /bicycle safety.), Strategy F (Enhance the Police Department's community policing
philosophy to balance both traditional policing and problem solving strategies to address and reduce
violent, property and gang related crimes).
20A -1
Appropriation Adjustment for Medical Marijuana Enforcement Plan
August 5, 2014
Page 2
FISCAL IMPACT
This appropriation adjustment will reallocate $350,000 into
Operations Overtime account (01114420- 61040) and $150,000
Other Contractual Services account (01108032 - 62300) to
enforcement plan.
the Police Department Field
into the City Attorney's Office
fund the medical marijuana
APPROVED AS TO FUNDS AND ACCOUNTS:
Carlos Roias Francisco Gutierrez
Chief of Police Executive Director
Police Department Finance & Mgmt. Services Agency
20A -2
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
CONTRACTS AWARD FOR
EMERGENCY WATER & SEWER
CLEANUP SERVICES
(SPEC. NO. 14 -038)
c d,.
CITY MANAG
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
❑ As Recommended
❑ As Amended
❑ Ordinance on 15'Reading
❑ Ordinance on 2ndReading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Award contracts for emergency water and sewer cleanup services for up to a three -year period in an
annual aggregate amount not to exceed $75,000, subject to non - substantive changes approved by
the City Manager and City Attorney, with the following vendors:
Vendor Location
Darling International Inc.
Santa Ana
Houston & Harris PCS, Inc.
Grand Terrace
Orange County Pumping, Inc.
Santa Ana
The Public Works Agency Water Resources Division maintains the City's water and sewer systems
consisting of approximately 440 miles of water mains and 390 miles of sewer mains. The proposed
contracts will provide emergency cleanup services on an as- needed basis. The selected contractors
will cleanup debris, mud, dirt and sludge associated with water main breaks and sewer system
overflows (SSO's).
The notice inviting bids was advertised on June 19, 2014 on the City's online bid management and
publication system. A summary of the bid invitations and bids received is as follows:
22 Vendors notified
4 Santa Ana vendors notified
6 Vendors downloaded the bid packet
3 Bids received
2 Bids received from Santa Ana Vendors
Bids were solicited, opened on July 10, 2014 and evaluated (Exhibit 1). The bids received from the
recommended vendors are responsive to the specifications and meet the City's requirements.
Maintaining three vendors under contract allows for competitive quotes on any given job as well as
ensures availability of services when needed.
2213-1
Contracts Award for Water & Sewer Cleanup Services
August 5, 2014
Page 2
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure,
Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B
(equitably maintain existing streets and associated assets in a state of good repair so they are clean,
safe and aesthetically pleasing for all users).
FISCAL IMPACT
Funds are available in the Public Works Sanitary Sewer Service account (no. 05617640 - 62300).
Edwin "William" Galvez, P.E.
Interim Executive Director
Public Works Agency
EWG /ns /af /sp
Exhibit: 1. Bid Abstract
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
228 -2
ABSTRACT OF BIDS
EMERGENCY WATER AND SEWER CLEANUP SERVICES (14 -038)
Darling Houston & Harris Orange County
Bidder International Inc. PCS, Inc. Pumping, Inc.
Location Santa Ana, CA Grand Terrace, CA Santa Ana, CA
Terms Net 30 Net 30 Net 30
Ranking 1 3 2
EXHIBIT 1
22B -3
22B -4
•
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
CONTRACT AWARD TO
CPAC INC. FOR BARRACUDA
EMAIL ARCHIVING SYSTEM
(SPEC. NO. 14 -041)
<-2Z
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
UT55047iVel
❑ As Recommended
❑ As Amended
❑ Ordinance on 1"Reading
❑ Ordinance on 2ntlReading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Award a contract to CPAC Inc. for the purchase of a Barracuda email archiving system in an
amount not to exceed $26,800, subject to non - substantive changes approved by the City
Manager and City Attorney.
DISCUSSION
As part of the City's Record Retention Schedule, Resolution No. 2013 -014, the City Council
approved the change of the retention for City electronic mail from a period of 30 days to a period
of two years. This has significantly increased the volume of email to be stored and the complexity
of recovering selected email based on various criteria. After extensive testing and research, the
Information Services Operations team found the Barracuda email archiving system to be the
most effective device for this purpose.
The email archiving system is purpose -built to support compliance laws and regulations that
require message archiving and retrieval, such as SEC 17a -3/ -4, PCI DSS, FINRA, FOIA, HIPAA,
and California Public Record Act. It has high capacity storage using state -of- the -art compression,
comprehensive indexing, permissioning, search, legal hold, audit, and export capabilities that
help accelerate and simplify responding to Public Record Requests related to electronic mail. It
will also reduce the amount of storage on the primary electronic mail computer servers allowing
for overall better email performance at lower costs. Currently, the manual retrieval process takes
an average of four hours to restore, search and recover selected email for a single past calendar
day. With the Barracuda email archiving system, the process is reduced to minutes. It also meets
evidentiary standards. Approved City staff will be provided self- service access to their archived
emails in several convenient ways including Outlook, Mobile Devices, and a Web interface.
22C -1
Contract Award to CPAC Inc. for
Email Archiving System
August 5, 2014
Page 2
This email archiving system is projected to meet the City's email archiving needs for the next
three years based on current email storage rates.
The notice inviting bids was advertised on June 10, 2014 on the City's online bid management
and publication system. A summary of the bid invitations and bids received is as follows:
60 Vendors were notified
3 Vendors downloaded the bid packet
0 Received from Santa Ana vendors
2 Bids received
The bids were received and opened on June 23, 2014 and evaluated (Exhibit 1). The bid
received from CPAC Inc. is responsive to the specifications and meets the City's requirements
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #7 Team Santa Ana, Objective #5
(create a culture of innovation and efficiency within the organization.), Strategy A (promote the
use of new technology to improve the delivery of services and information to staff and the
community).
FISCAL IMPACT
Funds are available in the Finance Information Systems Strategic Plan Maintenance and Support
account (no. 10910147-62300).
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance and Management Services Agency
TG
Attachment Exhibit 1 -Bid Abstract
220-2
Contract Award to CPAC Inc. for
Email Archiving System
August 5, 2014
Page 3
ABSTRACT OF BIDS
CONTRACT AWARD FOR BARRACUDA EMAIL ARCHIVING SYSTEM (14 -041
VENDOR
CPAC Inc.
ESecurityToGo
LOCATION
Anaheim, CA
Newport Beach, CA
TERM
NET 30 DAYS
NET 30 DAYS
OFFER $26,750. $31,338.
Exhibit 1
22C -3
22C -4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
CONTRACTS AWARD FOR
DESKTOP COMPUTERS,
LAPTOPS, MOBILE DEVICES &
RELATED EQUIPMENT
(SPEC. NO. 14 -033)
CITY MAN GER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
_050:6 6
❑ As Recommended
❑ As Amended
❑ Ordinance on1"Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
Award contracts for the purchase of desktop computers, laptops, mobile devices and related
equipment for a one -year period in annual aggregate amount not to exceed $400,000, with
provisions for three one -year renewals exercisable by the City Manager, subject to non -
substantive changes approved by the City Manager and City Attorney, with the following vendors:
Direct Manufacturer:
Dell Computer Corp.
DISCUSSION
Value -Added Resellers:
CDW Government, LLC
CherryStonelT, Inc
Insight Investments
Vology
The City of Santa Ana is currently completing its PC longevity plan which includes an upgrade to
current technology and implementing innovative efficient technology throughout the organization.
The Information Services Division (ISD) has established a structured plan; whereby, the needs
and priorities of staff have been identified as areas where upgrading technology can provide
value, increase efficiencies and enhance daily operations.
The technology effort resulting from this request is large and complex and will require the use of
Phases. Phase I will include the client desktop piece. Phase II of the PC plan will address the
needs of the City's enterprise operations, networking, servers and storage by providing
improvements with integration to mobility in the coming months.
22D -1
Contracts Award for Desktop Computers,
Laptops, Mobility Devices & Related Equipment
August 5, 2014
Page 2
To begin with Phase I, the Information Services Division will begin replacing much needed
desktop computers Citywide, starting with the oldest systems first. Computing requirements of
staff will be evaluated against their work needs as to the type of personal computer replacement.
Given the changes in technology, included in the scope of the PC plan is the mobility initiative.
Looking more closely at the proposed mobility plan, the goal of this initiative is to define mobile
users and provide the necessary tools /equipment to help them become more productive. Offering
computing mobile devices like laptops or tablet computers, will enable staff to work from various
locations around the City. Currently, 71% of the City's personal computers are four years or
older. This contract intends to replace 1,200 computer devices throughout the City over the next
four years. Once the PC plan is fully employed, the digital capabilities of the City will provide a
highly innovative and sustainable technology solution.
In an effort to build next generation digital capabilities while using best -value technology, the
option to purchase certified refurbished desktop computers is also included in this contract. With
technology advancing, the average two year old desktop computer has more than enough
computing horsepower to meet staff needs for the next three years. Certified refurbished
computers with a three year warranty will meet these types of needs.
The notice inviting bids was advertised on June 9, 2014 on the City's online bid management and
publication system. A summary of the bid invitations and bids received are as follows:
53 Vendors were notified
23 Vendors downloaded the bid packet
0 Received from Santa Ana vendors
6 Bids received
The bids were received and opened on June 25, 2014 and evaluated (Exhibit 1). The bids
received from Dell Computer Corp, CherryStone IT, Inc., Insight Investments and Vology are all
responsive to the specifications and meets the City's requirements.
Santa Ana Ordinance No. NS -2312 authorizes the City to purchase against contracts from any
public agency utilizing a competitive bid process. The Western States Contracting Alliance
(WSCA) establishes California Multi -State Cooperative Agreements for Commodities, IT Goods
and Services, and Telecommunication Goods and Services. WSCA agreements are available to
all State of California governmental entities that expend public funds for the acquisition of goods
and services. Dell Computer Corporation is a manufacturer offering WSCA pricing.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities &
Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City
assets), Strategy I (assessment and development of a citywide information Technology Master
Plan to include elements such as Wi -Fi in City facilities including recreational / senior centers,
2201-2
Contracts Award for Desktop Computers,
Laptops, Mobility Devices & Related Equipment
August 5, 2014
Page 3
PC /server /equipment replacement plan, information security, disaster recovery plan, etc.) and
Goal #7 Team Santa Ana, Objective #5, (create a culture of innovation and efficiency within the
organization.), Strategy A (promote the use of technology to improve the delivery of services and
information to staff and the community).
FISCAL IMPACT
Funds totaling $350,000 for the first year are available in the Finance Management Services —
Computer PC /Hardware Replacement account ($350,000 in 10910148 - 63202) and Public Works,
Admin. Services account ($50,000 in 10117601 - 63001). Funds for the duration of the contract
period will be included in various departmental Miscellaneous Operating Expenses account (no.
63001).
Edwin "William" Galvez, P.E.
Executive Director
Public Works Agency
EG /RD
Attachment Exhibit 1 — Bid Abstract
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance and Management Services Agency
22D -3
Contracts Award for Desktop Computers,
Laptops, Mobility Devices & Related Equipment
August 5, 2014
Page 4
ABSTRACT OF BIDS
RESPONSIVE=
1. Equipment offered meets the City's needs.
2. Contract pricing offered.
3. Return policy, Net terms & Availability meets the City's needs.
Exhibit 1
22D -4
Insight
VENDOR
CDW -G
Cherrystone IT
Dell Corp.
Investments
Vology
TYPE OF BUSINESS
Reseller
Reseller
Direct Mfr.
Reseller
Reseller
Dell Partner,
CONTRACT PRICING
NJP,NIPA,GSA,
Dell Partner,
Authorized
GSA, WSCA,
OFFERED
CMAS,WSCA
GSA
WSCA
Refurbished
CMAS
Huntington
LOCATION
Vernon Hills, IL
Beach, CA
Round Rock, TX
Costa Mesa, CA
Irvine, CA
CATEGORY A -
Desktop Computers
RESPONSIVE
RESPONSIVE
RESPONSIVE
CATEGORY B -
Refurbished Computers
RESPONSIVE
RESPONSIVE
RESPONSIVE
RESPONSIVE
CATEGORY C -
Laptop Computers
RESPONSIVE
RESPONSIVE
RESPONSIVE
CATEGORY D -
Tablet PC's & Acc.
RESPONSIVE
RESPONSIVE
RESPONSIVE
RESPONSIVE=
1. Equipment offered meets the City's needs.
2. Contract pricing offered.
3. Return policy, Net terms & Availability meets the City's needs.
Exhibit 1
22D -4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
CLERK OF COUNCIL USE ONLY:
AUGUST 5, 2014
TITLE: APPROVED
CONTRACT AWARD FOR ARTERIAL ❑ As Recommended
STREETS RESURFACING USING TIRE ❑ As Amended
RUBBER MODIFIED SLURRY SEAL El Ordinance on 9s' Reading
❑ Ordinance on 2 "d Reading
(PROJECT 136788) ❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
CITY MANAGE
RECOMMENDED ACTION
Award a contract to Roy Allan Slurry Seal, Inc., the lowest responsible bidder, in accordance
with the Base Bid and Alternative A, in the amount of $890,800, for the construction of the
arterial streets resurfacing using tire rubber modified slurry.
2. Approve the Cost Analysis for a total estimated project delivery cost of $1,145,951.
DISCUSSION
The City has made a significant investment in rehabilitating arterial streets over the last ten years
and, therefore, maintaining and protecting that investment is a top priority. The City's Pavement
Management Program effectively strategizes short and long -term maintenance schedules to
maximize performance of the entire street pavement network, including identifying preventative
maintenance improvement projects.
The application of a surface slurry seal to asphalt streets every seven to ten years ensures a
continued high level of service. Historically, a conventional slurry seal has been used. In contrast,
rubberized slurry seals offer superior performance over conventional slurry by providing a more
flexible surface that resists cracking, while also benefiting the environment by repurposing recycled
tires. There are several rubberized slurry products available, including tire rubber modified slurry
seal (TRMSS) and rubberized emulsion aggregate slurry (REAS). Both of these products are
industry proven applications for street maintenance. Additionally, both provide similar wear and
aesthetic characteristics. Based on the City's Pavement Management Program, staff has identified
a project area in which the TRMSS product will be used to rehabilitate arterial streets (Exhibit 1).
23A -1
Contract Award for Arterial Streets Resurfacing
Using Tire Rubber Modified Slurry
August 5, 2014
Page 2
To determine future preference, the performance of this product will be compared with another
project area using the REAS product.
Bid procedures have been followed as established by the City's Municipal Code and in adherence
to the Public Contracts Code. The Notice Inviting Bids was advertised on April 25 & 28, 2014, and
bids were opened on May 15, 2014.
The following is a summary of the bid invitations mailed and received, and the bid results:
Contractor Participation Data
Santa Ana contractors receiving notices
6
Contractors requesting bidding documents
9
Bids received
3
Bids received from Santa Ana contractors
0
Bid Results Summary
RANK
BIDDERS
LOCATION
BID
1
Roy Allan Slurry Seal, Inc.
Santa Fe Springs
$890,800
2
R.J. Noble Company
Orange
$989,839
3
All American Asphalt
Corona
$1,191,191
A total of three bids were received and deemed responsive, with Roy Allan Slurry Seal, Inc.,
submitting the lowest responsive bid for TRMSS application (Alternative A). The bid amount of
$890,800 compares favorably to the Engineer's Estimate of $1,100,000. Based on the bids
received, staff recommends award of this TRMSS contract to Roy Allan Slurry Seal, Inc.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities &
Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City
assets), Strategy C (invest resources and technology to extend the service life of existing
infrastructure to protect the City's investment and support a high quality of life standard).
ENVIRONMENTAL IMPACT
In accordance with the California Environmental Quality Act, the recommended actions are exempt
from further review. Categorical Exemption Environmental Review No. 2014 -48 was filed for this
project.
23A -2
Contract Award for Arterial Streets Resurfacing
Using Tire Rubber Modified Slurry
August 5, 2014
Page 3
FISCAL IMPACT
The estimated total delivery cost of this project is $1,145,951, which includes construction, contract
administration, inspection, testing, survey, and contingencies (Exhibit 2). Funding is available in
the Measure M2 Fairshare Fund account (No. 03217662).
APPROVED AS TO FUNDS AND ACCOUNTS:
Edwin "William" Galv P.E. Francisco Gutierrez
Interim Executive Dir ctor Executive Director
Public Works Agency Finance & Management Services Agency
EWG /ET
Exhibits: 1. Arterial Streets Resurfacing using TRMSS Location Map
2, Cost Analysis
23A -3
23A -4
N4yJ�aRq,yG,e
Exhibit 1 NTS) o`�q":
SANTA ANA Tnix-
` CONTRACT AWARD FOR
P� AGEmA , AIRR UB M TIRE B RESURFACING SSLYY
SEAL
° IC ° S AU"`° (PROJECT NO: 136788)
23A -5
Contract Award for Arterial Streets Resurfacing
Using Tire Rubber Modified Slurry
August 5, 2014
Exhibit 2
COST ANALYSIS
PROJECT 13 -6788 ARTERIAL STREET SLURRY SEAL
Construction Contract
Contract Administration
Inspection and Testing
Contingencies
TOTAL ESTIMATED CONSTRUCTION COSTS
Exhibit 2
23A -6
$60,129.00
$73,491.00
$121,531.00
$1,145,951.00
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
CLERK OF COUNCIL USE ONLY:
AUGUST 5, 2014
TITLE: APPROVED
CONTRACT AWARD FOR ARTERIAL ❑ As Recommended
STREETS RESURFACING USING ❑ As Amended
RUBBERIZED EMULSION AGGREGATE E] ordinance on Reading
0
❑ Ordinance on tl Reading
SLURRY (PROJECT 146809) ❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
z", - FILE NUMBER
CITY MANAG
RECOMMENDED ACTION
1. Award a contract to All American Asphalt, the lowest responsible bidder, in accordance with
the Base Bid, in the amount of $1,130,298, for the construction of the arterial streets
resurfacing using Rubberized Emulsion Aggregate Slurry.
2. Approve the Cost Analysis for a total estimated project delivery cost of $1,454,049.
DISCUSSION
The City has made a significant investment in rehabilitating arterial streets over the last ten years
and, therefore, maintaining and protecting that investment is a top priority. The City's Pavement
Management Program effectively strategizes short and long -term maintenance schedules to
maximize performance of the entire street pavement network, including identifying preventative
maintenance improvement projects.
The application of a surface slurry seal to asphalt streets every seven to ten years ensures a
continued high level of service. Historically, a conventional slurry seal has been used. In contrast,
rubberized slurry seals offer superior performance over conventional slurry by providing a more
flexible surface that resists cracking, while also benefiting the environment by repurposing recycled
tires. There are several rubberized slurry products available, including tire rubber modified slurry
seal (TRMSS) and rubberized emulsion aggregate slurry (REAS). Both of these products are
industry proven applications for street maintenance. Additionally, both provide similar wear and
aesthetic characteristics. Based on the City's Pavement Management Program, staff has identified
a project area in which the REAS product will be used to rehabilitate arterial streets (Exhibit 1). To
determine future preference, the performance of this product will be compared with another project
area using the TRMSS product.
23B -1
Contract Award for Arterial Streets Resurfacing
Using Rubberized Emulsion Aggregate Slurry
August 5, 2014
Page 2
Bid procedures have been followed as established by the City's Municipal Code and in adherence
to the Public Contracts Code, The Notice Inviting Bids was advertised on April 29 & 30, 2014, and
bids were opened on May 20, 2014.
The following is a summary of the bid invitations mailed and received, and the bid results:
Contractor Participation Data
Santa Ana contractors receiving notices
6
Contractors requesting bidding documents
8
Bids received
2
Bids received from Santa Ana contractors
0
Bid Results Summary
RANK
BIDDERS
LOCATION
BID
1
All American Asphalt
Corona
$1,130,298
2
Pavement Coatings Company
Jurupa Valley
$1,463,817
Two bids were received and deemed responsive, with All American Asphalt submitting the lowest
responsive bid. The bid amount of $1,130,298 is comparable to the Engineer's Estimate of
$1,100,000. Based on the bids received, staff recommends award of this REAS contract to All
American Asphalt.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities &
Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City
assets), Strategy C (invest resources and technology to extend the service life of existing
infrastructure to protect the City's investment and support a high quality of life standard).
ENVIRONMENTAL IMPACT
In accordance with the California Environmental Quality Act, the recommended actions are exempt
from further review. Categorical Exemption Environmental Review No. 2014 -50 was filed for this
project.
23B -2
Contract Award for Arterial Streets Resurfacing
Using Rubberized Emulsion Aggregate Slurry
August 5, 2014
Page 3
FISCAL IMPACT
The estimated total delivery cost of this project is $1,454,049, which includes construction, contract
administration, inspection, testing, survey, and contingencies (Exhibit 2). Funding is available in
the Measure M2 Fairshare Fund account (No. 03217662).
Edwin "William" Galva , P.E.
Interim Executive Director
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Public Works Agency Finance & Management Services Agency
EWG /ET
Exhibits: 1. Arterial Streets Resurfacing Using REAS Location Map & List
2. Cost Analysis
23B -3
23B -4
NOWN oaANCF
Exhibit 1 NTS
CONTRACT -D FOR
ARTERIAL STREETS RESURFACING
C =16 • •
(PROJECT NO.- 146809)
23B -5
Contract Award for Arterial Streets Resurfacing
Using Rubberized Emulsion Aggregate Slurry
August 5, 2014
Exhibit 2
COST ANALYSIS
PROJECT 14 -6809 ARTERIAL STREET SLURRY SEAL
Construction Contract
Contract Administration
Inspection and Testing
Contingencies
TOTAL ESTIMATED CONSTRUCTION COSTS
Exhibit 2
23B -6
$1,130,298.00
$76,295.00
$93,250.00
$154,206.00
$1,454,049.00
COUNCIL CITY DATE:
AUGUST 6, 2014
TITLE:
EMPLOYEE GROUP INSURANCE
RENEWALS
NNW CITY MAN EIVPZ
IV
CLERK F COUNCIL USE O'..
..we _k
CONTINUED TO
Authorize the City Attorney to prepare and authorize the City Manager and Cleric of the Council to
execute agreements for long term disability, medical, dental, vision, employee assistance,
employee group life and accidental death and dismemberment insurance, subject to non -
substantive changes approved by the City Manager and City Attorney.
DISCUSSION
The City's employee group benefit policies, contracts and agreements are renewed annually on
January 1. Currently the City provides life and accidental death & dismemberment (AD &D)
coverage and long -term disability (LTD) insurance through Aetna for full -time employees. Aetna
has agreed to renew the contract for a period of two years with no rate increase through
December 31, 2016.
Life Insurance
Insurance Coverage
Current Insurance
Insurance
Percent Change
Elate
Renewal Rate
Life Insurance
$0.102 per $1000
$0.102 per $1000
0.0%
Accidental Death &
$0.020 per $1000
$0.020 per $1000
0.0%
Dismemberment
25A -1
Employee Group Insurance Renewals
August 5, 2014
Page 2
..
Group Coverage
Current Insurance
Insurance
Percent Change
Employee
Rate
Renewal Rate
0.0%
Management
$0.352 per $100
$0.352 per $100
U%
Employees
$8.78
$8.78
0.0%
130 day watt
Employees
$15.98
$15.93
0.0%
60 day it
Dental Plans
The contract with Delta Dental and MetLife is scheduled for renewal. Delta has agreed to renew
the contract for a period of two years with no rate increase in the first year and a cap of 6,6% rate
increase in the second year. MetLife has agreed to renew the contract for a period of two years
with an increase of 2.0% each year. This increase is directly related to dependent children
remaining covered on the insurance until age 26 under the Patient Protection and Affordable Care
Act.
Type of Coverage
DCur�e l Rate
RaDelta pePercent
Change
Employee
$48.39
$48.39
0.0%
Employee Plus Family
$119.17
$119.17
0.0°%
Type of Coverage
MetLife Dental
Current Rate
MetLife Dental
Rate 2014
Percent
Change
Employee
$25.86
$26.38
2.0%
Employee Plus Family
$44.21
$45.09
2.0%
25A -2
Employee Group Insurance Renewals
August 5, 2014
Page 3
The change in CaIPERS basic HMO health plan rates range from a decrease of 13.80% for United
Healthcare to an increase of 25,48% for Anthem HMO Traditional. The average increase for all
HMO health plans will be 8.4% and the average increase for all basic PPO health plans will be
8.9 %. The City will incur a 9.3% increase in costs for employees enrolled in the CaIPERS medical
plans. The city contribution for SEW and POA were capped during the last negotiations and will
remain the same. The employees will be responsible for any increase in cost above the City
contribution.
I
+
or more
De ancients
Percent
Change
Anthem
6
Anthem Traditional
$1486.24
♦
i ; f f
6lue Shield ccess+ HMO
$119732
Health Net HMO «
$1041.18
•. • A
i
$1507.48
'.ff
UnitedHealthca O
' «
$898.20
i..
PERSCare wPO
$1314.64
$1709.03
«
PERSChoice PPCO)
4 4!
.lei s
I
f 1
PERSSelect P
f
25A -3
Employee Group Insurance Renewals
August 5, 2014
Page 4
problems that may be interfering with their performance on the job. Consultation for problems
such as alcohol and drug abuse, legal, marital and family problems are available. REACH
currently provides services under this program.
Full time and Fart time employees are eligible to participate in the Employee Assistance Program.
REACH has agreed to renew this contract for a three year period and lower the employee count
from 1550 to 1460. The billing will now be based on two tiers (full time and part time) resulting in
an 32.4% premium decrease for part time employees and an overall decrease of 16% in costs.
F.
a « M
STRATEGIC PLAN ALIGNMENT
Goal /Objective & Associate Strategy Strategic Plan No. 7, 6
Approval of this item allows the City to meet Goal Seven, Team Santa Ana, Objective #6. Provide
a positive workplace environment that supports the health of its employees and celebrates its
successes.
25A -4
Current Rate based on
Insurance Renewal
Type of Coverage
1560 employees
Rate based on 1460
Percent Change
employees
Full Time Employee
$1.85 /employee
$1.85 1employee
(970 full time)
0.0%
Part Time Employee
$1.85 /employee
$1.25 /employee
(490 part time)
- 32,5%
F.
a « M
STRATEGIC PLAN ALIGNMENT
Goal /Objective & Associate Strategy Strategic Plan No. 7, 6
Approval of this item allows the City to meet Goal Seven, Team Santa Ana, Objective #6. Provide
a positive workplace environment that supports the health of its employees and celebrates its
successes.
25A -4
Employee Group
August 5, 2014
Page 5
FISCAL IMPACT
Insurance Renewals
The annual cost of each plan may vary depending on changes in the number of employees
enrolled during the year. The projected annual costs are calculated using current enrollment as of
July 2014.
Coverage for POA (Sworn and Non - Sworn)
*City administered insurance
Funds in the amount of $6,317,081 are budgeted and available in the Personnel Services
Employee Benefits account (account no. 08109053- 64010) to pay for City administered insurance
coverage *. Funds in the amount of $8,012,196 are budgeted and available in the Employee
Benefits account (account no. 08109053 - 64010) to pay for the insurance coverage administered
by the POA. The total budgeted amount of $14,329,277 is available in Fiscal Year 2014 -2015.
The balance will be budgeted in Fiscal Year 2015 -2016.
Edward S. Raya
Executive Director
Personnel Services
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency„
25A -5
CY 2014
CY 2015
Difference
Aetna Life*
$
14,640
$ 14,640
$
0
POA LTD Insurance
$
399,072
$ 396,000
$ -
3,072
POA Dental
$
540,000
$ 540,000
$
0
POA Medical
$
7,075,320
$ 7,074,000
$ -
1,320
REACH (EAP Provider)*
$
11,100
$ 11,100
$
0
Total Annual Cost
$
8,040,132
$ 8,035,740
$ -
4,392
Coverage for SEIU,
CASA, SAMA, EM, PMA & PTCS (City Administers)
CY 2014
CY 2015
Difference
Aetna Life /LTD Insurance*
$
114,316
$ 115,788
$
1,472
Dental Carriers*
$
335,699
$ 350,904
$
15,205
CalPERS Medical*
$
5,595,732
$ 6,029,148
$
433,416
REACH (EAP Provider)*
$
23,310
$ 17,784
$ -
5,526
Total Annual Cost
$
6,069,057
$ 6,513,624
$
444,567
*City administered insurance
Funds in the amount of $6,317,081 are budgeted and available in the Personnel Services
Employee Benefits account (account no. 08109053- 64010) to pay for City administered insurance
coverage *. Funds in the amount of $8,012,196 are budgeted and available in the Employee
Benefits account (account no. 08109053 - 64010) to pay for the insurance coverage administered
by the POA. The total budgeted amount of $14,329,277 is available in Fiscal Year 2014 -2015.
The balance will be budgeted in Fiscal Year 2015 -2016.
Edward S. Raya
Executive Director
Personnel Services
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency„
25A -5
25A -6
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT FOR DEVELOPMENT AND
REAL ESTATE ADVISORY SERVICES
WITH KOSMONT COMPANIES FOR
PROJECTS LOCATED AT 1660 EAST
FIRST STREET AND 201 WEST THIRD
STREET
�c
CITY MANAGE
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
❑ As Recommended
❑ As Amended
❑ Ordinance on 16' Reading
❑ Ordinance on 2 r Reading
❑ Implementing Resolution
❑ Set Public Hearing For,_
CONTINUED TO
FILE NUMBER
Authorize the City Manager and the Clerk of the Council to execute the attached agreement
with Kosmont Companies in an amount
an option to renew for an additional year
City Manager and City Attorney.
DISCUSSION
not to exceed $60,000, for a period of two years with
, subject to non - substantive changes approved by the
As the City continues to move forward on two large joint- venture development opportunities at
the Elks Lodge Site (1660 East First Street) and the 3rd and Broadway parking structure (201
West Third Street) it is critical that staffing for these projects be available to support this effort.
With the loss of key staff with expertise in development/project management, there is a need to
fill that void on a temporary basis with consultant services so the City can continue its momentum
in developing these significant projects.
Kosmont Companies will provide expertise and advisory consulting services for the completion of
a preliminary highest and best use analysis and entitlement constraints assessment for the Elks
Lodge site in conjunction with surrounding properties such as the Santa Ana Zoo site. The
proposal also includes an analysis of the re -use and development potential for the City's parking
structure located on 3rd Street and Broadway in the City's downtown. Consulting services and
deliverables will include: Site and local area analysis, market analysis, highest and best use
analysis, assistance with negotiations and financial analysis.
Kosmont Companies has the requisite specialized skills and is a nationally recognized expert in
the area of financial advisory, economic development services and real estate development
projects involving government and private sector partnerships.
2513-1
Kosmont Companies Agreement
August 5, 2014
Page 2
The recommended agreement with Kosmont Companies is exempt from the requirement for
competitive bidding through an open market purchase by Section 2 -807 of the Santa Ana
Municipal Code which allows contracts for professional services to be sole sourced.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #3 Economic Development,
Objective #5 (Leverage private investment that results in tax base expansion and job creation
citywide), Strategy A (Identify and market underutilized properties (city and non -city owned) for
new development that will create new jobs and expand the City's tax base (e.g. YMCA, 3rd and
Broadway parking structure, Saddleback Inn site).
FISCAL IMPACT
Funds in the amount of $60,000 are budgeted and available in the City Manager's General Non -
department fund account (no. 01105015- 62300).
APPROVED AS TO FUNDS AND ACCOUNTS:
Karen za Francisco Gutierrez
Interim rxecutive Director Executive Director d Building Agency Finance and Management Services
MF: MF /RFCA — Kosmont Companies — 1660 E. First Street and 201 W. Third Street
Exhibit 1: Agreement with Kosmont Companies
25B -2
CONSULTANT AGREEMENT
THIS AGREEMENT made and entered into this _ day of 2014 by and
between KOSMONT & ASSOCIATES, INC., doing business as KOSMONT COMPANIES, a
California corporation (hereinafter "Consultant "), and the CITY OF SANTA ANA, a charter city
and municipal corporation organized and existing under the Constitution and laws of the State of
California (hereinafter "City ").
RECITALS
A. The City desires to retain a consultant having special skill and knowledge in the field of
real estate, economic development, and financial analysis advisory services.
B. Consultant represents that Consultant is able and willing to provide such services to the
City.
C. In undertaking the performance of this Agreement, Consultant represents that it is
knowledgeable in its field and that any services performed by Consultant under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
I. SCOPE OF SERVICES
Consultant shall provide site and local area analysis, market analysis, highest and best use
analysis, assistance with negotiations and financial analysis, as set forth in Exhibit A, attached
hereto and incorporated herein by this reference,
Consultant shall deliver to City all work product resulting from the services provided.
Said work product shall be submitted in a hard copy and in a form compatible with City's
computer system, as agreed between the Executive Director and Consultant.
In regard to copyrightable material produced as a deliverable under this Agreement,
including but not limited to books, reports, plans, photographs, drawings and computer
programs, Consultant agrees and shall ensure that all of Consultant's affected officers,
employees, agents, contractors, and volunteer workers agree that (a) other such material may not
be copyrighted without prior review from the City, and (b) the authors of all such material,
whether copyrighted or not, award to the City, and to its officers, agents and employees acting
within the scope of their official duties, as a condition of payment to the Consultant, a royalty.
free, nonexclusive, irrevocable license throughout the world for governmental purposes to
disclose, publish, translate, reproduce, and use such materials.
EXHIBIT 1
25B -3
2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services,
the cumulative rates and charges identified in Exhibit A. The total sum to be expended under
this agreement shall not exceed $60,000 during the term of the 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 two (2)
years from said commencement date or upon the depletion of the maximum contract amount as
stated in Section 2 above, unless terminated earlier in accordance with provisions, below. The
term of this Agreement may be extended for an additional year upon a writing executed by the
City Manager and the City Attorney.
4. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor
shall it be construed to create an employer - employee relationship, a joint venture relationship, or
to allow the City to exercise discretion or control over the professional manner in which
Consultant performs the services which are the subject matter of this Agreement; however, the
services to be provided by Consultant shall be provided in a manner consistent with all
applicable standards and regulations governing such services. Consultant shall pay all salaries and
wages, employer's social security taxes, unemployment insurance and similar taxes relating to
employees and shall be responsible for all applicable withholding taxes.
S. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall
maintain and shall require its subcontractors, if any, to obtain and maintain insurance as
described below:
a. Commercial General Liability Insurance. Consultant shall maintain commercial
general liability insurance which shall include, but not be limited to protection against claims
arising from bodily and personal injury, including death resulting therefrom and damage to
property, resulting from any act or occurrence arising out of Consultant's operations in the
performance of this Agreement, including, without limitation, acts involving vehicles. The
amounts of insurance shall be not less than the following: single limit coverage applying to
bodily and personal injury, including death resulting therefrom, and property damage, in the total
amount of $1,000,000 per occurrence, $1,000,000 in the aggregate. Such insurance shall (a)
name the City, its officers, employees, agents, volunteers and representatives as additional
25B -4
insured(s); (b) be primary with respect to insurance or self - insurance programs maintained by the
City; and (c) contain standard separation of insureds provisions. Consultant shall supply City
with a fully executed additional insured endorsement in substantially the form attached hereto as
Exhibit B upon execution of this Agreement, and shall be approved in form by the City Attorney.
b, Worker's Compensation Insurance. In accordance with the provisions of Section
3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured
against liability for worker's compensation or to undertake self - insurance. Prior to commencing
the performance of the work under this Agreement, Consultant agrees to obtain and maintain any
employer's liability insurance with limits not less than $1,000,000 per accident.
c. Professional liability (errors and omissions) insurance, with a combined single limit of
not less than $1,000,000 per claim, subject to $1,000,000.00 aggregate.
d. The following requirements apply to the insurance to be provided by Consultant
pursuant to this section;
(i) Consultant shall maintain all insurance required above in full force and
effect for the entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of
this Agreement 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.
d. If Consultant fails or refuses to produce or maintain the insurance required by this
section or fails or refuses to furnish the City with required proof that insurance has been procured
and is in force and paid for, the City shall have the right, at the City's election, to forthwith
terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its
time and materials expended prior to notification of termination. Consultant waives the right to
receive compensation and agrees to indemnify the City for any work performed prior to approval
of insurance by the City.
6. INDEMNIFICATION
Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents,
employees, consultants, special counsel, and representatives from liability for personal injury,
damages, just compensation, restitution, judicial or equitable relief arising out of claims for
personal injury, including health, and claims for property damage, which may arise from the
direct or indirect negligent operations of the Consultant or its contractors, subcontractors, agents,
employees, or other persons acting on their behalf which relates to the services described in
section 1 of this Agreement. This indemnity and hold harmless agreement applies to all claims
for damages, just compensation, restitution, judicial or equitable relief suffered by reason of the
events referred to in this Section or by reason of the terns of, or effects, arising from this
Agreement. The Consultant further agrees to indemnify, hold harmless the City, regarding any
action by a third party challenging the validity of this Agreement, or asserting that personal
25B -5
injury, damages, just compensation, restitution, judicial or equitable relief due to personal or
property rights arises by reason of the terms o£, or effects arising from this Agreement, City may
make all reasonable decisions with respect to its representation in any legal proceeding.
CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such
information is reasonably understood to be confidential and/or proprietary, Consultant agrees
that it shall not use or disclose such information except in the performance of this Agreement,
and further agrees to exercise the same degree of care it uses to protect its own information of
like importance, but in no event less than reasonable care. "Confidential Information" shall
include all nonpublic information. Confidential information includes not only written
information, but also information transferred orally, visually, electronically, or by other means.
Confidential information disclosed to either party by any subsidiary and/or agent of the other
party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure
shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is,
through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful
possession of the Consultant without an obligation of confidentiality; (d) is required to be
disclosed by operation of law; or (e) is independently developed by the Consultant without
reference to information disclosed by the City.
S. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct
or indirect, which would conflict in any manner with performance of services specified under
this Agreement.
9. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other
telegraphic communication in the manner provided in this Section, to the following persons:
To City: Cleric of the City Council
City of Santa Ana
20 Civic Center Plaza (M -30)
P.O. Box 1988
Santa Ana, CA 92702 -1988
telefacsimile (714) 647 -6956
With courtesy copies to:
Executive Director of Planning and Building Agency
Building Safety Division
City of Santa Ana
20 Civic Center Plaza (M -19)
r
"IT1I
P.O. Box 1988
Santa Ana, California 92702
telefacsimile (714) 647 -5897
City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, California 92702
telefacsimile (714) 647 -6515
To Consultant; Kosmont & Associates, Inc.
DBA Kosmont Companies
Larry J. Kosmont, President & CEO
865 South Figueroa Street, 35`x' Floor
Los Angeles, California 90017
telefacsimile (213) 417 -3311
A party may change its address by giving notice in writing to the other party. 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.
10. EXCLUSWITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Consultant, and supersedes any and all other agreements, oral or written, between the parties, In
the event of a conflict between the terms of this Agreement and any attachments hereto, the
terms of this Agreement shall prevail. This Agreement may not be modified except by written
instrument signed by the City and by an authorized representative of Consultant. The parties
agree that any terms or conditions of any purchase order or other instrument that are inconsistent
with, or in addition to, the terms and conditions hereof, shall not bind or obligate either
Consultant or the City. Each party to this Agreement acknowledges that no representations,
inducements, promises or agreements, orally or otherwise, have been made by any party, or
anyone acting on behalf of any party, which are not embodied herein.
11. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant,
Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement
25B -7
shall be construed to limit the City's ability to have any of the services which are the subject to
this Agreement performed by City personnel or by other consultants retained by City.
12. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant
compensation for all services performed by Consultant prior to receipt of such notice of termination,
subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to
deliver to the City all work product completed as of such date, and in such case such work product
shall be the property of the City unless prohibited by law, and Consultant consents to the City's use
thereof for such purposes as the City deems appropriate.
b. Payment need not be made for work which fails to meet the standard of performance
specified in the Recitals of this Agreement.
13. DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital
status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited
by applicable law, in the recruitment, selection, training, utilization, promotion, termination or
other employment related activities. Consultant affirms that it is an equal opportunity employer
and shall comply with all applicable federal, state and local laws and regulations.
14. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the
validity, interpretation, performance, and enforcement of any of the clauses of this Agreement
shall be determined and governed by the laws of the State of California. Both parties further
agree that Orange County, California, shall be the venue for any action or proceeding that may
be brought or arise out of, in connection with or by reason of this Agreement.
15. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses,
permits, approvals, waivers, and exemptions necessary for the provision of the services
hereunder and required by the laws and regulations of the United States, the State of California,
the City of Santa Ana and all other governmental agencies. Consultant shall notify the City
immediately and in writing of its inability to obtain or maintain such permits, li,cen.ses, approvals,
waivers, and exemptions. Said inability shall be cause for termination of this Agreement.
r
16. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereirrbelow has the power,
authority and right to bind their respective parties to each of the terns 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 Bally set
forth in the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year
first above written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
CITY OF SANTA ANA
DAVID CAVAZOS
City Manager
KOSMONT & ASSOCIATES, INC.
DBA KOSMONT COMPANIES
LARRY J. KOSMONT
President & CEO
Tax ID#
25B -9
EXHIBIT A
SCOPE OF SERVICES
(Attached)
25B -10
i�oon
nompnnta9a
July 15, 2014
Mr. Vince C. Fregoso, AICP
Principal Planner
CITY OF SANTA ANA
Planning and Building Agency
20 Civic Center Plaza, M -20
Santa Ana, CA 92701
Re: Proposal for Services
Preliminary Highest & Best Use with Development Constraints Analysis
Dear Mr. Fregoso:
Kosmont & Associates, Inc. doing business as Kosmont Companies ( "Consultant" or
"Kosmont ") is pleased to present this proposal for real estate advisory consulting
services to the City of Santa Ana ( "Client ") in connection with the completion of a
preliminary highest and best use analysis and entitlement constraints assessment forthe
Elks Lodge Site ( "Site ") in conjunction with surrounding property such as the Santa Ana
Zoo site. The proposal also includes an analysis of the re -use and development potential
for the City's parking lot site located on 3rd and Broadway in the City's downtown.
II. SCOPE OF SERVICES
Elks Lodge Site Analysis
Task 1: Site and Local Area Analysis
To begin the assignment, Kosmont will confirm with Client if there are particular land
uses desired by Client pertaining to the Property.
Kosmont will inspect the Site to determine existing conditions related to access, visibility,
views, development suitability and related issues. Kosmont will also inspect the local
area including adjacent properties, to identify potential benefits and constraints the
adjacent properties may pose with respect to development and utilization of the
Property.
Kosmont will also utilize documentation provided by Client, which reflects the specific
development parameters for the Site based on zoning, development regulations, prior
entitlements, required entitlements and California Environmental Quality Act (CEQA)
approvals, depending on land use.
Task 2: Market Analysis
Kosmont will conduct a local market analysis in which key market trends are identified.
This may include identification by land use of current competition, general price and /or
865 South Figueroa Street 35� Floor Los Angeles CA 90017 ph 2i3A17.3300 fX 213,417,3311 www.kosmont.00m
25B -11
City of Santa Ana
Proposal for Services
July 15, 2014
Page 2 of 8
rent levels, vacancy rates, absorption rates, and other factors that may impact market
potential.
Kosmont will perform a brief review of property sales and /or tenant lease rates for
different product types to provide corroboration for observed market pricing levels, as
well as to provide insight into the potential for success of different development
approaches.
Task 3: Highest and Best Use Analysis
Kosmont will identify the potential highest and best use of the Site based on the results
of the site and market analyses, an understanding of Client's goals, entitlement and
development constraints identified including political and community issues which may
affect or delay development approvals. Kosmont will provide an analysis identifying the
market -based highest and best use and include supporting market data and assessment
of financial viability based on relevant metrics and other factors as may be appropriate.
Such analysis will include the results of initial meetings with the Elks property ownership
to ascertain the fundamental direction and priorities of the Elks.
Task A: Initial discussions with Elks and Zoo Representatives! Initial Letter of
Intent or MOU
Kosmont will engage in discussions with representatives from the Elks Lodge and Santa
Ana Zoo to determine commonalities and preferred approaches to the project based on
various site plan options. As part of that process, Kosmont will assess the potential for
the Elks to relocate some or all of their activities to other adjacent or nearby sites
(preliminary), which will also include confirming parking requirements and zoo operations
preferences in terms of primary entrance and other considerations, Kosmont can also
evaluate the potential for a joint use in the form of a combined facility as a potential use
that would accommodate special events and other activities.
Based on these discussions and prior activities, Kosmont can explore various strategic
alternatives that could be pursued through a Memorandum of Understanding (MOU) or
initial Letter of Intent and assist with identifying and drafting preliminary terms and
conditions to move forward in a binding transaction.
Task 5: Preliminary Financial Analysis and Summary of Analysis
Kosmont will provide a standard summary development pro forma illustrating the
projected Costs and expenses associated with the highest and best use analysis and
estimated net operating income and rate of return projections. Consultant will use
available "off the shelf' cost data and will not require the services of construction cost
estimator unless requested by Client (would be additional cost).
Deliverables for Tasks 1 through 6 will be a summary of Kosmont's findings in
PowerPoint or memo format including the development pro forma.
KOS MONT COMPANIES
866 South Figueroa Street 361h Floor Los Angeles CA 90017 ph 213.417.3300 fx 213.417.3311 www.kosmontcom
25B -12
City of Santa Ana
Proposal for Services
July 15, 2014
Page 3 of 8
Optional Task 6: Follow -on Activities
Subsequent to the completion of Tasks 1 through 5, based on the input and priorities of
the Client, Consultant will be available to complete supplemental evaluation of primary
strategies and issues and provide as desired, ongoing analysis andfor implementation
services based on the results of Tasks 1 through 5 and other investment and
development factors.
3rd and Broadway Parking Lot Site
Task 1: Parking Lot Site Analysis
Consultant will meet with staff to ascertain their development priorities in the downtown
Santa Ana area as they relate to potential product types, timing and overall objectives for
the parking lot property located at 3rtl and Broadway. Consultant will identify the probable
highest and best use development potential for the 3rd and Broadway parking lot
property in Downtown Santa Ana, primarily utilizing readily available market data and our
assessment of the opportunity based on experience, research, and utilization of reports,
studies, and documentation provided by the Client.
Kosmont will also inspect the local area including adjacent properties, to identify
potential benefits and constraints of the adjacent properties may pose with respect to
development and utilization of the Property. Kosmont will review prior developer
selection evaluations, formats and activities. Should the Client determine that there is a
preferred strategy that involves a reuse /development program and selection of a
developer, then Consultant would be available to create a comprehensive Request for
Qualifications developer selection process, by which Client can solicit and evaluate
proposals from qualified developers to determine whether there is a viable proposal for
redevelopment of the parking lot property.
III. SCHEDULE AND REQUIRED DATA
Consultant is prepared to commence work as soon as authorized. Client will provide
Consultant with existing project data which may be beneficial to Consultant's completion
of Project.
IV, COMPENSATION
Elks Lodae Site
Compensation for professional services in Task 1 through 5 will be billed on a time and
materials basis, with an initial labor budget of $25,000 dollars. Future increases, if
needed, Including the completion of Task 6 require prior written approval by Client.
3rd and Broadway Parking Lot Site
KOSMONT COMPAWES
865 South Figueroa Street 35 °'Floor Los Angeles CA 00017 ph213.417.3300 fx213.417.3311 www.kosmont,00m
25B -13
City of Santa Ana
Proposal for Services
July 15, 2014
Page 4 of 8
Compensation for professional services in Task 1 will be billed separately on a time and
materials basis with a estimated budget of $35,000 dollars, with additional Client
authorization required beyond the initial budget.
Full payment must be received by Consultant before the written summary of Kosmont's
analysis Is released to Client.
Professional Services will be invoiced monthly at Consultant's billing rates, as shown on
Attachment A, plus reimbursement for out -of- pocket expenses such as travel and
mileage, professional printing, conference calls, and delivery charges for messenger and
overnight packages at actual cost. Consultant will also include in each invoice an
administrative services fee to cover in -house copy, fax, telephone and postage costs
equal to four percent (4,0 %) of Consultant's monthly professional service fees incurred.
Any unpaid invoices after 30 days shall accrue interest at the rate of 10% per annum.
Consultant is prepared to commence work immediately upon receipt of authorization.
Aspects of subsequent tasks and services (if any) such as acquisition or disposition of
property, lease transactions, and /or specific government funding including financing
programs such as, but not limited to, grants, public (tax- exempt) or public /private
(taxable /tax- exempt) bonds or notes, lease or lease /leaseback financing or other
structures are typically provided under a separate commission based compensation
agreement, by Kosmont Realty Corporation ( "KRC "), a licensed California brokerage firm
that is registered as a municipal advisor with the Securities Exchange Commission
(SEC).
V. OTHER PROVISIONS
A. Termination. Client or Consultant shall have the right to terminate this
Agreement at any time upon written notification to the other party. Payment for fees
accrued through the date of termination shall be remitted in full.
B. Arbitration. Any controversy or claim arising out of or in relation to this
Agreement, or the making, performance, interpretation or breach thereof, shall be settled
by arbitration at JAMS in Los Angeles, Califorria. Each of the parties to such arbitration
proceeding shall be entitled to take up to five depositions with document requests. The
provisions of Section 1283.05 (except subdivision (e) thereof) of the California Code of
Civil Procedure are incorporated by reference herein, except to the extent they conflict
with this Agreement, in which case this Agreement is controlling. If the matter is heard
by only one arbitrator, such arbitrator shall be a member of the State Bar of California or
a retired judge. If the matter is heard by an arbitration panel, at least one member of
such panel shall be a member of the State Bar of California or a retired judge. The
arbitrator or arbitrators shall decide all questions of law, and all mixed questions of law
and fact, in accordance with the substantive law of the State of California to the end that
all rights and defenses which either party may have asserted in a court of competent
jurisdiction shall be fully available to such party in the arbitration proceeding
KOSMONT COMPANIES
865 South Figueroa Street 35" Floor Los Angeles CA 90017 ph 213.417.3300 fx 213.417,3311 www.kasmort.com
25B -14
City of Santa Ana
Proposal for Services
July 15, 2014
Page 5 of 8
contemplated hereby. The arbitrator and arbitrators shall set forth and deliver their
findings of fact and conclusions of law with the delivery of the arbitration award.
Judgment upon the award rendered shall be final and non - appealable and may be
entered in any court having jurisdiction.
C. Attorneys' Fees. In the event of any legal action, arbitration, or proceeding
arising out of an alleged breach of this Agreement, the party prevailing in such legal
action, arbitration, or proceeding shall be entitled to recover reasonable attorneys' fees,
expenses and costs, as well as all actual attorneys' fees, expenses and cost incurred in
enforcing any judgment entered.
D. Authority. Each of the parties executing this Agreement warrants that persons
duly authorized to bind each such party to its terms execute this Agreement.
E. Further Actions. The parties agree to execute such additional documents and
take such further actions as may be necessary to carry out the provisions and Intent of
this Agreement.
F. Assignment. Neither this Agreement nor any of the rights or obligations
hereunder may be assigned by either party without the prior written consent of the other
party.
G. Successors and Assigns. This Agreement shall be binding upon and inure to
the benefit of the parties hereto and there respective successors and assigns.
H. Entire Agreement; Amendments and Waivers. This Agreement contains the
entire agreement between the parties relating to the transactions contemplated hereby
and any and all prior discussions, negotiations, commitments and understanding,
whether written or oral, related hereto are superseded hereby. No addition or
modification of any term or provision of this Agreement shall be effective unless set forth
in writing signed by both parties. No waiver of any of the provisions of this Agreement
shall be deemed to constitute a waiver of any other provision hereof (whether or not
similar), nor shall such waiver corstitute a continuing waiver of such provisions unless
otherwise expressly provided. Each party to this Agreement has participated in its
drafting and, therefore, ambiguities in this Agreement will not be construed against any
party to this Agreement.
1. Severability. If any term or provision of this Agreement shall be deemed invalid
or unenforceable, the remainder of this Agreement shall not be affected thereby, and
each remaining term and provision of this Agreement shall be valid and in force to the
fullest extent permitted by law.
J. Notices. All notices, requests, demands and other communications which may
be required under this Agreement shall be in writing and shall be deemed to have been
received when transmitted; if personally delivered, if transmitted by telecopier, electronic
or digital transmission method, upon transmission; if sent by next day delivery to a
domestic address by a recognized overnight delivery service (e.g., Federal Express), the
KOSMONT COMPANIES
866 South Figueroa Street 35r^ Floor Los Angsles CA 90017 ph 213.417.3300 fx 213.417.3311 www,koemont.com
25B -15
City of Santa Ana
Proposal for Servloes
July 15, 2014
Page B of 8
day after it is sent; and if sent by certified or registered mail, return receipt requested,
upon receipt. In each case, notice shall be sent to the principal place of business of the
respective party. Either party may change its address by giving written notice thereof to
the other in accordance with the provisions of this paragraph.
K. Titles and Captions. Titles and captions contained in this Agreement are
inserted only as a matter of convenience and for reference and in no way define, limit,
extend or describe the scope of this Agreement or the Intent of any provision herein.
L. Governing Law. The statutory, administrative and judicial law of the State of
California (without reference to choice of law provisions of California law) shall govern
the execution and performance of this Agreement.
M. Confidentiality. Each of the parties agrees not to disclose this Agreement or any
information concerning this Agreement to any persons or entities, other than to their
attorneys and accountants, or as otherwise may be required by law.
N. Counterparts. This Agreement may be executed in one or more counterparts,
each of which constitutes an original, and all of which together constitute one and the
same instrument. The signature of any person on a telecopy of this Agreement, or any
notice, action or consent taken pursuant to this Agreement shall have the same full force
and effect as such person's original signature.
0. Disclaimer. Consultant's financial analysis activities and work product, which
may include but is not limited to pro forma analysis and tax projections, are projections
only. Actual results may differ materially from those expressed in the analysis performed
by Consultant due to the integrity of data received, market conditions, economic events
and conditions, and a variety of factors that could materially affect the data and
conclusions. Client's reliance on Consultant's analysis must consider the foregoing.
Consultant services outlined and described herein are advisory services only. Any
decisions or actions taken or not taken by Client and affiliates, are deemed to be based
on Client's understanding and by execution of this Agreement, acknowledgement that
Consultant's services are advisory only and as such, cannot be relied on as to the
results, performance and conclusions of any investment or project that Client may or
may not undertake as related to the services provided including any verbal or written
communications by and between the Client and Consultant
Client acknowledges that Consultant's use of work product is limited to the purposes
contemplated within this Agreement. Consultant makes no representation of the work
product's application to, or suitability for use in, circumstances not contemplated by the
scope of work under this Agreement.
P. Limitation of Damages. In the event Consultant is found liable for any violation
of duty, whether in tort or in contract, damages shall be limited to the amount Consultant
has received from Client.
KOSMONT COMPANIES
866 South Figueroa Street 36°i Floor Los Angelos CA 90017 $ 213.417.3300 N213.417.3311 ww .kosmont.com
25B -16
City of Santa Ana
Proposal for Services
July 15, 2014
Page 7 of 8
Q. Expiration of Proposal for Services. If this Agreement is not fully executed by
the parties within thirty (30) days from the date of this letter, this proposal shall expire.
R. Not an agreement for Legal Services or Legal Advice, This Agreement does
not constitute an agreement for the performance of legal services or the provision of
legal advice, or legal opinion. Client should seek independent legal counsel on matters
for which Client is seeking legal advice.
VI, ACCEPTANCE AND AUTHORIZATION
If this Agreement is acceptable to Client, please execute two copies of the Agreement
and return both originals to Kosmont Companies. Upon receipt of both signed contracts,
we will return one fully executed original for your files. Kosmont will commence work
upon receipt of executed Agreement and services deposit.
Read, understood, and agreed to this
—Day of 2014
City of Santa Ana
By:
(Signature)
Name:
(Print Name)
Its:
(Title)
Kosmont & Associates, Inc.
doing business as "Kosmont Companies"
By:
(Signature)
Name: Larry J. Kosmont, CRE
Its: President & CEO
KOSMONT COMPANIES
88G South Figueroa Street 35" Floor Los Angeles CA 90017 ph 213.417.3300 Ix 213.417.3311 www.kosmont.com
25B -17
City of Santa Ana
Proposal for Services
July 15, 2014
Page 8 of 8
ATTACHMENT
Kosmont Companies
2014 Public Agency Fee Schedule
Professional Services
President & CEO $295.00 /hour
Partner /Senior Vice President/Senior Consultant $275.00 /hour
Vice President/Associate $185.00 /hour
Project Analyst / Project Manager $150.00 /hour
GIS Mapping /Graphics Service /Research $ 95.00 1hour
Clerical Support $ 60.00 /hour
• Additional Expenses
In addition to professional services (labor fees):
1) An administrative fee for in -house copy, fax, phone and postage costs will be
charged, which will be computed at four percent (4.0 %) of monthly Kosmont
Companies professional service fees incurred; plus
2) Out -of- pocket expenditures, such as travel and mileage, professional printing,
and delivery charges for messenger and overnight packages will be charged at
cost.
3) If Kosmont retains Third Party Vendor(s) for Client (with Client's advance
approval), fees and cost will be billed to Client at 1.1X (times) fees and costs.
• Charges for Court/Deposition/Expert Witness - Related Appearances
Court- related (non - preparation) activities, such as court appearances, depositions,
mediation, arbitration, dispute resolution and other expert witness activities, will be
charged at a court rate of 1.5 times scheduled rates, with a 4 -hour minimum.
Rates shall remain in effect until December 31, 2014,
KOSMON7 COMPANIES
868 South Figueroa Street 36" Floor Los Angeles CA 90017 ph 213.417.3300 fx 213.417.3311 w Aasmont.00m
25B -18
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT WITH THE STATE OF
CALIFORNIA FOR TELEPHONE SERVICE
REIMBURSEMENT
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
;'•C• _r,
❑ As Recommended
❑ As Amended
• Ordinance on 13' Reading
• Ordinance on 2nn Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
rte►'*
Authorize the City Manager or his designee and the Clerk of the Council to execute an agreement with
the State of California, Employment Development Department, to reimburse the City for telephone
service costs, in an amount not to exceed $39,077 subject to non - substantive changes approved by the
City Manager and City Attorney.
DISCUSSION
The State of California, Employment Development Department (EDD), shares office space at the Santa
Ana W /O /R /K Center and also utilizes the city -owned telephone system. This agreement reimburses
the City for the monthly telephone service charges and actual long distance and toll charges incurred
by the EDD staff for use of the City's telephone system. The agreement term will be for two years from
July 1, 2014 through June 30, 2016 in the amount of $39,077.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #4 Fiscal Sustainability, Objective #1 Maintain a
stable, efficient and transparent financial environment.
FISCAL IMPACT
Funds will be deposited into the W /O /R/K Center's One Stop Program Communications account (no.
12318751- 62010 - 15700301213- 3070).
25C -1
Agreement to Reimburse Telephone Service
August 5, 2014
Page 2
Deborah Sanchez
Economic Development Specialist III
Community Development Agency
DS /kg
Exhibit: 1. State of California Agreement
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
25C -2
STATE OF CALIFORNIA
STANDARD AGREEMENT
STD. 213 (Rev 06103)
AGREEMENT NUMBER
EXHIBIT 7
M595188
1.
This Agreement is entered into between the State Agency and the Contractor named below:
STATE AGENCY'S NAME
Employment Development Department
CONTRACTOR'S NAME
City of Santa Ana Work Center
2.
The term of this
Agreement is: July 1, 2014 through June 30, 2016, or upon final approval.
3.
The maximum amount $39,077.00
of this Agreement is: Thirty Nine Thousand Seventy Seven Dollars and No Cents
4.
The parties agree to comply with the terms and conditions of the following exhibits which are by this reference made a
part of the Agreement.
Exhibit A Scope of Work
1 Page
Attachment A -1 Specifications
1 Page
Exhibit B Budget Detail and Payment Provisions
1 Page
Attachment B -1 Budget Detail Sheet
1 Page
Attachment B -2 Contract Rate Sheet
1 Page
Exhibit C * General Terms and Conditions
GTC 610
Exhibit D Special Terms and Conditions
1 Page
Items shown with an Asterisk(*), are hereby incorporated by reference and made part of this Agreement as if attached hereto.
These documents can be viewed at www.ols.dgs.ca.gov/ Standard %20Language /default.htm
IN WITNESS WHEREOF, this Agreement has been executed by the
CONTRACTOR
CONTRACTOR'S NAME (ifother than an Indlvldual, state whether a corporation, partnership, etc.f
City of Santa Ana Work Center
hereto.
BY M,,thodzed Signatwe) DATE SIGNED (Do not type)
6
PRINTED NAME AND TITLE OF PERSON SIGNING
David Cavazos, Santa Ana City Manager
ADDRESS
20 Civic Center Plaza, Santa Ana, CA 92702
STATE OF CALIFORNIA
AGENCVNAME
Employment Development Department
By (Authorized Signahve)
DATE SIGNED (DOnattype)
California Department of General
Services Use Only
OX Exemptper.
DGS Exemption Letter No. 54.4
Xochitl Montano, Manager, Contract Services Group �p�iCi�� $s 'j'Q� �'{,��
ADDRESS
800 Capitol Mall, MIC 62, Sacramento, CA 95814
City Attorney
EXHIBIT A
(Standard Agreement)
SCOPE OF WORK
EDD Agreement No. M595188
EDD /City of Santa Ana
Page 1 of 1
1. This Agreement is entered into by and between the Employment Development Department,
hereinafter referred to as EDD, and the City of Santa Ana, hereinafter referred to as Partner,
for the purpose of reimbursing the Partner for the EDD's share of the telephone service
costs at the Santa Ana One -Stop Career Center located at 1000 Santa Blvd in Santa Ana,
CA. The EDD is co- located at this site under the Workforce Investment Act mandate.
2. The services shall be reimbursed in accordance with Attachment A -1, Specifications,
Attachment B -1, Budget Detail Sheet and Attachment B -2, Contract Rate Sheet.
3. The project representative during the term of this Agreement will be:
State Agency
Employment Development Department
Ana Martini
1000 E. Santa Ana Blvd. Suite 103
Santa Ana, CA 92701
Phone: (714) 565 -2680
Fax: (714) 558 -4684
Contractor
City of Santa Ana
Deborah Sanchez
Community Development Agency
Economic Development Division /Santa Ana WIB
1000 E. Santa Ana Blvd. Suite 200
Santa Ana, CA 92701
Phone: (714) 241 -6160
Fax: (714) 241 -6329
25C -4
EDD Agreement No, M595188
EDD(City of Santa Ana
Page 1 of 1
ATTACHMENT A -1
(Standard Agreement)
SPECIFICATIONS
The EDD agrees to utilize the Partners telephone services at the Santa Ana County One -Stop
Career Center in Santa Ana, CA.
The term of this Agreement shall be July 1, 2014 through June 30, 2016 or upon final approval
The total amount of the fiscal and variable telephone services charges of this Agreement shall
not exceed Thirty Nine Thousand Seventy Seven Dollars and No Cents ($39,077.00). See
Attachment B -1, Budget Detail Sheet. The contract amount is based on the estimated cost of
service as shown in Attachment B -2, Contract Rate Sheet.
Telephone Service Scenarios
The EDD staff will utilize the Partner (Career Center) telephone services
The partner agrees to provide the EDD staff with proprietary telephone system instruments
attached. Telephone services shall include, instrument, installation, cross connects, dial tone
access, long distance access, programming, voicemail, maintenance, and shared incoming
trunk cost.
The partner agrees to coordinate the specific line appearance and ring programming of the
EDD staff telephone instruments with the EDD Voice Operations Unit and the local office
manager. EDD staff instruments shall restrict 900, 976, 3rd party, caller ID, and international
calls.
The Partner agrees to perform Moves, Adds, and Changes, (MAC's) to EDD assigned system
instruments.
The Partner also agrees to perform MAC's for peripheral EDD lines and instruments not
connected to the partner telephone system. Peripheral lines are identified as fax, modem,
Unemployment Insurance direct connects, etc.
The Partner agrees to invoice the Department, in arrears, for applicable one -time charges.
The Partner agrees to invoice the Department (EDD) monthly in arrears for the agreed upon
ongoing telephone service charges, and, actual long distance and toll charges incurred by the
EDD staff using the partner telephone system. Long distance and toll charges shall be itemized
by station number in a monthly cost accounting report that will be made available to the EDD
manager.
25C -5
EDD Agreement No. M595188
EDD /City of Santa Ana
Page 1 of 1
EXHIBIT B
(Standard Agreement)
BUDGET DETAIL AND PAYMENT PROVISIONS
Invoicing and Payment
I
a) The total amount of this Agreement shall not exceed Thirty NinejThousand Seventy
Seven Dollars and No Cents ($39,077.00).
b) Invoices may be submitted monthly in triplicate, in arrears, and must reference the EDD
Agreement Number M595188, and shall be forwarded to:
Employment Development Department
Attention: Ana Martini, Operation Manager EPM II
1000 E. Santa Ana Blvd Suite 103
Santa Ana, CA 92701
2. Budget Contingency Clause
It is mutually understood between the parties that this Agreement may have been written
before ascertaining the availability of congressional and legislative appropriation of funds,
for the mutual benefit of both parties, in order to avoid program and fiscal delays which
would occur if the Agreement were executed after that determination was made.
This Agreement is valid and enforceable only if (1) sufficient funds are made available by
the State Budget Act of the appropriate State Fiscal Year(s) covered by this Agreement for
the purposes of this program; and (2) sufficient funds are made available to the State by the
United States Government or by the State of California for the Fiscal Year(s) covered by this
Agreement for the purposes of this program. In addition, this Agreement is subject to any
additional restrictions, limitations or conditions established by the United States Government
and /or the State of California, or any statute enacted by the Congress and Legislature,
which may affect the provisions, terms or funding of the Agreement in any manner.
The parties mutually agree that if the Congress and /or Legislature does not appropriate
sufficient funds for the program, this Agreement shall be amended to reflect any reduction in
funds.
The EDD has the option to terminate the Agreement under the 30 -day termination clause or
to amend the Agreement to reflect any reduction of funds.
3. Prompt Payment Clause
Payment will be made in accordance with, and within the time specified in, Government
Code § 927, et seq.
25C -6
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25C -7
ATTACHMENT B -2
(Standard Agreement)
CONTRACT RATE SHEET
Santa Ana One -Stop
Item
Basic rate for phone service including line,
Equipment, Voice mail and EDD's
share of DID and Pt -to -Pt circuits.
Long distance and toll charges including
incoming and outgoing calls.
Moves, Adds, and Changes (Technician)
City of Santa Ana as of 2114/2014
25C -8
EDD Agreement No. M595188
EDD /City of Santa Ana
Page 1 of 1
Monthly Cost
$31.00 per line
Actual cost varies monthly and is
billed in arrears.
$ 100 including equipment
EDD Agreement No. M595188
EDD /City of Santa Ana
Page 1 of 1
EXHIBIT D
(Standard Agreement)
SPECIAL TERMS AND CONDITIONS
1. Settlement of Disputes
In the event of a dispute between EDD and the Partner over any part of this Agreement, the
dispute may be submitted to non - binding arbitration upon the consent of both EDD and the
Partner. An election for arbitration to this provision shall not preclude either party from
pursuing any remedy for relief otherwise available.
2. Workforce Investment Act
Contractor agrees to conform to nondiscrimination provisions of the Workforce Investment
Act (WIA) and other federal nondiscrimination requirements as referenced in 29 CFR,
Part 37.
3. Termination Clause
This Agreement may be terminated by EDD by giving written notice to the Partner 30 days
prior to the effective date of such termination.
4. Agency Liability
The Partner warrants by execution of this Agreement, that no person or selling agency has
been employed or retained to solicit or secure this Agreement upon agreement or
understanding for a commission, percentage, brokerage, or contingent fee, excepting bona
fide employees or bona fide established commercial or selling agencies maintained by the
Partner for the purpose of securing business. For breach or violation of this warranty, the
State shall, in addition to other remedies provided by law, have the right to annul this
Agreement without liability, paying only for the value of the work actually performed, or
otherwise recover the full amount of such commission, percentage, brokerage, or contingent
fee.
5. Force Majeure
Neither party shall be liable to the other for any delay in or failure of performance, nor shall
any such delay in or failure of performance constitute default, if such delay or failure is
caused by "Force Majeure." As used in this section, "Force Majeure" is defined as follows:
Acts of war (e.g., riots and strikes) and acts of God (e.g., earthquakes, floods, and other
natural disasters) such that performance is impossible.
25C -9
CCC -307
CERTIFICATION
I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly
authorized to legally bind the prospective Contractor to the clause(s) listed below. This
certification is made under the laws of the State of California.
Contractor /Bidder Firm Name (Printed)
Federal ID Ntimber
City of Santa And
95- 6000785
By (Authorized Signature)
i
Printed Name and Title of Person Signing
David Cavazos, City Manager
Date Executed
Executed in the County of
Orange
CONTRACTOR CERTIFICATION CLAUSES
1. STATEMENT OF COMPLIANCE: Contractor has, unless exempted, complied with
the nondiscrimination program requirements. (Gov. Code §12990 (a -f) and CCR, Title 2,
Section 8103) (Not applicable to public entities.)
2. DRUG -FREE WORKPLACE REQUIREMENTS: Contractor will comply with the
requirements of the Drag -Free Workplace Act of 1990 and will provide a drug -free
workplace by taking the following actions:
a. Publish a statement notifying employees that unlawful manufacture, distribution,
dispensation, possession or use of a controlled substance is prohibited and specifying
actions to be taken against employees for violations.
b. Establish a Drug -Free Awareness Program to inform employees about:
1) the dangers of drag abuse in the workplace;
2) the person's or organization's policy of maintaining a drug -free workplace;
3) any available counseling, rehabilitation and employee assistance programs; and,
4) penalties that may be imposed upon employees for drug abuse violations.
c. Every employee who works on the proposed Agreement will:
1) receive a copy of the company's drug -free workplace policy statement; and,
2) agree to abide by the terms of the company's statement as a condition of employment
on the Agreement.
Failure to comply with these requirements may result in suspension of payments under
the Agreement or termination of the Agreement or both and Contractor may be ineligible
for award of any future State agreements if the department determines that any of the
following has occurred: the Contractor has made false certification, or violated the
25C -10
certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et
seq.)
3. NATIONAL LABOR RELATIONS BOARD CERTIFICATION: Contractor certifies
that no more than one (1) final unappealable finding of contempt of court by a Federal
court has been issued against Contractor within the immediately preceding two -year
period because of Contractor's failure to comply with an order of a Federal court, which
orders Contractor to comply with an order of the National Labor Relations Board. (Pub.
Contract Code § 10296) (Not applicable to public entities.)
4. CONTRACTS FOR LEGAL SERVICES $50,000 OR MORE- PRO BONO
REQUIREMENT: Contractor hereby certifies that contractor will comply with the
requirements of Section 6072 of the Business and Professions Code, effective January 1,
2003.
Contractor agrees to make a good faith effort to provide a minimum number of hours of
pro bono legal services during each year of the contract equal to the lessor of 30
multiplied by the number of full time attorneys in the firm's offices in the State, with the
number of hours prorated on an actual day basis for any contract period of less than a full
year or 10% of its contract with the State.
Failure to make a good faith effort may be cause for non - renewal of a state contract for
legal services, and may be taken into account when determining the award of future
contracts with the State for legal services.
5. EXPATRIATE CORPORATIONS: Contractor hereby declares that it is not an
expatriate corporation or subsidiary of an expatriate corporation within the meaning of
Public Contract Code Section 10286 and 10286.1, and is eligible to contract with the
State of California.
6. SWEATFREE CODE OF CONDUCT
a. All Contractors contracting for the procurement or laundering of apparel, garments or
corresponding accessories, or the procurement of equipment, materials, or supplies, other
than procurement related to a public works contract, declare under penalty of perjury that
no apparel, garments or corresponding accessories, equipment, materials, or supplies
furnished to the state pursuant to the contract have been laundered or produced in whole
or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal
sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or
with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under
penal sanction, abusive forms of child labor or exploitation of children in sweatshop
labor. The contractor further declares under penalty of perjury that they adhere to the
Sweatfree Code of Conduct as set forth on the California Department of Industrial
Relations website located at www.dir.ca. eow, and Public Contract Code Section 6108.
b. The contractor agrees to cooperate fully in providing reasonable access to the
contractor's records, documents, agents or employees, or premises if reasonably required
by authorized officials of the contracting agency, the Department of Industrial Relations,
25C -11
or the Department of Justice to determine the contractor's compliance with the
requirements under paragraph (a).
7. DOMESTIC PARTNERS: For contracts over $100,000 executed or amended after
January 1, 2007, the contractor certifies that contractor is in compliance with Public
Contract Code section 10295.3.
DOING BUSINESS WITH THE STATE OF CALIFORNIA
The following laws apply to persons or entities doing business with the State of
California.
1. CONFLICT OF INTEREST: Contractor needs to be aware of the following provisions
regarding current or former state employees. If Contractor has any questions on the
status of any person rendering services or involved with the Agreement, the awarding
agency must be contacted immediately for clarification.
Current State Employees (Pub. Contract Code § 10410):
1). No officer or employee shall engage in any employment, activity or enterprise from
which the officer or employee receives compensation or has a financial interest and
which is sponsored or funded by any state agency, unless the employment, activity or
enterprise is required as a condition of regular state employment.
2). No officer or employee shall contract on his or her own behalf as an independent
contractor with any state agency to provide goods or services.
Former State Employees (Pub. Contract Code §10411):
1). For the two -year period from the date he or she left state employment, no former state
officer or employee may enter into a contract in which he or she engaged in any of the
negotiations, transactions, planning, arrangements or any part of the decision - malting
process relevant to the contract while employed in any capacity by any state agency.
2). For the twelve -month period from the date he or she left state employment, no former
state officer or employee may enter into a contract with any state agency if he or she was
employed by that state agency in a policy - making position in the same general subject
area as the proposed contract within the 12 -month period prior to his or her leaving state
service.
If Contractor violates any provisions of above paragraphs, such action by Contractor shall
render this Agreement void. (Pub. Contract Code § 10420)
Members of boards and commissions are exempt from this section if they do not receive
payment other than payment of each meeting of the board or conunission, payment for
preparatory time and payment for per diem. (Pub. Contract Code § 10430 (e))
25C -12
2. LABOR CODEMORKERS' COMPENSATION: Contractor needs to be aware of the
provisions which require every employer to be insured against liability for Worker's
Compensation or to undertake self - insurance in accordance with the provisions, and
Contractor affirms to comply with such provisions before commencing the performance
of the work of this Agreement. (Labor Code Section 3700)
3. AMERICANS WITH DISABILITIES ACT: Contractor assures the State that it
complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits
discrimination on the basis of disability, as well as all applicable regulations and
guidelines issued pursuant to the ADA. (42 U.S.C. 12101 et seq.)
4. CONTRACTOR NAME CHANGE: An amendment is required to change the
Contractor's name as listed on this Agreement. Upon receipt of legal documentation of
the name change the State will process the amendment. Payment of invoices presented
with a new name cannot be paid prior to approval of said amendment.
5. CORPORATE QUALIFICATIONS TO DO BUSINESS IN CALIFORNIA:
a. When agreements are to be performed in the state by corporations, the contracting
agencies will be verifying that the contractor is currently qualified to do business in
California in order to ensure that all obligations due to the state are fulfilled.
b. "Doing business" is defined in R &TC Section 23101 as actively engaging in any
transaction for the purpose of financial or pecuniary gain or profit. Although there are
some statutory exceptions to taxation, rarely will a corporate contractor performing
within the state not be subject to the franchise tax.
c. Both domestic and foreign corporations (those incorporated outside of California) must
be in good standing in order to be qualified to do business in California. Agencies will
determine whether a corporation is in good standing by calling the Office of the Secretary
of State.
6. RESOLUTION: A county, city, district, or other local public body must provide the
State with a copy of a resolution, order, motion, or ordinance of the local governing body
which by law has authority to enter into an agreement, authorizing execution of the
agreement.
7. AIR OR WATER POLLUTION VIOLATION: Under the State laws, the Contractor
shall not be: (1) in violation of any order or resolution not subject to review promulgated
by the State Air Resources Board or an air pollution control district; (2) subject to cease
and desist order not subject to review issued pursuant to Section 13301 of the Water
Code for violation of waste discharge requirements or discharge prohibitions; or (3)
finally determined to be in violation of provisions of federal law relating to air or water
pollution.
8. PAYEE DATA RECORD FORM STD. 204: This form must be completed by all
contractors that are not another state agency or other governmental entity.
S:\ADMIN\HOMEPAGE \CCC \CCC- 307.doe
25C -13
RFQ No. 65966
Page 1 of 2
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION
LOWER TIER COVERED TRANSACTION
This certification is required by the regulations implementing Executive Order, 12549,
Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants'
responsibilities. The regulations were published as Part VII of the May 26, 1988,
Federal Register(Pages 19160- 19211).
(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS WHICH ARE AN
INTEGRAL PART OF THE CERTIFICATION.)
The prospective recipient of Federal assistance funds certifies, by submission of
this proposal, that neither it nor its principals are presently debarred, suspended,
proposed for debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any Federal department or agency.
2. Where the prospective recipient of Federal assistance funds is unable to certify to
any of the statements in this certification, such prospective participant shall attach
an explanation to this proposal.
David Cavazos, City Manager
and Title of Authorized Representative
Signature
FD118 (Rev. 9/22/04) 25C-14
Date
RFQ No. 65966
Page 2 of 2
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this proposal, the prospective recipient of Federal assistance
funds is providing the certification as set out below.
2. The certification in this clause is material representation of fact upon which reliance was
placed when this transaction was entered into. If it is later determined that the prospective
recipient of Federal assistance funds knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government, the Department of Labor
(DOL) may pursue available remedies, including suspension and /or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written
notice to the person to whom this proposal is submitted if at any time the prospective
recipient of Federal assistance funds learns that its certification was erroneous when
submitted or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," " debarred," " suspended," "ineligible," "lower tier covered
transaction," "participant," "person," "primary covered transaction," "principal," "proposal,"
and "voluntarily excluded," as used in this clause, have the meanings set out in the
Definitions and Coverage sections of rules and implementing Executive Order 12549. You
may contact the person to whom this proposal is submitted for assistance in obtaining a
copy of those regulations.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal
that, should the proposed covered transaction be entered into, it shall not knowingly enter
into any lower tier covered transaction with a person who is debarred, suspended, declared
ineligible, or voluntarily excluded from participation in this covered transaction, unless
authorized by the DOL.
6. The prospective recipient of Federal assistance funds further agrees by submitting this
proposal that it will include the clause titled "Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary Exclusion - -Lower Tier Covered Transactions,
"without modification, in all lower tier covered transaction and in all solicitations for lower
tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not debarred, suspended, ineligible,
or voluntarily excluded from the covered transaction, unless it knows that the certification is
erroneous. A participant may decide the method and frequency by which it determines the
eligibility of its principals. Each participant may but is not required to, check the List of
Parties Excluded From Procurement or Nonprocurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system
of records in order to render in good faith the certification required by this clause. The
knowledge and information of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant
In a covered transaction knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntary excluded from participation in
this transaction, in addition to other remedies available to the Federal Government, the
DOL may pursue available remedies, including suspension and /or debarment.
FD 118 (Rev. 9/22/04)
25C -15
DARFUR CONTRACTING ACT
Effective January 1, 2009, procurements for Non - Information Technology (Non -IT) goods or
services must address the requirements of this Act. The Act is intended to preclude State
agencies generally from contracting with SCRUTINIZED companies that do business in the
African nation of Sudan (of which the Darfur region is a part), for the reasons described in Public
Contract Code section 10475.
A SCRUTINIZED company is a company doing specified types of business in Sudan as defined
in Public Contract Code section 10476. SCRUTINIZED companies are ineligible to, and cannot,
bid on or submit a proposal for a contract with a State agency for Non -IT goods or services
(Public Contract Code section 10477(a)). Public Contract Code section 10478 (a) requires a
company that currently has (or within the previous three years has had) business activities or
other operations outside of the United States to certify that it is not a SCRUTINIZED company in
order to submit a bid or proposal to a State agency. A SCRUTINIZED company may still,
however, submit a bid or proposal for a contract with a State agency for goods or services if the
company first obtains permission from the Department of General Services (DGS) according to
the criteria set forth in Public Contract Code section 10477(b).
If your company, within the previous three years, had any business activities or other operations
outside of the United States, you need to complete the Darfur Contracting Act
Certification. This applies regardless of the procurement approach, method, or solicitation
format used including, but not limited to: Formal Bids, Informal Bids, Request for Proposals,
Invitation for Bids, Non - Competitive Bids, the SB /DVBE Option, and under $5,000 fair and
reasonable pricing.
FDO19 (Rev. 7/28/10)
25C -16
DARFUR CONTRACTING ACT CERTIFICATION
Public Contract Code, Sections 10475 -10481 applies to any company that currently or within
the previous three years has had business activities or other operations outside of the United
States. For such a company to bid on or submit a proposal for a State of California contract, the
company must certify that it is either a) not a scrutinized company; or b) a scrutinized company
that has been granted permission by the Department of General Services to submit a proposal.
If your company has not, within the previous three years, had any business activities or
other operations outside of the United States, you do not need to complete this form.
OPTION #1 - CERTIFICATION
If your company, within the previous three years, has had business activities or other operations
outside of the United States, in order to be eligible to submit a bid or proposal, please insert
your company name and Federal ID Number and completethe certification below.
I, the official named below, CERTIFY UNDER PEWTY OF PERJURY that a) the prospective
proposer /bidder named below is not a scrutinii d company per Public Contract Code 10476;
and b) I am duly authorized to legally bind tie prospective proposer /bidder named below. This
certification is made under the laws of tb State of California.
Ii Federal ID Number
OPTION #2 —WRITTEN PERMISSION FROM DGS
Pursuant to Public Contract Code, Section 10477(b), the Director of the Department of General
Services may permit a scrutinized company, on a case -by -case basis, to bid on or submit a
proposal for a contract with a state agency for goods or services, if it is in the best interests of
the state. If you are a scrutinized company that has obtained written permission from the DGS
to submit a bid or proposal, complete the information below.
We are a scrutinized company as defined in Public Contract Code, Section 10476, but we have
received written permission from the Department of General Services to submit a bid or
proposal pursuant to Public Contract Code, Section 10477(b). A copy of the written permission
from DGS is Included with our bid or proposal.
I Company/Vendor Name (Printed) Federal ID Number
Initials of Submitter
I�
Printed Name and Title of Person Initialing
FDO19 (Rev. 7/28/10)
25C -17
25C -18
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT WITH ERNEST SWIGER
CONSULTING, INC. FOR PREPARATION
OF THE FIVE -YEAR CONSOLIDATED
PLAN AND ANNUAL UPDATE
C 'Y MANAGE
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
s`-:• N,
❑ As Recommended
❑ As Amended
❑ Ordinance on 1s' Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Authorize the City Manager and Clerk of the Council to execute an agreement with Ernest Swiger
Consulting, Inc. in the amount of $55,000, subject to non - substantive changes approved by the
City Manager and City Attorney for preparation of the 2015 -2019 Consolidated Five Year Plan, the
Citizen Participation Plan, and to provide consultation services on federal programs.
COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION
At its regular meeting on July 16, 2014, by a vote of 6:0, the Community Redevelopment and
Housing Commission recommended the action stated above.
DISCUSSION
The U.S. Department of Housing and Urban Development (HUD) requires cities that receive
certain federal funds to prepare a Five -Year Consolidated Plan (Consolidated Plan) and a Citizen
Participation Plan. The Consolidated Plan serves multiple purposes, including (1) a strategy and
action plan for carrying out and assessing performance of HUD - funded programs; (2) an
opportunity to Integrate into one document the planning and budgeting of various funds (local and
non - local); and, (3) serves as the City's application for federal funds under HUD's formula grant
programs which include Community Development Block Grant (CDBG), HOME Investment
Partnership Grant (HOME), and Emergency Solutions Grant (ESG). It also includes the first of five
Annual Action Plans required during the five -year period. The Citizen Participation Plan describes
the City's strategy for informing and involving the public in the creation of its plans and programs
for using federal grant funds.
On April 2, 2014, the City released a Request for Proposals (RFP) soliciting proposals from
experienced consulting firms to prepare the City's 2015 -19 Consolidated Plan, its Citizen
Participation Plan, and as- needed consulting services on federal programs. Notice of the RFP's
availability was mailed to nine consulting firms who had expressed interest in being notified when
2501-1
Agreement with Ernest Swiger Consulting, Inc.
August 5, 2014
Page 2
such opportunities became available. The notice was also published in the Orange County
Register on April 4, 2014, on the National Association of Housing and Redevelopment officials
( NAHRO) website from April 4, 2014 to May 12, 2014, and April 15, 2014 NAHRO Monitor. Thirty -
four (34) consulting firms registered on the City's bid website (PlanetBid) to request a copy of the
RFP. Only one proposal was received.
In evaluating the proposals and interviews, staff considered a number of important criteria. These
included: experience with local government; knowledge of relevant federal and state regulations,
experience in preparation of the plans and reports; experience with online HUD - portals; and cost of
proposed services.
As a result of this evaluation, staff is recommending that Ernest Swiger Consulting, Inc, be
awarded a contract in the amount of $49,870, plus $5,130 in contingency for additional outreach
efforts if necessary (Exhibit 1). This contract will cover the following services: Preparation of the
Consolidated Five -Year Plan, the Citizen Participation Plan, and annual action plan. Ernest Swiger
Consulting, Inc. will subcontract with Beacon Management Group to perform the community
outreach and engagement portion.
Ernest Swiger Consulting, Inc., located in Huntington Beach, CA, has been providing professional
services to local government agencies for over 18 years. These jurisdictions include: San
Bernardino County, CA; Bridgeport, CT; Albuquerque, NM; Albany, GA; among other jurisdictions
nationwide. The firm is thoroughly familiar with the HUD- funded federal programs
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement &
Sustainability, Objective #1 (establish a comprehensive community engagement initiative to
expand access to information and create opportunities for stakeholders to play an active role in
discussing public policy and setting priorities).
FISCAL IMPACT
Funding for the preparation of the Five -Year Consolidated Plan is available in the CDBG account
(13518780- 62300 - 15750001001).
25D -2
Agreement with Ernest Swiger Consulting, Inc.
August 5, 2014
Page 3
1E) ly L ndry -Bay
Housing Manager
Community Development Agency
SLB /NV /kg
Exhibit: 1. Budget
2. Agreement
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director tbLv
Finance & Management Services Agency
25D -3
25D -4
CONSOLIDATED PLAN BUDGET
Ernest Swiger Consulting, Inc.
Bid Amount $49,870
Contingency* $5,130
Total $55,000
*Contingency available with City approval only
25D -5
25D -6
EXHIBIT 2
AGREEMENT WITH ERNEST SWIGER CONSULTING, INC.
INCORPORATING COMMUNITY DEVELOPMENT
BLOCK GRANT REQUIREMENTS
THIS AGREEMENT, made and entered into this _ day of , 2014 by and
between Ernest Swiger Consulting, Inc., a California corporation, (hereinafter "Consultant"),
and the City of Santa Ana, a charter city and municipal corporation organized and existing under
the Constitution and laws of the State of California ( "City ").
RECITALS:
A. The City desires to retain a consultant having special skill and knowledge in the field of
providing consulting services with regard to preparation of the Consolidated Plan.
B. The City, as an entitlement recipient and grantee of the United States Department of
Housing and Urban Development ( "HUD ") Community Development Block Grant
( "CDBG ") Program, desires to enter this Agreement with the Consultant for the
expenditure of CDBG funds in accordance with Title 24, Pant 570 of Code of Federal
Regulations 24 CFR 570.000, et seq. ( "CDBG Reg's ").
C. Consultant represents that Consultant is not listed as debarred, is able and willing to
provide such services to the City, and will comply with the CDBG Reg's.
D. In undertaking the performance of this Agreement, Consultant represents that it is
knowledgeable in its field and that any services performed by Consultant under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terns and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Pursuant to the terms of this Agreement, Consultant shall prepare the Consolidated Plan,
as set forth in its Proposal dated July 7, 2014 attached hereto and incorporated herein as Exhibit
A.
2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services,
the rates and charges identified in Exhibit A. The base stun to be expended under this
Agreement shall not exceed $49,870.00, with an additional contingency amount of $5,130 for
unexpected costs that arise during the Tenn of this Agreement. Total compensation to
Consultant for the services set forth hi this Agreement shall not exceed Fifty Five Thousand
Dollars ($55,000.00). In order to use any of the contingency amount, Consultant must submit a
written request explaining the circumstances, and use of any of the contingency amount must be
agreed upon by the City Manager in writing.
25D -7
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 September
30, 2015, unless terminated earlier in accordance with Section 9, below. The Term of this
Agreement may be extended upon a writing executed by the City Manager and the City
Attorney.
4, INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor
shall it be construed to create an employer- employee relationship, a joint venture relationship, or
to allow the City to exercise discretion or control over the professional manner in which
Consultant performs the services which are the subject matter of this Agreement; however, the
services to be provided by Consultant shall be provided in a manner consistent with all
applicable standards and regulations governing such services. Consultant shall pay all salaries and
wages, employer's social security taxes, unemployment insurance and similar taxes relating to
employees and shall be responsible for all applicable withholding taxes.
5. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall
maintain and shall require its subcontractors, if any, to obtain and maintain insurance as
described below:
a. Commercial General Liability Insurance. Consultant shall maintain commercial
general liability insurance which shall include, but not be limited to protection against claims
!arising from bodily and personal injury, including death resulting therefrom and damage to
property, resulting from any act or occurrence arising out of Consultant's operations in the
performance of this Agreement, including, without limitation, acts involving vehicles. The
amounts of insurance shall be not less than the following: single limit coverage applying to
bodily and personal injury, including death resulting therefrom, and property damage, in the total
amount of $1,000,000 per occurrence, 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 3300
of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against
25D -8
liability for worker's compensation or to undertake self - insurance. Prior to commencing the
performance of the work under this Agreement, Consultant agrees to obtain and maintain any
employer's liability insurance with limits not less than $1,000,000 per accident,
d. The following requirements apply to the insurance to be provided by Consultant
pursuant to this section:
(i) Consultant shall maintain all insurance required above in full force and
effect for the entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of
this Agreement and shall be approved in form by the City Attorney.
(iii) Certificates and policies shall state that the policies shall not be cancelled
or reduced in coverage or changed in any other material aspect without
thirty (30) days prior written notice to the City.
e. If Consultant fails or refuses to produce or maintain the insurance required by this
section or fails or refuses to furnish the City with required proof that insurance has been procured
and is in force and paid for, the City shall have the right, at the City's election, to forthwith
terminate this Agreement. Stich termination shall not effect Consultant's right to be paid for its
time and materials expended prior to notification of termination. Consultant waives the right to
receive compensation and agrees to indemnify the City for any work performed prior to approval
of insurance by the City.
6. INDEMNIFICATION
Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents,
employees, consultants, special counsel, and representatives from liability: (1) for personal
injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims
for personal injury, including health, and claims for property damage, which may arise from the
direct or indirect operations of the Consultant or its contractors, subcontractors, agents,
employees, or other persons acting on their behalf which relates to the services described in
section 1 of this Agreement; and (2) from any claim that personal injury, damages, just
compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects
arising from this Agreement. This indemnity and hold harmless agreement applies to all claims
for damages, j ust compensation, restitution, judicial or equitable relief suffered, or alleged to
have been suffered, by reason of the events referred to in this Section or by reason of the terms
of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold
harmless, and pay all costs for the defense of the City, including fees and costs for special
counsel to be selected by the City, regarding any action by a third party asserting that personal
injury, damages, just compensation, restitution, judicial or equitable relief due to personal or
property rights arises by reason of the terms of, or effects arising from this Agreement. City may
make all reasonable decisions with respect to its representation in any legal proceeding.
25D -9
7. CONSULTANT'S OBLIGATIONS
A. No Conflict. To the best of Consultant's knowledge, Consultant'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 Consultant is a party or by which it is bound.
B. No Bankruptcy. Consultant is not the subject of any current or threatened bankruptcy
proceeding.
C. No Pending Legal Proceedings/Debarment. Consultant is not the subject of a
current or threatened litigation that would or may materially affect Consultant's performance
under this Agreement. Consultant further acknowledges that it is not on the list of debarred
contractors.
D. No Pending Investigation. Consultant 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 affect
performance of the Agreement or provision of services hereunder,
E. Licensing. Consultant agrees to obtain and maintain all required licenses, registrations,
accreditation and inspections from all agencies governing its operations. Consultant shall ensure
that its staff shall also obtain and maintain all required licenses, registrations, accreditation and
inspections from all agencies governing Consultant's operations hereunder.
F. Audit Report Requirements. Consultant agrees that if Consultant receives Five
Hundred Thousand Dollars ($500,000.00) or more in federal funds, Consultant 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. Consultant shall provide City
with a copy of said audit by October 1 of the year following the program year in which this
Agreement is executed, if applicable.
G. Record Keepiung/Reporting. Consultant shall keep and maintain complete and adequate
records and reports to assist City in meeting and maintaining its record keeping responsibilities
under Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq.
H. Access to Records. City and the United State Government and /or their representatives
shall have access for purposes of monitoring, auditing, and examining Consultant's activities and
performance, to books, documents and papers, and the right to examine records of Consultant's
subcontractors, bookkeepers and accountants, employees and participants in regard to said
program. 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 program and entering any premises or any site
in which any of the services or activities funded hereunder are conducted or in which any of the
records of Consultant are kept. Nothing herein shall be construed to require access to any
privileged or confidential information as set forth in federal or state law.
25D -10
I. Location of Records/Required Length of Record Keeping. All accounting records,
reports, and evidence pertaining to all costs, expenses and the funds received by Consultant and
all documents related to this Agreement shall be maintained and kept available at Consultant's
office or place of business for the duration of the Agreement and thereafter for four (4) years
after completion of an audit in conformity with the CDBG Reg's. 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 four (4) years Until complete resolution or
disposition of such appeals, litigation claims, or exceptions. In the event Consultant does not
make the above - referenced documents available within the city of Santa Ana, California, Consultant
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.
J. Confidentiality. Without prejudice to any other provisions of this Agreement,
Consultant shall, where applicable, maintain the confidential nature of information provided to it
concerning participants in accordance with the requirements of federal and state law. However,
Consultant shall submit to City and or HUD or its representatives, all records requested, including
audit, examinations, monitoring and verifications of reports submitted by Consultant, costs incurred
and services rendered hereunder.
K. Lobbying. Consultant certifies that it will comply with federal law (31 U.S.C, 1352)
and regulations found at 24 CFR fart 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. Consultant shall sign a certification to that effect in a form as set forth in
Exhibit B attached hereto and by this reference incorporated herein. Consultant 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 pail of City to pay any sums to Consultant under the terms and
conditions of this Agreement.
If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit a "Disclosure Form to Report Lobbying," in accordance
with its instructions.
L. Financial Interest. Consultant agrees that except for the use of funds to pay salaries
and other related administrative or personnel costs, no persons who exercise or have exercised
any function with respect to activities assisted under the terns 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 City - assisted activity of
Consultant, 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 agent,
25D -11
employee, consultant, officer, or elected or appointed official of City, or of any designated
public agencies, or the Consultant.
M. Deng Free Workplace. Consultant 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
program.
2. As an employee working in conjunction with a federally funded program, the
employees of Consultant will be required to:
a) Abide by the terms above in statement 1.
b) Notify appropriate officials of Consultant 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 United State Department of Housing and Urban
Development will be notified within ten days 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 enforcement, or other appropriate agency.
N. Nondiscrimination. Consultant agrees that no person on the ground of race, age,
color, disability, national origin, 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 funds received pursuant to this Agreement. Consultant affirms that it is an equal
opportunity employer and shall comply with all applicable federal, state and local laws and
regulations.
O. Conflict of Interest. Consultant agrees that no officer, employee, agent or
assignee of City who was involved in the sale of said property, either directly or indirectly, shall
serve as an officer, of Consultant. Further, any conflict or potential conflict of interest of any officer
of Consultant 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
Consultant to City regarding any changes or modifications to its board of directors and list of
officers.
P. Prohibition of Nepotism, Consultant agrees not to hire or permit the hiring of
any person to fill a position funded through this Agreement if a member of that person's immediate
family is employed in an administrative capacity by Consultant, For the purposes of this section,
25D -12
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 tern "administrative capacity" means having selection, hiring,
supervisor or management responsibilities.
8. ASSIGNABILITY
None of the duties of, or work to be performed by, Consultant under this Agreement shall be
subcontracted or assigned to any agency, consultant, or person without the prior written consent of
City. Consultant 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 Consultant
pursuant to this Agreement.
9. TERMINATION
A. This Agreement may be terminated on thirty (30) days' written notice by either
party. In the event of such termination, Consultant 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 Consultant of Federal Laws governing the use of Community Development
Block Grant Funds. In the event of such suspension or termination, Consultant shall only be
entitled to reimbursement for approved expenses incurred up to the effective date of suspension or
termination.
C. pursuant to 24 CPR 85.43, in the event Consultant 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 Consultant, which default and termination shall be effective on a date stated in the
notice which is to be not less than ten (10) days after certified mailing or personal service of such
notice, unless such default is cured before the effective date of termination stated in such notice, If
terminated for cause, City shall be relieved of f irtber 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 mamer, 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.
10. VENUE /JURISDICTION
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.
25D -13
11. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic
communication in the manner provided in this Section, to the following persons:
To City: Cleric of the City Council
City of Santa Ana
20 Civic Center Plaza (M -30)
P,O. Box 1988
Santa Ana, California 92702 -1988
Facsimile (714) 647 -6956
Copies to: Executive Director
Community Development Agency
City of Santa Ana
20 Civic Center Plaza (M -25)
P.O. Box 1988
Santa Ana, California 92702 -1988
Facsimile (714) 647 -6549
City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O, Box 1988
Santa Ana, California 92702
Facsimile (714) 647 -6515
Consultant: Ernest Swiger Consulting, Inc.
1907 Delaware Street
Huntington Beach, California 92648
Phone (570) 856 -4437
12. SEVERABILITY
The invalidity in whole or in part of any provision of this Agreement shall not void or affect
the validity of any other provision of this Agreement.
///
25D -14
13. 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 terries of this Agreement, and shall
indemnify Agency fully, including reasonable costs and attorney's fees, for any injuries or damages
to Agency 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.
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.
25D -15
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year
first above written.
ATTEST:
Maria D. Huizar
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
By: - r _
Lisa Storck
Assistant City Attorney
CITY OF SANTA ANA
David Cavazos
City Manager
CONSULTANT
Ernest Swiger Consulting, Inc.,
Sharon Swiger
President
10
25D -16
EXHIBIT A — SCOPE OF SERVICES
I, introduction
The City of Santa Ana ( "City ") is soliciting proposals from experienced consulting firms to prepare
the City's Consolidated Five Year Plan ( "Five Year Plan ") for five fiscal years from 2015 -16
through 2019 -20. As adopted by the City Council and approved by the U.S. Department of
Housing and Urban Development ( "HUD ") the Five Year Plan will set forth the City's policies,
programs, and measurable objectives for expenditure of various federal grants that the City
receives. Formula grants currently received by the City, and the amounts received for the City's
current fiscal year, are as follows:
Grant
1 2013 -14 Award
Community Development Block Grant CDBG
$5,682,340
HOME Investments Partnership Program HOME
$1,131,852
Emerqencv Shelter Grant Pro ram (ESG)
$ 414,408
Housing Opportunities for Persons with AIDS HOPWA
$1,471,369
Effective with the 2014 -15 fiscal year, the City will no longer receive HOPWA funds.
Consequently the new Five Year Plan need not address this funding source.
Community Development Block Grants - Recovery (CDBG -R) and Homelessness Prevention and
Rapid Re- housing Program (HPRP) and any additional funding from the American Recovery and
Reinvestment Act will also need to be addressed according to federal guidelines.
In addition to preparation of the Five Year Plan and Citizen Participation Plan, the Consultant may
choose to assist the City in preparation of the four subsequent Annual Action Plans (Annual Plan)
and five Consolidated Annual Performance Evaluation Reports (CAPER) that will be required
during the five -year period covered by the new Five Year Plan. The first of the five Annual Plans
to be prepared in conjunction with the new Five Year Plan is one of its required components, and
is to be included in offeror bids for preparation of that preparation. Finally, the Consultant may
choose to provide hourly consulting services to the City on matters relating to its federal grants.
The City's current Five Year Plan, as well as its most recent Annual Plan and CAPER can all be
viewed at http: / /www.santa- ana.org /oda /default.asp.
The City is also requiring that costs for certain items such as reproduction be presented as
separate line items. The City wishes to evaluate the relative cost effectiveness of performing such
tasks itself as opposed to including them in the selected Consultant's contract. Submissions that
do not include distinguishable proposed costs for such items will be considered nonresponsive.
IMM - - -- _
City of Santa Ana Community Development Agency
Request for Proposals for Consolidated Five Year Plan Preparation
Page 11
25D -17
SECTION II: Scope of Work
A. Consolidated Five Year Plan
The Consultant will organize and prepare the Five Year Plan in a manner fully compliant with
federal guidelines as found in the Code of the Federal Regulations (CFR) at 24 CFR Part 91 and
any changes or revisions therein. It will be grammatically correct and free of spelling errors. All
elements of the City's current Five Year Plan will need to be reviewed and revised to meet the
City's current needs.
Tasks to be performed by the selected Consultant and to be addressed in the Cost Proposal for
the Five Year Plan are as follows:
1. Onsite Staff Meetings. Anticipate three, one to two hour onsite meetings with staff. The selected
Consultant will be paid only for the onsite meetings that actually occur.
2. If deemed necessary by the City and Consultant, design and implementation of an additional
mechanism beyond the three community meetings for soliciting public input. The Cover Letter
should describe this mechanism in detail, and the tasks to be undertaken by the City and the
Consultant.
3. Prepare, Organize, Market, and Facilitate Three Community Meetings. Two meetings will be
aimed at the general public, One of these will be hold on a weekday evening and one on a
weekend. The third meeting will solicit community service agency comments, and will be held
during normal business hours. Required tasks include but are not limited to, preparation,
identifying and securing appropriate venues, preparing and distributing flyers or using other
means of marketing the meetings, providing for simultaneous translations in Spanish and
Vietnamese, refreshments, and onsite childcare. Attendance and facilitation at all three meetings
is mandatory for the selected Consultant. Anticipate a minimum of two to three hours for each
community meeting.
4. Study Session Preparation and Presentation. Prepare and present appropriate materials for a
study session with the Community Redevelopment Housing Commission on the Five Year Plan.
A modified version will also be presented at the community meetings. Anticipate a minimum one
to two hour attendance time.
5. Public Notices. Prepare and publish public notices, in accordance with HUD regulations,
announcing commencement of the thirty -day public comment period for the draft Five Year Plan.
The notices are to be published in English, Spanish, and Vietnamese. This publication may be
performed by the City or by the Consultant depending on cost and the City's preferences.
6. Five Year Plan and Citizen Participation Plan Draft Preparation and Reproduction. Prepare a draft
of the Five Year Plan. The City's current Citizen Participation Plan was developed and adopted
as a component of its Five Year Plan and may require revision as well. Prior to public distribution,
two draft versions will be circulated to City staff for review and changes. Provide staff with
approximately ten copies. The timeline will be will be established at the beginning of the process.
After the revisions are completed, provide staff with approximately ten additional copies two
weeks before the public hearing.
City of Santa Ana Community Development Agency
Request for Proposals for Consolidated Five Year Plan Preparation
Page 12
25D -18
7. Public Hearing Attendance. Attend the public hearings, respond to all questions, and take notes
on all public comments for inclusion in the final document. The above - referenced study session
may or may not be held at the same meeting where the public hearing is held. Anticipate a
minimum two hours attendance.
8. Preparation and Reproduction of Final Draft Five Year Plan and Citizen Participation Plan, Revise
the Five Year Plan and Citizen Participation Plan as necessary, and prepare approximately
twenty -five paper copies for distribution as well as an electronic copy. The copies are to be
delivered to staff no more than one week after the public hearing. At its option, the City may
choose to undertake reproduction itself.
9. Response to HUD. Respond to all questions, concerns and requests for modification received
from HUD. The Consultant will prepare and deliver to HUD appropriate responses to questions
and concerns from HUD, and will make all modifications to the Five Year Plan as required by
HUD.
10. Preparation, Reproduction of Final Document. Revise the final draft so as to reflect any changes
made by City Council and /or HUD. Prepare approximately fifteen copies of the final document for
distribution to HUD, the general public, and staff. Provide the City with an electronic file of the
complete document formatted in Adobe PDF. At its option, the City may choose to undertake the
reproduction itself.
City of Santa Ana Community Development Agency
Request for Proposals for Consolidated Five Year Plan Preparation
Page 13
25D -19
EXHIBIT C
TO BE INCLUDED IN PROPOSAL
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 wish 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 fumish
City all required bonds and certificates of liability insurance within ten (90) days (excluding Saturdays, Sundays
and City's legal holidays), or the funds, check, draft, of proposers bond substituted in lieu thereof
accompanying this proposal shall become the property of the City acid 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 Consultants, and the
Workers' Compensation 'Insurance Certificate are to be incorporated by reference into this Agreement, and are
made specifically as part of this RFP.
TITLE ATE
City of Santa Ana Community Developmer
Request for Proposals for Consolidated Five Year
Page 22
25D -20
Preparation
EXHIBIT D
TO. BE INCLUDED IN PROPOSAL
PROPOSAL AND CONTRACT AGREEMENT
CERTIFICATION OF NONDISCRIMINATION BY CONSULTANT
The undersigned Consultant orcorporate officer, during the performance of this contract, certifies as follows:
The Consultant shall not discriminate against any employee or applicant for employment because of race,
color, religion, sex, or national. origin, The Consultant shall take affirmative action to ensure that applicants
are employed, and that employees are treated during employment without, regard to their race, color,
religion, sex, or national origin. Such action shall' include, but not be limited to, the following: employment,
upgrading, demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay
or other fortis of compensation; and selection for training, including apprenticeship. The Consultant .
agrees to post in. conspicuous places, available to employees and applicants for employment, notices to
be provided setting forth the provisions of this nondiscrimination clause.
2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the
Consultant, state that all qualified applicants will receive consideration for employment without regard to
race, color, religion, sex, or national origin.
3. The Consultant shall send to each Labor union or representative of workers with which he has a collective
bargaining agreement or other contract or understanding, a notice to be provided advising the said labor
union or workers' representatives of the Consultant's commitments under this section, and shall post
copies of the notice in conspicuous places available to employees and applicants for employment.
4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of
the rules, regulations, and relevant orders of the Secretary of Labor.
5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September
24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will
permit access to his/her books, records, and accounts by the administering agency and the Secretary of
Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders.
6. In the event of the Consultant's non - compliance with the nondiscrimination clauses of this contract or with
any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in
whole or in part and the Consultant may be declared ineligible for further Government contracts or
federally assisted construction /services contracts to accordance with procedures authorized in Execution
Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as
provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the
Secretary of Labor, or as otherwise provided by law.
7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the
provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules,
regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246
of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order
as the administering agency may direct as means of enforcing such provisions, including sanctions for
noncompliance, provided, however, that in the event the Consultant becomes involved in, or is threatened
City of Santa Ana Community Development Agency
} Request for Proposals for Consolidated Five Year Plan Preparation
Page 23
25D -21
with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the
8. Consultant may request that the United States enter into such litigation to protect the interests of the
United States.
9. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended,
No discrimination shall be made in the employment of persons because of race, religious creed, color national
origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as
provided in Section 1420, and any Consultant violating this Section is subject to all the penalties imposed for a
violation of the Chapter.
TITS �—, [SATE
City of Santa Ana Community Development Agency
Request for Proposals for Consolidated Five Year Plan Preparation
Page 24
25D -22
EXHIBIT E
TO BE INCLUDED IN PROPOSAL
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,
nn1C lVanr•,..
State of
County
of AC) t)/�Ue
Subscribed and sworn to (or affirmed) before me on day 20 by
this 0% _ of m�cx _l
proved to me on the basis of satisfactory evidence to be the
Ji'1Ci.f'c7n Iii SL- Ot"Y.2r person(s) COMMONWEALTH OF PENNSYLVANIA
who appeared before me. AH At. $EAL
E L EIPTnOTH
tary Public
,,,rrr^^^��� P., MONFIDE COUNTY � , �� Mn ExPiros May 2S, 201Z
Cr..Jfp r71
Notary Pbblic Signature Notary Public Seal
City of Santa Ana Community Development Agency
Request for Proposals for Consolidated Five Year Plan Preparation
Page 25
2501-23
EXHIBIT F: COST SCHEDULE
Five Year Plan
Billable
Hours
Hourly
Rate
Non -Labor
Costs
Total
Cost
Task 1
g
go
�//2 6c
Task
2
j?-0
�,S�z.ou
Task 3
0/40
1 J//,;
F�
Task
s,
Task 5
/
a
0
2<)
Task
S°6
4 iGo/o
X200
Task 7
/ ,
v
2 i9 <,
Task 8
5 ,�
E
5
�u `y /S'
Task 9
G
o
0
Task 10
16
11160
205
276'
Five Year Plan Total
C
& y, ,
g� jo
Each of Four Annual Action
Plans
Task 1
Task 2
Task 3
Task 4
Task 5
Task 6
Task 7
Task 8
Each Action Plan Total
Each of Five CAPERS
Task 1
Task 2
Task 3
Task 4
Task 5
Task 6
Task 7
Task 8
Each CAPER Total
Hourly Consulting
N/A
i
N/A
N/A
I City of Santa Ana Community Development Agency
Request for Proposals for Consolidated Five Year Plan Preparation
Page 26
25D -24
2015 -2019 CONSOLIDATED
Five-Year Consolldated Plan 2015 -2019; Flrst Year Annual Action Plan
Santa Ana, California
Project Budget and schedule by Month
Deliverablel6ervlce -5- Year Plan &AAP: July Aug, iAug ;SepUOct.'Nov, Dec. �Jan. Feb ,'Marc bAprll �Wsy'JUne
Swlger
Beacon
Task
TASKS -
Consulting',
Mgmt.
Cost
)1) Staff Meeting ® .. m N
8
4
$1,880
12) Additional Meetings &Outreach - -- --------------- --- - -
12
63
$9,879
(3) Prepare, Organize, Market, and
Facilitate Three Oommunny Meetings
16
48
$0,760
(4) Study Sessions q q
16
0
$2,580
(5) Public Notices & Invitations to _
_ -- ; I. _�
Meetings ' - --
B
12
$2,789
(6) Draft Con Plan &Annual Action Plan
_,.. ! i i
60
0
$0,600
_..._ . .... ... t.
(7)PUbllc Hearag 4s;
,...
...
16
......
o
$2,560
...: —ib
(0) Preparation of Final Plans
32
..
p
$6,120
(9) HUD Responses - - --
0
0
$0
(10) Final Document . -b• �
10
0
$2,8B6
184
117
$48,990
- - eating or He @ring _ .:... Rale
$1,60
$1511
,,,_ ., _
4 Commisaeon Approval
oval birect Costs
-
- '-
+'Submissionto HUD
- Travel
-- "
$780
$590
.Gomm. Mtg. Expenses
$800
Sowce Emestswi9er COnsunr,9 ln¢ I,_,_ ,Materials /Printing
_
_
$;13
PROJECT TOTAL
$49,870
Cost Schedule
The graphic above shows the hours and cost per task for both members of the team as
well as a total, not -to- exceed cost for the entire project.
The estimated number of billable hours for ERNEST SWIGER CONSULTING, INC. is
184, and the firm's average billing rate, shown in the table is $160,00 per hour (fully
loaded).
The estimated number of billable hours for Beacon Management will be 117, and the
firm's at the firm's average billing rate of $150.00 per hour.
Non -labor costs are shown per task and include travel, the cost of an interpreter for the
community meetings and the Public Hearing, expenses for refreshments, child care and
rental fees for a facility for the community meetings, and printing and materials costs for
the production of fliers and notices and the printing of the required numbers of copies of
the documents.
Travel will be billed at the current GSA rate of $0.56 per mile,
Copies will be billed at $0.03 per page (black and white) and $0.09 per page (color),
assuming that the documents are approximately 250 to 300 pages total. Some copies L17
will include color pages, but draft documents will be prepared in black and white only. r-1
bd
c+,
25D -26
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT WITH INTEGRATED LAW
AND JUSTICE AGENCY FOR ORANGE
COUNTY
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
995-1111005179
❑ As Recommended
❑ As Amended
❑ Ordinance on I" Reading
❑ Ordinance on 2 I 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 the
Integrated Law and Justice Agency for Orange County ( ILJAOC), subject to non - substantive
changes approved by the City Manager and City Attorney.
DISCUSSION
Since June of 2006, the Santa Ana Police Department has been a Member Agency of the
Integrated Law and Justice Agency for Orange County ( ILJAOC), a Joint Powers Authority. The
JPA currently has 24 Members, representing each City that has a Municipal Police Department,
as well as the County of Orange for their identified Departments. The Member Agencies also
include the Superior Court of Orange County and the University of California at Irvine, on behalf
of their Police Department. The JPA was formed to allow Criminal Justice Agencies in Orange
County to jointly address new technology projects on a regional basis, as well as improved
business processes affecting the efficiency of the Criminal Justice System in Orange County.
Recently, the ILJAOC was asked by the California State University at Fullerton (CSUF), to
consider their request for full Membership in the ILJAOC on behalf of their Police Department.
The current JPA governance requires that any addition in membership necessitates the
concurrence of all legislative bodies of the existing 24 member agencies. It was unanimously
approved, and staff was directed to seek the formal approval from the existing agencies to
include CSUF as a Member Agency. In order to streamline the approval process in the future for
approving any new agencies, the amended language will allow the Governing Board, on a
unanimous approval of all the Member Agencies' voting members, to approve the addition of a
new Member Agency as long as there are no projected cost increases contemplated by the vote
for existing Member Agencies.
A slight adjustment has been made in Member Agency rates ( -.25% for UCI and CSUF
participation, which are not subject to the normal per capita served population formula applicable
to most of the Municipal Police Departments). The recommendation is made to more closely
align those Agencies with rates paid by other similar sized Departments in Orange County. In
addition, ILJAOC Treasurer reporting requirements will change from monthly to quarterly,
25F -1
ILJAOC Agreement
August 5, 2014
Page 2
reflecting the low month to month financial activity of the Agency. In addition, adjustments were
made to Indemnification Language, primarily focused on issues surrounding entering into
Intergovernmental Agreements (IGA's) to share criminal information. Lastly, throughout the
document there are various, minor language clean -up recommendations included to improve the
readability of the document.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote
fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy A
(continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police
Department provides programs and services efficiently and effectively).
FISCAL IMPACT
There is no f'sc I impact associated with this action.
Carlos Rojas
Chief of Police
Santa Ana Police Department
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a :• T
,•
This Amended Joint Powers Agreement (Agreement) is made and entered
into by and between the listed cities, other entities, and County of Orange listed
below, collectively referred to as "Member Agencies." This Agreement is dated
2014 for reference purposes,
Member Agencies
Anaheim Fountain Valley La Palma Santa Ana
Brea Fullerton Laguna Beach Seal Beach
Buena Park Garden Grove Los Alamitos
Costa Mesa Huntington Beach Newport Beach
County of Orange Irvine Orange
Cypress La Habra Placentia
California State University Fullerton Police Department
Superior Court of CA, County of Orange
Tustin
Westminster
University of CA, Irvine Police Department
RECITALS
WHEREAS, the Member Agencies entered into an Agreement entitled "Joint
Powers Agreement For Integrated Law & Justice Agency For Orange County"
dated as of to create the Integrated Law and Justice Agency for
Orange County; and
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WHEREAS, the Member Agencies desire to restate and amend said Joint
Powers Agreement; and
WHEREAS, the Member Agencies have and possess the power and authorization
to finance, organize, and establish a public agency to facilitate the integration and
sharing of criminal justice information for the benefit of the lands and inhabitants
within their respective boundaries; and
WHEREAS, the Member Agencies propose to join together to establish,
operate, and maintain an agency for the benefit of their respective lands and
inhabitants; and
WHEREAS, it is in the public interest to provide a means by which other
public agencies may request services for the benefit of their lands and inhabitants.
WHEREAS, the Member Agencies anticipate that from time to time it may
be necessary to amend this Agreement and /or consider adding new Member
Agencies,
NOW, THEREFORE, for and in consideration of the mutual promises and
covenants contained herein, the parties hereto agree as follows:
1.01 The purpose of the Integrated Law and Justice Agency for Orange
County (ILJAOC), is to cooperate with each Member Agency in the exercise of
some or all of their powers to establish a separate agency to facilitate the
integration and sharing of criminal justice information /data in the manner set forth in
this Agreement.
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1.02 Each Member Agency expressly retains all rights and powers to
finance, plan, develop, construct, equip, maintain, repair, manage, operate, and
control equipment, facilities, properties, projects, and information that it deems in its
sole discretion to be necessary or desirable for its own information system needs,
and that are authorized by the laws governing it. This Agreement shall not be
interpreted, and the ILJAOC created herein, shall not have authority to impair or
control any of the Member Agencies' respective rights, powers, or title to such
equipment, facilities, properties, information, and projects, nor shall any Member
Agency be required to provide additional personnel, equipment, or services to the
ILJAOC, which are not already a part of the Member Agency's current operational
costs, or which requires them to modify their non - ILJAOC systems or services,
without their consent and full cost reimbursement from other Member Agencies or
other revenue sources.
1.03 Each Member Agency expressly retains all rights and powers to use
other funds or funding sources to finance, plan, develop, construct, equip, maintain,
repair, manage, operate, and control equipment and facilities for their information
services. Nothing in this Agreement shall be construed to require a Member
Agency (1) to disclose any information that the Member Agency determines, in its
sole discretion, it does not have the ability or authority to disclose, or (ii) to do any
act that the Member Agency determines, in its sole discretion, is contrary to law or
public policy.
1.04 The ILJAOC is intended to provide criminal justice and law
enforcement officials who have a need and right to know, with comprehensive,
timely, and accurate information about a criminal suspect or offender, including
identity, criminal history, and current justice status. In addition, it is intended to:
a) Allow criminal justice practitioners to maintain legacy databases
and share only information that has been agreed upon in advance
by a majority vote of the Board or the individual agency affected.
b) Reduce redundant document preparation, data entry, transmission,
and storage.
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c) Strive to identify and achieve common interests to enhance public
safety and due process.
d) Maintain individual privacy rights, preserve protections agencies
have for public records and promote appropriate access controls
and security.
e) Support the development of effective criminal justice policy in
keeping with the objectives of the Orange County Integrated Law &
Justice Strategic Plan ( "Strategic Plan ") adopted by the Orange
County Chiefs & Sheriff's Association in April 2001, and any
amendments to that plan as approved by a majority vote of the
Board.
f) Strive for the compatibility of automated systems and processes
among the various components of the Orange County Criminal
Justice System.
g) Acknowledge that each Member Agency is responsible for internal
agency security for their records, technical support, etc.
h) Recognize that in order to achieve overall success, resources
(personnel, software, hardware, etc.), will be shared willingly and in
some cases unequally by the Member Agencies, as long as that
cooperation does not adversely impact the mission of the sharing
member.
i) Allow the Member Agencies to work together to implement the
adopted Strategic Plan (and subsequent amendments to that
plan), for an Integrated Law & Justice System through the
information sharing which will result from that collaborative effort,
1.05 Member Agencies are not required to seek approval from the
ILJAOC to purchase, install, or modify their own (non - ILJAOC owned) equipment,
services, or work performed in conjunction with any legislative mandate /authority
granted to or required of Member Agencies in order to carry out their respective
responsibilities. Furthermore, the ILJAOC has no power or authority to control,
interfere with, or inhibit Member Agencies from conducting their own internal
business and/or providing their own (non - ILJAOC owned) resources or services to
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other entities, which may or may not be members of or served by the ILJAOC. Any
changes to software or additional hardware that have been integrated into a
Member Agency's existing infrastructure as part of a requirement to implement the
initiatives approved by the ILJAOC Governing Board will become the sole property
of that Member Agency, when without those enhancements, the agency could no
longer operate their systems independent of the ILJAOC.
1.06 Member Agencies may modify, upgrade, or otherwise alter any of
their internal systems or processes without approval of the ILJAOC, as long as
those modifications do not inhibit the exchange of offender data and systems
implemented and /or funded by the prior action of the ILJAOC. Notwithstanding
anything to the contrary herein, a Member Agency shall have no obligation to seek
approval from the ILJAOC for any modification to that Member Agency's internal
systems or processes that is mandated by the State, or by any law or regulation
governing the affected Member Agency.
1.07 In gathering and sharing information, and in all other respects in
performing acts related to this Agreement, the parties will comply with all applicable
laws, rules, and regulations.
• t 4. •
[910111011 yj
2.01 By this Agreement, the Member Agencies hereby create a separate
legal entity to be known as the Integrated Law & Justice Agency for Orange County
(" ILJAOU). The Member Agencies may agree on a different name for the ILJAOC.
2.02 The ILJAOC shall possess in its own name, and the Member
Agencies delegate to it, the following enumerated powers:
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a) To make and enter into contracts consistent with this
Agreement, including, but not limited to, contracts to purchase
and /or dispose of supplies and equipment to carryout the
implementation of the Strategic Plan and any adopted
amendments to that plan.
b) To receive compensation, gifts, contributions, and donations of
property, funds, services, and other forms of financial
assistance from persons, firms, corporations, and any
governmental entity.
C) To sue and be sued in its own name.
d) To apply for an appropriate grant or grants under any Federal,
State, or local programs for assistance in developing any of its
programs or providing services to other public entities.
e) To appoint committees, adopt rules, regulations, policies, by-
laws, and procedures governing the operation of the ILJAOC.
f) To add Member Agencies to the ILJAOC as approved by the
ILJAOC Board in accordance with the terms of this
Agreement.
g) To execute agreements and resolutions consistent with the
terms of this Agreement.
h) To appoint/hire officers, employees, and /or agents.
2.03 Said powers shall be exercised in the manner provided by California
law, including, without limitation, the Joint Exercise of Powers provisions of
Government Code section 6500, et seq., and, except as expressly set forth
herein, the Treasurer /Controller shall be subject to the restrictions upon the
manner of exercising such powers as are imposed upon the Member Agency
whose employee or officer is designated as the ILJAOC Treasurer /Controller
pursuant to Section 3.12 below. The Member Agency's Treasurer /Controller
appointed by the Governing Board shall serve a minimum three -year term at the
discretion of the Board, so as to minimize any disruptions in carrying out his /her
responsibilities.
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2.04 Except as provided herein, the member agencies agree that all
supplies and equipment purchased by the ILJAOC shall be owned and controlled
by the ILJAOC as its sole and separate property and not as property of any
Member Agency.
2.05 The ILJAOC shall operate as a separate legal entity and incur debt,
separate and apart from the Member Agencies, and its debts, obligations, and
liabilities shall be its own and not that of the Member Agencies, except as
specifically provided for herein.
3.01 The membership of the ILJAOC shall be the original Member
Agencies, and any additional Agencies whose admission is unanimously approved,
in accordance with the terms of this Agreement, by the ILJAOC Governing Board or
the then - existing Member Agencies, excluding any Member Agencies that have
withdrawn from the ILJAOC.
3.02 The ILJAOC shall be governed by a voting Board consisting of six (6)
Member Police Chiefs, each elected for a three -year term by the Orange County
Chiefs' & Sheriff's Association, along with one designated alternate, to represent
those Member Agencies with Police Departments. In addition to the Police Chief
representatives, other voting members of the Board will be the Sheriff, the District
Attorney, the Chief Probation Officer, the Public Defender, one (1) representative
from the Orange County Executive's Office, who will serve at the County of Orange
CEO's pleasure, the Presiding Judge of the Orange County Superior Court, the
Chief Executive Officer of the Orange County Superior Court, and three (3) City
Manager representatives, who shall be elected for a minimum of three -year terms
by the Orange County City Managers Association, with at least one (1) of those City
Manager representatives being from a "contract city' in the County. Each Board
member, or in the absence of a Board member, an alternate designated in advance
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by each said Board Member, shall have one vote on all matters before the Board.
Such alternate members may be replaced from time -to -time at the appointing
Board Member's discretion. All Board Members may be removed with or without
cause by their respective appointing authorities.
3.03 Each voting Board member shall hold office until a successor is
selected, elected, hired or appointed under the powers of this Agreement and
each Member Agency. The term of a Board member or alternate (both voting
and non - voting) who is a public official or employee of a Member Agency shall
terminate upon such Board Member leaving his or her position with the Member
Agency. The vacancy of such a member who has left his or her position shall be
filled by selection, election, or appointment according to the selection process
adopted by this Agreement and the Member Agency whose representative has
left his or her position.
3.04 Board members and alternates shall not receive compensation for
their service on the ILJAOC Board, but they may be reimbursed by the ILJAOC for
reasonable expenses incurred in conducting the business of the ILJAOC, as
provided in this Agreement, when the expenses are not paid or reimbursed by their
respective employing Member Agencies.
3.05 The principal office of the ILJAOC shall be established by the
Board and shall be located within the County of Orange. The Board may change
the principal office from one location to another within the County of Orange. Any
change of address shall be noted by the Board but shall not be considered an
amendment to this Agreement.
3.06 The Board shall meet at a location as may be designated by the
Board. The time and place of regular meetings of the Board shall be determined by
resolution adopted by the Board. A copy of such resolution shall be furnished to
the Member Agencies. All meetings of the Board, including regular, adjourned, and
special meetings, shall be called and held in a manner as provided in the Ralph M.
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Brown Act, Chapter 9, Division 2, Title 5 of the California Government Code
commencing with section 54950 et seq., as amended.
3.07 All of the powers and authority of the ILJAOC shall be exercised by
the Board unless specifically delegated, to the extent permitted by law, or reserved
to the Member Agencies under this Agreement. Unless otherwise provided herein,
each voting Board Member shall be entitled to one (1) vote. Except as otherwise
provided herein, a majority of the full voting membership of the Board or their
alternate present at a properly noticed meeting, shall constitute a quorum for
purposes of transacting business. A majority vote of that quorum may adopt any
motion, resolution, or order and take any other action appropriate to carry forward
the objectives of the ILJAOC pursuant to this Agreement, with the exception of the
adoption of the budget or other appropriations in excess of the adopted budget as
outlined in Section 4.04 of this Agreement, in which case a two- thirds majority of
the entire voting membership ortheir alternates is required for approval.
3.08 The Board shall designate a recording secretary to establish,
distribute, and post agenda notices as required by law, keep the minutes of all open
meetings of the Board, and cause a copy of such minutes to be forwarded to each
Member Agency within a reasonable time after each meeting.
3.09 The Board may adopt policies, rules, and regulations for the conduct
of its administrative affairs and that of the ILJAOC as may be required and that are
consistent with this Agreement.
3.10 Where this Agreement requires an approval of a resolution or
ordinance by any Member Agencies in any matter, the approval shall be evidenced
by a certified copy of the resolution or ordinance of the governing body of such
Member Agency filed with the ILJAOC. It shall be the responsibility of the Board to
provide certified copies of said actions.
3.11 On an annual basis, the Board shall elect two Board members to act
as Chair and Vice -Chair of the Agency for the purpose of conducting the Board
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meetings and performing other duties as required. The Vice -Chair may carry out all
the duties of the Chair in his /her absence.
3.12 The Board shall appoint an officer or employee of a Member Agency
to hold the offices of Treasurer and Controller ( "Treasurer /Controller"), whose
duties shall be in conformance with Government Code sections 6505 and 6505.5,
and whose salary, if any, shall be established by the Board. The
Treasurer /Controller shall also administer all contracts subsequent to the Board's
approval and shall contract with a certified public accountant to make an annual
audit of the accounts and records of the ILJAOC as provided in Government Code
section 6505. The annual audit shall be submitted to the Board and each Member
Agency when completed. The budget, covering a budget cycle set by the Board,
shall be prepared by the Treasurer /Controller for the approval by the Board. The
ILJAOC's investment policies shall be the policies of the Member Agency of the
Treasurer /Controller, as those may be modified by the Board of the ILJAOC. The
cost of the Treasurer /Controller in carrying out his /her duties, including, with
limitation, any outside professional services, shall be reimbursed by the ILJAOC.
3.13 The Board shall have the power to appoint/hire additional officers,
employees, or agents. Any officer, employee, or agent of the ILJAOC who is an
officer, employee, or agent of any of the Member Agencies will continue to be
subject to the Member Agency's personnel system. However, the ILJAOC may hire
employees that are subject to the personnel system of the ILJAOC and said
employees shall not be considered employees of any Member Agency. Any
person from any Member Agency appointed by the Board to fulfill a staff position
with the ILJAOC shall possess appropriate qualifications to carry out his or her
responsibilities.
3.14 The City Attorneys, County Counsel or their Deputies of the Member
Agencies may generally serve as counsel to the ILJAOC, to the extent agreed to by
the respective Member Agency and permitted by such waivers of conflicts of
interest to authorize such representation as may be executed by such Member
Agency and the ILJAOC Board. The specific and ongoing duties of legal counsel to
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the ILJAOC may be rotated no less than annually; however, preferably for a term
consistent with the Treasurer /Controller appointment and shall be on a voluntary
basis. The assignment of one of those individuals to perform the required duties
shall be solicited from the legal counsels of the Member Agencies, and is subject to
the final approval of the ILJAOC Board.
3.15 The officers of the ILJAOC Board shall perform all duties customary
and appropriate to their respective offices and:
a) After approval by the ILJAOC Board, the Board Chair shall
sign all contracts on behalf of the ILJAOC Board.
b) The secretary shall perform such duties as assigned by the
Board and shall keep minutes of the Board meetings.
c) The Treasurer /Controller shall be bonded in the amount to be
determined by the Board and the bond fee shall be paid by the
ILJAOC. The Treasurer /Controller shall perform the duties as
set forth in this Agreement.
3.16 The Board may appoint an Executive Director by contract or
otherwise to oversee day -to -day operations of the ILJAOC. The Executive
Director shall manage the daily operations of the ILJAOC and supervision of any
other ILJAOC employees.
3.17 All of the privileges and immunities from liability, exemption from
laws, ordinances and rules, all relief, pension, disability, worker's compensation,
and other benefits which apply to the activities or omissions of officials, officers,
employees, volunteers, or agents of any of the Member Agencies when
performing their respective functions for their respective Member Agency shall
apply to such person(s) to the same degree and extent while they are assigned
to the ILJAOC to perform and are performing any of the functions and other
duties of the ILJAOC pursuant to authority granted by this Agreement. None of
the officials, officers, agents, volunteers, or employees of a Member Agency
appointed to the Board or performing services at the direction of the ILJAOC
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shall be deemed by reason of their appointment or service to be employed by
any of the other Member Agencies or the ILJAOC or be subject to any of the
requirements of the other Member Agencies.
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Ra
4.01 The Board shall adopt a budget for the ensuing fiscal year(s)
pursuant to procedures developed by the Board. At the conclusion of each fiscal
year, the Treasurer /Controller shall make a report to the Board regarding the
excess or deficiency of revenues over (or under) expenditures. Such report shall
include "budget to actual" comparisons based upon the previously adopted
budget. Upon receipt of the report, the Board shall determine what extent, if any,
unexpended budgetary appropriations shall be re- appropriated or whether any
excess of revenues over expenditures shall be allocated or expended.
4.02 The Treasurer /Controller shall draw warrants upon the approval
and written order of the Board or the Board's Executive Director, The Board shall
requisition the payment of funds only upon approval of such claims or
disbursements and such requisition for payment in accordance with rules,
regulations, policies, procedures, and by -laws adopted by the Board.
4.03 All funds received by the Treasurer /Controller for services provided
by the ILJAOC, will be placed in object accounts, and the receipt, transfer, or
disbursement of such funds during the term of this Agreement shall be accounted
for in accordance with generally accepted accounting principles applicable to
governmental entities. There shall be strict accountability of all funds. All
revenues and expenditures shall be reported to the Board on a quarterly basis,
unless otherwise required by the Board.
4.04 All expenditures within the approved budget shall be made upon
the approval of the Treasurer /Controller in accordance with the rules, policies,
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and procedures adopted by the Board. No expenditure in excess of those
budgeted shall be made without the two- thirds majority approval of the entire
Board, and the budget shall thereafter be revised and amended.
4.05 The records and accounts of the ILJAOC shall be audited annually
by an independent certified public accountant and any cost of the audit shall be
paid by the ILJAOC. The minimum requirements shall be those prescribed by
the State Controller under California Government Code section 26909 and in
conformance with generally accepted auditing standards. Copies of such audit
report shall be filed with each Member Agency no later than fifteen (15) days
after receipt of said audit by the Board.
4.06 The Member Agencies have agreed by resolution through their
respective Governing Authorities to fund on a shared basis, the costs of the
ILJAOC operations, and capital in excess of any grant funds, through annual
budget appropriations. Each Member Agency's agreement to provide such funds
in fiscal years after the fiscal year in which the original ILJAOC Joint Powers
Agreement was executed, is contingent upon appropriation by the governing
body of that Member Agency of sufficient funds for that purpose. The subject
resolutions shall not limit the authority of each Member Agency to cease
appropriations for the ILJAOC operations as determined by their respective
Governing Authorities, provided, however, that a decision to cease
appropriations shall be subject to the terms of Section 6.02 below. In addition,
where the ILJAOC has an obligation under the terms of this Agreement to
reimburse a Member Agency for providing personnel, equipment, and /or services
to the ILJAOC, the Member Agency providing such personnel, equipment, and /or
services may waive its right to reimbursement. When a Member Agency incurs
costs eligible for reimbursement under the terms of this agreement, those costs
shall include only those which are not part of the Member Agency's pre - existing
Infrastructure /operation prior to the effective date of this Agreement. They also
shall not include overhead charges. Costs for the ILJAOC operations referenced
in accordance with this Section 4.06 shall be shared as follows:
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a) Member Agencies with Municipal Police Departments and the
Orange County Sheriff's Department, which serves the
unincorporated area of the County as well as their "contract cities,"
shall be determined on a per capita served basis, with the
combined total amount not to exceed 80% of total costs.
b) County of Orange; an amount not to exceed 15% of total costs.
c) The Superior Court of California, County of Orange; an amount not
to exceed 5 % of total costs.
d) The University of California Police Department; an amount not to
exceed 0.75% of total costs.
e) California State University, Fullerton Police Department, an amount
not to exceed 0.75% of total costs.
4.07 The Member Agencies acknowledge and agree that the ILJAOC
will act as a conduit for the management, direction, and provision of integrated
services to the Member Agencies and to other public agencies that contract with
ILJAOC for such services.
4.08 Based on information provided by the Executive Director or other
designated representatives of the ILJAOC, the Treasurer /Controller shall keep a
written account of any services provided to other public agencies by the ILJAOC.
All revenues received from other public agencies contracting or receiving
services from the ILJAOC for services shall be used to offset the costs incurred
by the ILJAOC. The Governing Board shall determine whether those funds shall
be placed in a Capital Reserve or otherwise allocated in the ILJAOC's Budget
and /or projected costs to Member Agencies.
4.09 In establishing rates for services to non - Member Agency public
agencies, the Board shall assure that the contracts for such services provide for
the reimbursement of the actual expenses of providing all services of the
ILJAOC, including insurance coverage for the ILJAOC's personnel and
equipment. Payment for the ILJAOC services by contracting public agencies
shall be made on a monthly basis, or no less frequently than on a quarterly basis
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(unless paid in advance) to the Treasurer /Controller of the ILJAOC. The
Treasurer /Controller shall provide a written quarterly account to the Board of all
revenues and expenses of the ILJAOC services to other public agencies.
4.10 The ILJAOC budget shall include the provision for a Capital
Replacement fund that will provide for, among other things, the replacement of
the equipment owned and operated by the ILJAOC. The ILJAOC Board annually
shall recommend to the Member Agencies amounts needed for Capital
Replacement. The amount of the provision for Capital Replacement in each
ILJAOC annual budget will depend on the amounts appropriated by the Member
Agencies for such purposes during each fiscal year. Said funds shall be
transferred to the ILJAOC monthly by the Member Agencies for deposit in the
ILJAOC's Capital Replacement fund. The actual purchase of new equipment
and disposal of unneeded equipment shall be done whenever determined
appropriate and justified by the Board.
4.11 All revenues derived from service contracts with other public
agencies shall be maintained in a separate revenue account for the ILJAOC.
The Treasurer /Controller shall be responsible for accounting for all such revenue.
The Board shall be responsible for determining the appropriate allocation of such
funds as part of the budget adoption process.
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5.01 Except as provided in Section 8.05 of this Agreement, the ILJAOC
and the Member Agencies agree, to the extent allowed by law, that the Member
Agencies shall be fully protected from any loss, injury, liability, damage, claim,
lawsuit, cost, or expense arising out of, or in any way related to, the performance
of this Agreement by the ILJAOC. Accordingly, the provisions of this Agreement
should be broadly construed in favor of protection for the Member Agencies and
interpreted to provide the fullest possible protection to the Member Agencies and
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Member Agency's officials, officers, agents, volunteers, and employees. ILJAOC
acknowledges that the Member Agencies would not have entered into this
Agreement in the absence of the commitments of the ILJAOC as specified in this
Article V.
5.02 The Member Agencies acknowledge that each Member Agency
may be assigning its own personnel to a cooperative pool of personnel to provide
service to the ILJAOC. The ILJAOC shall be solely responsible for and retain all
debts, liabilities, and other obligations for all activities of the ILJAOC, and shall
maintain sufficient insurance coverage in effect at all times to cover any such
claim, loss, liability, or obligation, as recommended by the ILJAOC Risk Manager
and approved by the Board.
5.03 Except as provided in Section 8.05, the ILJAOC shall protect,
defend, indemnify, and hold free and harmless the Member Agencies and their
respective elected and appointed boards, officials, officers, agents, volunteers,
and employees from and against any and all liabilities, damages, loss, cost,
claims, expenses, actions, or proceedings of any kind or nature caused by
ILJAOC employees or employees of Member Agencies who are performing
ILJAOC functions, including, but not by way of limitation, injury or death of any
person, injury or damage to any property, including consequential damages and
attorney's fees and costs, resulting or arising out of or in any way connected with
the negligent acts or failure to act in the course and scope of carrying out their
responsibilities in the performance of their duties to the ILJAOC. In addition, and
without limiting the foregoing indemnification obligation, except as provided in
Section 5.04, the ILJAOC will maintain sufficient insurance coverage in effect at
all times as recommended by their Risk Manager, to cover any such damage
claim, loss, cost, expense, action, proceeding, liability, or obligation,
5.04 Any contract with a non - member public agency ( "non Member
Agency ") receiving services from the ILJOAC shall include a mutual
indemnification provision wherein the non Member Agency and the ILJAOC shall
mutually agree to defend and indemnify the other in an amount equal to its
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proportionate share of liability on a comparative fault basis. The contract shall
also provide that: 1) The indemnity obligation shall exist with respect to any
claim, loss, liability, damage, lawsuit, cost, or expense that arises out of, or is in
any way related to, the performance of services pursuant to the contract; and 2)
The obligation of the non - Member Agency and the ILJAOC pursuant to the
indemnification provision will extend, without limitation, to an injury, death, loss,
or damage which occurs in the performance of the contract and that is sustained
by any third party, any agent, or contractor of the non - Member Agency or the
ILJAOC. Notwithstanding the foregoing, in situations where a non - Member
Agency lacks the authority to enter into an agreement containing the specific
terms specified above in this Section 5.04, the ILJAOC may enter into an
agreement without such terms (or including only some of those terms) only after
(1) a finding by and affirmative vote of a two - thirds majority of all voting Board
members, or their alternates, that the risk of entering into such an agreement is
outweighed by the benefit to be obtained by entering into the agreement, and (2)
a determination by the ILJAOC's Risk Manager that insurance provisions
applicable to the agreement are adequate given the specific risks presented.
5.05 Member Agencies shall be responsible for the continued provision
of worker's compensation coverage for the officers or employees of the Member
Agencies that are assigned to provide services to the ILJAOC and /or serve as
officers or employees of the ILJAOC. In this regard, each Member Agency shall
defend, indemnify, and hold harmless the ILJAOC and any other Member
Agencies, and their respective officials officers, employees, contractors, agents,
and representatives with respect to any claim, loss, liability, damage, lawsuit,
cost, or expense, including attorney's fees and costs, that arises out of, or is in
any way related, to any industrial /worker compensation injury sustained by an
officer or employee of the indemnifying Member Agency during the performance
of service to the ILJAOC or the other Member Agencies under this Agreement.
5.08 ILJAOC shall employ the principles of sound risk management in its
operations. Risks of loss shall be identified, evaluated, and treated in a manner
that protects the ILJAOC and each Member Agency from adverse financial
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consequences. This may be accomplished in part through the purchase of
appropriate commercial insurance.
The Risk Manager, or his /her designee, of one Member Agency shall be
designated by the Board, with the consent of the Member Agency, as the
" ILJAOC Risk Manager" and shall act in an advisory capacity to the ILJAOC
Board to provide guidance in the area of risk management, loss control,
insurance procurement, and claims management. Should a Member Agency
Risk Manager not be available to serve the ILJAOC, the Board may designate
someone who has comparable experience to serve in that capacity. The ILJAOC
Risk Manager will be responsible for maintaining the original insurance policies
and other risk management and insurance documents.
During the term of this Agreement, the ILJAOC shall purchase and
maintain sufficient amounts of commercial insurance coverage at the equally
shared cost to the Member Agencies. The types, limits, retention levels,
deductibles, policy forms, and carriers providing the above required insurance
coverage's shall be recommended by the ILJAOC Risk Manager to the Board for
its approval, consistent with this Agreement.
W
6.01 Additional public agencies may become Member Agencies of the
ILJAOC upon such terms and conditions as are determined by the Board, and
upon the unanimous consent of the ILJAOC Governing Board, so long as such
addition(s) are not projected to increase costs to existing Member Agencies.
Upon approval by the ILJAOC Governing Board, a written amendment to this
Agreement shall be executed by all of the existing Member Agencies, as well as
the additional Member Agency. Should increased costs to existing Member
Agencies be anticipated due to the addition of a new public agency, unanimous
approval must be received from the governing bodies of the existing Member
IF
25F -20
Agencies, as evidenced by approval of resolutions and the execution of a written
amendment to this Agreement by all of the Member Agencies, including the
additional Member Agency.
6.02 Member Agencies have the right to withdraw from the ILJAOC.
Such withdrawals, either voluntarily or involuntarily, shall be conditioned as
follows:
a) Involuntary withdrawal shall mean those circumstances
where a Member Agency must withdraw due to fiscal or
budgetary impact of that Member Agency that results in the
discontinuance or reduction of the funding for personnel,
services, or equipment by that Member Agency.
b) In the case of a voluntary withdrawal, written notice shall be
given one hundred eighty (180) days prior to the end of a
fiscal year except that such notice requirement may be
shortened (i) by unanimous approval of the Board members
present at the meeting at which the Board considers
shortening the notice requirement, or (ii) upon breach of this
Agreement by the ILJAOC or any Member Agency, in which
case the withdrawing Member Agency may withdraw
effective at any time.
c) Neither voluntary nor involuntary withdrawal shall relieve the
withdrawing Member Agency of its obligations for its
proportionate share of any debts or other liabilities incurred
by the ILJAOC prior to the effective date of the Member
Agency's withdrawal (with the exception of new purchases of
capital equipment after the date of the Member Agency's
notice of withdrawal), nor any liabilities imposed upon or
incurred by the Member Agency pursuant to this Agreement
prior to the effective date of the Member Agency's
withdrawal.
19
25F -21
d) The withdrawing Member Agency shall retain all rights and
claims relating to revenues received by the ILJAOC during
the time period that the Member Agency provided personnel,
services, or equipment under the ILJAOC direction.
e) The withdrawing Member Agency shall be entitled to remove
its personnel and any equipment whose title was not
transferred in writing to the ILJAOC from the possession and
control of the ILJAOC, regardless of the impact on the
ILJAOC or its continued operation. The withdrawing
Member Agency may also recover any other equipment no
longer needed by the ILJAOC, including equipment it
previously transferred to the ILJAOC, according to the terms
and conditions determined by the Board in its sole discretion
to be fair and equitable. The ILJAOC Board may choose to
exempt a Member Agency from any of the listed conditions,
but may not impose any conditions other than those listed.
Nfl
7.01 The ILJAOC shall continue to exist and exercise the powers herein
until this Agreement is terminated by a vote of two - thirds of the entire Board;
provided, however, that no termination shall be complete and final until the
ILJAOC has satisfactorily disposed of all financial obligations and claims,
distributed all assets, and performed all other functions deemed necessary by
the Board to conclude the affairs of the ILJAOC.
7.02 Termination shall occur upon;
a) The written consent of all Member Agencies; or
b) Upon the withdrawal from the ILJAOC of a sufficient number of the
Member Agencies that results in a lack of effectiveness as
20
25F -22
determined by a two - thirds vote of the remaining Board Members;
and
c) Full satisfaction of all outstanding financial obligations of the
ILJAOC; and
d) All other contractual obligations of the ILJAOC have been
satisfied.
7.03 In the event of the termination of this Agreement, any funds
remaining following the discharge of all obligations shall be disposed of by
returning to each current Member Agency of the ILJAOC immediately prior to
the termination of this Agreement, a share of such funds proportionate to the
contribution made to the ILJAOC by said Member Agency, to the extent
determined by the Board in its sole discretion to be fair and equitable.
7.04 Notwithstanding any other provisions of this Agreement, the
Member Agencies agree to abide by the following procedure for selling of
equipment in the event this Agreement is terminated. The equipment shall be
given a fair market value by an appraiser agreed upon by the Board. Before the
equipment is sold on the open market, the Member Agencies each shall have
the right to purchase the equipment at a price and under terms as agreed upon
by the Board, which may include a financing arrangement for the purchaser to
allow for a transition period after the termination of this Agreement. If an
agreement cannot be reached concerning a purchase of the equipment, then it
shall be sold on the open market. Proceeds from the sale of equipment upon
termination of the Agreement shall be distributed to the Member Agencies in a
manner consistent with the cost - sharing format outlined in Paragraph 4.06 (a),
(b), and (c) of this Agreement, and any modifications to that formula adopted by
the Board.
21
25F -23
VIII
ar6YyaI WA? * W-1
8.01 Amendments.
Except as otherwise specified in this Agreement, this Agreement may be
amended with the unanimous approval of all Member Agencies; provided,
however, that no amendment may be made that would adversely affect the
interests of the owners of bonds, letters of credit, or other financial obligations of
the ILJAOC.
8.02 Notices.
Any notice or instrument required to be given or delivered by depositing
the same in any United States Post Office, registered or certified, postage
prepaid, addressed to the Member Agencies, shall be deemed to have been
received by the Member Agency to whom the same is addressed at the
expiration of five (5) days after deposit of the same in the United States Post
Office for transmission by registered or certified mail as aforesaid.
8.03 Effective Date.
This Agreement shall be effective at such time as this Agreement has
been executed by the majority of the voting Member Agencies enumerated in the
introduction of this Amended Agreement.
8.04 Conflicts of Interest.
No official, officer or employee of the ILJAOC or any Member Agency shall
have any financial interest, direct or indirect, in the ILJAOC. Nor shall any such
officer or employee participate in any decision relating to the ILJAOC that affects
his or her financial interests or those of a corporation, partnership, or association
in which he or she is directly or indirectly interested, in violation of any State law
or regulation.
22
25F -24
8.05 Mediation
a) Any controversy or claim between any Member Agencies, or
between any such Member Agency or Member Agencies and the
ILJAOC, with respect to the ILJAOC's operations, or to any claims,
disputes, demands, differences, controversies, or
misunderstandings arising under, out of, or in relation to this
Agreement, shall be submitted to and determined by mediation.
b) The Member Agency desiring to initiate mediation shall give
notice of its intention to every other Member Agency and the
ILJAOC. Such notice shall designate such other Member
Agencies as the initiating Member Agency intends to have
bound by any award made therein.
C) Each Member Agency involved in the mediation shall bear
its own legal costs, including attorney fees.
8.06 Partial Invalidity
If any one or more of the terms, provisions, sections, promises, covenants
or conditions of this Agreement shall to any extent be adjudged invalid,
unenforceable or void for any reason whatsoever by a court of competent
jurisdiction, each and all of the remaining terms, provisions, sections, promises,
covenants and conditions of this Agreement shall not be affected thereby and
shall be valid and enforceable to the fullest extent permitted by law.
8.07 Successors
This Agreement shall be binding upon and shall inure to the benefit of the
successors of the Member Agencies hereto.
8.08 Assignment
A Member Agency shall not assign any rights or obligations under this
Agreement without the written consent of all other Member Agencies.
23
25F -25
8.09 Execution
The Governing Authorities of the Member Agencies enumerated herein
have each authorized execution of this Agreement, as evidenced by the
authorized signatures below, respectively.
8.10. Entire Agreement
This Agreement supersedes any and all other agreements whether oral or
written, between the parties hereto with respect to the subject matter hereof and
contains all of the covenants and agreements between the parties with respect to
said matter, and 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 any other agreement or modification of this Agreement
shall be effective only if executed in writing and signed by the ILJAOC and all
Member Agencies.
Dated:
ATTEST:
Clerk of the City of:
CITY OF:
an
Mayor
APPROVED AS TO FORM:
ACC -iCity Attorney
24
25F -26
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT AMENDMENT WITH
WILLDAN HOMELAND SOLUTIONS FOR
GRANT MANAGEMENT SERVICES
s
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 1s' Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Authorize the City Manager and the Clerk of the Council to execute a one -year agreement
amendment for on -site grant management services with Willdan Homeland Solutions in an annual
amount not to exceed $135,000, subject to non - substantive changes approved by the City Manager
and City Attorney.
DISCUSSION
The United States Department of Homeland Security (DHS) has developed the Urban Areas
Security Initiative (UASI) funding program. UASI provides funds to local emergency first responders
to enhance security and overall preparedness to prevent, respond to, and recover from acts of
terrorism. The grant specifically provides funding for anti - terror equipment, planning, training,
exercises and technical assistance. Under the UASI funding program, the City of Santa Ana has
been designated as an Urban Area Core City and serves as the grant recipient responsible for the
management and administration of the grant funds for Orange County cities.
Beginning in 2010 as part of the Interoperable Emergency Communications Grant Program
(IECGP), grant management services have been provided by Willdan Homeland Solutions. The on-
site grant management services provided by Willdan Homeland Solutions include, but are not
limited to, assisting with the development of grant applications, ensuring grant finances are
processed appropriately and in compliance with established Federal, State, and local policies, as
well as maintaining and updating UASI sub - recipient guidelines and policies to include new laws,
rules, and requirements issued by DHS and Cal -EMA. The staff member provided by Willdan
Homeland Solutions has developed the special skills and knowledge needed to effectively manage
the Homeland Security grants awarded to the City of Santa Ana.
25G -1
Agreement with Willdan Homeland Solutions
August 5, 2014
Page 2
The Santa Ana Police Department Homeland Security Division is satisfied with the grant
management services provided by Willdan Homeland Solutions under the original three -year
agreement and now wishes to exercise the second of two optional one -year extensions. The
current contract, which expires August 31, 2014, includes approximately $100,000 for labor,
$10,000 for training and transportation, and a $15,000 contingency for unanticipated expenditures,
for a total agreement amount of $125,000. Willdan Homeland Solutions has requested a 1.8
percent CPI increase and a 3.2 percent pay for performance hourly rate increase, This 5 percent
increase was determined to be reasonable, fair, and well within the range expected for such
services, The new agreement includes approximately $115,000 for labor, $10,000 for training and
transportation, and a $10,000 contingency, for a total agreement amount of $135,000.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote
fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B
(promote ongoing efforts to obtain grant funding for activities that will assist in in preventing,
enforcing and reducing criminal activity and traffic collisions).
FISCAL IMPACT
Funds are available in the following UASI Grant Fund accounts (nos. 12514407 -62300 and
12514491- 62300).
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Mgt. Services Agency
VVC-
25G -2
SECOND AMENDMENT TO AGREEMENT
THIS SECOND AMENDMENT TO AGREEMENT is entered into on August 5, 2014,
by and between Willdan Homeland Solutions, a California corporation ( "Consultant') and the
City of Santa Ana, a charter city and municipal corporation organized and existing under the
Constitution and laws of the State of California ( "City ").
RECITALS:
A. The parties entered into Agreement #A- 2012 -184, dated September 4, 2012, (hereinafter
"said Agreement") by which Consultant has provided grant management services.
B. In accordance with the terms and conditions of said Agreement the parties entered into the
First Amendment of the Agreement #A- 2013 -124 on August 5, 2013, wherein they agreed to
increase the hourly pay rate to $53.70, increase total compensation to pay for services during
the extended term for a total amount not to exceed $125,000, and exercise the first of two
options to extend the term for an additional one -year period.
C. In accordance with the terms and conditions of said Agreement, the parties wish to enter into
the Second Amendment of said Agreement, by amending the Compensation to increase the
hourly pay rate to $56.39, increase total compensation to pay for services during the extended
term for a total amount not to exceed $135,000, and to exercise the second of two options to
extend the term for an additional one -year period
WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all
the terms and conditions of said Agreement, except those amended in this Second Amendment to
Agreement, the parties agree as follows:
1. Section 2.a., COMPENSATION, shall be amended to increase compensation by a total
amount not to exceed $135,000.00, to pay for grant management services provided during the
one -year term commencing September 1, 2014. The hourly billing rate shall also be
increased to $56.39, effective September 1, 2014.
2. Section 4, TERM, shall be amended to extend the term one -year, through August 31, 2015.
3. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in
full force and effect.
//I
25G -3
IN WFFNESS WHEREOF, the parties hereto have executed this Second Amendment to
Agreement on the date and year first written above.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
By: Cteaw' �'
Laura Rossini
Senior Assistant City Attorney
T
CITY OF SANTA ANA
DAVID CAVAZOS
City Manager
WILLDAN HOMELAND SOLUTIONS
James E, Bailey
President and CEO
25G -4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT WITH ANAHEIM
REGIONAL MEDICAL CENTER FOR
SEXUAL ASSAULT EVIDENCE
COLLECTION
CITY MANA R
RECOMMENDED ACTION
Authorize the City Manager and the
ending June 30, 2016, with Anaheim
exams and evidence collection in the
City Manager and City Attorney.
DISCUSSION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 1s` Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Clerk of the Council to execute a two -year agreement,
Regional Medical Center to provide acute sexual assault
amount of $80,000, subject to changes approved by the
The Police Department uses the services of the Anaheim Regional Medical Center to conduct
sexual assault examinations and evidence collection for adult victims and suspects. Results from
these tests and evidence collection are necessary for the prosecution of criminal cases.
Anaheim Regional Medical Center is the only facility in the county performing rape and sexual
assault examinations of adults for prosecution purposes. The Police Department has utilized
Anaheim Regional Medical Center for these purposes since 1995.
The costs for services are $750 per victim exam, and $350 per day of court room testimony. The
agreement will include $40,000 per year for a total not to exceed amount of $80,000 for the two
year term. The procedures used by this facility are consistent with those expected by the District
Attorney's office to ensure best evidence practices are followed and that privacy concerns of
victims are adequately safeguarded.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #1 Community Safety, Objective #1
(modernize the Community Policing philosophy to improve customer service, crime prevention
and traffic /pedestrian /bicycle safety.), Strategy D (establish and implement a plan to partner with
community service organizations and other community groups to conduct awareness,
intervention, and prevention of child abuse, domestic violence and driving under the influence of
alcohol and /or drugs.).
25H -1
Agreement with Anaheim Regional Medical Center
August 5, 2014
Page 2
FISCAL IMPACT
Funds are available in the Police Department's District Investigations fund Account (account no.
01114435 62300) in the Fiscal Year 2014 -15 budget.
APPROVED AS TO FUNDS AND ACCOUNT:
Francisco Gutierrez
Executive Director
Finance and Mgt. Svcs. Agency
25H -2
AGREEMENT FOR EVIDENCE COLLECTION SERVICES
FOR ALLEGED SEXUAL ASSAULT VICTIMS
This Agreement for Evidence Collection Services for Alleged Sexual Assault Victims is
effective as of the I" day of July, 2014 (the "Effective Date "), by and between AHMC Anaheim
Regional Medical Center ( "ARMC ") and the City of Santa Ana (the "City "), with respect to the
following:
WHEREAS, City requires the collection of clinical evidence with respect to certain
victims of alleged sexual assault;
WHEREAS, City does not have the capability to collect the aforesaid clinical evidence
internally;
WHEREAS, ARMC has ability to collect clinical evidence and City desires to purchase
said services from ARMC;
NOW, THEREFORE, in consideration of the mutual promises, covenants and conditions
contained herein, the parties hereto agree as follows:
1. Services. ARMC agrees to provide the following services (collectively, the
"Services ") to the City:
1.1. Examination. ARMC agrees to provide the City approved medical exams
to alleged sexual assault and rape victims for evidence. The exam is to include videotaped
colposcopic examination and photographs. The colposcopic examination will be conducted by
medical personnel who are competent in the use of the equipment and the interpretation of the
findings.
1.2. Testimony. ARMC agrees to provide competent court testimony as
requested by the City (upon receipt of summons or subpoena).
13. Evidence. All evidence collected during the examination, including the
videotape of the colposcopic examination, will be relinquished at the conclusion of that
examination. Photographs will be available upon request by City investigators,
1.4. Access b�City. ARMC agrees to make results of and evidence from
examination available to City personnel at any time subsequent to the date of examination upon
request of summons or subpoena.
2. Compensation. In exchange for the Services to be provided by ARMC pursuant
to Section 1, above, City shall compensate ARMC as follows:
2.1. Examination. Seven Hundred Fifty Dollars ($750) for each examination
of an alleged victim.
25H -3
2.2. Dry Run. Two Hundred Dollars ($200) for each "Dry Run." For
purposes of this Agreement, "Dry Run" means the dispatching by ARMC of a forensic nurse to
perform a case and through no fault of ARMC's, the victim changes his or her mind, refuses to
permit the examination, does not want the examination, or does not permit ARMC's forensic
nurse to conduct the examination.
2.3 Testimony. The City shall pay a maximum of $350 per day for court
room testimony (as provided in section 1.2 of this Agreement).
2.4 Rate Adjustment. City acknowledges and agrees that ARMC may adjust
the rates set forth in Section 2. ARMC shall use reasonable efforts to give the City at least thirty
(30) days advance written notice of any increase to rates in accordance herewith.
3. Pa Went. ARMC shall invoice City monthly for all Services perfonned in each
previous month. City shall remit payment to ARMC within thirty (30) days of receipt of an
invoice. Payment for services hereunder shall not exceed $$0,000 over the two year Tenn of this
Agreement.
4. Term. This Agreement shall be for a term of two (2) years, commencing on the
Effective Date and expiring on the second anniversary hereof.
5. Discrimination. By signing this Agreement, ARMC certifies that it does not
discriminate in hiring or treatment on the basis of race, color, creed, religion, sex, sexual
orientation, age, mental status, national origin, ancestry, physical handicap or medical condition.
6. Agreement. This Agreement is not meant to prohibit the City from utilizing the
services of other hospitals.
25H -4
IN WITNESS WHEREOF, the parties hereto have executed this Agreement for Evidence
Collection Services the date and year first above written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
SONIA R. CARVALHO
City Attorney
By: Dm. _ e . _ -vz G ),-
Lisa Storck
Assistant City Attorney
RECOMMENDED FOR APPROVAL:
CARLOSROJAS
Chief of Police
CITY OF SANTA ANA
DAVID CAVAZOS
City Manager
AHMC ANAHEIM REGIONAL
MEDICAL CENTER, LP, a California
limited partnership, dba AHMC Anaheim
Regional Medical Center ( "ARMC ")
By:
Chief Executive Officer
Tax ID#
25H -5
25H -6
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENTS WITH J &G INDUSTRIES,
INC., AND NORTHSTAR DEMOLITION AND
REMEDIATION, LP, FOR DEMOLITION
SERVICES FOR CIP PROJECTS
(NONGENERAL FUND)
CITY MA AGER
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
Authorize the City Manager and Clerk of the Council to execute agreements with J &G Industries,
Inc., and NorthStar Demolition and Remediation, LP, subject to nonsubstantive changes
approved by the City Manager and City Attorney, for on -call demolition services for a three -year
term expiring on August 4, 2017, in an amount not to exceed $400,000 each.
DISCUSSION
During the last two years, expenditures for demolition services of properties acquired for street
improvements have averaged around $325,000 per year. The City has received right -of -way
funding including demolition costs towards three segments of the Bristol Street Improvement
Project. Approval of this recommended action will give the City access to qualified demolition
contractors for the Bristol Street Project, as well as other projects approved in the City's Capital
Improvement Programs. On -call agreements fit well with the unknown timing and exact scope of
services needed.
On May 5, 2014, the Public Works Agency released a Request for Proposals (RFP) to qualified
consulting firms to provide on -call demolition services. Seven proposals were received and
evaluated by a review committee from the Public Works Agency. Each firm submitting a
complete proposal was rated according to its qualifications, experience, references, and capacity
to perform the required work. Following is the list of the top four ranked firms and the respective
scores:
NAME OF FIRM RANKING
J &G Industries, Inc. 90
NorthStar Demolition and Remediation, LP 87
National Demolition Contractors 83
C.R. Gann Demolition, Inc. 79
251 -1
Agreements for Demolition Services for CIP Projects
August 5, 2014
Page 2
Based on the ratings and experience, staff recommends that the firms of J &G Industries, Inc.,
and NorthStar Demolition and Remediation, LP, be retained for the demolition services. Services
will be used on an as- needed basis for a three year term or until the contract amount is
exhausted, whichever comes first.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities &
Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City
assets), Strategy C (invest resources and technology to extend the service life of existing
infrastructure to protect the City's investment and support a high quality of life standard).
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funding for these on -call demolition services will be allocated as needed from various CIP projects.
APPROVED AS TO FUNDS AND ACCOUNTS:
Vii' Rb� a i5c a a
Edwin "William" alv , P.E. Francisco Gutierrez
Interim Executive Director
Executive Director
Public Works Agency Finance &Management Services Agency
Exhibits: 1. Agreement with J &G Industries, Inc.
2. Agreement with NorthStar Demolition and Remediation, LP
EWGIKN
Exhibit 1
ON -GALL DEMOLITION SERVICES AGREEMENT
THIS AGREEMENT, made and entered into this 5th day of August, 2014 by and
between,T &G Industries, Inc,, a California corporation (hereinafter "Contractor'), and the City of
Santa Ana, a charter city and municipal corporation organized and existing under the
Constitution and laws of the State of California (hereinafter "City ")
RECITALS
A. On or about May 6, 2014, the City issued a Request for Proposal C'UP ") No. 14 -026
for on -call demolition services on an as- needed basis for projects which include but
are not limited to: various phases of the Bristol Street, Grand Avenue, and Warner
Avenue Widening Projects. Contractor was one of the companies that submitted a
proposal. The proposals were evaluated and Contractor was one of two companies
selected to provide on -call demolition services.
B. The City desires to retain a Contractor having special skill and knowledge in the field of
providing on -call demolition services.
C, Contractor represents that Contractor 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 consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
SCOPE OF SERVICES
Contractor shall provide on -call demolition services, as set forth in the City's Oil -Call
Demolition Services RFP #14 -026, dated May 6, 2014, attached hereto as Exhibit A, and
Contractor's Proposal, dated May 27, 2014, attached hereto as Exhibit B and incorporated by
reference.
2. COMPENSATION
a. City agrees to pay, and Contractor agrees to accept as total payment for its
services, the rates and charges identified in its proposal attached hereto as Exhibit B. The total
sutra to be expended tinder this Agreement shall not exceed four hundred thousand dollars and
zero cents ($400;000;00).
b, All invoices for work performed under this Agreement shall be submitted in a
format approved by the City. Invoices shall include the following at a minimum:
251 -3
(i) Consultant's invoice number
(ii) Dates of service covered by the invoice
(iii) City project number and/or name (if applicable)
(iv) Work site addressor location (if applicable)
(v) Tasks completed
c. Payment by City shall be made within sixty (60) days following receipt of proper
invoice, subject to City accounting procedures:- Payment need not be made for work which fails
to meet the standards of performance of a professional in the industry,
3. TERM
This term of this Agreement shall be for an initial three (3) year period, commencing on
August S, 2014, and ending on August 4, 2017, unless terminated earlier in accordance with
Section 12, below.
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 perforrns 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, Comprehensive General Liability Insurance, Contractor shall maintain
comprehensive general liability insurance naming the City, its officers, employees, agents,
volunteers and representatives as additional insured(s) and shall include, but not be limited to
protection against claims arising from bodily and personal injury, including death resulting
there fi-om and damage to property, resulting from any act or occurrence arising out of
Contractor's operations in the performance of this Agreement, including, without limitation,
acts involving vehicles. The amounts of insurance shall be not less than the following: single
limit coverage applying to bodily and personal injury, including death resulting there from,
and property damage, in the total amount of $2,000,000 per occurrence. Contractor shall
supply City with it fully executed additional insured endorsement on a farm approved by the
City Attorney at the time this Agreement is executed.
251 -4
b, Worker's Compensation Insurance. In accordance with the provisions of
Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to
be insured against liability for worker's compensation or to undertake self - insurance. Prior
to commencing 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,
C. Any person providing professional services pursuant to this Agreement
shall maintain Professional Liability (errors and omissions) insurance against medical
malpractice with a combined single limit of not less than $1,000,000 per claim.
d. The following requirements apply to the insurance to be provided by
Contractor pursuant to this section:
(i) Contractor shall maintain all insurance required above in full force and
effect for the entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of
this Agreement and shall be approved in form by the City Attorney.
(iii) Certificates and policies shall state that the policies shall not be canceled
or reduced in coverage or changed in any other material aspect without
thirty (3 0) days prior written notice to the City.
e. If Contractor fails or refuses to produce or maintain the insurance required by this
section or .fails or refuses to furnish the City with required proof that insurance has been procured
and is in force and paid for, the City shall have the right, at the City's election, to forthwith
terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its
time and materials expended prior to notification of termination. Contractor waives the right to
receive compensation and agrees to indemnify the City for any work performed prior to approval
of insurance by the City.
6. INDEMNIFICATION
Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents,
employees, Contractors, special counsel, and representatives from liability: (1) for personal
injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims
for personal injury, including health, and claims for property damage, which may arise from the
direct or indirect operations of the Contractor or its contractors, subcontractors, agents,
employees, or other persons acting on their behalf which relates to the services described in
section 1 of this Agreement; and (2) from any claim that personal injury, damages, just
compensation, restitution, judicial or equitable relief is due by reason of the terns of or effects
arising from this Agreement. This indemnity and hold hannless agreement applies to all claims
for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to
have been suffered, by reason of the events referred to in this Section or by reason of the terms
of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold
251 -5
harmless, and pay all costs for the defense of the City, including fees and costs for special
counsel to be selected by the City, regarding any action by a third party challenging the validity
of this Agreement, or asserting that personal injury, damages, just compensation, restitution,
judicial or equitable relief due to personal or property rights arises by reason of the terms of, or
effects arising from this Agreement. City may make all reasonable decisions with respect to its
representation in any legal proceeding.
CONFIDENTIALITY
If Contractor receives from the City information which due to the nature of such
information is reasonably understood to be confidential and /or proprietary, Contractor agrees that
it shall not use or disclose such information except in the performance of this Agreement, and
further agrees to exercise the same degree of care it uses to protect its own information of like
importance, but in no event less than reasonable care. "Confidential Information" shall include
all nonpublic information. Confidential information includes not only written information, but
also information transferred orally, visually, electronically, or by other means. Confidential
information disclosed to either party by any subsidiary and/or agent of the other party is covered
by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to
any information that (a) has been disclosed in publicly available sources; (b) is, through no fault
of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the
Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of
law; or (e) is independently developed by the Contractor without reference to information
disclosed by the City.
S. CONFLICT OF INTEREST CLAUSE
Contractor covenants that it presently has no interests and sball not acquire any interests,
direct or indirect, which would conflict in any manner with performance of services specified
under this Agreement. No persons having such interest shall be employed by or associated with
Contractor.
9. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other
telegraphic communication in the manner provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M -30)
P,O. Box '1988
Santa Ana, CA 92702 -1988
Fax (714) 647 -6956
251 -6
With courtesy copies to:
and
Director of Public Works Agency
City of Santa Ana
20 Civic Center Plaza
P.O. Box 1988
Santa Ana, California 92702
Fax (714) 647 -5635
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: J &G Industries, Inc.
18627 Brookhurst Street, PMB 302
Fountain Valley, California 92708
Fax (714) 903 -2003
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, any
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.
10. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Contractor, and supersedes any and all other agreements, oral or written, including the terms of
the RFP not specifically referenced in this Agreement, between the parties. In the event of a
conflict between the terms of this Agreement and any attachments hereto, the terms of this
Agreement shall prevail. This Agreement may not be modified except by written instrument
signed by the City and by an authorized representative of Contractor. The parties agree that any
terms or conditions of any purchase order or other instrument that are inconsistent with, or in
addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor the City.
Each party to this Agreement acknowledges that no representations, inducements, promises or
251 -7
agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any
party, which are not embodied herein.
11. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor,
Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement
shall be construed to limit the City's ability to have any of the services which are the subject to
this Agreement performed by City personnel or by other Contractors retained by City.
12. TERMINATION
This Agreement may be terminated by either party upon thirty (30) days written notice of
either party.
13. DISCRIMINATION
Contractor shall not discriminate because of race, color, creed, religion, sex, marital
status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited
by applicable law, in the recruitment, selection, training, utilization, promotion, termination or
other employment related activities. Contractor affinms that it is an equal opportunity employer
and shall comply with all applicable federal, state and local laws and regulations.
14. JURISDICTION - VENUE
This Agreement and all questions relating to its validity, interpretation, performance, and
enforcement shall be governed and construed in accordance with the laws of the State of
California. This Agreement has been executed and delivered in the State of California and the
validity, interpretation, performance, and enforcement of any of the clauses of this Agreement
shall be determined and governed by the laws of the State of California. Both parties further
agree that Orange County, California, shall be the venue for any action or proceeding that may
be brought or arise out of, in connection with or by reason of this Agreement.
15. RETENTION OF RECORDS
Consultant agrees to retain all records relating to this Agreement for a period of three (3)
years after City makes final payment.
16. CERTIFICATIONS
a. Audit Records - With respect to all matters covered by this agreement all records
shall be made available for audit and inspection by the City, the grant agency and/or their duly
authorized representatives if applicable for a period of three (3) years from the termination of
this Agreement. For a period of three years after final delivery hereunder or until all claims
251 -8
related to this Agreement are finally settled, whichever is later, Consultant shall preserve and
maintain all documents, papers and records relevant to the services provided in accordance with
this Agreement, including the Attachments hereto. For the same time period, Consultant shall
make said documents, papers and records available to City and the agency from which City
received grant funds or their duly authorized representative(s), for examination, copying, or
mechanical reproduction on or off the premises of Consultant, upon request during usual
working hours.
b. Consultant shall provide to City all records and information requested by City for
inclusion in quarterly reports and such other reports or records as City may be required to
provide to the agency from which City received grant funds or other persons or agencies.
c. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of
federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act).
Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives
assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be
excluded from the participation in, be denied the benefits of or be subject to discrimination,
including discrimination in employment, in any program or activity that receives or benefits from
federal financial assistance. The Consultant agrees it will ensure that requirements of The Act
shall be included in the agreements with and be binding on all of its contractors, subcontractors,
assignees or successors.
d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with
all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable.
e. Political Activity - None of the funds, materials, property, or services provided
directly or indirectly under this agreement shall be used for any partisan political activity, or to
further the election or defeat of any candidate for public office, or otherwise in violation of the
provisions of the "Hatch Act ".
L Civil Rights Compliance and Notification of Findings - Consultant will comply,
and all its contractors will comply, with the nondiscrimination requirements of the Omnibus
Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime
Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the
Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities
Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act
of 1975; Department of Justice Nou- Discrimination Regulations, 28 CFR Part 42, Subparts C, D,
E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and
39. In the event a Federal or State court, Federal or State administrative agency, or the Recipient
makes a finding of discrimination after a due process hearing on the grounds of race, color,
religion, national origin, sex, or disability against a recipient of funds, the Consultant will
forward a copy of the findings to City which will; in turn, submit the findings to the Office of
Civil Rights, Office of Justice Programs, U.S. Department of Justice.
g. Consultant will comply, and all its contractors will comply, with all
requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal
7
251 -9
Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as
supplemented in Department of Labor regulations (41 CFR Chapter 60), as applicable.
h. Consultant will comply, and all its contractors will comply, with all
requirements of the Copeland "Anti - Kickback" Act (18 U.S.C. 874) as supplemented in
Department of Labor regulations (29 CFR Part 3), as applicable.
i. Consultant will comply, and all its contractors will comply, with all
requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a -7) as supplemented by
Department of Labor regulations (29 CFR Part 5), as applicable.
j. Consultant will comply, and all its contractors will comply, with all
requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40
U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as
applicable,
k. Consultant will comply, and all its contractors will comply, with all applicable
standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C.
1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and
the Environmental Protection Agency regulations (40 CFR part 15), as applicable.
1. Consultant will comply, and all its contractors will comply, with all
requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Stat. 871), (53
CFR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as
applicable.
M. Consultant agrees that the Department of Homeland Security shall have the
authority to seek patent rights for any process, product, invention or discovery developed and
paid for with funding through this Agreement.
n. Consultant may copyright any books, publications or other copyrightable
materials developed in the course of or under this Agreement. However, the federal awarding
agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and
irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for
federal government, SAA and /or City purpose:
(1) the copyright in any work developed through this Agreement; and
(2) any rights of copyright to which the subcontractor purchases ownership with support
through this grant. The Federal government's, SAA's and City's rights identified
above must be conveyed to the publisher and the language of the publisher's release
form must ensure the preservation of these rights.
17. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the
power, authority and right to bind their respective parties to each of the terms of this Agreement,
251 -10
and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or
damages to City in the event that such authority or power is not, in fact, held by the signatory or is
withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully
set forth in the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and
year first above written.
ATTEST:
MARIA HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
gy4LC77GL
Laura A. Rossini
Senior Assistant City Attorney
RECOMMENDED FOR APPROVAL:
EDWIN WILLIAM GALVEZ, P.E.
Interim Executive Director of
Public Works Agency
CITY OF SANTA ANA
DAVID CAVAZOS
City Manager
CONTRACTOR
J &G Industries, Inc.
10
251 -11
James K. Cain
President
EXHIBIT A
io
251 -12
REQUEST FOR PROPOSALS (RFP)
FOR
2N-CALL DEMOLITION SERVICES
RFP NO.- 14 -026
City OF SANTA ANA
Santa Ana Public Works Department
20 Civic, Center Plaza
Santa Ana, C%A 52709'
Kenny Nguyen
Project Manager
(714) 6475532 Office
(7114) 647- 5636 Fax
KEY DATES:
Issue 4ate:
Letter of Intent:
Proposal Due Date:
Projected Award Date:
Deadline to receive questions or
Requests for Information:
FS 0312012014
Tuesday 5/6/2014
Thursday 5!1512014
Tuesday 5f2712014
Tuesday 7 /1/2014
Wednesday 5121/2094
City of Santa Ana RFP 14 -0726
Page 1
251 -13
Interim Executive Director
Public Works Agency
r. r
NOTICE INVITING PROPOSALS
NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for ON -CALL DEMOLITION
SERVICES.
Responses to this Request for Proposals (RFP) will be accepted until Tuesday, May 27, 2014 at 5:00 p.m.
Proposals received after this date /time will not be considered. It is the responsibility of the proposer to ensure
that any proposals submitted have sufficient time to be received by the City of Santa Ana prior to the proposal
due date and time.
All notifications, updates and addenda will be posted on the City's RFP Bid page at Santa- ana.oro /bids -rfps.
Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure
to respond to required updates may result in a determination of a nonresponsive proposal. Questions
regarding this Request for Proposals shall be made in writing via e-mail to the Project Manager as identified on
the cover of this RFP and per "Instructions To Proposers Section ILC ".
Proposals shall be enclosed in a sealed envelope and marked clearly with following information, formatted as
follows:
"SEALED PROPOSAL FOR
RFP NO. 14 -026 ON -CALL DEMOLITION SERVICES
IN THE CITY OF SANTA ANA
DO NOT OPEN WITH REGULAR MAIL."
City of Santa Ana
Attn.: Kenny Nguyen
Public Works Agency;
20 Civic Center Plaza; 3rd Floor, Ross Annex
Santa Ana, CA 92701
Proposals shall be MAILED, HAND DELIVERED, OR COURIERED,
LATE, TELEGRAPHIC, ELECTRONIC OR FACSIMILE PROPOSALS WILL NOT BE CONSIDERED.
DISADVANTAGED BUSINESS ENTERPRISE (DBE)
The City has established a DBE goal for this Contract of 11.82% (8.63% Race Neutral and 3.19% Race
Conscious).
LETTER OF INTENT
Interested firms shall submit a Letter of Intent of their pending proposal to the noted Project Manager by the
required date as shown on the cover page of this RFP. Letters shall be forwarded via certified mail or email
and shall include the following information:
1. Use formal company letterhead.
2. Indication of company interest in the RFP.
3. Acknowledgement of candidate's responsibility to monitor the City's website for any
amendments or modifications to the RFP.
4. Provision of correct, complete contact information.
City of Santa Ana RFP 14 -026
Page 2
251 -14
f
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON -CALL DEMOLITION SERVICES
RFP NO. 14 -026
TABLE OF CONTENTS
INTRODUCTION I DESCRIPTION OF WORK
II. INSTRUCTIONS TO PROPOSERS
A. CITY RESPONSIBILITIES
B. PROPOSER RESPONSIBILITIES
C. REQUEST FOR INFORMATION OR CLARIFICATION
D. ADDENDA
E. LICENSES & PERMITS
F, INSURANCE
G. INFORMATION PACKET
H. PRE - PROPOSAL MEETING
I. CITY RIGHT TO REJECT
J. BID PROTESTS
III. SUBMITTAL REQUIREMENTS
A. GENERAL
B. PROPOSAL CONTENTS
I. STATEMENT OF QUALIFICATIONS
II, FEE PROPOSAL
III. CERTIFICATIONS
IV. PROPOSAL REVIEW (CONTRACTOR SELECTION)
A. EVALUATION AND RATING
B. SELECTION
V. CONTRACTAWARD
A. REQUEST FOR COUNCIL ACTION
B. EXECUTION OF AGREEMENT
VI. IMPLEMENTATION
A. KICK -OFF MEETING
B. NOTICE TO PROCEED
VII. PUBLIC RECORDS
VIII. APPENDIX
EXHIBIT A:
SCOPE OF WORK
EXHIBIT B:
FEE COMAPRISON FORM
EXHIBIT C:
SAMPLE AGREEMENT
EXHIBIT D:
CERTIFICATIONS
EXHIBIT D:
FEDERAL REQUIREMENTS
City of Santa Ana RFF
Page 3
251 -15
6
p
INTRODUCTION / PROJECT DESCRIPTION
The City of Santa Ana is planning various capital Improvement program projects and Is soliciting
proposals from contractors to provide ON -CALL DEMOLITION SERVICES on an as- needed basis,
These projects include, but are not limited to: various phases of the Bristol Street, Grand Avenue,
and Warner Avenue Widening Projects.
From the proposals received, it is the City's goal to select one or two firms for these services. The
actual number of contractors to be selected will depend on the availability of qualified firms,
evidenced by the proposal process. The City will enter into separate agreements with each of
these firms for a not to exceed amount of $400,000 for each contract. Work will be assigned by
Contract Task Orders (CTO), As tasks are Identified, they will be distributed among these firms
based upon their ability to perform the required work within the project schedule and budget
constraints. The fee and a detailed scope of work will be outlined when a specific task is assigned
to a contractor. The City reserves the right to distribute the work in any manner which will best
serve the City's interests.
A detailed Scope of Work is attached herein as Exhibit A, as part of the Appendix.
INSTRUCTIONS TO PROPOSERS
A. CITY RESPONSIBILITIES
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.
B. PROPOSER RESPONSIBILITIES
Point of Contact: The selected proposer will assume responsibilities for all services in its
proposal. The selected proposer shall identify a sole point of contact with the greatest
knowledge in regard to the required service operations and contractual matters, including
payment of any and all charges resulting from the Agreement.
Evidence of Financial Capacity: Proposer may be requested to submit its most recent audited
financial statement, evidencing proposer's financial capacity to fully perform the required
services, including provision of equipment and personnel expenses over a ninety (90) day
period. If said financial statement does not reflect full ninety (90) day operational capacity,
proposer may include a letter of credit as evidence of supplemental capacity.
City of Santa Ana RFP 14 -028
Page 4
251 -16
Compliance With Requirements of Funding Aaencv: This contract may be funded through
various funding programs and Proposer shall comply with the requirements of all applicable
agencies Including, but not limited to Local, State, and Federal.
C. REQUEST FOR INFORMATION OR CLARIFICATION
All questions or requested clarifications shall be made in writing via e-mail to the Project
Manager (contact information as noted on the cover page to this RFP) no fewer than five (M
business days prior to the date and time set for opening of proposals. No verbal requests or
responses will be accepted. Significant interpretations or clarifications will be addressed via
addenda to this RFP.
D.ADDENDA
Any changes in RFP from the date of release to date of submittal will result in an addendum or
amendment. Notification of such addendum or amendment shall be posted on City's website,
Santa- ana.org /bids -rfps as set forth in the Notice Inviting Proposals. Addenda shall become part
of the agreement documents.
E. LICENSES & PERMITS
The selected proposer shall be required to obtain a City of Santa Ana Business license within
ten (10) business days of selection and must provide a copy to the City projects manager or
designee prior to commencing any work in Santa Ana.
Additionally, Proposer will be responsible for obtaining any licenses /permits required by the
Scope of Work, attached herein as Exhibit A, as part of the Appendix.
F. INSURANCE
The Selected Proposer shall provide the required evidence of insurance coverage as set forth in
the Scope of Work within ten (10) business days after receipt of notice that the contract has been
awarded. Failure to provide the required insurance certificates shall be cause for the annulment of
the award and the forfeiture of the proposal guaranty.
G. PAYMENT INFORMATION PACKET
The selected proposer shall return a completed payment information packet within ten (10)
business days after the successful proposer has received notice that the contract has been
awarded. The packet is available on the City's website: santa- ana.org /bids -rfig
H. CITY RIGHT TO REJECT
The City reserves the right to reject any or all proposals submitted and no representation is made
hereby that any contract will be awarded pursuant to this RFP or otherwise.
The City reserves the right to accept or reject the combined or separate components of this
proposal In part or in its entirety or to waive any minor inconsistency, informality or technical
defect in the proposal.
The City reserves the right to reject, replace and approve any and all subcontractors. All
subcontractor(s) shall be identified in the response to the RFP. Subcontractors shall be the
responsibility of the successful proposer and the City shall assume no liability of such
subcontractors.
City of Santa Ana RFP 14.026
Page 5
251 -17
I, BID PROTESTS
Proposers with concerns or rebuttal of any staff determination of non - responsiveness or non -
responsibility may submit, in writing within five (5) business days, to the Project Manager, any
concerns regarding the RFP process or staff determination. Such writing shall be considered by
the City Manager or his designated representative, and may be acted upon within five (5)
business days. If no action is taken within such time, there shall be no change to the staff
determination, The exercise by Proposer of its right to submit written concerns shall be a
condition precedent to seeking judicial review of any award of a contract hereunder.
III. SUBMITTAL REQUIREMENTS
A. GENERAL
Number of Conies and signature: Five (5) hard copies and one (1) digital file on USB Flash
Drive (or equivalent) of your Statement of Qualifications shall be signed by a company
official with the power to bind the company and submitted to the City of Santa Ana, per the
instructions above under "Notice Inviting Proposals ". One (1) copy of your Fee Proposal
shall be submitted, as outlined below.
Il. Deadline: Proposals are due to the City of Santa Ana, at the date, time, and location set
forth above in the Notice Inviting Proposals.
B. PROPOSAL CONTENTS
A responsive proposal shall contain the following documentation:
I. STATEMENT OF QUALIFICATIONS
The Statement of Qualifications shall be limited to a MAXIMUM of (10) DOUBLE -SIDED
PAGES (excluding front and back covers, section dividers and exhibits). Font size shall be
minimum 11 -pt. The page limitation includes all appendices, attachments, and supplemental
information.
Cover Letter — Proposals shall include a letter signed by a principal or authorized
representative who can make legally binding commitments for the entity.
Contract Agreement Statement: Proposal shall include a statement outlining your
concurrence or concerns with any and all provisions as contained in the sample
contract agreement attached herein as Exhibit B, as part of the Appendix.
Firm and Team Experience: Proposal shall Include a profile of the firm's experience.
Include resumes of project team /sub - Contractors who will be providing services, that
outline their technical and design experience. At a minimum, this should include the
project manager /principal agent, associates in charge when project manager /principal
agent is unavailable, key personnel, firm size, and an organization chart identifying
only those who will perform work for the proposed project and the percentage of each
Individual's time devoted to this project. The project manager /principal agent shall be
the primary contact person to represent your firm and will be the person to conduct the
presentation, if invited for an interview.
4. Understanding Of Need Statement: Proposal shall include a statement outlining the
firm's understanding of the scope of work, anticipated approach, suggestions or
special concerns that the City should be made aware of, and tasks you feel are
City of Santa Ana RFP 14 -026
Page 6
251 -18
necessary for successful completion. Identify any assumptions and /or exclusions used
in preparation of the scope of work and associated fee estimate.
5. Relevant Project Experience: Proposal shall include a list of projects which your firm or
personnel have completed within the last 5 years, including significant work with public
agencies. Project information should include project description, year completed, client
name, along with a person to contact and their telephone number,
6. References: Proposal shall include a listing of relevant projects, along with project
exhibits, and references for three public entities for which Proposer has performed
similar work within the past five (5) years.
/L FEE PROPOSAL:
Proposer's fee proposal shall be submitted concurrently with the technical proposal, but in a
separately sealed envelope, clearly labeled as "Fee Proposal ".
The fee proposal will not be opened until the proposals have been evaluated by the
proposal selection committee. The City will select the Contractor based on qualifications,
and then negotiate a contract price based on available funding.
Ill. CERTIFICATIONS:
The following forms shall be signed and included as part of the proposal submittal package:
• Exhibit C -1: Non - Collusion Affidavit
• Exhibit C-2: Non - Lobbying Certification
• Exhibit 10 -01 Contractor Proposal DBE Commitment
• Exhibit 10 -1 Notice to Proposers DBE information
IV. PROPOSAL REVIEW (CONTRACTOR SELECTION)
A. EVALUATION AND RATING
The criteria for evaluating the proposals submitted will take the following items into consideration:
• Firm /Team Experience 35%
• Understanding of Need 40%
• Relevant Project Experience 25%
The City has established a proposal review committee to evaluate proposers based on the
response to the RFP, which includes adherence to outlined directions and format, and the City
evaluation criteria set forth above. A final score will be calculated for each submitted proposal
and used to rank the proposers.
B. SELECTION
The committee may interview the top ranking proposers. The City will recommend award of the
contract to the proposer who will provide the best value to the City. City reserves the right to
begin negotiations and enter Into a contract without interview or further discussions.
City of Santa Ana RFP 14 ""
Page 7
251 -19
V. CONTRACT AWARD
A. REQUEST FOR COUNCIL ACTION
Following evaluation and rating by the proposal review committee, the Project Manager will
recommend award of a contract to the proposer providing the best value to the City.
B. EXECUTION OF AGREEMENT
A sample Agreement is attached herein as an Exhibit as part of the Appendix. "Proposer" will
hereinafter be referred to as "Contractor"
The Contractor shall include all requests to modify the attached sample agreement in the
proposal.
The term of the contract will begin after the contract agreement is fully executed, and all
required bonds, insurance documents and contents of the Information Packet have been
received and approved.
VI, IMPLEMENTATION
A. KICK -OFF MEETING
A kick -off meeting will be held after award of contract. Contractor and its team will meet with
City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation
process,
B. NOTICE TO PROCEED
Following kick -off meeting, a formal Notice to Proceed (NTP) will be issued to begin work. For
"On -Call" contracts, Contractor will be notified by individual City Project Managers on a case -by-
case basis to request project/task specific proposals. Written NTPs will be then issued
accordingly,
VII. PUBLIC RECORDS
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.
Proposals will become public record after award of contract. Proposer information identified as
proprietary information shall be maintained confidential, to the extent allowed under the California
Public Records Act.
City of Santa Ana RFP 14-026-
Page 8
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APPENDIX
EXHIBIT A
SCOPE OF WORK
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON -CALL DEMOLITION SERVICES
RFP NO.: 14 -026
SCOPE OF WORT(
Contractor is responsible for the payment of ail applicable permits required by the City of Santa Ana
Contractor is responsible for demolishing all improvements, including but not limited to: foundations
and footings, slabs, basement, detached garage and all landscaping. Contractor is also responsible
for clearing the site, grading the parcel for drainage, importing and exporting fill dirt as needed,
capping all water and sewer lines, and compacting to 90% density. Prior to submitting all on -call
proposals, the Contractor shall visit the subject project site (including coordinating with the City for
access inside the building) and obtain any necessary asbuilts to define an appropriate scope of work.
All work is to be done in accordance with all applicable federal, state and local regulations, standards
and codes governing demolition and any other trade work done in conjunction with the demolition,
Copies of all demolition permits, water and sewer cap inspection approval and a letter of completion
should be submitted for City's files prior to the Contractor receiving payment.
The Contractor shall supply all necessary labor, materials, services, insurance, permits, and
equipment to carry out the work in accordance with all applicable federal, state, and local regulations.
The Contractor at all times shall keep the Project site free from accumulation of waste materials or
rubbish caused by the Contractor's operations, At the completion of each trade of the work, and at
final completion prior to contractor submitting the final invoice, Contractor shall remove all waste
materials, and rubbish from and about the project as well as tools, construction equipment,
machinery, and surplus materials.
Asbestos Abatement:
The work described herein consists of removal and disposal of ALL asbestos containing materials
(ACM - friable or nonfriable) and subsequent cleaning of the sites in accordance with all applicable
federal, state and local regulations, standards and codes governing asbestos and any other trade
work done in conjunction with the abatement. Results of any testing that identify asbestos containing
materials will be provided by the City, It is the responsibility of the Contractor to determine if any
additional asbestos removal is required in addition to the surveys.
Copies of all notifications must be submitted to City including, abatement contractor's license, map
and /or clear documentation specifying asbestos containing materials abated; completed waste
manifests; and a completion letter indicating that all asbestos containing materials from these
properties have been abated and properties are ready to be demolished.
City of Santa Ana RFP 14.026
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Lead Removal:
The Contractor shall take all necessary precautions and follow all Occupational Safety & Health
Adminlstration (OSHA')s guidelines required in the handling of lead contained materials if any are
detected. Please refer to the Lead Hazard Evaluation Report which will be provided to the Contractor
prior to on -call bid,
Rat and /or Vermin Abatement:
Contractor, prior to performing demolition, is responsible for providing rat and /or vermin abatement.
As part of the demolition completion package, written certification will be provided to the City, stating
that such work was performed, and that the structures were free of infestation prior to the demolition
taking place.
Erosion Control:
Contractor shall prepare erosion and sediment control plan immediately after award of the contract for
the approval of the Engineer. The plan shall be prepared per the applicable guidelines described in
the latest version of the Orange County Program Construction Runoff Guidance Manual
(http: / /ocwatersheds.com/ documents /bmo /constructionactivities). The Contractor shall submit the
plans for review and shall make the necessary revisions to the plans as directed by the City. The
plans shall be prepared by a Civil Engineer licensed in the State of California. The City may waive the
requirement of licensed Civil Engineer if the Contractor can satisfactorily prove to the City that the
person preparing the erosion control plan is qualified in the field of erosion control.
The Contractor shall keep a copy of the erosion control plan on -site for the duration of the contract
and shall provide all necessary control devices to implement all necessary measures as shown on the
plan. The erosion control plan shall remain in effect until approval to remove is granted by the City.
All erosion control materials shall be available on -site and stockpiled at a convenient location to
facilitate rapid construction of temporary devices when rain is eminent.
City of Santa Ana RFP 'I4-026
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APPENDIX
EXHIBIT B
ON -CALL DEMOLITION SERVICES Comparison Form
ON -CALL DEMOLITION SERVICES COMPARISON FORM
Contractor shall complete this form as described below and submit in a sealed fee envelope, This
comparison is based upon ON -CALL DEMOLITION SERVICES required for the sample subject
project site described below, This form will be used for flee comparison purposes only.
�Y11111x��i1�111��i����� ►]_�Yy:71��N7►F
One story commercial structure. The building is Reinforced Concrete Masonry Unit (CMU)
construction with the following approximate dimensions:
Finished office /retail area: 435 sf
Finished shop area: 1.615 sf
Total Building Area: 2,250 sf
- Total Land Area: 6,250 sf
Contractor is responsible for demolishing all improvements, including: 4" thick concrete slab
foundation and footings to a depth of 3', asphalt concrete parking lots and all surrounding
landscaping. Contractor is also responsible for clearing the site, grading the parcel for drainage,
capping all sewer lines, and compacting to 90% density. Erosion control to include importing and
exporting fill dirt as needed, installing straw waddles around site perimeter, topping site with 1" base
course to prevent wind erosion, and installing rumble plates for the duration of the demolition.
Please refer to Attachment 1 for site reference and photos.
Price provided below shall be based solely on the information provided hereon and shall be an all -
inclusive price and shall include all items listed and cover all items or work identified above to deliver
a clear site with no remaining improvements.
Item Description
Total Cost
Permitting *
11,500
Engineering
$
Site Fencing
$
Canopy BMP's /Erosion Control Plan
$
Asbestos /Hazardous Abatement
$
1,000
Interior Demolition
$
Exterior Wall/Building/Foundation Demolition
$
Sitework Demolition
$
Vermin Abatement
$
Total Price
$
* Assumed Prices of Asbestos /Hazardous Abatement and Permitting Costs. There is no lead
removal for this sample project site.
Page 11
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Attachment 1
Billboard has already been removed. Do not include in cost proposal.
City of Santa Ana RFP 14 -028
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Attachment 1
�^ mTM_City of Santa Ana WW i4-026
Page 13
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dir:n.a^
iiiao'�i
� -;:
City of Santa Ana RFP 14-026
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APPENDIX
EXHIBIT C
SAMPLE AGREEMENT
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
TITLE
RFP NO.; XX•XXX
THIS AGREEMENT, made and entered Into this day of , 20_ by and between
(hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and
existing under the Constitution and laws of the State of California (hereinafter "City ").
RECITALS
1. The City desires to retain a Consultant having special skill and knowledge in the field of
2. Consultant represents that Consultant is able and willing to provide such services to the City and is
licensed by the State of California to provide
3. In undertakng the performance of this Agreement, Consultant represents that it is knowledgeable in its
field and that any services performed by Consultant under this Agreement will be performed in
compliance with such standards as may reasonably be expected from a professional firm.
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:
SCOPE OF SERVICES
Consultant shall provide services, as set forth in the, Scope of Services attached hereto as
Exhibit A, and incorporated by this reference. Said services shall be provided on an on -call basis, at
the written request of the Executive Director of Public Works.
II. DEFINITIONS if any)
III. TERMS AND CONDITIONS
A. OWNERSHIP OF REPORTS AND DOCUMENTS
Upon completion of all work under this Agreement, ownership and title to all reports, documents,
tracings, plans, specifications, estimates and maps prepared or obtained under the terms of this
Agreement shall be delivered to, and become the property of City. Basic survey notes and
sketches, charts, computations, and other data prepared or obtained pursuant to this Agreement
shall be made available upon request of the City without restriction or limitation on their use.
Contractor shall furnish the City all necessary copies of data needed to complete the review and
approval process.
B. TERM
The term of this Agreement shall commence the date of City Council award and approval of all
insurance and bonds, and terminate MONTH, DAY, YEAR, unless earlier terminated as set forth
in Section H, below. City is hereby granted an option to renew for up to ( #) additional
( #) - year periods on the terms and conditions set forth herein. Said options shall be
City of Santa Ana RFP 14 -026
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exercised in writing executed by the City Manager, at least thirty (30) days prior to the end of the
initial term or any extension thereof.
C. COMPENSATION
City agrees to pay and Consultant agrees to accept as total payment for its services, the
rates and charges set forth in Consultant's proposal, attached hereto and incorporated
by reference. The amount to be expended for services shall not exceed
($) annually during the term of this agreement.
2. Invoices
a. The Consultant shall submit a monthly invoice by the fifteenth of the month to the
City for the services rendered in the prior month.
b, All invoices for work performed under this Agreement shall be submitted in a format
approved by the City. Invoices shall include the following Information at a minimum:
I. Consultant's invoice number
fl. Beginning and ending dates for services
iii. City project number and /or name (if applicable)
iv. Work site address /location (if applicable)
V. Tasks or deliverables completed, and % of total services completed
3. Payment by City shall be made within sixty (60) days following receipt of proper invoice,
subject to City accounting procedures. Payment need not be made for work which fails to
meet the standards of performance of a professional parking control enforcement services.
4. Retention: City shall retain ten (10 %) of the contract price for each project until the
completed Project has been accepted and deliverables received by the City. Payment
need not be made for work which fails to meet the standards of performance of a
professional parking control enforcement services."
5. Extra Work
No additional work shall be authorized unless a separate estimate is given for said work
and the estimate is approved by the City in writing before the work is commenced. The
Consultant will be required to provide detailed information of such extra work. Work
performed prior to obtaining written approval of the City shall not be included within the
Scope of Work and may not be paid.
D. INDEPENDENT CONTRACTOR
Consultant shall during the entire term of this Agreement, be construed to be an independent
contractor and not an employee of the City. This Agreement Is not intended nor shall it be
construed to create an employer- employee relationship, a joint venture relationship, or to allow
the City to exercise discretion or control over the manner in which Consultant performs the
services required by this Agreement. However, the services to be provided by Consultant shall
be provided in a manner consistent with all applicable standards and regulations governing such
services. Consultant shall pay all salaries and wages, employer's Social Security taxes,
unemployment insurance, and similar taxes relating to employees and shall be responsible for
all applicable withholding taxes.
City of Santa Ana RFP 14 -026
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E. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and
shall require its subcontractors, if any, to obtain and maintain insurance as described below:
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 there from 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 One Million Dollars ($1,000,000) per occurrence, Two
Million Dollars ($2,000,000) in the aggregate. Such insurance shall (a) name the City,
its officers, employees, agents, volunteers, and representatives as additional insured(s);
(b) be primary and not contributory with respect to insurance or self- insurance programs
maintained by the City; and (c) contain standard separation of insureds provisions.
Business Automobile Liability Insurance, or equivalent form, with a combined single limit
of not less than One Million Dollars ($1,000,000) 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, Consultant is required to be insured against liability for Workers'
Compensation or to undertake self- insurance. Prior to commencing the performance of
the work under this Agreement, Consultant agrees to obtain and maintain any
employer's liability insurance with limits not less than One Million Dollars ($1,000,000)
per accident.
Professional Liability Insurance: If Consultant is or employs a licensed professional such
as an architect or engineer, Consultant is required to carry Professional Liability (errors
and omissions) insurance, with a combined single limit of not less than One Million
Dollars ($1,000,000) per claim.
5. The following requirements apply to the insurance to be provided by Consultant pursuant
to this section:
a. Consultant 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
Agreement and shall be approved in form by the City Attorney.
G. 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.
6. If Consultant fails or refuses to produce or maintain the insurance required by this
section or fails or refuses to furnish the City with required proof that insurance has been
procured and is in force and paid for, the City shall have the right, at the City's election,
to forthwith terminate this Agreement, Such termination shall not affect Consultant's
right to be paid for its time and materials expended prior to notification of termination.
Consultant waives the right to receive compensation and agrees to indemnify the City for
any work performed prior to approval of insurance by the City.
City of Santa Ana RFP 14 -028
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F. HOLD HARMLESS/ INDEMNIFICATION
To the fullest extent permitted by law, Consultant 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 related (directly or Indirectly) to
any work performed or services provided under this Agreement (including, without limitation,
defects in workmanship and /or materials) or Consultant's presence or activities conducted
performing the work (including the negligent and /or willful acts, errors and /or omissions of
Consultant, 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 Consultant to indemnify the indemnified parties from any claim arising from
the sole negligence or willful misconduct of the indemnified parties. 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
Consultant.
G. 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, sent by telefacsimile communication, or via e-mail to the
following persons:
To City: Clerk of the Council
City of Santa Ana
20 Civic Center Plaza (M -30)
Santa Ana, CA 92701
Fax 714- 647 -6956
With courtesy copy to: Public Works Agency— (Division)
To Consultant:
H. TERMINATION
The City reserves the right to terminate the Agreement as follows:
1. This agreement may be terminated without cause by City upon thirty (30) days written
notice delivered to the Consultant either personally or by mail. Upon termination, City
shall pay to Consultant that portion of compensation specified in the agreement that is
earned and unpaid prior to the effective date of termination.
2. In addition to, or in lieu of, remedies provided in this agreement or pursuant to law, City
shall have the right to withhold all or a portion of Consultant's compensation for
Agreement services if, in the judgment of the projects manager or designee, the level of
service falls below appropriate standards and /or Consultant fails to satisfactorily perform
Agreement services. City shall have the right to retain funds withheld until the projects
manager or designee determines that Agreement services are performed as well and as
frequently as required by this agreement.
City of Santa Ana RFP 14 -026
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1. Consultant shall perform all requirements under this Agreement 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. Consultant warrants that the performance of services under this Agreement shall be
compliant with the current requirements of the (particular relevant statutes and /or
regulations) and as it may be amended or updated throughout the term of this Agreement.
3. Consultant certifies that it shall comply with the following regulations, as required by the
(funding agency):
Audit Records - With respect to all matters covered by this agreement all records
shall be made available for audit and inspection by the City, the grant agency
and /or their duly authorized representatives for a period of four (4) years from the
termination of this Agreement. For a period of three years after final delivery
hereunder or until all claims related to this Agreement are finally settled,
whichever is later, Consultant shall preserve and maintain all documents, papers
and records relevant to the services provided in accordance with this Agreement,
including the Attachments hereto. For the same time period, Consultant shall
make said documents, papers and records available to City and the agency from
which City received grant funds or their duly authorized representative(s), for
examination, copying, or mechanical reproduction on or off the premises of
Consultant, upon request during usual working hours.
b. Consultant shall provide to City all records and information requested by City for
inclusion in quarterly reports and such other reports or records as City may be
required to provide to the agency from which City received grant funds or other
persons or agencies.
c. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of
federal funds must comply with Section 504 of the Rehabilitation Act of 1973
(The Act). Therefore, the federal funds recipient pursuant to the requirements of
The Act hereby gives assurance that no otherwise qualified handicapped person
shall, solely by reason of handicap be excluded from the participation in, be
denied the benefits of or be subject to discrimination, including discrimination in
employment, in any program or activity that receives or benefits from federal
financial assistance. The Consultant agrees it will ensure that requirements of
The Act shall be included in the agreements with and be binding on all of its
contractors, subcontractors, assignees or successors.
d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all
requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable.
e. Political Activity - None of the funds, materials, property, or services provided
directly or indirectly under this agreement shall be used for any partisan political
activity, or to further the election or defeat of any candidate for public office, or
otherwise in violation of the provisions of the "Hatch Act ".
City of Santa Ana RFP 14 -026
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f.. Civil Rights Compliance and Notification of Findings - Consultant, and all its
contractors (or subrecipients) will comply, with the nondiscrimination
requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as
amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of
the Civil Rights At of 1964, as amended; Section 504 of the Rehabilitation Act of
1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act
(ADA) (1990); Title IX of the Education Amendments of 1972; the Age
Discrimination Act of 1975; Department of Justice Non - Discrimination
Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of
Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the
event a Federal or State court, Federal or State administrative agency, or the
Consultant makes a finding of discrimination after a due process hearing on the
grounds of race, color, religion, national origin, sex, or disability against a
recipient of funds, the Consultant will forward a copy of the findings to the City
which will, in turn, submit the findings to the Office of Civil Rights, Office of
Justice Programs, U.S. Department of Justice.
g. Consultant, and all its contractors (or subrecipients) will comply, with all
requirements of the Executive Order 11246 of September 24, 1965, entitled
"Equal Employment Opportunity," as amended by Executive Order 11375 of
October 13, 1967, and as supplemented in Department of Labor regulations (41
CFR chapter 60), as applicable.
h. Consultant, and
all its contractors (or
subrecipients)
will
comply, with
all
requirements of
the Copeland "Anti- Kickback"
Act
(18
U.S.C. 874)
as
supplemented in
Department of Labor
regulations
(29 CFR Part 3),
as
applicable.
I. Consultant, and
all its contractors (or
subrecipients)
will
comply, with
all
requirements of
the Davis -Bacon Act
(40 U.S.C.
276a
to 276a -7)
as
supplemented by Department of Labor
regulations
(29 CFR Part 5),
as
applicable.
j. Consultant, and all its contractors (or subrecipients) will comply, with all
requirements of Sections 103 and 107 of the Contract Work and Safety
Standards Act (40 U.S,C, 327 -330) as supplemented by Department of Labor
regulations (29 CFR Part 5), as applicable.
k. Consultant, and all its contractors (or subrecipients) will comply, with all
applicable standards, orders or requirements issued under Section 306 of the
Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33
U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency
regulations (40 CFR part 15), as applicable.
I. Consultant, and all its contractors (or subrecipients) will comply, with all
requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89
Stat. 871), (53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639,
19645, Apr. 19, 1995), as applicable.
M. Consultant agrees that the (funding Agency) shall have the authority to seek
patent rights for any process, product, invention or discovery developed and
paid for with funding through this Agreement.
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n. Consultant may copyright any books, publications or other copyrightable
materials developed in the course of or under this Agreement. However, the
federal awarding agency, State Administrative Agency (SAA) and City reserve a
royalty -free, non - exclusive, and Irrevocable license to reproduce, publish or
otherwise use, and to authorize others to use, for federal government, SAA
and /or City purpose:
(1) the copyright in any work developed through this Agreement; and
(ii) any rights of copyright to which the subcontractor purchases ownership with
support through this grant. The Federal government's, SAA's and City's
rights identified above must be conveyed to the publisher and the language of
the publisher's release form must ensure the preservation of these rights.
N. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant,
Consultant may not assign, transfer, delegate or subcontract any interest herein without the
prior written consent of City and any such assignment, transfer, delegation or subcontract
without the City's prior written consent shall be considered null and void.
O. 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.
P. FINES
The Consultant shall be liable for all violation fines levied against the City by federal, state, or
local agencies with regulatory authority related to Consultant provided services.
Q, 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.
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IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
SONIA CARVALHO
City Attorney
By:
Jose Sandoval
Assistant City Attorney
RECOMMENDED FOR APPROVAL:
Edwin "Wiliam" Galvez
Interim Executive Director
Public Works Agency
CITY OF SANTA ANA
DAVID CAVAZOS
City Manager
CONTRACTOR
City of Santa Ana RFP 14 -026
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APPENDIX
EXHIBIT D -1: NON-COLLUSION AFFIDAVIT
CERTIFICATIONS
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON -CALL DEMOLITION SERVICES
RFP NO.: 14.026
NON - COLLUSION AFFIDAVIT
(Title 23 United States Code Section 112 and
Public Contract Code Section 7106)
To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS
In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares
that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company,
association, organization, or corporation; that the bid Is genuine and not collusive or sham; that the BIDDER has
not directly or Indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or
indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that
anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by
agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix
any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage
against the public body awarding the contract of anyone interested in the proposed contract; that all statements
contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid
price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid,
and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to
any member or agent thereof to effectuate a collusive or sham bid.
Note: The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature
portion thereof shall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that
making a false certification may subject the certifier to criminal prosecution.
Signed
State of California
County of
Subscribed and sworn to (or affirmed) before me on this _ day of , 20 , by
, proved to me on the basis of satisfactory evidence to be the person(s) who
appeared before me.
Notary Public Signature Notary Public Seal
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE,
City of Santa Ana RFP 14 -026
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APPENDIX
EXHIBIT 11i NON-LOBBYING CERTIFICATION
CERTIFICATIONS
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON -CALL DEMOLITION SERVICES
RFP NO.: 14.026
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of any federal agency,
a Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any federal contract, the making of any federal grant,
the making of any federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any federal contract, grant, loan, or
cooperative agreement.
2. If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence any officer or employee of any federal agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned
shall complete and submit a "Disclosure of Lobbying Activities ".
This certification is a material representation of fact upon which reliance was placed when this transaction was
made or entered Into. Submission of this certification is a prerequisite for making or entering Into this transaction
imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the
language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such
sub recipients shall certify and disclose accordingly.
Firm
Signed and Printed Name:
ON -CALL
Date
DEMOLITION
SERVICES
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
_ _.. City of Santa Ana RFP 14 -D26
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APPENDIX
EXHIBIT E: FEDERAL REQUIREMENTS
mmmm City of Santa Ana RFP 14 -026
Page 26
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Local Assistance Procedures Manual EXHBIT 10 -I
Notice to Proposers DBE Information
EXHIBIT 10 -I NOTICE TO PROPOSERS DBE INFORMATION
The Agency has established a DBE goal for this Contract of. 11.82% (8.63% Race Neutral and 3.19% Race Conscious
1. TERMS AS USED IN THIS DOCUMENT
• The term "Disadvantaged Business Enterprise" or "DBE" means a for - profit small business concern
owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49,
Code of Federal Regulations (CFR), Part 26.5.
• The term "Agreement" also means "Contract."
• Agency also means the local entity entering into this contract with the Contractor or Consultant.
• The term "Small Business" or "SB" is as defined in 49 CFR 26.65.
2. AUTHORITY AND RESPONSIBILITY
A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts
financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged
Business Enterprises in Department of Transportation Financial Assistance Programs"), The Consultant
must ensure that DBEs and other small businesses have the opportunity to participate in the performance
of the work that is the subject of this solicitation and should take all necessary and reasonable steps for
this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in
the award and performance of subcontracts.
B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs.
3. SUBMISSION OF DBE INFORMATION
If there is a DBE goal on the contract, Exhibit 10 -01 Consultant Proposal DBE Commitment must be
included in the Request for Proposal. In order for a proposer to be considered responsible and responsive, the
proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the
proposer must document adequate good faith efforts. All DBE participation will be counted towards the
contract goal; therefore, all DBE participation shall be collected and reported.
Exhibit 10 -02 Consultant Contract DBE Information must be included with the Request for Proposal. Even if
no DBE participation will be reported, the successful proposer must execute and return the form.
4. DBE PARTICIPATION GENERAL INFORMATION
It is the proposer's responsibility to be, fully informed regarding the requirements of 49 CPR, Part 26, and the
Department's DBE program developed pursuant to the regulations. Particular attention is directed to the
following:
A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the
California Unified Certification Program (CUCP).
LPP 13 -01
251 -39
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May 8, 2013
Local Assistance Procedures Manual EXHBIT 10 -I
Notice to Proposers DBE Information
B. A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor
of material or supplies, or as a trucking company.
C. A DBE proposer not proposing as a joint venture with a non -DBE, will be required to document one or a
combination of the following:
1. The proposer is a DBE and will meet the goal by performing work with its own forces.
2. The proposer will meet the goal through work performed by DBE subconsultants, suppliers or
trucking companies.
3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal.
D. A DBE joint venture partner must be responsible for specific contract items of work or clearly defined
portions thereof. Responsibility means actually performing, managing, and supervising the work with its
own forces. The DBE joint venture partner must share in the capital contribution, control, management,
risks and profits of the joint venture commensurate with its ownership interest.
E. A DBE must perform a commercially useful function pursuant to 49 CPR 26.55, that is, a DBE firm
must be responsible for the execution of a distinct element of the work and must carry out its
responsibility by actually performing, managing and supervising the work.
F. The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all
DBE subconsultants should be listed in the bid /cost proposal list of subconsultants.
G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the
DBE participation except that portion of the work to be performed by non -DBE subconsultants.
5. RESOURCES
A. The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP. If
you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of
Certification toll free number 1 -866 -810 -6346 for assistance.
B. Access the CUCP database from the Department of Transportation, Office of Business and Economic
Opportunity Web site at: http: / /www.dot.ca.gov/hq/bep /.
I. Click on the link in the left menu titled Dtsadvantaeed Business Enterprise;
2. Click on Search for a DBE Firm link,
3. Click on Access to the DBE Query Form located on the first line in the center of the page.
Searches can be performed by one or more criteria. Follow instructions on the screen.
6. MATERIALS OR SUPPLIES PURCHASED FROM DBCS COUNT TOWARDS THE DBE GOAL UNDER THE
FOLLOWING CONDITIONS:
A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the
materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment
that produces on the premises the materials, supplies, articles, or equipment required under the Contract
and of the general character described by the specifications.
B, If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the
materials or supplies. A DBE regular dealer is a Finn that owns, operates or maintains a store, warehouse,
or other establishment in which the materials, supplies, articles or equipment of the general character
described by the specifications and required under the Contract are bought, kept in stock, and regularly
sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be
an established, regular business that engages, as its principal business and under its own name, in the
Page 2 of 3
LPP 13 -01 May S, 2013
251 -40
Local Assistance Procedures Manual EXHBTT 10 -I
Notice to Proposers DBE Information
purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk
items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or
maintaining a place of business provided in this section.
C. If the person both owns and operates distribution equipment for the products, any supplementing of
regular dealers' own distribution equipment shall be, by a long -term lease agreement and not an ad hoc or
Agreement -by- Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons
who arrange or expedite transactions are not DBE regular dealers within the meaning of this section,
D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be
limited to the entire amount of fees or commissions charged for assistance in the procurement of the
materials and supplies, or fees or transportation charges for the delivery of materials or supplies required
on the job site, provided the fees are reasonable and not excessive as compared with fees cbarged for
similar services.
LPP 13 -01
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Page 3 of 3
May S, 2013
Local Assistance Procedures Manual EXHIBIT 10 -01
Consultant Proposal DBE Commitment
EXHIBIT 10 -01 CONSULTANT PROPOSAL DBE COMMITMENT
(Inclusive of all DBEs listed at bid proposal. Refer to instructions on the reverse side of this form)
Consultaiiit to ConipJete, tfiis .Section.
1. Local Agency Name:
2. Project Location:_,
3. Project Description:.
4. Consultant Name:
S. Contract DBE Goal %:
DBE Commitment Information
—r
6. Description of Services to be Provided 1 7. DBE Finn 1 8. DBFceW.--7 9. DB8 °% 1
16, Local Agency Contract Number:
17, Federal -aid Project Number
18, Proposed Conant Execution Date:
Local Agency certifies that all DBE certifications are valid and the
information on this form is complete and accurate:
11. Preparer's Signature
11 Preparer's Name (Print)
19, Local Agency Representative Name (Print)
20. Local Agency Representative Signature 21. Date
22, Local Agency Representative Title 23, (Area Cade) Tel. No.
13. Preparer's Title
14. Date 15. (Area Code) Tel. No,
Distribution: (1) Original — Consultant submits to local agency with proposal
(2) Copy — Local Agency tiles
Page I of 2
LPP 13 -01 May 8, 2013
251 -42
Local Assistance Procedures Manual EXHIBIT 10.01
Consultant Proposal DBE Commitment
INSTRUCTIONS - CONSULTANT PROPOSAL DBE COMMITMENT
Consultant Section
The Consultant shall:
1. Local Agency Name— Enter the name of the local or regional agency that is funding the contract.
2. Project Location -Enter the project location as it appears on the project advertisement.
3. Project Description -Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab,
Overlay, Widening, etc.).
4. Consultant Name - Enter the consultant's firm name.
5. Contract DBE Goal % - Enter the contract DBE goal percentage, as it was reported on the Exhibit 10 -I Ar.Hae to Proposers
DBE Information form. See LAPM Chapter 10.
6. Description of Services to be Provided - Enter item of work description of services to be provided. Indicate all work to be
performed by DBEs including work performed by the prime consultant's own forces, if the prime is a DBE. If 100% of the item
is not to be performed or Furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM
Chapter 9 to determine how to count the participation of DBE firms.
7. DBE Firm Contact Information - Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the
prime consultant's name and telephone number, if the prime is a DBE.
8. DBE Cent. Number - Enter the DBEs Certification Identification Number, All DBEs must be certified on the data bids are
opened. (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their
status should change during the course of the contract.)
9. .DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if die prime
is a DBE. See LAPM Chapter 9 for how to count full/partial participation.
10. Total % Claimed —Enter the total DBE participation claimed. If the Total % Claimed is less than item "6. Contract DBE Goal"
an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15 -1-1 DBE Information - Good Faith Fffoets of the
LAPM).
11. Preparer's Signature — The person completing this section of the form for the consultant's firm must sign their name.
12. Preparer's Name (Print) -- Clearly enter the name of the person signing this section of the form for tho consultant.
13, Preparer's Title - Enter the position /title of the person signing this section of the form for the consultant.
14. Date - Enter the date this section of the form is signed by the preparer.
15. (Area Code) Tel. No. - Enter the area code and telephone number of the person signing this section of the form for the
consultant.
Local Agency Section:
The Local Agency representative shall;
16. Local Agency Contract Number - Enter the Local Agency Contract Number.
17. Federal -Aid Project Number - Enter the Federal -Aid Project Number.
18. Contract Execution Date - Enter date the contract was executed and Notice to Proceed issued. See LAPM Chapter 10, page 23.
19. Local Agency Representative Name (Print) - Clearly enter the name of the person completing this section.
20. Local Agency Representative Signature - The person completing this section of the farm for the Local Agency must sign their
name to certify that the information in this and the Consultant Section of this form is complete and accurate.
21. Date - Enter the date the Local Agency Representative signs the form.
22, Local Agency Representative Title - Enter the position /title of the person signing this section of the form.
23. (Area Code) Tel. No. - Enter the area code and telephone number of the Local Agency representative signing this section of the
form.
LPP 13.01
251 -43
Page 2 of 2
May 8, 2013
Local Assistance Procedures Manual
EXHIBIT 10 -02
Consultant Contract DBE Information
EXHIBIT 10 -02 CONSULTANT CONTRACT DBE INFORMATION
(Inclusive of all DE Es listed at contract award. Refer to instructions on the reverse side of this form)
Consultant to Complcte'this Section
t. Local Agency Name:
2. Project Location:
3. Project Description:
4. Total Contract Award Amount: $
5. Consultant Name:
6. Contract DBB Goal %:
7. Total Dollar Amount For all Subconsultants: $
S. Total Number of all Subconsultants:
Award DBE /DBE Information
9. Description of Services to be Provided
10. DBE/DBB Finn
11. DBE Cen.
12. DBE Dollar
Contact Information
Number
Amount
Ldcal Agoncy to Ct uaplet0 this'secGan
is
1 I
Do
20. Local Agency Contract Number:
21. Pedeml -aid Project Number:
22. Contract execution Date;
Clauned
Local Agency certifies that all DBE certifications are valid and the
information on this form is complete and accurate:
a Y c <t iYl Std t,
' � 3
I 3! NS 15 '1 1�i f fF,
a rr }
23. Local Agency Representative Name (Print)
24. Local Agency Representative Siguature 25. Date
26. Local Agency Representative Title 27. (Area Code) Tel. No,
15. preparer's Signahue
16. Preparer's Name (Print)
Gtllfrans ko Con¢ `lets this Seetlon
C¢Itrans District Local Assistance Engineer (DLAE) certifies that this form
17. Preparer's Title
has been reviewed for completeness:
78. Date 19. (Area Code) Tat. No
28. DLAE Name (Print) 29. DLAE Signature 30. Date
Distribution: (1) Copy — Email a copy to the Caltrans District Local Assistance Engineer (DLAE) within 30 days of contractawar'd, Failure to send a
copy to the DLAE within 30 days of contact award may result in delay of payment.
(2) Copy — Include in award package sent to Caltmns DLAE
(3) Original — Local agency files
LPP 1301
251 -44
Page I of 2
May S, 2013
Local Assistance Procedures Manual EXHIBIT 10 -02
Consultant Contract DBE Information
INSTRUCTIONS - CONSULTANT CONTRACT AWARD DBE INFORMATION
Consultant Section
The Consultant shall.,
1. Local Agency Name - Enter the name of the local or regional agency that is funding the contract.
2, Project Location - Enter the project location as it appears on the project advertisement.
3. Project Description - Enter the project description as it appears on die project advertisement (Bridge Rehab, Seismic Rehab,
Overlay, Widening, etc).
4. Total Contract Award Amount - Enter the total contract award dollar amount for the prone consultant,
5. Consultant Name - Enter the consultant's firm name.
6. Contract DBE Goal % - Enter the contract DBE goal percentage, as it was reported on the Exhibit 10.1 Notice to Proposers
DBE Information form. See LAPM Chapter 10.
7. Total Dollar Amount for all Subconsultants- Enter the total dollar amount' for all subcontracted consultants. SUM = (DBE's+
all Non - DBE's). Do not include the prime consultant information in this count.
8. Total number ofall subeonsultants - Enter the total number of all subcontracted consultants. SLIM = (DBE's + all Non.
DBE's). Do not include the prime consultant information in this count.
9. Description of services to be Provided - Enter item of work description of services to be provided, indicate all work to be
performed by DBEs including work performed by die prime consultant's own forces, if the prime is a DBE. If 100% of the item
is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM
Chapter 9 to determine how to count the participation of DBE firms.
10. DBE Firm Contact Information - Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the
prime consultant's name acrd telephone number, if the prime is a DBE.
11, DBE Cert. Number - Enter the DBE's Certification Identification Number. All DBEs most be certified on the date bids are
opened. (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their
status should change during the course of the contract.)
12. DBE Dollar Amount - Enter the subcontracted dollar amount of the work to be performed or service to be provided. Include the
prime consultant if the prime is a DBE, and include DBEs that are not identified as subconsultants on the Exhibit 10.01
Consultant Proposal DBE Commitment form. See LAPM Chapter 9 for how to count full /partial participation,
13. Total Dollars Claimed - Enter the total dollar amounts for column 13.
14, Total % Claimed - Enter the total DBE participation claimed for column 13. SUM = them 14. Total Participation Dollars
Claimed" divided by item N. Total Contract Award Amount "), If the Total %Claimed is less than item "G Contract DBE Goal ",
an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15 -H DBE Information - Good Faith Efforts of the
LAPM).
15. Preparer's Signature- The person completing this section of the form for the consultant's firm must sign their name.
16. Preparer's Name (Print) - Clearly enter the name of the person signing this section of the form for the consultant.
17, Preparer's Title - Enter the positionititle of the person signing this section of the form 1'or the consultant.
18. Date - Enter the date this section of the form is signed by the proposer.
19. (Area Code) Tel. No.. Enter the area code and telephone number of the person signing this section of the form for the
consultant.
Local Agency Section:
The Local Agency representative shall:
20. Local Agency Contract Number- Enter the Local Agency Contract Number,
21. Federal -Aid Project Number - Enter the Federal -Aid Project Number.
22, Contract Execution Date - Enter the date the contract was executed and Notice to Proceed issued. See LAPM Chapter 10, page
23.
23, Local Agency Representative Name (Print) - Clearly enter the name of the person completing this section.
24. Local Agency Representative Signature - The person completing this section of the form for the Local Agency must sign their
name to certify that the information in this and the Consultant Section of this form is complete and accurate.
25. Date - Enter the date the Local Agency Representative signs the form.
26. Local Agency Representative Title - Enter the positionittic of the person signing this suction of the form.
27. (Area Code) Tel. No. - Enter the area code and telephone number of the Local Agency representative signing this section of the
form.
Caltrans Section:
Caltrans District Local Assistance Engineer (DLAE) shall:
28. DLAE Name (Print) -Clearly enter the name of the DLAE.
29. DLAE Signature- DLAE must sign this section of the form to certify that it has been reviewed for completeness.
30. Date - Enter the date that the DLAE signs this section . the form.
LPP 13 -01
251 -45
Page 2 of 2
May 8, 2013
EXHIBIT B
rt
251 -46
Demolition and Site Clearance
r5 our Business!
N`. v. Wb n9'
. �ea
`I I
J &G Industries, Inc.
18627 Brookhurst Street, PMB 302, Fountain Valley„ CA 92708
714.903,2002 phone it 714.903.2003 fox
251 -47
Submittal of Qualifications,
City of Santa Ana Public W/ork.s Dept,
Request, for Proposals, oposals., fore
Demolitilon Serrvites
RFP No.: 14-026
Due: May 27, 2014
251-48
Submitted by;
AG Industries, Inc.
18627 Brookhurst St, PMB 302
Fountain Valley, CA 92708
714.903,2002 phone
714.903.2003 fox
City of Santa Ana May 27, 2014
On -Call Demolition Services RF'P No.: 14 -020
Request For Proposals for
On -Call demolition Services
City of Santa Ana
Public Works Department
20 Civic Center Plaza
Santa Ana, CA 92701
Demolition Services
Name: J &G Industries, Inc.
A California Corporation
Project Manager: James K, Cain
Address: 18627 Brookhurst St #302
Fountain Valley, CA 92708
Phone: 714 - 903 -2002
Fax: 714 -903 -2003
Email: cain@i- gindustries.com
Addendum(s):
Contract agreement statement: We have read and understand the intent of the contract agreement
and concur with said contract agreement,
The only person, persons, company or party interested in the proposal as principals are names
herein; this proposal is made without collusion with any other person, persons, company or parties
submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud; and,
that the signer of this proposal has full authority to bind the principal proposer.
J &0 Industries
251 -49
Page 1
City of Santa Ana May 27, 2014
on -Call Demolition Services RFP No.: 14 -026
Experience ! Qualifications
J &G Industries (J &G) is pleased to present our proposal to provide
property right of way consulting and related services for various City of
Santa Ana (CSA) projects. As an Orange County based company, J &G
takes pride in providing services to our community. AG has established
strong relationships working as a true team with its subcontractors, many of which are also Orange
County based companies.
Our proposal presents our qualifications, examples of past projects with references, approach to this
project, and our project organization, J &G is able to provide an experienced, knowledgeable and
professional staff, willing to work diligently to meet the CSA's needs. J &G is committed to providing
adequate staffing levels at all times in order to adhere to established schedules, J &G is responsive to
our clients needs. Our experience providing demolition services to local public agencies and private
clients has honed our skills for maintaining excellent working relationships with property owners,
tenants, and local agency staff, Our years of experience working in California have provided us with the
knowledge and familiarity required to meet with federal, state and local regulations, policies and
procedures as they pertain to right of way and all other demolition services provided.
J &G has been commended for a job well done on our contracts. We have demonstrated our ability to
satisfactorily perform the required work We have successfully completed the safe demolition and
abatement of thousands of structures ranging from residential to commercial and industrial,
encompassing millions of square feet.. Demolitions have included structures of one story to over ten
stories. J &G has also performed emergency demolition and cleanup services in past natural disaster
events. We have been successfully providing our services to public and private clients on similar
projects for 24 years. Demolition and site clearance is our business
Through our sister company C &M Resources we have the latest in demolition equipment, current with
CARBS regulations, including excavators with attachments including shears / grapples / pulverizers i
breakers, track loaders, skid steer loaders with attachments, etc.
An aggressive recycling policy has always been an important aspect to our business long before it was
the buzzword In the industry or by environmentalists. Through an aggressive policy, which has been
economically driven, we are able to give our client significant salvage credits as well as meeting current
recycling mandates.
J &G Industries
251 -50
Page 2
City of Santa Ana
On -Call Demolition Services RFP No.: 14 -026
J &G has the demonstrated experience
working with local agencies that may be
directly involved with this project J &G
has performed various projects in the
GSA and has experience working with
the GSA's departments. Our previous
contracts, like with OCTA for demolition
and site clearance on the CTA
Caltrans
County of Orange
South Coast Air Quality Management
District
State of California Division of Industrial
Safety
OSHA
Firm Profile
May 27, 2014
. California Department of Health Services
. California Highway Patrol
. Various Utilities: SCE, GTE, Verizon, etc.
. Underground Service Alert, Southern
California
. Multiple State Route -91 Corridor
Improvement Projects, Demolition
Phases: #1, 0, #4, #6, #7B, on -going
Local Law Enforcement 1.5 Freeway North
and various Measure M projects, has
demonstrated our skill with coordinating the
required work with affected agencies on
nearly 50 Contract Task Orders (CTOs),
These agencies include:
and Fire Department
Federal Environmental Protection Agency
J &G Industries, Inc. is a California Corporation founded in June 1989, in business over 25 yrs. J &G has
one office, physical address: 7511 Suzi Lane, Westminster, California 92683 Our mailing address is:
18627 Brookhurst Street, Box 302, Fountain Valley, California 92708. J &G also has one equipment
yard located at 1650 West Pellisier Road, Colton, California 92324. Current employee numbers range
up to <20
• J &G is a Licensed Contractor (License No 571859, Class A, C 721 with ASB and HAZ
Supplements; expires 6130115).
• J &G is actively involved with The National Demolition Association and has been a member for well
over fifteen years.
Related Experience
J &G has successfully completed the safe demolition and abatement of
thousands of structures, ranging from residential to commercial to Industrial
and encompassing millions of square feet. These demolitions have
included structures of one story to over ten stories. J &G has also
performed emergency demolition and cleanup services for past natural disaster events. J &G has
experience in performing work of the same or similar nature for various clients, including: CSA, OCTA,
the City of Long Beach, U,S. Navy, and private clients such as Overland, Pacific & Cutler. Below are
descriptions of these projects and project references, J &G strives to maintain excellent working
relationships with all parties involved and affected by our activities.
J &G Industries Page 3
251 -51
City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No.: 14 -026
Proposed Staffing and Project Organization
Project Staff Credentials
J &G has highly qualified, fully trained and dedicated employees, all
available for performing the proposed CSA work. These same employees
performed the work described in the related Project Experience section,
Each J &G employee receives annual training satisfying the OSHA
HAZWOPER standards and every two- years, training in First Aid/ Adult
CPR and AED/ Environmental. Most of J &G's field personnel are certified
as AHERA - accredited asbestos workers. J &G project superintendents and
field foremen also receive training in the OSHA Construction Safety Out
Reach Program, All employees receive on- the -job training for project
specific work tasks.
J &G employees are dedicated to the company and to doing a job well
done, The average tenure at J &G is over 16 years for project managers, field superintendents, field
foreman, equipment operators, and 12 years for laborers. Each employee has had an average of 10
years of experience in the demolition field prior to working at J &G The ability of demolition and
abatement contractors to work well together is important to the ease and success of work planned on
GSA's CTOs. J &G has worked closely with Tri Span, Inc. in the management and operation of
demolition and abatement services, on many projects. Meetings are held dally for the coordination of
field activities
Resumes:
Jim Caln -- project Manager /Principal Agent
Jim Caln, as President of J &G brings over 34 years of experience in the demolition industry. He
previously served eight years as president of a major demolition environmental firm, growing it from a
10- person $1 million /year company to a 150 - person $13 million /year firm.
Jim served a three -year term as a member of the Board of Directors of the National Association of
Demolition Contractors (NADC) from 1990 -1993. He was also President of the Southern California
Chapter of NADC In 1995 and 1996.
Jim served as project manager for the CSA's Demolition Contract Services Bristol Street Widening
project J &G completed 17 site clearances under that program
Jim served from 1995 through September 1998 as project director, and a project manager, for OCTA
Agreement No C -95 -950 Property Demolition and Clearance Services, 1 -5 Freeway North and Various
J &G Industries
251 -52
Page 4
City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No,; 14 -026
Measure M Projects. J &G completed nearly 50 demolition and site clearance CTOs for the previous 1 -6
Freeway widening project.
Jim has served as a project manager from 1998, through late 2002, on a major demolition project
consisting of over 300 acres at Pier T, formerly the Naval Shipyards, at the Port of Long Beach. His
responsibilities included Interface with the construction management team and the numerous
contractors involved with the project, Jim served as project director and superintendent for the Arnold
Heights Military Housing Demolition for the March Joint Powers Authority at the March Air Reserve
Base. Jim is serving /served as the project manager and principal agent for multiple completed and
currently on going phases of the SR -91, Corridor Improvement Demolition Projects for Overland, Pacific
and Cutler, Riverside County Transportation Commission and Caitrans
Todd Stewart — Project Manager/ Field Superintendent
Todd Stewart has 34 years of experience working in the construction Industry, with 20 of those years
worked in the environmental (asbestos abatement) industry, and also including 14 years in the
demolition Industry,
He has been a Project Manager, Division Manager, and a salesman for one of the largest asbestos
abatement firms on the West Coast. In that time he was directly involved in training, safely, state and
federal regulation compliance, environmental issues, customer service, corporate policy enforcement,
and all items associated with the bottom line,
Todd served as an abatement subcontractor's project manager for J &G's prior OCTA agreement for
property demolition services and he has served as project manager and field superintendent for a
variety of J &G's projects.
Project Experience;
OCTA Agreement No, C -95 -950 Property Demolition and Clearance Services, 1 -5 Freeway North
and Various Measure M Projects
Hughes, Fullerton — 3 2- million square feet of building demolition
Northrup, Pico Rivera — 3.4- million square feet of building demolition
® Port of Long Beach, Pier T project phases 1 and 4
Port of Los Angeles — Old United Cannery demolition
® Madonna Shopping Center, San Luis Obispo —150K square feet of demo
Twenty-nine Palms — Marine Palms housing demolition phases 2, 3 & 5
VA Medical Center, Long Beach — Building 122, demolition of multi- story, 300,000 square foot
structure
SR -91 Corridor Improvement Projects- Demolition Phase 1, 3, 4, 6, 713
J &G Industries
251 -53
Page 5
City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No.: 14.026
Certifications:
• Certified Asbestos Abatement Supervisor
• Certified Lead Based Paint Supervisor
• 40 -hour Haz Whopper Course
• USACE Construction Quality Management for Contractors
• OSHA 10 -hour Construction Safety Outreach
• Heartsaver First Aid, per curriculum of AHA, renewal 2/16
• 32 -hour Procedures & Practices for Asbestos Abatement Contractors & Supervisors
• AHERA Asbestos Abatement Contractor Supervisor, exp, 9/14
• OSHA Hazardous Waste Operations, exp. 9114
• OSHA 30 -Hour Construction Course; exp 2115
p OSHA Orientation & Fall Protection Regulation
• C -2 Insulation/ Acoustic License
Eric Cain Field Superintendent
Eric has over 6 years of experience in the demolition industry and hazardous materials Industry. He has
taken courses and maintains multiple industry related certificates.
Eric has been a field superintendent for various City projects during this time, including the West 5t"
Street Demolition for the San Bernardino Redevelopment Agency as well as the Multiple Street (Bristol
St, Raymar St, Camille St, Main St & W, Highland St) Demolition for the City of Santa Ana Eric was
also a field superintendent for the Sherman Indian High School, Dorm Building #4 Demolition project for
the U.S. Department of the Interior, Bureau of Indian Affairs. Eric is a graduate of Chapman University
with a Bachelor of Arts degree.
Project Experience:
■ City of Santa Ana — Bristol, Bishop & Camille Street Demolition
City of Santa Ana -- S Bristol & Willits Street Multiple Residential Demolition
• City of Buena Park -- Fourth Street Residential Property Demolition
• City of Carson — Avalon Boulevard Demolition
• Long Beach, Atlantic Avenue Property Demolition
• Long Beach, Locust Avenue Property Demolition
• OCTA Agreement No, C -5 -2407 Property Demolition and Clearance Services — Placentia Avenue
Commercial Building Demolition
• San Bernardino Redevelopment Agency — West 5t" Street Residential Property Demolition
• Long Beach, Paramount Boulevard Commercial Property Demolition
a Long Beach, Artesia Boulevard and Orange Avenue Commercial Property Demolition
• City of Covina — Citrus Walk Demolition
J &G lndustrlas
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City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No,: 14.026
• OPC / RCTC / Caltrans — SR -91 C.I.P. Demolition Phases 1, 3, 4, 8, 76
Certifications:
• OSHA 10 -hour Construction Safety Outreach
• Heartsaver First Aid, per curriculum of AHA, renewal 2/16
• 32 -hour Procedures & Practices for Asbestos Abatement Contractors & Supervisors
• AHERA Asbestos Abatement Contractor Supervisor, exp 9/14
• OSHA Hazardous Waste Operations, exp 9/14
• OSHA 30 -Hour Construction Course exp 2115
• OSHA Orientation & Fall Protection Regulation
• DHS Accredited 3 -day Lead Worker Course
• National Utility Contractors Association (NUCA) Competent Person Training Program
• National Association of Demolition Contractors (NADC) Safety Summit
• NPDES Construction Site Storm Water Management Course
® Certified Registered Traffic Flagger
Mauro Ruiz — Field Superintendent
Mauro has been working in the demolition Industry for J &G as a superintendent and foreman for 18
years J &G as a superintendent and operator/ foreman He has taken courses and maintains multiple
industry related certifications. Mauro. served as a field superintendent for OCTA Agreement No, C -95-
950 Property Demolition and Clearance Services, 1 -5 Freeway North, and various Measure M Projects.
J &G completed nearly 50 demolition and site clearance CTO's for the previous 1 -5 Freeway widening
project.
Project Experience:
• OCTA Agreement No. C -95 -950 Property Demolition and Clearance Services, 1 -5 Freeway North
and Various Measure M Projects
• Port of Long Beach, Pier T projects phases 1 and 4
• City of Glendale on Broadway building demolition and site clearance
• 240t4 Street Harbor City building demolition and site clearance
• March Air Reserve Base — Arnold Heights Military Housing Multiple Residential Property Demolition
• Bureau of Indian Affairs, Dept of the Interior— Sherman Indian High. School Corm Building #4
Demolition
Certifications:
NAVFAC Construction Quality Management for Contractors, exp 7/15
OSHA 10 -hour Construction Safety Outreach
Heartsaver First Aid, per curriculum of AHA, renewal 2/16
32 -hour Procedures & Practices for Asbestos Abatement Contractors & Supervisors
J &G Industries
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Page 7
City of Santa Ana
On -Call Demolition Services RFP No.: 14.026
AHERA Asbestos Abatement Contractor Supervisor, exp 9114
OSHA Hazardous Waste Operations, exp 9/14
DHS Accredited 3 -day Lead Worker Course
National Utility Contractors Association (NUCA) Competent Person Training Program
OSHA Orientation & Fall Protection Regulation
National Association of Demolition Contractors (NADC) Safety Summit
Certified Registered Traffic Flagger
Proposed Subcontractors
The following subcontractors may be used on an as- needed basis:
Tri Span Inc. (8a /MBEIDBE) -- Asbestos /Lead and Hazardous Abatement
Contact: Joe Araiza, Principal - Tel, 714 - 257 -9680 / Fax; 714- 257 -9681
591 W. Explorer St, Brea, CA 92821
Licenses; #611639, Class A,B,C- 10,C -33, ASB & HAZ; expires 2/28115
DOSH 4218; expires 7/18/13
J &G has worked with Tri Span on aver 100 projects during the last 19 years..
T &T Environmental Inc. — Asbestos /Lead Survey
Contact; Robert Strong, Principal — Tel: 800.400 -4828 / Fax: 562 - 420 -3742
PO Box 3433, Lakewood, CA 90711
J &G has worked with T &T Environ on over 25 projects during the last 15 years,
On.Slte Environmental Inc. (SBE) — Asbestos /Lead Survey
Contact: James McQuade, Principal — Tel: 714. 920 -3$33 / Fax7 714- 530 -7108
10022 Dewey Dr #101, Garden Grove, CA 92840
Licenses: CDPH Inspector / Assessor, CAC #10 -4608
J &G has worked with On -Site Environ, on over 8 projects during the last 4 years,
May 27, 2014
Gittens Environmental & Engineering Inc, (DVBE)— Engineering /Environmental Support
Contact: John Gittems, Principal — Tel, 949 -$37 -9438 / Fax: 949- 472 -0517
22322 Platino, Mission Viejo, CA 92691
Licenses #586535 Class A, HAZ; expires 4/30/12
Registered Professional Engineer, Civil #C43505; expires 6/30114
J &G has worked with Gittens Environ on over 35 projects during the last 17 years.
Total Exterminating, Inc. — Pat/Vermin Control
Contact: Dwayne Hartzell, Service Manager — Tel, 714.630 -3215 / Fax: 714- 630 -2048
2811 E. Gretta Ln, Anaheim, CA 92806
J &G has worked with Total Exterminating on over 25 projects during the last 13 years.
Mel Smith Electric, Inc, — Electrical Work
Contact: Brian Dimsho, PM /Sr, Estimator — Tel- 714 - 761 -3205 / Fax: 714- 761 -4710
10950 Dale St, Stanton, CA 90680
Licenses; 9394741 Class A,B,C- 10,C- 12,C -21, HAZ; expires 11/30/14
J &G has worked with Mel Smith Electric on over 25 projects during the last 15 years.
Van Diest Brothers, Inc. — Utility Work
Contact: Gary Van Diest, Principal — Tel' 562- 633 -2835 / Fax- 562- 633 -0414
15315 S. Lakewood Blvd, Paramount, CA 90723
Licenses: 9157555 Class A, C-36; expires 7/31/15
J &G Industries
251 -56
City of Santa Ana
On -Call Demolition Services RFP No,: 14 -026
J &G has worked with Van Diest Bros on over 20 projects during the last 15 years.
California Protective Services — Site Security
Contact: Denise Rodriguez, Dev Manager -- TeL 310 -878 -1030 / Fax. 310- 818 -1062
436 W. Walnut St, Gardena, CA 90248
J &G has worked with CPS on several projects in the last 2 years.
May 27, 2014
United Pumping Services, Inc. (MBE) — Plumbing, Cleaning, Lab Packing, Disposal of
Misc.Materials
Contact: Rudy Ruiz, PM /Estimator — Tel: 626961 -9326 / Fax, 626. 961 -3799
14000 E. Valley Blvd, Industry, CA 91746
Licenses: #617639 Class A,C- 21,C- 31,C -42, ASB & HAZ; expires 4/30/15
J &G has worked with United Pumping on over 25 projects during the last 15 years.
Lightning Oil Company, Inc. — Hazardous Liquid /Fluids Removal /Disposal
Contact: John Santisteven, Principal — Tel: 626.274 -32461 Fax: 626- 852 -0085
740 N, Glendora Ave, Glendora, CA 91741
Licenses. EPA #CAD982359671 / State ID #2369
J &G has worked with Lightning Oil on over 15 projects during the last 4 years,.
G.D. Rodriguez Trucking (Mill —Trucking
Contact: George Rodriguez, Principal — Tel: 909 -593 -3747/ Fax, 626.815 -8671
PO Box 2211, Irwindale, CA 91706
J &G has worked with G..O. Rodriguez Trucking on over 100 projects during the last 9 years,
Federal Disposal Services, Inc. — Trucking
Contacts Don Shubin, Principal —Tel: 714 - 773 -5600 / Fax: 714 - 773 -5608
PO Box 14730, Irvine, CA 92623
J &G has worked with Federal Disposal Services on over 100 projects during the last 10 years.
National Construction Rentals — Fencing
Contact, Tor! Lacey, Customer Service Rep —Tel: 714 - 285 -02431 Fax: 714. 568 -5338
1105 East 6`� St, Santa Ana, CA 92201
J &G has worked with National Construction on over 50 projects during the last 17 years.
American Fence Company— Fencing
Contacts Dave Klatch, Customer Service Rep. — Tel: 562- 941 -3478 / Fax: 561 - 941 -0757
8312 Allport Ave, Santa Fe Springs, CA 90670
J &G has worked with American Fence on over 20 projects during the last 8 years.
Orange County Scaffolding, Inc. - Scaffolding
Contact, Chris Aphessetchs, President — Tel, 714 - 637 -6010 / Fax, 714 - 637 -7960
121 E. Meats Ave, Orange, CA 92865
Licenses: 9290438 Class D -39; expires 2128/15
J &G has worked with OC Scaffolding on numerous projects in the last 5 years.
Viking Demolition Contractors (SWBE) — Equipment
Contact: Todd Tredick, Owner — Tel: 818- 500 -94471 Fax, 818 - 500 -9630
540 W. Windsor Dr, Glendale, CA 91203
Licenses: #878551 Class C21, ASB; expires 5/31116
J &G has worked with Viking Demolition Contractors on multiple projects in the last 15 years.
J &G Industries
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Page 9
MY Of 8A*APA
Reveot for PpPouplo Demofflon ftpvoss
orgammuon Chart
Project Managers _j 1
777
Jim � L Cain
Field
Superintendents —7
-7- T.dd Slowed
Asbestos Abatement
Subcontractor I
Jim Cain
PMIPA I
Todd Stewart I I Tim Mulvaney
irlo'Caln
IEEEHI
. Subcontractor I
Mauro Ruiz
DamoiitiodlClearBnce
Safety Officer
Tim Mulvaney
Job Site Safety
AG
Fencing Utility Work
6�
. Subcontractor I - Subcontractor Subcontractor
cr,njnll.n cMrl
251-58
Todd Stewart
City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No.: 14 -026
Labor Resources
Per CTO on a daily basis, J &G anticipates 1 -2 laborers (8 hours. each); 1 operator (8 hours
Each); 1 job foreman (8 hours each); and 1 superintendent (2 -8 hours each).
Proposed Key Personnel:
® Jim Cain, Project Manager/ Principal Agent — J &G, 25 years
® Todd Stewart, Project Manager /Field Superintendent — J &G, 16 years.
A Eric Cain, Field Superintendent — J &G, 8 years
■ Mauro Ruiz, Field Superintendent — J &G, 20 years.
® Tim Mulvaney, Project Manager /Field Superintendent —J &G, 25 years
/ John Gittins, Engineering / Environmental Consultant— GEE, 20 years
Team Availability
J &G has an experienced and committed team available to serve on this contract. Key
personnel will be available to the extent proposed for the duration of the project. No person
designated as "key" shall be removed or replaced without prior written concurrence of CSA.
Team Member
Role
Firm
%
Available
Jim Cain
Project Manager/Principal Agent
J &G
50 -100%
Todd Stewart
Project Manager/Field Superintendent
J &G
50 -100%
Eric Cain
Field Superintendent
J &G
50 -100%
Tim Mulvaney
Project Manager /Field Su erintendent
J &G
50 -100%
Mauro Ruiz
Field Su erintendeni/Operator
AG
50- 1000
John Gittens
Engineering / Env. Consultant
Gittens Env. & En
20 -60%
Four Operators
Equipment O erators
J &G
50- 100%
Ten Laborers
Laborers
J &G
50- 100%
Understanding of Need Statement
Contract Task Order (CTO) requests will be received and reviewed by Jim Cain, President of J &G, Mr.
Cain will negotiate with the CSA the costs to complete the CTO, Mr. Cain will assign a Project Manager
and Field Superintendent for the CTO. For small and medium size CTOs, the Project Manager can also
serve as the Field Superintendent, J &G's Project Managers are: Jim Cain, Todd Stewart and Tim
Mulvaney. J &G's Field Superintendents are* Todd Stewart, Mauro Ruiz, Eric Cain and Tim Mulvaney,
J &G Industries
251 -59
Page 10
City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No.; 14026
J &G's assigned Project Manager will first manage the services that are required to be performed within
24 hours of CTO execution. If required, fencing and boarding will be installed to secure the site. All
necessary notices, ordinances, statues rules, laws, and regulations shall be followed in the
performance of the CTO. Notifications/ permits may include- city grading, city demolition, city sewer
capping, Orange County Health Care Agency ( OCHCA) tank closure, OCHCA water well closure,
OCHCA monitoring well closure, South Coast Air Quality Management District (SCAQMD) demolition,
SCAQMD asbestos abatement, SCAQMD VOC containing tank or soil abatement, OSHA excavation,
OSHA faisework, OSHA over height, and OSHA scaffolding,
The Project Manager will direct J &G's consultant to prepare a Notice of Intent (NOI) to comply with the
terms of the general permit to discharge storm water associated with construction activity, for sites that
are one acre or larger in size. The Project Manager will submit the NOI and permit fee to the State
Water Resources Control Board. When required, the Project Manager will direct J &G's consultant to
prepare a Construction Storm Water Pollution Prevention Plan ( SWPPP), or an erosion control plan.
Storm water best management practices will be implemented as needed for compliance with the
SWPPP /Erosion Control Plan.
A site specific Health & Safety Plan will be prepared for the project. The Field Superintendent will
conduct periodic tailgate Health & Safety meetings to cover health and safety issues with field workers.
J &G's consultant will periodically conduct site safety inspections Results are given to the Project
Manager for directing changes
Underground Service Alert will be contacted to have the location of utilities marked.. The Project
Manager shall contact utility companies to coordinate any required utility terminations. Where required,
sewer capping will occur at the beginning of work, The Field Superintendent will be on site at the time
the agency is scheduled to inspect the utility termination.
Care shall be taken to perform the services so as not to endanger the safety of any person or property.
At the start of the CTO, the Field Superintendent will visually survey existing improvements and utilities
near the work site, in order to protect them from damage Field Superintendent will also visually survey
the site for potential materials containing regulated /hazardous wastes. The Project Manager will contact
CSA of any findings
As directed by the CSA, the Project Manger will arrange for J &G's consultant to perform an asbestos
and lead -based paint survey and an abatement plan for the asbestos and lead containing materials
removal and disposal When an asbestos and lead -based paint survey has been previously prepared,
the Project Manager will arrange for J &G's subcontractor to prepare an abatement plan. The abatement
plan will be submitted to the SCAQMD for their approval. The Project Manger shall confirm that all
J &G Industries
251 -60
Page 11
City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No,; 14.026
required licenses, permits and certifications have been acquired for implementing the abatement plan
The Project Manager will submit the SCAQMD approved abatement plan for CSA approval to proceed
with its implementation, Upon CSA's approval, J &G's abatement subcontractor will Implement the
abatement plan. Field Superintendent will verify waste is properly manifested for disposal at proper
facility,
Upon completion of abatement plan Implementation, the Field Superintendent will conduct a pre -
demolition survey to identify: that the asbestos, lead, regulated and hazardous wastes have been
removed as per their abatement plans; verify monitoring records; verify proper manifesting of waste
disposal; visually verify no other hazardous materials are left in demolition area; as required, verify site
is secured by appropriate fencing; verify that appropriate protection devices are in place, such as
pedestrian protection canopy; verify appropriate signing displayed (i,e, no trespassing, keep out
demolition in progress, danger, etc ); verify all utilities have been terminated; and erosion control
measures are in place, as needed and required, The Field Superintendent will use a checklist to
complete the pre- demolition survey. The Field Superintendent will confirm with the Project Manger that
the demolition area is ready for demolition, Structures ready for demolished will be clearly marked
"CLEAR FOR DEMO J &G."
Field Superintendent will direct crews in: structure demolition; improvements demolition; salvaging
procedures; solid waste clearing and disposal Where practical, concrete, asphalt, steel, non - ferrous
metals, and wood will be segregated and sent off -site for recycling, The site will be backfilled, graded
and a minimum of 1" base material will be placed over entire lot with sand bags /wattles at perimeter,
Field Superintendent will review fieldwork daily for compliance with CTO specifications and record
findings in a quality control log
Field personnel are trained to stop work upon the discovery of suspect asbestos, regulated, or
hazardous waste. The Field Superintendent will contact the Project Manager, who in turn will contact
CSA. The Field Superintendent shall leave the work site in a clean and neat condition, upon completion
of the CTO, The Project Manager will notify those agencies required for final inspections and sign offs
The Project Manager will track the CTO schedule and budget by using project management software.
Schedule and budget updates will be provided to the CSA as required. Project Manager will notify CSA
to have all work inspected within 24 hours of CTO work completion. The Project Manager will prepare
all required paperwork for final closure package and billing for the project.
J &G Industries
251 -61
Page 12
City of Santa Ana
On -Call Demolition Services RFP No.: 14 -026
May 27, 2014
Commercial Properties Demolition, Bristol Street Widening, 1211 W. Warner Ave & 2235 South
Bristol St, Santa Ana
Year: 2011
Project included demolition and removal of two commercial buildings, a former auto shop and liquor
store, Asbestos abatement was included in scope of work as well as sewer capping, grading of site to
drain and pumping of hazardous liquids. All work was completed within the time frame, in budget and
with no incidents, Eric Cain and Mauro Ruiz were supervisors on this project Tri Span performed the
asbestos abatement.
Completed: September 2011
Contract Value, $59,500.00
Contact: Jason Gabriel, Senior Civil Engineer 714. 647.5654
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92703
Commercial Building Demolition, Bristol Street Widening, 1631 N. Bristol St, Santa Ana
Year: 2013
Scope of work included demolition of a (3) story commercial building that included slabs and footings
removal as well as an elevator. Asbestos abatement was Included In the scope of work as well as sewer
capping, pumping of all hazardous fluids, grading site to drain and site clearance All work was performed
within the time frame and budget with no occurrences. Eric Cain and Mauro Ruiz were supervisors on this
project
Completed: March 2013
Contract Value $309,50000
Contact: Jason Gabriel, Sr Civil Eng. 714 -647 -5664
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92703
Commercial Property Demolition, 1221 East 1 atStreet, Santa Ana
Year: 2013
Scope of work included demolition and asbestos abatement of a 12,000 sq.ft. commercial building.
Work included removal of slabs and footings, sewer capping, leave site to drain and site clearance. Eric
Cain and Mauro Ruiz were supervisors on this project and all work was performed according to
schedule and budget,
Completed:
Contract Value,
Contact:
J &G Industries
September 2013
$74,00000
Jason Gabriel, Sr Civil Eng, 714 - 647 -5664
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Page 13
City of Santa Ana
On -Call Demolition Services RFP No., 14 -026
City of Santa Ana
May 27, 2014
20 Civic Center Plaza, Santa Ana, CA 92703
SR -91 Corridor Improvement Projects; Demolition Phases: #1, #3, #4, (current) #6, #78, Multiple
Sites In Corona, Overland, Pacific & Cutler, Inc.
Year. 2013.2014
Scope of work included(s) demolition of multiple commercial and residential properties, mobile home trailers,
and removal of slabs and footings for freeway widening project Trl Span performed hazardous abatement
operations and utility work was completed by Van Diest Bros. Todd Stewart, Eric Cain and Mauro Ruiz were
supervisors on these projects. Federal Disposal Services and G.0 Rodriguez Trucking performed trucking
services and both American Fence and National Construction Rental provided fencing services. All work has
been within budget and time frames
Completed: Phase I
Oct 2013
Phase III
Mar 2014
PhaselV
Apr2014
Phase VI
on going
Phase VII B
on going
Contract Values $17 million
Contact: Ken Forness or Josh Cosper, Project Managers, 951 -683 -2353
2280 Market St, #200, Riverside, CA 92501
Commercial Properties Demolition, Citrus Walk Demolition, City of Covina
312 -332 N. Citrus Ave; 116 -126 E. School St; 118.125 E. Italia St
Year: 2011
Scope of work included demolition of multiple commercial buildings in a city block as well as slabs and
footings. Stockpiling and processing of concrete and asphalt was also included.. Utilities were
terminated (sewer capped) by Van Diest Brothers. Permits were obtained from the city for demolition
and sewer capping, and SCAQMD for demolition and asbestos abatement. Envirocon Contracting, Inc
provided asbestos abatement services. G,O. Rodriguez Trucking and Federal Disposal Services
provided trucking services. American Fence Company provided fencing services Eric Cain was the
Project Manager and Field Superintendent. All work was performed in budget, within the time frame
and with no incidents.
Completed:
March 2011
Contract Value;
$248,336.75
Contact:
Lisa Brancheau, Redevelopment Manager, 626 - 384 -5441
J &G Industries
251 -63
Page 14
City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No,: 14 -026
City of Covina
125 E_ College St, Covina, CA 91723
Commercial Properties Demolition, Riverside County Transportation Commission
6681 & 6691 Indiana St, Riverside
Year: 2011
Scope of work included the complete demolition of existing buildings, site work demolition, installation
of BMP's, demolition of the adjoining block wall and asbestos /hazardous materials abatement Todd
Stewart was the project manager for this project and Eric Cain was the field superintendent. Tri Span
performed the hazardous materials abatement and National Construction Rentals provided the fencing
for this project
Completed: October 2011
Contract Value: $118,200,00
Contact; Gina Gallagher, Riverside County Transportation Comm., 951- 787 -7141
Mark LaBounte, Project Manager, 951 -683 -2353
CIO Overland, Pacific & Cutler, Inc
2280 Market St, #340, Riverside, CA 92501
Six Structure Demolition — City of Garden Grove, 12601, 12602 Leda Ln, 12881, 12691,12625 &
12721 Harbor Blvd, Garden Grove
Year: 2012
Scope of work included the complete demolition of residential and
commercial properties, hazardous materials abatement, sewer capping and
site clearance. Eric Cain was a supervisor on this project.
Completed: April 2012
Contract Value: $387,385.00
Contact: Carlos Marquez, Project Manager 714 -741 -5131
City of Garden Grove
11222 Acacia Pkwy, Garden Grove, CA 92840
Mid Valley MPC —City of Los Angeles, GSD, Construction Forces Div, 9540 Van Nuys Blvd,
Panorama City
Year: 2011
Scope of work Includes demolition of 36,000 sq, ft. former medical building, including basement. Also
Included was disposal of slabs and footings and site clearance. Todd Stewart and Mauro Ruiz were
supervisors on this project. All work was completed on time and in budget.
Completed, July 2011
d &G Industries
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Page 15
City of Santa Ana May 27, 2014
On -Call Demolition Services RFP No.: 14 -026
Contract Value: $173,142.63
Contact; Louisa Tan, Admin Mgr, 213 - 473 -0657
City of Los Angeles
555 Ramirez St, Space1500, LA, CA 90012
Right of Way Demolition & Clearance Services — Orange County Transportation Authority
CTO #C -6 -2407; 360, 380, 450 & 480 S. Placentia Avenue Demolition and Site Clearance
Year: 2009.2010
Project included multiple Contract Task Orders per our master agreement, No. C -5 -2407 at various
locations along Placentia Ave for OCTA, Grade Separation Projeot,Tasks included securing site with a
chain link fence, obtaining all required permits, preparing and furnishing water pollution control plan in
accordance with CALTRANS Manuals and implementation /maintaining plan, removal of contaminated
soil, asbestos, lead and other hazardous materials, coordinating and or terminating utilities, demolition
and removal of structures that included a 30,000 sq ft concrete tilt -up structure, car wash facility and
former gas station Sites were backfillad, compacted and graded to drain As a close out requirement,
J &G prepared and provided to OCTA all required manifests for all hazardous materials taken off site for
disposal. As with all projects, recycling is part of our operations and the above project achieved greater
than a 90% recycling effort James Cain was the project manager and Eric Cain was the field
superintendent. Tri Span provided asbestos abatement services and Gittens Environmental performed
the soil contamination removal /manifesting and reporting
Completed: August 2010
Contract Value: $251,61930
Contact: Bill Mock, Right of Way Agent - Tel: 714 - 560 -6282
Orange County Transportation Authority (OCTA)
550 S. Main St, Orange, California 92863
Reside ntlal /Commercial Properties Demolition -- City of Santa Ana
418, 718 & 908 N. Bristol St, Santa Ana
Year: 2010
Scope of work included complete demolition of properties of a single family residence, restaurant and
former chiropractic office including above and below grade improvements All required permits wore
obtained for the project. Included was rat and vermin abatement prior to demolition and providing
written certification Asbestos and lead abatement was performed prior to demolition per surveys
provided by the City. BMP's were installed and sites were left backfilled and graded with imported CMB
J &G Industries Page 16
251 -65
City of Santa Ana May 27, 2014
On-Call Demolition Services RFP No.: 14 -026
Eric Cain was the field supervisor on this project, Federal Disposal Service provided trucking services
and Tri Span performed asbestos abatement
Completed: June 2010
Contract Value: $69,950,00
Contact: Souri Amirani, Deputy City Engineer - Tel: 714.547.5059
City of Santa Ana
20 Civic Center Dr, Santa Ana, California 92701
School Property Demolition — Sherman Indian High School Dorm Bldg #4 Demolition
9010 Magnolia Ave, Riverside, California 92503 — Bureau of Indian Affairs, Dept of Interior
Contract: #CMH00090004
Year 2009
Project included demolition and removal of a 27,000 sq ft dormitory with basement on an active
campus Scope of work Included fencing site, implementation of BMP's, capping of utilities I e•. gas,
water and sewer without interruption to facilities that remain, Also included was removal and disposal of
asbestos containing materials, import of dirt to backfill and compact basement and grading of site to
drain. All work was completed within the time frame, in budget and no incidents. James Cain was the
project manager and Tri Span performed the asbestos abatement,
Completed: November 2009
Contract Value: $219,09600
Contact Leroy Tewaha'ftewa, On Site Project Manager— 951 -276 -6325
Len Chester, Project Administrator — 602 -379 -6755
Bureau of Indian Affairs, Dept of Interior
2600 N, Central Ave, Phoenix, Arizona 85004
J &G Industries
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Page 17
City of Santa Ana
On -Call Demolition Services RFP No.: 14 -026
May 27, 2014
References
J &G takes pride In doing each job well done, CSA is welcomed to contact any of the contacts
referenced in the above project descriptions,
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92703
Jason Gabriel, Sr, Civil Engineer, 714 -647 -5664
City of Covina
125 E. College, Covina, CA 91723
Usa Brancheau, Redevelopment Manager, 626- 384 -5441
OCTA
550 S Main St, Orange, CA 92883
Bill Mock, Right of Way Agent, 714 -560 -6282
City of Los Angeles, GSD, Construction Forces Division
,555 Ramirez St, Space 150C, LA, CA 90012.
Louisa Tan, Admin. Manager, 213- 573 -0657
City of Garden Grove
11222 Acacia Pkwy, Garden Grove, CA 92840
Carlos Marquez, Project Manager, 714 - 7415050
J &G Industries Page 18
251 -67
APPENDIX
EXHIS``IT p- 1: :NO.N- CQ'LLUSION AFFIDAVIT
I
CERTIFICATIONS
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON -CALL DEMOLITION SERVICES
RFP NO.: 14-026
NON - COLLUSION AFFIbAVI7
(Title 23 United States Code Section 112 and
Public Contract Code Section 71 06)
To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS
in accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares
that the bid is not made In the Interest of, or on behalf of, any undisclosed person, partnership, company,
association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has
not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or
indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that
anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by
agreement communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix
any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage
against the public body awarding the contract of anyone interested in the proposed contract; that all statements
contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid
price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid,
and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to
any member or agent thereof to effectuate a collusive or sham bid,
Note- The above Non - collusion Affidavit is part of the Proposal Signing this Proposal on the signature
portion thereof shall also constitute sign fq�of this Non - collusion Affidavit BIDDERS are cautioned that
making a f ficati m y s bI the gertifierto criminal prosecution
Signed
State of Ca ifo nia
County of
sort e and sworn to (or affirmed) before me on this day of 20 by
j� r
proved to me on the basis of satisfactory evidence to be the person who
appeared before me
qWK:198EALEYA'M4
MM, y20E9644 as ry Putilla Calttamta Crange counm, IrasJu 17 AA17
INotary Pu 'c Signature Notary Public Seal
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
APPENDIX
EXHIBIT D -a. NON- LOBBYING 'CERTIFICALION
CERTIFICATIONS
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON -CALL DEMOLITION SERVICES
RFP NO,; 14 -026
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her
knowledge and belief, that
1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of any federal agency,
a Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any federal contract, the making of any federal grant,
the making of any federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any federal contract, grant, loan, or
cooperative agreement.
2 If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence any officer or employee of any federal agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection Wth this federal contract, grant loan, loan or cooperative agreement, the undersigned
shall complete and submit a "Disclosure of Lobbying Activities"
This certification is a material representation of fact upon which valiance was placed when this transaction was
made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction
imposed by Section 1352, Title 31, U S Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure,
The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the
language of this certification be included in all lower tier subcontracts, which exceed $100, D00 and that all such
sub recipients shall certify and disclose accordingly
Firm J &G In
Signed and Printed Name:
ON -CALL
Date Lf /:
James
SERVICES
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL,
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE,
__. rtr„ n nP tq -mF
Local Assistance Procedures 11(anual NXHMIT 10 -01
Consultant Proposal DBE Cornlnitouent
EX MIT10 -01 CONST7I JTANT PROPOSAL DBE COMMITMENT
(Inclusive of s.11Ms listed stbidpmposal Refer to instructions on the reverse side of this form)
r; i Y+S'Sai r iir..e "ki
ON
Na
1 Loci Agency Name: City of Santa ^a, Ptt}aI'C wnrks De ari @nt
2, Project Locations TBD Santa Ana
3 Proja'.Desxlpflon•TBD Demolition
4 ConsultentNane J &G industries, Inc.
5. Contred D9EGos W 11 . $2
DBE Commitment Information
6 Derrrlptlondr�vloe;tobe Provides
7. DBE Firm
Gontsd Informatl on
Number
9. DBE%
Asbestos Abatemnt
Tri Span Inc
26203
DD
Truckin' Services
G.O. RodricTmez Truckina
39690
TBD
n Tynv /Enq
�^ P
16, Local Agency Contract Number•
17 Fedear -aid Pmja:t Nurrbw,
Is proposed Contruat Execution Data,'
Local Agoracy certifies that all D:BB certifications are valid and the
trAermadon on this fbrm is complete and accurate:
Sara s Slgu e
J mes K. Cain
12; Preparers Nama(Print)
President.
19. LoeA Agency Repre antative Name (Pri nt)
2e. local Agenay i2apeesentetiveSpgnature 21. Duto
Z2 Looal Agoucy Representative Title -1(A Code) Tel. No.
13. Preparers Tntle
71a_ana 2802-
14 Date 15. (Arc -a Ccde)Yd Na
Distdbudoa- (T)Oieb.'>a7.— Consultant submits folocel agency with proposal
(2) Copy —Local Agency files
Page 1 of 2
Local Assistance Procedures Nhnual M MIT 10 -01
Consultant Proposal DME Commitment
INSTRUCTIONS- CONSULTANT PROPOSAL DBE COMMITMENT
Consultant Section
TheConsultant shall:
1 L ocal Agency Name— Enter the name of the local or regional agency that isfunding the contract
2 Proj ect Location - Enter theproject location as it appears on the project advallwirent,
3 Prqj act Description - Enter thaprojeet description as It appears on theproject advertisement (BrI to Rehab, Seismic Rehab,
Overlay, Widening, etc.).
4. Consultant Name- Enter the consultant'sfirmname.
5. Contract DBE Goal % - Enter the cdntra t DBE goal percentage, alit was reported on the Exhibit 10 -1 Noticeto Proposers
DBE Information form. See LAPM Chapter 10.
8. Desarl ptlon of Servicesto be Provided - Enter Item of work dwilption of servicesto beforovided. Indicateall work to be
performed by DBEs Including work performed by tha prime consultant's own forces, if thepdme iss DBE, If 100% of the Item
is not to be performed orfurnishd by the DBE, dwibethe exact portion to be performed or furnishd by the DBE SeeLAPM
Chapter 9 to determl ne how to count tha partld patios of DBE firms.
7 DBE Firm Contact I nFormation - Enter thenarna and teiephonanumber of of DBE subcontracted consultants. Also, enterthe
pri me ronsultant's name and telephone number, If the prl ma i s a DBE.
8 DBE Cert. Number - Enter N DBE9 Certification Ident1ficetion Number , All DBEis must be certified on the date bids are
opened, (DBE subcontracted consuitents should notify the prime consultant in writing with the date of the dECatifl cation if their
status shoul d change duri ng the course of the contract )
9 D E % - Percent partl d pation of work to be performed de aevl ca provl del by a DBE I rd ude the prime consultant if the prl me
is aDISE, See LA PM Chapter 9 for how to count fulIJpati@I patid pall on
10 Total %Claimed — Enterthp total DBE part! d poll ondaj mod, If the Total ° a a] mad is I ess then I tam " 6, Contract D BE Goal
an adequatel y documented Good Faith Effort (GFE) is required (sea Exhibit 15-H DBE Information - Good Faith Efforts of the
LAPM).
11 Prepar er' sSi gnatura— The person comp] sit ngthissedlonof the form for the consul tant 'eflrm must dOnthdrname.
12. Preparer'sName( Print)— Cicarlyenterthenameofthepesonsign! ngthissectionoftheformfortheconsultnt,
13 Preparer'aTItIa -Enter the pod ti on/ti tie of the person d gn! ng thil s se-ti on of the form forthe corisultont
14 Date - Ente - the date thissoctlonof the form Issignedby the prepare
15 (ArW God a)Td No - Entethe arm code and tdsp hone number of the person sgning this secVonof the form for the
consultant,
Local Agency Section,
The Local Agency representativeshall:
18 Local Agency Contract Number - Enter the Local Agency Contract Number
17 Fade -al -Aid ProjedNumber - EntertheFederal - AtdProJcotNumber.
18 Conte ad Execut jon D ate - Enter date the contract was executed and Not ce to Proceed issued Sce LAPM Chapter 1 O, page 23
19 Local Agency Rep resent at! ve Name (Pr int)- CI earl y enter Ina name of the person compidingINssecilort
20 Local Agency Rep res entativeS gnatura- The person completing thlssetionof the form for the LodAgency must sign the! r
name to certify that the I nformati on i n thla and the Consultant Section of this form is compl ate and accurate.
21 Date - Enter the date the Local Agency RepresentAl ve d gns theform.
22, LocalAgancy Rep reszntativeTitle- Enta- the pod ifon/ titleof the person .dgningthiasedionof the form.
23. (AreaCode)Tel No. - Enta- the area code end telephone number of the Local Agency representativesigning this section ofthe
form,
251.71 nor,,.. e 1m Page2of 2
z
Local AssistanceProaednres Manual EXHBIT 10 -I
Notice to Proposers WE Information
ExRwn 10-I NOTICE TO PROPoms DBE INFORMATION
The Ageneyhas. establisbedaDBE goal for this Contract of % y"C
OR
The Agenoy has not established a goal for this Contract However, proposers are encouraged to obtain DBE,
participation for this contract.
1. nRMS AS -USED INT 3iS DOCUMENT
❑ The term" DisadVantaged Business Enterprise" or" DBE" means a fbr -profit srnallbusiaess concern
owned and controlled by a sociallyand economicallydisadvantaged person(s) as defined in Title 49,
Code ofFederal Regulations (CFR), Part 26 5
❑ The term "Agreement" also means " Contract "
❑ Agency also means the local entity entering into this contract with the Contractor or Consultant,
❑ Theterm "Small Business' or "813" isas defined in49CFR2665
2. AUTRORITY AND RESPONSIBILITY
A. DBEs and other smallbusinesses are strongly encouraged to participate in the performance ofContracts
financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Di sadvantaged
B us ness Entepri ses i n Department of Transport at! on Fi nand al Ass stance Programs'), The Consultant
must ensure that DBEs and other small businesses have the opportunity to participate in the performance
of the work that is the subject ofthis solicitation and should take all necessary and reasonable steps for
this assurance, The proposer must not discriminate on the basis ofrace, color, national origin, or sex in
The award and performance of subcontracts
B Proposers are encouraged to use services oSared by financialinstitutions owned and controlled by DBEs
3, SUBMISSION OF DBE INFORMATION
Ifthe,re, is a DBE goal on the contract, Exhibit 10 -01 Consultant Proposal DBE Commitment roust be
included in the Request £ar Proposal In order for a proposer to be considered responsible and responsive, the
proposer must make good faith e$nrts to meet the goal established for the contract. Ifthe goal is not rxiet, the
proposer roust document adequate good faith efinrts ARDBE participation will be counted towards the
contract go a1; therefore, all DBE participation shall be collected and reported
Exhibit 10 -02 Consultant Contract .DBE Information must be included with the Request for Proposal Even if
no DBE participation will be reported, the succossfirlproposer mist execute and return the 5rrn
4, DBE PARTICIPATION GENERAL INFORMATION
It is the proposers responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the
Department's CBE program devil oped pursuant to the regulations. Particular attention is directed to the
fnIlowing-
A A DBE must be a straIl business finer defined pursuant to 13 CFR 121 and be certified tlx-ough the
Cali( arnia 'UnMedCertification Program (CUCP), s "�
T 11 1 n,
251 -72
aIof3
R 7Af'A
Local Assistance Procedures Manual EXB BIT Io -I
Notice to Proposers MW Information
B. A certified DBE maypardoipate as a prime consultamt, subcomultant, joint venture partner, as a vendor
oftnaterial or supplies, or as atrucl6mg company
C A DBE proposer not proposing as ajoint venture with a non -DBE, will be required to document one or a
conibiraation ofthe fallowing:
I The proposer is a DBE and will meet the goal by performing work with its own farces
2. The proposer willmeetthe, goalthrough workperforined by DBE subconsultants, suppliers or
trucking companies.
3. The proposer, prior to proposing trade adequate good faith efforts to meet the goat
D A DBE joint venture partner must be responsible far specific contract items ofwork or clearlydefrned
portions thereof Responsibilitylrrans actuallyperfnrming, managing, and supervising the work with its
own forces The DBE joint venture partner rtust share in the capital contribution, control, management,
risks and profits ofthe joint venture commensurate with its ownership interest.
E. A DBE must perform a commerciallyuseful function pursuant to 44 CPR 26 55, that is, a DBE firm
must be responsible fur'tho execution ofa distinct element oftlte work and must carry out its
responsibtEty by actuallyperforining managing and supervising the work.
P The proposer shall list onlyone subconsultant for each portion ofwork as defused in their proposal and all
DBE subconsultants should be listed in the bid/cbst proposal list ofsubconsultants,
G A prince consultant who is a. certified DBE is eligible to claim all ofthe work in the Contract toward the
DBE participation exceptthat portion ofthe work to be performed by non -DBE suboonsultants,
5. R£S0131110ES
A, The CUCP database includes the certified DBFs from all certifying agencies participating in the CUCP, if
you believe a firm is certified that cannot be located on the database, please contact the CaBrans Office of
Certification toll -co number 1- 866 - 810 -6346 fur assistance.
B Access the CUCP database from the Department ofTransportation, Office ofbusiness and Economy:
Opporumity Web site at: httpVlwAwdot.ca.gov/hq/bop/,
1. Click on the link in the left; menu titled Disadvantaged Business Enterprise;
2. Click on Search fbr a DBE Firm link;
3, Click onAQgg1 t t e $E.,Query F m located on tiro first line in the center ofthe page.
Searches can be performed by one or more criteria Follow instructions on the screen
6. MATERIALS OR SUPPLIFS PURCHASED FROM DRIES COUNT TOWARDS THE ME GOAL UNDER THE
FOLLOWING CONDITIONS:
A. If the materials or supplies are obtained from a DBE manuficturor, count 100 percent ofthe cost ofthe
materials or supplies, ADBE rinnufacturer is a furnthat operates or maintains a factory, or establishment
that produces on the premises the materials, supplies, articles, or equiprmnt rogWred. under the Contract
and ofthe general character described by the specifications
B rf the materials or supplies p=l=ed from a DBE regular dealer; count 60 percent ofthe cost ofthe
materials or supplies ADBE regular dealer is a firmthat owns, operates or maintains a store, warehouse,
or other establishment in which the matezials, supplies, articles or equi.pnaeart ofthe general character
d.escribod by the specif cations and required under the Contract are bought, kept in stack, and regularly
sold or leased to the public in the usual course ofbusiness. To be a DBE regular dealer, the fummust be
an established, regular business that engages, as its principal business and under p ;n name, j .1
251 -73 6o3
x04gP
2 of
Local AssfstanceProcedures Manual EX MIT 70 -I
Notice to Proposers DBE Information
purchase and sale or lease of the products in question A person maybe a DBE regular dealer in such bulic
items as petroleurnproduots, steel, cement, gravel stone or asphalt wthoUt owning operating or
maintaining a place ofbusiness provided in this section
C. If the person both owns and operates distribution equipment far the products, any supplementing of
regul ar deal erg own distri but! on equi pment sheJ I be, by a long-term lease agreement and not an ad hoc or
Agreement -by- Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons
who arrange or expedite transactions are not DBE regular dealers within the meaning ofthis section.
D Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, wilibe
limited to the entire amount offees or commissions charged far assistance in the procurement ofthe
materials and supplies, or fees or transportation charges fnr the delivery ofrnaterials or supplies required
on the job site, provided the fees are reasonable and not excessive as compared with faes charged for
similar services
251 -74
Page 3 of 3
251 -75
Exhibit 2
ON CALL_ DEMOLITION SERVICES AGREEMENT.
TFIIS ACrREEMENT, made and entered into this 5th day of August, 2014 by and
between NorthStar Demolition and Remediation, LP., a California limited partnership and a
NorthStar Group lIoldings Company (hereinafter "Contractor "), and the City of Santa Ana, a
chatter city and municipal corporation organized and existing tinder the Constitution and laws of
the State of California (hereinafter "City ").
RECITALS
A. On or about May 6, 2014, the City issued a Request for Proposal ( "RFP ") No. 14 -026
for on -call demolition services on art as,necded basis for projects which include but
are not limited to: various phases of the Bristol Street, Grand Avenue, and Warner
Avenue Widening Projects. Contractor was one of the companies that submitted a
proposal. The proposals were evaluated and Contractor was one of two companies
selected to provide on -call demolition services.
B. The City desires to retain a Contractor having special skill and knowledge in the field of
providing on -call demolition services.
C. Contractor represents that Contractor is .able and willing to provide such services to the
City.
I). Tn undertaking the performance of this Agreement, Contractor represents that it is
knowledgeable in its field and that any services performed by Contractor under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional consulting farm 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:
I. SCOPE OF SERVICES
Contractor shall provide on -call demolition services, as set forth in the City's On -Call,
Demolition Services RFP #14 -026, dated May 6, 2014, attached hereto as Exhibit A, and
Contractor's Proposal, dated May 27, 2014, attached hereto as Exhibit B and incorporated by
reference.
2. COMPENSATION
a. City agrees to pay, and Contractor agrees to accept as total payment for its
services, the rates and charges identified in its proposal attached hereto as Exhibit B. The total
sum to be expended under this Agreement shall not exceed four hundred thousand dollars and
zero cents ($400,000.00).
251 -76
b. All invoices for work performed under this Agreement shall be submitted to a
format approved by the City. Invoices shall include the following at a minimum:
(i) Consultant's invoice number
(ii) Dates of service covered by the invoice
(iii) City project number and /or name (if applicable)
(iv) "Work site address or location (if applicable)
(v) Tasks completed
C. Payment by City shall be made within sixty (60) days following receipt of proper
invoice, subject to City accounting procedures. Payment need not be made for work which fails
to meet the standards of performance of a professional in the industry.
3. TERM
This term of this Agreement shall be for an initial three (3) year period, commencing on
August 5, 2014, and ending on August 4, 2017, unless terminated earlier in accordance with
Section 12, below.
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 mamrer consistent with all
applicable standards and regulations governing such services. Contractor shall pay all salaries and
wages, employers 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. Comprehensive General Liability Insurance. Contractor shall maintains
comprehensive general liability insurance naming the City, its officers, employees, agents,
volunteers and representatives as additional insured(s) and shah include, but not be limited to
protection against claims arising from bodily and personal injury, including death resulting
there from and damage to property, resulting from any act or occurrence arising out of
Contractor's operations in the performance of this Agreement, including, without limitation,
acts involving vehicles. The amounts of insurance shall be not less than the following: single
limit coverage applying to bodily and personal injury, including death resulting there from,
and property damage, in the total amount of $2,000,000 per occurrence. Contractor shall
251 -77
supply City with a fully executed additional insured endorsement on a form approved by the
City Attorney at the time this Agreement is executed.
b. Worker's Compensation Insurance. In accordance with the provisions of
Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to
be insured against' liability for worker's compensation or to undertake self- insurance. Prior
to commencing 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.
c_ Any person providing professional services pursuant to this Agreement
shall maintain Professional Liability (e:nrors and omissions) insurance against medical
malpractice with a combined single limit of not less than $1,000,000 per claim.
d. The following requirements apply to the insurance to be provided by
Contractor pursuant to this section!
(i) Contractor shall maintain all insurance required above in full force and
effect for the entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of
this Agreement and shall be approved in form by the City Attorney.
(iii) Certificates and policies shall state that the policies shall not be canceled
or reduced in coverage or changed in any other material aspect without
thirty (30) days prior written notice to the City.
e. If Contractor fails or refuses to produce or maintain the insurance required by this
section or fails or refuses to 'furnish the City with required proof that insurance has been procured
and is in 'force and paid for, the City shall have the right, at the City's election,'to forthwith
terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its
time and materials expended prior to notification of termination. Contractor waives the right to
receive compensation and agrees to indemnify the City for any work perfomaed prior to approval
of insurance by the City.
6. FNDEMNIFICATION
Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents,
employees, Contractors, special counsel, and representatives from liability: (1) for personal
injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims
for personal injury, including health, and claims for property damage, which may arise from the
direct or indirect operations of the Contractor or its contractors, subcontractors, agents,
employees, or other persons acting on their behalf which relates to the services described in
section 1 of this Agreement; and (2) from any claim that personal injury, damages, just
compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects
arising from this Agreement. This indem'ni'ty and hold harmless agreement applies to all claims
for damagos, just compensation, restitution, judicial or equitable relief suffered, or alleged to
251 -78
have been suffered, by reason of the events referred to in this Section or by reason of the terns
of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold
harmless, mid pay all costs for the defense of the City, including fees and costs for special
counsel to be selected by the City, regarding any action by a third party challenging the validity
of this Agreement, or asserting that personal injury, damages, just compensation, restitution,
judicial or equitable relief due to personal or property rights arises by reason of the terms of, or
effects arising from this Agreement. City may make all reasonable decisions with respect to its
representation in any legal proceeding.
7. CONFIDENTIALITY
If Contractor receives from the City 'information which due to the nature of such
information is reasonably miderstood to be confidential and/or proprietary, Contractor agrees that
it shall not use or disclose such inhumation except in the performance of this Agreement, and
further agrees to exercise the same degree of care it uses to protect its own information of like
importance, but in no event less than reasonable care. "Confidential information" shall include
all nonpublic information. Confidential information includes not only written information, but
also information transferred orally, visually, electronically, or by other means. Confidential
information disclosed to either party by any subsidiary and/or agent of the other party is covered
by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to
any information that (a) has been disclosed in publicly available sources; (b) is, through no fault
of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the
Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of
law; or (e) is independently developed by the Contractor without reference to information
disclosed by the City.
8. CONFLICT OF INTERFST CLAUSE
Contractor covenants that it presently has no interests and shall not acquire any interests,
direct or indirect, which would conflict in any manner with performance of services specified
under this Agreement. No persons leaving such interest shall be employed by or associated with
Contractor.
9. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other
telegraphic communication in the manner provided in this Section, to the following persons.
To City: Clerk of the City Council
City of Santa Ana
24 Civic Center plaza (M -30)
P.O. Box 1988
Santa.Ana, CA 92702 -1988
Fax (714) 647 -6956
251 -79
With courtesy copies to:
cf'li 1
Director of Public Works Agency
City of Santa Ana
20 Civic Center Plaza
P.U. Box 1988
Santa Ana, California 92702
Fax(714)647 -5635
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: NorthStar Demolition and Remediation, LP
404 North Berry Street
Brea, California 92821 -3104
Fax (714) 672 -3501
A patty may change its address by giving notice in writing to the other party. Thereafter,
any cormnunication shall be addressed and transmitted to the new address. If sent by mail, any
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 sere forth above. If sent by telefaesimile, 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 sett forth above. For porposes
of calculating these time frames, weekends, federal, state, County or City holidays shall be
excluded.
14. EXCUUSIVITY 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, including the terms of
the UP not specifically referenced in this Agreement, between the parties. In the event of a
conflict between the terms of this Agreement and any attachments hereto, the terms of this
Agreement shall prevail, This Agreement may not be modified except by written instrument
signed by the City and by an authorized representative of Contractor. The parties agree that any
terms or conditions of any purchase order or other instrument that are inconsistent with, or in
addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor the City,
Each party to this Agreement acknowledges that no representations, inducements, promises or
251 -80
agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any
party, which are not embodied herein.
11. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor,
Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement
shall be construed to limit the City's ability to have any of the services which are the subject to
this Agreement performed by City personnel or by other Contractors retained by City.
12. TERMINATION
'Phis Agreement may be terminated by either party upon thirty (30) days written notice of
either party.
13. DISCRIMINATION
Contractor shall not discriminate because of race, color, creed, religion, sex, .marital
status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited
by applicable law, in the recruitment, selection, training, utilization, promotion, termination or
other employment related activities. Contractor affirms that it is an equal opportunity employer
and shall comply with all applicable :federal, state and local laws and regulations.
14. JURISDICTION - VENUE
This Agreement and all questions relating to its validity, interpretation, performance, and
enforcement shall be governed and construed in accordance with the laws of the State of
California. This Agreement has been executed and delivered in the State of California and the
validity, interpretation, performance, and enforcement of any of the clauses of this Agreement
shall be determined and governed by the laws of the State of California, Both parties further
agree that Orange County, California, shall be the venue for any action or proceeding that may
be brought or arise out of, in connection with or by reason of this Agreement.
13, RETENTION 0F RECORDS
Consultant agrees to retain all records relating to this Agreement for a period of three (3)
years after City makes final payment.
16. CERTIIIICAT.IONS
a. Audit Records - With respect to all matters covered by this agreement all records
shall be made available for audit and inspection by the City, the grant agency and /or their duly
authorized representatives if applicable for a period of three (3) years from the termination of
this Agreement. For a period of three years after final delivery hereunder or until all claims
251 -81
related to this Agreement are finally settled, whichever is later, Consultant shall preserve and
maintain, all documents, papers and records relevant to the services provided in accordance with
this Agreement, including the Attachments hereto. For the same time period, Consultant shall
make said documents, papers and records available to City and the agency from which City
received grant funds or their duly authorized representative(s), for examination, copying, or
mechanical reproduction on or off the premises of Consultant, upon request during usual
working hours.
b. Consultant shall provide to City all records and information requested by City for
inclusion in quarterly reports and such other reports or records as City may be required to
provide to the agency from which City received grant funds or other persons or agencies.
C. Section 504 of the Rehabilitation Act of 1973 „(IIandicapbed) - All recipients of
federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act).
Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives
assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be
excluded from the participation in, be denied the benefits of or be subject to discrimination,
including discrimination in employment, in any program or activity that receives or benefits from
federal financial assistance. The Consultant agrees it will ensure that requirements of The Act
shall be included in the agreements with and be binding on all of its contractors, subcontractors,
assignees or successors.
d. Americans with Disabilities _Act-of 1990 - (ADA) Consultant must comply with
all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable.
C. Political Activity - None of the funds, materials, property, or services provided
directly or indirectly under this agreement shall be used for any partisan political activity, or to
farther the election or defeat of any candidate for public office, or otherwise in violation of the
provisions of the "Hatch Act ".
f., Civil Rights Compliaace gnu l Totification ofFindinas - Consultant will comply,
and all its contractors will comply, with the nondiscrimination requirements of the Omnibus
Crime Control and Salle Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime
Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the
[rehabilitation Act of 1964, as amended; Subtitle A, Title it of the Americans with Disabilities
Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act
of 1975; Department of Justice Non - Discrimination Regulations, 28 CFR Part 42, Subparts C, D,
E, and Cr; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and
39. In the event a Federal or State court., Federal or State administrative agency, or the Recipient
makes a finding of discrimination after a due process hearing on the grounds of race, color,
religion, national origin, seat, or disability against a recipient of funds, the Consultant will
forward a copy of the findings to City which will, in turn, subunit the findings to the Office of
Civil Rights, Office of Justice Programs, U.S. Department of Justice.
g. Consultant will comply, and all its contractors will comply, with all
requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal
251 -82
Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as
supplemented in Department of Labor regulations (41 CFR Chapter 60), as applicable.
h. Consultant will comply, and all its contractors will comply, with all
requirements of the Copeland "Anti - Kickback" Act (18 U.S.C. 874) as supplemented in
Department of Labor regulations (29 CFR Part 3), as applicable.
i. Consultant will comply, and all its contractors will comply, with all
requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a -7) as supplemented by
Department of Labor regulations (29 CFR Part 5), as applicable.
j. Consultant will comply, and all its contractors will comply, with all
requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40
U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part: 5), as
applicable.
k. Consultant will comply, and all its contractors will comply, with all applicable
standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C.
1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and
the Environmental Protection Agency regulations (40 CFR part 15), as applicable.
1. Consultant will comply, and all its contractors will comply, with all
requirements of the Energy Policy and Conservation Act (Pub.. L. 94 -163, 89 Stat. 871), (53
CFR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as
applicable.
M. Consultant agrees that the Department of Homeland Security shall have the
authority to seek patent rights for any process, product, invention or discovery developed and
paid for with funding through this Agreement.
n. Consultant may copyright any books, publications or other copyrightable
materials developed in the course of or under this Agreement. However, the federal awarding
agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and
irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for
federal government, SAA and /or City purpose;
(i) the copyright in any work developed through this Agreement; and
(ii) any rights of copyright to which the subcontractor purchases ownership with
support through this grant. The Federal government's, SAA's and City's rights
identified above must be conveyed to the publisher and the language of the
publisher's release form must ensure the preservation of these rights.
17. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the
power, authority and right to bind their respective parties to each of the berms of this Agreement,
251 -83
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 fi7lly
set forth in the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and
year first above written.
ATTEST:
CITY OF SANTA ANA
MARIA HUIZAR DAVID CAVAZOS
Clerk of the Council City Manager
APPROVER AS TO FORM: CONTRACTOR
SONIA R. CARVALH(D NorthStar Demolition and Remediation, LP,
City Attorney �j
By. �v'.�bU-L��'q. r a Z'uu.
Laura A. Rossini Subhes lUtara
Senior Assistant City Attorney President
RECOMMENDED FOR APPROVAL:
EDWIN WlUTAM GALVEZ, P.E.
Interim Executive Director of
Public Works Agency
251 -84
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
PURCHASE AND SETTLEMENT
AGREEMENTS WITH TUAN ANH PHAN
AND HOANG NGO PHAN FOR THE
BRISTOL STREET IMPROVEMENTS
PROJECT (PROJECT NO. 116740
NO�NGENE'RAL/FUN``D)
CITY MANAOiER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 1a' Reading
❑ Ordinance on 21d Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Authorize the City Manager and Clerk of the Council to execute the following agreements with
Tuan Anh Phan and Hoang Ngo Phan, husband and wife, as joint tenants of the property located
at 1405 North Bristol Street (APN 405 - 272 -17), subject to nonsubstantive changes approved by
the City Manager and City Attorney:
1) A purchase agreement in the amount of $550,000 for the full purchase price for said real
property.
2) An all- inclusive settlement agreement in the amount of $200,000 as total compensation for
relocation assistance, and any and all related expenses and claims for relocation benefits,
moving, interest of any kind in real estate and leasehold, and loss of goodwill (if any).
Bristol Street is a major north -south transportation facility, which is designated as a major arterial
highway in the City's Circulation Element of the General Plan. The improvement of the 3.9 -mile
Bristol Street segment from Warner Avenue to Memory Lane has been a long -term priority project
that is being constructed in several phases. Improvements include the widening of the street from
two to three lanes in each direction, raised landscape medians, and bike lanes. The Public Works
Agency is acquiring property for development of Phase 1116, in the area bounded by Washington
Avenue and Seventeenth Street, and expects to complete the acquisition process by December
2014. Construction is anticipated to begin during the middle of 2015.
To accommodate the improvements for Phase IIIB, full acquisition of the mixed -use property
located at 1405 North Bristol Street is required (Exhibit 1). An offer based on the appraised value
prepared by an appraiser licensed by the State of California was made on June 16, 2014. The
property owner accepted the City's offer of $550,000. In accordance with Title 25 of California
25J -1
Purchase Agreement with Phan for the
Bristol Street Improvements Project
August 5, 2014
Page 2 of 2
Relocation Guidelines, the owners are also entitled to relocation benefits and related expenses
totaling $200,000.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities &
Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City
assets), Strategy G (develop and implement the City's Capital Improvement Program in
coordination with the Community Investment and Deferred Maintenance Plans).
Approval of this item also supports the City's efforts to meet Goal #3 Economic Development,
Objective #2 (create new opportunities for business /job growth and encourage private
development through new General Plan and Zoning Ordinance policies), Strategy C (support
business development and job growth along transit corridors through the completion of critical
transit plans /projects).
ENVIRONMENTAL IMPACT
In 1990, City Council approved these proposed improvements as the Bristol Street Final
Environmental Impact Statement/Environmental Impact Report (FEIS /EIR No. 89 -01). Since the
adoption of the 1990 FEIS /EIR, due to several minor design modifications at Phase 1116 between
Washington Avenue and Seventeenth Street, an Addendum to the FEIS /EIR was prepared and
adopted according to the California Environmental Quality Act by City Council on July 1, 2014.
FISCAL IMPACT
Funds are appropriated in the Select Street Construction Fund account (No. 05917661- 66220) and
Measure M2 Street Construction Fund account (No. 03217662 - 66220).
Edwin "William" Galvez, P.E.
Interim Executive Director
Public Works Agency
EWG /KN
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
Exhibits: 1. Location Map
2. Purchase Agreement
3. All- Inclusive Settlement Agreement
25J -2
25J -3
4
(NTS)
LEGEND:
495-252 -19
495- 252 -18
495- 252 -17
WASHINGTON AVENUE
I p
f I I 1
r4 8 t SUBJECT PROPERTY
- ACOLII IRED PROPERTIES
Exhibit 1
Location Map
--• • • r - •
25J -4
495-272 -19
W
Ill
I
m
j 495- 272 -18
-
11-4' 'r"27 1,7,E
14651 N1 i
®
495- 272 -16
495- 272 -15
rr
m
495- 272 -14
1319 N BRISTOL ST
WASHINGTON AVENUE
I p
f I I 1
r4 8 t SUBJECT PROPERTY
- ACOLII IRED PROPERTIES
Exhibit 1
Location Map
--• • • r - •
25J -4
PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY
AND BILATERAL ESCROW INSTRUCTIONS
THIS AGREEMENT (hereinafter "PSA "), entered Into on ..................
2014, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under
the Constitution and laws of the State of California (hereinafter "City" or "Buyer"), and Tuan Ann Phan and
Hoang Ngo Phan, Husband and Wife as Joint Tenants (hereinafter "Seller "), regardless of number or gender;
THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject
to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to
purchase from Seller, that certain real property (hereinafter "Said Real Property ") legally described as
follows:
SEE EXHIBIT "A" — Legal Description
ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF
(Commonly known as 1405 N. Bristol Street, Santa Ana, CA)
(APN: 405- 272 -17)
Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following
terms, conditions, promises, covenants, agreements and provisions, to wit:
1. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the
office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within thirty
(30) days from and after the date on which the City has approved this Agreement.
2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly
provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all
conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations,
encumbrances (whether monetary or non - monetary, general or specific, including any and all leasehold
interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller
hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as
provided above. Seller further agrees that acceptance by City of any deed to said real property, with or
without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit,
limitation, encumbrance (whether monetary or non- monetary, general or specific, and including any and all
leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and
clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City
because of the failure of Seller to convey title as hereinabove provided.
3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real
property to City, within the time and at the place hereinabove specified for said conveyance of said real
property, a policy of title insurance to be issued by the above mentioned title company, with the City therein
named as the insured, in the amount of Five Hundred Fifty Thousand AND NO /100 Dollars ($550,000.00)
insuring the title of the City to said real property is free and clear of any and all conditions, restrictions,
reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or
non - monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in
title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by
City of any such policy of insurance, whether such insurance complies with the requirements of this
paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of
Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to
City by reason of the failure of Seller to convey title or to provide title insurance as required in this
Agreement.
Exhibit 2
25J -5
4. Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2
First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on
which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the
City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon
the opening of the escrow. Escrow to close no sooner than 15 days but within 30 days of the City's
execution of this Agreement.
The Escrow Agent hereby is empowered to act under this Agreement, and upon Indicating its acceptance of
this Section 4 and of the General Provisions described in Exhibit "B " attached hereto and incorporated
herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of
this Agreement, shall carry out its duties as Escrow Agent hereunder.
City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer
taxes, recording fees, cost of title insurance, reconveyance fees, document preparation fees, escrow fees
and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment
of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil
Code Procedures Section 1265.240.
The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed
upon it under Section 4, Section 6, Section 8 and (Exhibit "B" of the General Provisions of this Agreement.
5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within
which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared
and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State
of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of
the State of California for that portion of property taxes on said real property for said fiscal year which have
been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that
portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded
and made uncollectibie if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State
of California. All unpaid taxes on said real property for any and all years prior to the fiscal year within which
said conveyance is made shall be paid by Seller before conveyance of said real property to City.
6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as
and for the full purchase price for said real property, fixtures & equipment (improvements pertaining to the
realty), goodwill (if any), and severance damages, the total sum of Five Hundred Fifty Thousand AND N01100
Dollars ($550,000.00). City agrees to deposit said purchase price in escrow with the Escrow Agent within
THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow
Agent is hereby authorized to pay the same to Seller upon and after:
(a) Conveyance of said real property by Seller to City as hereinabove provided;
(b) Acceptance by City of a Grant Deed conveying said real property to City;
(c) Delivery to City of the policy of title insurance as hereinabove provided;
(d) Recordation of the Deed conveying said real property to City,
(e) All tenants to have vacated the property
7. Possession. Seller agrees to deliver to City, on December 31, 2014, quiet and peaceful possession
of said real property, which shall be made free by Seller of all personal property.
Page 2 of 9
25J -6
8. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct
statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within
fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be
prorated as of the close of escrow on the basis of a 30 -day month /360 -day year consistent with that
statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are
vacant as of the date that this agreement is executed by seller, or which may be vacated by present
occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by
keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits
pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall
be transferred to and become the property of City during escrow.
Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements,
tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless
from all liability from any such leases or agreements. Seller also warrants that there are no oral or written
leases on all or any portion of the subject property exceeding a period of one month.
9. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the
part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said
covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein,
10. Heirs, Assigns, Successors -in- Interest. This PSA, and all the terms, covenants and conditions
hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective
Parties hereto.
11. Time is of the Essence. In all matters and things hereunder to be done and in all payments
hereunder to be made, time is and shall be of the essence,
12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation
at fair market value for said real property and includes payment for fixtures & equipment (improvements
pertaining to the realty), goodwill (if any), and severance damages.
11 Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M -36, P.O. Box
1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the
Seller is:
Tuan Anh Phan and Hoang Ngo Phan
1405 N. Bristol
Santa Ana, CA 92706
14. Exceptions. City agrees to accept title to said real property subject to the following: NONE.
15, All Inclusive Settlement Agreement. Concurrently with this PSA, the parties have entered into
an All Inclusive Settlement Agreement ( "Settlement Agreement "), for all other issues related to the
acquisition of the Property, in the amount of $200,000.
16. Entire Agreement. Together with the Settlement Agreement it Is mutually agreed that the Parties
hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest,
each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of
Said Real Property by City. Without full execution of both this PSA and the Settlement Agreement, both the
PSA and the Settlement Agreement are null and void and are not enforceable.
17. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant,
Page 3 of 9
25J -7
occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any
hazardous waste, toxic substances, or related materials ( "Hazardous Materials ") on, under, in, or about the
Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit
the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on,
under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term
"Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any
local governmental authority, the State of California, or the United States Government, including, but not
limited to, any material or substance which is (1) defined as a "hazardous waste ", "extremely hazardous
waste ", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section
25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law),
(ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division
20, Chapter 6.8 (Carpenter - Presley- Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous
material ", "hazardous substance ", or "hazardous waste" under Section 25501 of the California Health and
Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv)
defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division
20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii)
polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous"
pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated
as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. 51317), (x) defined
as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42
U.S.C. 56901 at se q. (42 U.S.C. S6903) or (A) defined as a "hazardous substances" pursuant to Section
101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C.
89601 et sec, (42 U.S.C. S9601).
17, Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies
with all applicable laws and governmental regulations including, without limitation, all applicable federal,
state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other
environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution
Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental
Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules,
regulations, and ordinances of the city within which the subject property is located, the California Department
of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the
Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus.
18. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any
claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or
expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (1) the
presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or
about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged
violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use,
generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or
about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine,
penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for
personal injury (including sickness, disease, or death, tangible or intangible property damage,
compensation for lost wages, business income, profits or other economic loss, damage to the natural
resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse
effect on the environment). This Indemnity extends only to liability created prior to or up to the date this
escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow.
19. Contin enc . It is understood and agreed between the parties hereto that the completion of this
transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the
City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said
acceptance and approval.
Page 4 of 9
25J -8
20. Modification and Amendment, This PSA may not be modified or amended except in writing signed
by the Seller and City.
21. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of
which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the
remaining provisions of this PSA shall remain in full force.
22. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience
only and are not to be considered in construing this PSA.
23. Governina Law. This PSA shall be governed by and construed in accordance with the laws of the
State of California.
24, No Reliance By One Party On The Other. Each party has received independent legal advice from its
attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The
provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon
any attribution to such party as the source of the language in question.
25. No Third Party Seneficia . This PSA is intended to benefit only the Parties hereto and no other
person or entity has or shall acquire any rights hereunder.
26. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute
and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) ,
and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and
conditions of this PSA, without cost.
27. Applicability of Agreement To Assignees. This PSA shall be binding upon and shall inure to the
benefit of the successors and assigns of the Parties to this PSA.
28. Authority to Execute Agreement. 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 PSA,
and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City
in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. In the event the
City does not sign this Purchase and Sale Agreement, this Purchase and Sale Agreement is null and void
and is not enforceable.
29. incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as
if fully set forth In the body of this PSA.
Page S of 9
25J -9
IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written
above.
SELLER:
Tuan Anh Phan and Hoang Ngo Phan, Husband and Wife as Joint Tenants
Date: U-1 r S , 2014
Tuan Anh Ph�a�n�
Date: i t�- -ia 201-4
Hoang Ngo Phan
City /Buyer
City of Santa Ana
David Cavazos
City Manager
Attest:
Maria D. Huizar
City Clerk
Approved as to Form:
e S dovai
C i f Assistant City Attorney
Date:
Date:
2014
2014
Date: 03A k- k- i4 , 2014
Page 6 of 9
25J -10
17"41 ill"T
LEGAL, DESRIPTION
Real property in the City of Santa Ana, County of Orange, State of California, described as
follows:
LOT 13 OF TRACT NO. 863, NOBLE PARK NO. 2, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE,
STATE OF CALIFORNIA, AS PER MAP RECORDED IN BOOK 26 PAGE(S) 30 OF MISCELLANEOUS MAPS, IN
THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY.
APNa405- 272 -17
Page 7 of 9
25J -11
EXHIBIT "B"
GENERAL ESCROW PROVISIONS
All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in
one or more of your general escrow accounts with any bank doing business in the State of California and
may be transferred to any other general escrow account or accounts. After close of City escrow of the
property at 1405 N. Bristol, the $550,000 will be deposited in the sellers' personal account by a check or wire
transfer as they have instructed the First American Title. The expression "close of escrow" means the date
on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a
30 -day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the
issuance of a policy of title insurance called for, is hereby authorized.
There shall be no proration of any existing insurance policies in this escrow.
You are to furnish a copy of these instructions, amendments thereto, closing statements andlor any other
documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and /or the
attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys.
Should you before or after close of escrow receive or become aware of any conflicting demands or claims
with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited
herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such
conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any
action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to
pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred
by you in connection with, or arising out of this escrow, including, but without limiting the generality of the
foregoing, a suit In interpleader brought by you. In the event you file a suit in interpleader, you shall ipso
facto be fully released and discharged from all obligations imposed upon you in this escrow.
If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly
charge as custodian thereof of not less than $10.00 per month.
Time is declared to be the essence of these instructions. If you are unable to comply within the time
specified herein and such additional time as is required to make an examination of the official records, you
will return all documents, money or property to the party entitled thereto upon satisfactory written demand
and authorization. Any amendment of and /or supplement to any instructions must be in writing. The seller
agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof.
These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of
which independently shall have the same effect as if it were the original, and all of which taken together shall
constitute one and the same instruction.
Page 8 of 9
25J -12
When recorded, please mail this
instrument and tax statements to:
Cleric of the Council
City of Santa Ana
20 Civic Center Plaza, M -30
Santa Ana, California 92701
Free recording requested by
THE CITY OF SANTA ANA PER
GOVERNMENT CODE SECTION 6103,
SPACE ABOVE THIS LM FOR RECORDER'S USE
CANCEL
'TAXES
X
APPROVED AS TO
FORM 13Y ATTY,
APPROVED BY
DIRECTOR
DESCRIM[ON
wMl "IiN BY
DESCRI[MON
CIIECKED,O.K.
A. P.
NUMBER 405- 272 -17
WWMAP
NUMBER
PROJECT
NCMM11
1405 N. Bristol StrcNt, Smnn Ane, CA
DEED NUMBER
GRANT DEED
FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged,
Tuan Anh Phan and Hoang Ngo Phan, Husband and Wife as Joint Tenants
Do Hereby Grant to THE CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the
Constitution and laws of the State of California, for public roadway purposes, all that real prope+��jn the City of Santa
Ana, County of Orange, State of California, located at 1405 N. Bristol Street, described as follows: gip,►
SEE EXHIBITS "A" ATTACHED HERETO AND BY THIS REFERENCE MADE A PART Ob,
Dated
By: Tuan Anh Phan
Dated
Hoang Ngo Phan
Page 9 of 9
25J -13
ALL INCLUSIVE SETTLEMENT AGREEMENT
This Agreement ( "Agreement ") is made by and between the City of Santa Ana, a charter
city and municipal corporation duly organized and exiting wider the Constitution and laws of the
State of California ( "City') and Twin Anh Phan and Hoang Ngo Phan, Husband and Wife as
Joint Tenants ( "Owner "), The City and Owner are hereinafter sometimes referred to collectively
as the "Parties."
RECITALS
A. Owner operates a business, commonly known as H &H Tax, and is the occupant of
real property located at 1405 N, Bristol, Santa Ana, CA (the "Property'). Owner also
occupies the Property as their principal residence.
B. On October 4, 2013, the City made an offer to acquire the Property, and on June 12,
2014, the City made an updated offer to acquire the Property for the Bristol Stxeet
Widening Project,
C. The Parties desire to resolve all issues relating to the City's acquisition of the
Property in accordance with the terms and conditions set forth below.
D. The Parties acknowledge that the payment as set forth in paragraph 1(a) and other
consideration given in connection with this Agreement are the result of a compromise
and settlement of disputed claims, and shall never, at any time or for any purpose, be
considered an admission of liability or responsibility on the part of any of the parties
herein released.
NOW, THEREFORE, in consideration of the foregoing and of the mutual promises and
covenants hereinafter set forth, it is hereby agreed. by and among the Parties that:
1. Consideration
(a) The City shall pay to Owner the sum of $200,000.00 (Two hundred Thousand
Dollars) (Settlement Payment) as total compensation for relocation assistance and
any and all related expenses and claims as more fully described in paragraph 1.(b)
below. Upon full execution of this Agreement, the City will begin processing an
initial payment ( "Initial Payment ") in the amount of $148,500.00. This Initial
Payment will be deposited into escrow for Phans' replacement property within
fifteen business days from approval of this Agreement by City Council. Owner
agrees to cooperate with City and to allow City to request that an amendment be
added to the escrow instructions for the replacement property. This amendment
will require that the Initial Payment will be refunded to the City, should escrow
for the replacement property fail to close within 110 days, for whatever reason. In
this instance, and assinning escrow is opened on another replacement property,
the Initial Payment will be applied toward such replacement property. The City
will mare the final payment in the amount of $51,500.00, less ally deductions
described in paragraphs I (c) & (d) of this Agreement, after Owner vacates the
Property, signs a Certificate of Abandonment, provides all keys to the Property to
Exhibit 3
25J -14
the City or to the City's agent, and provides written verification that all hazardous
materials have been legally and properly moved.
(b) Owner agrees, that the consideration received, pursuant to paragraph 1(a) above
constitutes full satisfaction of any and all obligations of the City to Owner,
including, without limitation, any obligations for relocation assistance, relocation
benefits, moving expenses, interest of any kind in the real estate and leasehold,
any potential loss of business goodwill, compensation for personal property (loss
of inventory), furniture, fixtures and equipment, interest, attorney's fees, appraisal
fees, or damages of any nature.
(c) Owner agrees to vacate the premises by no later than December 31, 2014 (Vacate
Date). Should Owner remain in occupancy beyond the Vacate Date, a Two
Hundred Fifty Dollars ($250) per day penalty will be deducted from the Owner
Settlement Payment, for each day of occupancy beyond the Vacate Date unless a
written request for an extension has been submitted and consequently approved
by the City or its Agents,
(d) Owner hereby agrees that City may remove and dispose of any personal property
or trash that has not been moved upon the Vacate Date, as it elects and desires,
without any notice to Owner. Any disposal costs associated with Owners'
personal property, or clean up fees paid by the City, will be deducted from the
Owner Settlement Payment.
2. Release
(a) Nothing contained herein shall constitute a release or discharge by either party for
any of the undertakings of the other party to this Settlement Agreement. This
Agreement shall serve as a. full release and discharge by the Parries, on behalf of
themselves, their agents, representatives, assigns, trustees, administrators,
attorneys, heirs, relatives, spouses, ex- spouses, beneficiaries, and successors in
interest, in consideration of the mutual covenants and promises contained herein,
of the Owner, the City of Santa Ana, the City of Santa Ana Public Works Agency,
and those parties' accountants, other professionals, agents, representatives,
assigns, employees, administrators, trustees, insurers, attorneys, heirs,
beneficiaries, and successors in interest (collectively the "Released Parties "), from
all rights, claims or cross - claims, dernaids, actions, or causes of action, including
those for damages, compensation, relocation assistance, relocation benefits, loss
of goodwill, property interest, compensation for personal property (loss of
inventory), furniture, fixtures and equipment, punitive damages, interest, costs,
attorney's and appraisal fees, injunctive or declaratory relief, or for relief by way
of writ of mandate, or for demands, damages, refunds, debts, liabilities,
reckonings, accounts, obligations, costs, expenses, liens, actions, causes, and
causes of action of whatever kind, at law or in equity, that the Parties have now or
may have against any of the Released Parties arising from the facts and
circumstances described in this Agreement including but not limited to (1) the
acquisition of the Property by the City, (2) Owner's leasehold interest, if any, in
2 of 7
25J -15
the Property (or any portion thereof) or (3) any other right or interest Owner may
have, assert, or claim by reason of City's actions or failure to act, including, but
not limited to, any claim to relocation assistance, relocation benefits or
compensation for property or loss of goodwill from the City.
(b) In making this release, the Parties intend to and do release, acquit and discharge
the Released Parties, and each of them, from any liability of any nature
whatsoever for any claim, injury, damages, or equitable or declaratory relief of
any kind, whether the claim, or any facts on which such claim might be based, is
Imown or unknown to the party possessing the claim.. Each party expressly
acknowledges and waives any and all rights under Section 1542 of the California
Civil Code, which the Parties understand provides as follows:
A general release does not extend to claims which the creditor does not know or
suspect to exist in his /her favor at the time of executing the release, which if
known by him/her must have materially affected his /her settlement with the
debtor.
Each party acknowledges the foregoing waiver of the provisions of California
Civil Code Section 1542 was separately bargained for and expressly consents that
this Agreement shall be given fiill force and effect in accordance with each and all
of its express terms and provisions, including those terms and provisions relating
to unknown or unsuspected claims, demands and causes of action, if any, to the
same effect as those terms and provisions relating to any other claims, demands
and causes of action herein above specified.
(c) Each party acknowledges that it may hereafter discover facts or law different from
or in addition to those which it now believes to be true with respect to the release
of claims. Each party agrees that the foregoing release shall be and remain
effective in all respects notwithstanduig such different or additional facts or law
or any party's discovery thereof. The Parties shall not be entitled to any relief in
connection therewith, including, but not limited to, any damages or any right or
claim to set aside or rescind this Agreement.
(d) None of the Parties or their respective agents nor any related entities have made
any statement or presentation to the other regarding any fact relied upon in
entering into this Agreement and the Parties, and each of them, expressly do not
rely upon any statement, representation or promise of any other party or any
party's agent or related entities in executing this Agreement, except as is
expressly set forth herein. Each of the Parties has made such investigation of the
facts and law pertaining to the subject matter of this Agreement as it deems
necessary, and has consulted with legal counsel of its own choosing concerning
these matters.
(e) Owner hereby represents and warrants as of the Effective Date of this Agreement
that (1) to its actual knowledge, no other entity or person has any right, title, or
interest whatsoever in the released, claims, and (2) that there has been no
assignment, transfer, conveyance or other disposition by Owner of any of the
3 of7
25J -16
released claims, and that Owner will not make any such assignment, transfer,
conveyance or other disposition subsequent to the Effective Date of this
Agreement. Owner acknowledges that the City has relied and is relying upon
such representations and warranties in entering into this Agreement.
(f) Owner will Hold Harmless and defend City, its employees, agents, contractors or
representatives from any claims that may arise from Owner's nondisclosure of
any other interests in the Property or personal property referenced by this
agreement.
(g) This Agreement represents a settlement of doubtful and disputed claims between
the Parties and does not constitute any admission of liability by either party to the
other party to this Agreement. Owner and City now wish to enter into this
Agreement in lieu of and under threat of eminent domain proceedings.
3. Third Party Beneficiaries
Except as explicitly set forth herein, nothing in this Agreement is intended to create any
third party beneficiaries under this Agreement, and no person or entity other than City
and Owner shall be authorized to enforce the provisions of this Agreement.
4. Attorney's Fees
In the event of litigation relating to or arising out of this Agreement, the prevailing party
shall be entitled to be reimbursed by the non - prevailing party for all reasonable costs and
expenses incurred thereby, including, but not limited to reasonable attorney's fees and
costs for services rendered to such prevailing party.
5. hrdemni
Each party shall indemnify, defend and hold the other party and the Released Parties
harmless from and against any claims, damages, demands, liabilities, losses, judgments,
expenses and attorney's fees and /or costs resulting from the breach by such indemnifying
party of any provision of this Agreement, the falsity of any representation or warranty
made by the indemnifying party contained in this Agreement.
6. Purchase and Sale Agreement
Concurrently with the execution of this All Inclusive Settlement Agreement, the parties
have entered into a Purchase and Sale Agreement ( "PSA "), for the property in the amount
of $550,000.
7. Entire Agreement
Together with the PSA, this Agreement contains the entire Agreement of the Parties, and
supersedes any prior written or oral agreements between them, concerning the subject
matter of this Agreement. Without full execution of both the PSA and the Agreement,
both the PSA and this Agreement are null and void and not enforceable.
4 of 7
25J -17
8. Partial Invalidity
In the event that any term, covenant, condition or provision of this Agreement shall be
determined by a court of competent jurisdiction to be invalid or against public policy, the
remaining provisions shall continue in full force and effect.
9. Waiver and /or Modification
The provisions of this Agreement may not be waived, altered, amended or repealed, in
whole or in part, except upon a written agreement signed by each of the Parties. The
waiver by one party of the performance of any provisions of this Agreement shall not
invalidate this Agreement, nor shall it be deemed a waiver of any other provision hereof.
10. Headings
The headings, subheadings and numbering of the different paragraphs of this Agreement
are inserted for convenience and for reference only and shall not be considered for any
purpose in construing this Agreement.
11, Governing Law
The rights and obligations of the Parties under this Agreement shall be construed and
enforced in accordance with, and governed by, the laws of the State of California,
12. Successors In Interest
Subject to any restrictions against assignment contained herein, this Agreement shall
inure to the benefit of, and shall be binding upon, the assigns, successors in interest,
personal representatives, executors, estates, heirs, legatees, agents and related entities of
each of the Parties,
13. Necessary Acts
Each of the Parties agrees to perform such further acts, and execute and deliver such
further documents, as may be reasonably necessary to carry out the provisions of this
Agreement.
14. Advice of Counsel
The Parties, and each of the, aclmowledge that in connection with the negotiations and
execution of this Agreement, they have each been represented by independent counsel of
their own choosing and the Parties executed the Agreement after review by such
independent counsel; or, if they were not so represented, said non - representation is and
was the voluntary, intelligent and informed decision and election of the party not so
represented; aid, prior to executing the Agreement, each party has had an adequate
opportunity to conduct an independent investigation of all the facts and circumstances
with respect to the matters which are the subject of this Agreement including but not
5of7
25J -18
limited to the advisability of entering into this Agreement and the meaning of California
Civil Code Section 1542,
15. Authorit to o Execute This Agreement
Each person executing this Agreement on behalf of an entity represents that he or she is
authorized to execute this Agreement on behalf of that entity and to bind that entity to the
terms of this Agreement, If the City does not sign this Agreement, this Agreement is null
and void and is not enforceable.
16. Construction
Each party has cooperated in the drafting acid preparation of this Agreement. In any
construction to be made of this Agreement, or of any of its terms and provisions, the
same shall not be construed against any party,
17. Counterparts
This Agreement may be executed in counterparts, each of which shall be deemed an
original and, when taken together with other signed counterparts, shall constitute one
Agreement, which shall be binding upon and effective as to all Parties.
18, Voluntary Agreement
The Parties, and each of them, further represent and declare that they have carefully read
this Agreement and know the contents thereof, and that they sign the same freely and
voluntarily.
19. Notices
All notices, requests, demands and other communications required or permitted to be
given under this Agreement shall be in writing and shall either be delivered personally or
be sent by telegram or by regular or certified first class mail, postage prepaid, deposited
in the United States mail, and properly addressed to the party at its address set forth
below, or at any other address that such party may designate by written notice to the other
party:
To City: Jason Gabriel
Principle City Engineer
City of Santa Ana Public Works Agency
20 Civic Center Plaza, M -36
Santa Ana, California 92701
To Owner: Tuan Anti Phan and Hoang Ngo Phan
1405 N. Bristol Street
Santa Ana, CA 92706
6 of 7
25J -19
20. Jurisdiction and Venue
Any action or proceeding concerning this Agreement shall be filed and prosecuted in the
appropriate California court in the County of Orange, California. Each party hereto
irrevocably consents to the personal jurisdiction of the court. The Parties each hereby
expressly waive the benefit of any provision of law providing for a change of venue to
any other court, including, without limitation, federal court, due to any diversity of
citizenship between the Parties or due to the fact that either the City is a party to such
action or proceeding. Without limiting the generality of the foregoing, the Parties
specifically waive any rights provided to it pursuant to California Code of Civil
Procedure Section 394 or other state or federal statutes or judicial decisions of similar
effect.
IN WITNESS WHEREOF, the parties to this Agreement have executed this Agreement as of the
date first written above.
OWNER:
Tuan Anh Phan Title —� Tax Identification No. Date
C c 2�t Y Hoang 6� Title Tax Identification No. Dat e
CITY OF SANTA ANA
BY: Dated
David Cavazos
City Manager
ATTEST:
Maria D. Huizar
Clerk of the Council
APPROVED AS TO FORM:
Sonia R. Caivalho
City Attorney
�
BY:1 n L 4 —
Jo Sandoval
Ch' f Assistant City Attorney
7of7
25J -20
Dated
Dated _ VI — 14!
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT WITH RMC WATER AND
ENVIRONMENT FOR SEWER MASTER
PLAN UPDATES
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
❑ As Recommended
❑ As Amended
❑ Ordinance on 1" Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Authorize the City Manager and Clerk of the Council to execute an agreement with RMC Water
and Environment, subject to nonsubstantive changes approved by the City Manager and City
Attorney, to provide Sewer System Master Plan update services in an amount not to exceed
$500,000 for the term of the contract agreement.
DISCUSSION
The City of Santa Ana sanitary sewer collections system is comprised of 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. The City must inspect, assess, and maintain the sanitary sewer system in good repair to
remain in compliance with State Water Discharge Requirements and industry standards.
A sewer master plan is utilized by municipalities and sewer agencies as a systematic means to
identify and assess hydraulic system adequacy, model sewer flows, and establish capital
improvement program (CIP) projects, and develop rehabilitation and replacement programs. The
City last updated the Sewer System Master Plan in 2003. As a result, the City has identified and
completed several CIP projects in the recommended areas. These sanitary sewer improvements
maintain service levels, increase flow capacities, and prevent sewer system overflows.
Staff issued a Request for Proposals (RFP) for the Sewer System Master Plan update on
February 18, 2014. The RFP was posted on the City website. Four responses were received and
evaluated by a selection committee from the Public Works Agency. Three of the firms scored
above the minimum acceptable score of 70. Listed below are the ratings and the proposed fee for
the highest scored firm.
25K -1
Agreement with RMC Water and Environment for Sewer Master Plan Update
August 5, 2014
Page 2
Firm Score Proposed Fee
RMC Water and Environment 92 $386,592
PSOMAS, Inc. 87
RBF Consulting 85
Following evaluation and ranking of proposals, the fee rate schedule for the top ranked firm was
opened and reviewed. Staff recommends awarding a contract to RMC Water and Environment
based on its high rating and excellent service record in providing other utility agencies with similar
sewer services. The proposal contained a clear path toward achieving City goals and objectives
as required by the RFP, and includes value -added analyses not included in other proposals. The
master plan update scope of services is expected to be completed within 24 months; an
additional 12 months is included for optional related sewer infrastructure studies. The $500,000
total agreement compensation is comprised of the $386,592 project fee and $113,408 for the
optional work.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities &
Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City
assets), Strategy C (invest resources and technology to extend the service life of existing
infrastructure to protect the City's investment and support a high quality of life standard) and
Strategy F (perform periodic measurements to monitor and update each asset's condition and
ensure adequate funding for repair and /or replacement costs in future budgets).
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funds are available in the Sewer Services Fund account (No. 05617640- 62300).
APPROVED AS TO FUNDS AND ACCOUNTS:
Edwin "William" GFI ez, P.E. Francisco Gutierrez
Interim Executive Director Executive Director
Public Works Agency Finance & Management. Services Agency
EWG /NS /AF
Exhibits: 1. Agreement
25K -2
CONSULTANT AGREEMENT
THIS AGREEMENT, made and entered into this day of August, 2014 by and
between RMC WATER AND ENVIRONMENT, Inc., a California Corporation (hereinafter
"Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and
existing under the Constitution and laws of the State of California (hereinafter "City ").
RECITALS
A. The City desires to retain a consultant having skill and knowledge with regard to the
preparation of Sewer Master Plans.
B. Consultant represents that Consultant is able and willing to provide such services to the
City.
C. In undertaking the performance of this Agreement, Consultant represents that it is
knowledgeable in its field and that any services performed by Consultant under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional consulting firm in the field under similar circumstances
and in a similar location.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
a. Consultant shall provide a team of qualified engineers to perform a comprehensive
and integrated Sewer Master Plan Update.
b. The primary focus of this sewer master plan update is to evaluate the City's sanitary
sewer system for reliability, system hydraulic operations, and future needs. Consultant services
also include evaluation of the sewer collections system overall conditions in order to provide
new tools and methods empowering City staff to perform duties more effectively and efficiently.
o. The "Scope of Work and Services" for this agreement is attached as Exhibit "A" and
the Consultants Certification and Fee Schedule is attached hereto as Exhibit "B ".
d. The purpose and the general scope of services for this sewer master plan update are
summarized as follows:
Update the City's previous sewer master plan completed in 2003 to reflect subsequent
growth /changes in the City's General Plan, reflect subsequent sewer improvements, and
include most recent CCTV inspections and'EMLs.
• Assess the hydraulic capacity of the City's sewer system via the development of a
dynamic sewer system model.
EXHIBIT 1
25K -3
• Develop a Capital Improvement Program to address: existing and projected future
hydraulic capacity deficiencies; structural deficiencies of sewer segments; and any
enhancement measures to improve the City's Preventive Maintenance Plan.
• Prepare a Sewer Master Plan Update report, deliver a copy of the final sewer model to
the City and train staff on its use.
2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its
services, the amount of $386,592. A detailed breakdown of the Fee Schedule provided by
Consultant is attached hereto as Exhibit `B ". Additionally, Consultant will be compensated in an
amount not to exceed $113,408 for optional sewer studies which may be commissioned at the
City's sole discretion.
b. Consultant agrees that all work product developed in connection with this
agreement is and shall be the sole property of the City and the Consultant retains no rights of
ownership in the final deliverable work product.
C. Payment by City shall be made within sixty (60) days following receipt of proper
invoice evidencing work performed, subject to City accounting procedures. Consultant shall
submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the
prior month. 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. All invoices for
work performed under this contract shall be submitted in a format approved by the City. Invoices
shall include the following information at a minimum:
i. Consultant's invoice number
ii. Beginning and ending dates for services
iii. City project number and /or name (if applicable)
iv. Work site address /location (if applicable)
v. Labor hours, billing rate, direct costs and subtotals and total for invoice.
vi. Tasks for work performed.
d. Price Adjustments. The parties may annually agree to an adjustment of charges
(not to exceed 2 %) commencing at the end of the first year of the agreement, utilizing the month
of December statistics and supporting documentation. The two indices which will be used for
determining adjustments to services charges shall be the most recent December Consumer Price
Index (CPI) for All Urban Consumers for Los Angeles - Anaheim - Riverside CMSA, published by
the United States Department of Labor Bureau of Labor Statistics or any relevant successor for
the Orange County area (and the December Produce Price Index (PPI). The adjustment formula
shall be as follows: The CPI shall be weighted at ninety [90] percent and PPI shall be weighted at
ten [101 percent.).
25K -4
e, Extra Work. No new work of any kind shall be considered an extra unless a
separate estimate is given for said work and the estimate is approved by the City in writing
before the work is commenced. The Consultant will be required to provide detailed information
of such extra work. Documentation of contract compliance may be required on some occasions.
Work performed prior to obtaining written approval of the City shall not be included within the
Scope of Work and may not be paid.
3. TERM
This Agreement shall commence on the date first written above and shall terminate on
June 30, 2017. This agreement may be terminated earlier in accordance with Section 12, below.
In the event finding is not allocated for this project during the annual budget approval
process, the City shall notify Consultant of such occurrence in writing at least thirty (30) days
before the end of the current fiscal period, and contract shall terminate.
4. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor
shall it be construed to create an employer- employee relationship, a joint venture relationship, or
to allow the City to exercise discretion or control over the professional manner in which
Consultant performs the services which are the subject matter of this Agreement; however, the
services to be provided by Consultant shall be provided in a manner consistent with all
applicable standards and regulations governing such services. Consultant shall pay all salaries and
wages, employer's social security taxes, unemployment insurance and similar taxes relating to
employees and shall be responsible for all applicable withholding taxes.
S. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall
maintain and shall require its subcontractors, if any, to obtain and maintain insurance as
described below:
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 there from and damage to property,
resulting from any act or occurrence arising out of Consultant's non - professional service
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 One Million Dollars ($1,000,000) per occurrence, Two Million
Dollars ($2,000,000) in the aggregate. Such insurance shall (a) name the City, its officers,
employees, agents, volunteers, and representatives as additional insured(s); (b) be primary and
not contributory with respect to insurance or self - insurance programs maintained by the City;
and (c) contain standard separation of insured provisions.
25K -5
Business automobile liability insurance, or equivalent form, with a combined single limit
of not less than One Million Dollars ($1,000,000) per occurrence. Such insurance shall include
coverage for owned, hired and non -owned automobiles.
Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of
the Labor Code, Consultant is required to be insured against liability for Workers' Compensation
or to undertake self - insurance. Prior to commencing the performance of the work under this
contract, Consultant agrees to obtain and maintain any employer's liability insurance with limits
not less than One Million Dollars ($1,000,000) per accident.
If Consultant is or employs a licensed professional such as an architect or engineer:
Professional liability (errors and omissions) insurance, with a combined single limit of not less
than One Million Dollars ($1,000,000) per claim.
The following requirements apply to the insurance to be provided by Consultant pursuant
to this section:
a. Consultant 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 Consultant fails or refuses to produce or maintain the insurance required by this section
or fails or refuses to furnish the City with required proof that insurance has been procured and is
in force and paid for, the City shall have the right, at the City's election, to forthwith terminate
this contract. Such termination shall not affect Consultant's right to be paid for its time and
materials expended prior to notification of termination. Consultant waives the right to receive
compensation and agrees to indemnify the City for any work performed prior to approval of
insurance by the City.
6. INDEMNIFICATION
Consultant agrees to and shall indemnify and hold harmless the City, its officers and
employees from liability for personal injury, damages, just compensation, restitution, judicial or
equitable relief arising out of claims for personal injury and claims for property damage, which
may arise from the direct or indirect operations of the Consultant or its contractors,
subcontractors, agents, employees, or other persons acting on their behalf which relates to the
services described in section I of this Agreement, but only to the extent that it pertains to, or
relates to the negligence, recklessness, or willful misconduct of the design professional. This
indemnity and hold harmless agreement applies to all claims for damages, just compensation,
25K -6
restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the
negligence, recklessness, or willful misconduct of the design professional (collectively
"Claims "). Notwithstanding anything to the contrary contained herein, with respect to Claims
that are covered by Consultant's professional liability insurance policy (rather than Consultant's
general liability insurance policy), Consultant shall not be required to defend any indemnified
parties against any such Claims; provided, however, with respect to any defense costs (including
without limitation, court costs, attorney's fees and expert witness costs) incurred by an
indemnified party defending against such Claims, Engineer agrees to reimburse the indemnified
parties for the costs incurred as a result of such defense to the extent of Consultant's negligence,
recklessness, or willful misconduct.
CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such
information is reasonably understood to be confidential and /or proprietary, Consultant agrees
that it shall not use or disclose such information except in the performance of this Agreement,
and further agrees to exercise the same degree of care it uses to protect its own information of
fake importance, but in no event less than reasonable care. "Confidential Information" shall
include all nonpublic information. Confidential information includes not only written
information, but also information transferred orally, visually, electronically, or by other means.
Confidential information disclosed to either party by any subsidiary and /or agent of the other
party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure
shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is,
through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful
possession of the Consultant without an obligation of confidentiality; (d) is required to be
disclosed by operation of law; or (e) is independently developed by the Consultant without
reference to information disclosed by the City.
8. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct
or indirect, which would conflict in any manner with performance of services specified under
this Agreement.
9. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other
telegraphic communication in the manner provided in this Section, to the following persons:
To City:
Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M -30)
25K -7
and,
P.O. Box 1988
Santa Ana, CA 92702 -1988
telefacsimile (714) 647 -6956
City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, California 92702
telefacsimile (714) 647 -6515
To Consultant:
RMC WATER AND ENVIRONMENT
10509 Vista Sorrento Parkway
Suite 205
San Diego, CA 92121
Attention: Paul Giguere
A party may change its address by giving notice in writing to the other party. Thereafter,
any notice, tender, demand, delivery, or other communication shall be addressed and transmitted
to the new address. If sent by mail, any notice, tender, demand, delivery, or other
communication shall be effective or deemed to have been given three (3) days after it has been
deposited in the United States mail, duly registered or certified, with postage prepaid, and
addressed as set forth above. If sent by telefacsimile, any notice, tender, demand, delivery, or
other communication shall be effective or deemed to have been given twenty -four (24) hours
after the time set forth on the transmission report issued by the transmitting facsimile machine,
addressed as set forth above. For purposes of calculating these time frames, weekends, federal,
state, County or City holidays shall be excluded.
10. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Consultant, and supersedes any and all other agreements, oral or written, between the parties. In
the event of a conflict between the terms of this Agreement and any attachments hereto, the
terms of this Agreement shall prevail. This Agreement may not be modified except by written
instrument signed by the City and by an authorized representative of Consultant. The parties
agree that any terms or conditions of any purchase order or other instrument that are inconsistent
with, or in addition to, that terms and conditions hereof, shall not bind or obligate Consultant nor
the City. Each party to this Agreement acknowledges that no representations, inducements,
promises or agreements, orally or otherwise, have been made by any party, or anyone acting on
behalf of any patty, which are not embodied herein.
25K -8
It. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant,
Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement
shall be construed to limit the City's ability to have any of the services which are the subject to
this Agreement performed by City personnel or by other consultants retained by City.
12. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant
compensation for all services performed by Consultant prior to receipt of such notice of termination.
13. [Intentionally left blank]
14. [Intentionally left blank]
15. DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital
status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited
by applicable law, in the recruitment, selection, training, utilization, promotion, termination or
other employment related activities. Consultant affirms that it is an equal opportunity employer
and shall comply with all applicable federal, state and local laws and regulations.
16. JURISDICTION - VENUE
This Agreement and all questions relating to its validity, interpretation, performance, and
enforcement shall be government and construed in accordance with the laws of the State of
California. This Agreement has been executed and delivered in the State of California and the
validity, interpretation, performance, and enforcement of any of the clauses of this Agreement
shall be determined and governed by the laws of the State of California. Both parties further
agree that Orange County, California, shall be the venue for any action or proceeding that may
be brought or arise out of, in connection with or by reason of this Agreement.
[Signatures on next Page.]
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IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and
year first above written,
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorne
By.
J se San bVal.�,� �.
C e sat
stant City Attorney
RECOMMENDED FOR APPROVAL:
Maria D..Huizar
Clerk of the Council
CITY OF SANTA ANA
DAVID CAVAZOS
City Manager
CONSULTANT
Paul Gigntere, P.E.
Vice- President
Employer ID # or Individual SS #
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EXHIBIT "A"
SCOPE OF WORK AND SERVICES
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Project Objective: City desires to update the 2003 Sewer Master Plan to reflect subsequent
growth /changes in the City's General Plan, reflect subsequent sewer improvements, and include
the most recent CCTV inspections and Enhanced Maintenance Locations. The Update shall
analyze the age of the sewer infrastructure, and the capacity of the City's Sewer Collection
System for existing and future peak flow conditions under both dry and wet weather conditions.
In addition, the Update shall include the summary of the rankings of the condition of the sewer
pipes /manholes and the recommended rehabilitation and replacement of these sewers based on
the most recent CCTV inspection reports.
A Capital Improvement Program shall be developed to address identified hydraulic capacity
deficiencies and structural deficiencies that are a risk of collapse or prone to more frequent
blockages due to pipe defects. The hydraulic model delivered shall be turn -key and shall be
delivered within a GIS- complaint format that the City can access, maintain and continue to
operate in -house in the future. The primary focus of the update is to evaluate the collections
system overall conditions and to provide new tools and methods empowering the City staff to
perform duties more effectively and efficiently. The Sewer Master Plan Update will not need to
include the analysis of the existing lift stations.
Background: The City last performed a Sewer Master Plan in 2003. The two main objectives of
the 2003 Sewer System Master Plan, prepared by MWH, were to: assess the hydraulic capacity
of major sewers and lift stations with a dynamic computer model, and proactively identify
required improvements to ensure adequate capacity for current and projected future wastewater
flows; and perform a study to determine the extent of infiltration/inflow (UI) of groundwater and
storm water into the City's sewers, and recommend appropriate actions to address any identified
I/I problems. The City does not have a copy of the final model software or the
corresponding data input /output files. The City only has hard copies of the Final Sewer
Master Plan.
The City has experienced some growth/changes to the City's General Plan since the last sewer
master plan in 2003. Some of these changes include the Harbor Specific Plan, the Transit Zone
Plan and several District Specific Zone modifications. Several of the Priority 1 Projects included
in the 2003 Sewer Master Plan have been constructed. In addition, the City has implemented a
sewer lining program by which more than 55,000 feet of main sewer lines have been lined.
Since 2003, the City has also prepared the Sewer System Management Plan (SSMP) dated 2009
and the 2013 Sewer System Management Plan Internal Audit. In addition, the City in 2004
adopted a comprehensive Fats, Oils, and Grease (FOG) control program. Along with these
addition plans and programs, the City has been performing a system -wide video inspection every
eight years, which was last completed in 2010. The City has also updated the enhanced
maintenance locations (EMLs) as part of its implementation of the 2009 SSMP. The existing
2003 Sewer Master Plan needs to be updated to address these changes and additional
information.
Data Available from the City: The City does not have a copy of the final sewer hydraulic
model or the corresponding data files. It only has hard copies of the Final Sewer Master Plan
report. The City has developed a comprehensive sewer map in GIS format that shows all gravity
line segments, manholes, and lift stations which complies with a geometric network. The Sewer
25K -12
Atlas also has reference numbers to the particular construction plans that were used to build each
portion of the sewer system. The City has a current ArCGlS database, including all sewer pipes,
and manholes, which shall be used as the basis for the hydraulic model. In addition, the CCTV is
linked to the GIS assets.
In addition, the City has the following data/information which will be provided to the proposer
awarded the project: the City General Plan and Land Use Map; 2003 Sewer Master Plan; 2004
survey of select manholes; latest CCTV inspection reports; latest City's Sewer Cleaning Reports;
City's "Hot- Spot" Database; and the City's Sanitary Sewer Overflows (SSO) records. Included
within the appendix of this RFP are samples for the following data: ArcGIS database; typical
CCTV inspection report; typical sewer cleaning reports; City's typical "Hot- Spot" database; and
City's SSO records.
SCOPE OF WOMSERVICES
A. General
Project Management: All project management duties of tracking, reporting, and invoicing
project. Meetings including the following, as a minimum: kick -off; sewer system operation
overview; GIS database inconsistencies; wastewater flow development; model construction;
capacity analysis; CCTV Inspection Reports and The criteria for evaluating the proposals
submitted will take the following items into consideration: qualifications, abilities, deliverables,
approach, references, sample project, and responsiveness to the RFP.
1. EMLs; CIP; and final delivery. Consultant to recommend additional meetings as
necessary, to add value to the project, and increase the City's involvement and
familiarity with deliverables. Prepare agenda prior to meeting and meeting minutes
within three (3) days of meeting. For the proposal, assume a total of ten (10)
meetings, as a minimum.
2. Obtain data: Coordinate with City to obtain and review information related to the
project including, but not limited to, the City General Plan and Land Use Map; 2003
Sewer Master Plan; 2004 survey of select manholes; GIS data; latest CCTV
inspection reports; latest City's Sewer Cleaning Reports; City's "Hot- Spot" Database;
the City's Sanitary Sewer Overflows (SSO) records, etc.
3. Interview City maintenance staff to understand the sewer collection system, the 2003
Sewer Master Plan, the 2003 infiltration /inflow study, the CCTV inspection reports,
sewer cleaning reports, the "hot- spot" database, the FOG program, the SSO records,
and any known problem areas.
4. Meet with Orange County Sanitation District (OCSD), along with the City, to obtain
hydraulic capacity and flow data on the downstream OCSD sewers. In addition,
obtain from OCSD the typical settings for the diversions that impact the sewage flow
routing within the City of Santa Ana.
25K -13
B. Develop Sewer System Model
1. The objective of this task is to prepare a dynamic hydraulic model of the City's
existing sewer system using the City's GIS database, and Bentley's SewerGEMS,
commercially available hydraulic modeling software that is compatible with ESRI
GIS data.
2. The City has a current AreGIS database, including a comprehensive sewer map in
GIS format showing all sewer mains and manholes, which shall be used as the basis
for the preparation of the hydraulic model.
3. The survey data included in the 2003 Sewer Master Plan and the follow -up survey
data should be used within the model.
4. The consultant shall recommend the best practices and approach to creating the
hydraulic model from the City's GIS and existing data with special attention to
populating pipe invert elevations using the above survey data assuring that all pipes
are on the same datum.
The hydraulic model is expected to be comprehensive and shall include all major
sewer mains appropriate for hydraulic modeling. The consultant shall, in coordination
with the City staff, identify the major sewers to be initially hydraulically modeled and
studied. As a minimum, all of the sewer mains modeled in the 2003 Sewer Master
Plan shall be included in the update. The consultant shall, in coordination with City
staff, identify a plan and needs assessment for further hydraulic modeling of non -
major City sewers for capacity assurance. All OCSD trunks originating within the
City shall be included in the model. The drainage basins shall be consistent with the
2003 Sewer Master Plan and shall correlate to the corresponding OCSD trunk sewer.
6. The two existing lift stations will not need to be analyzed by the update. The lift
stations shall be included in the model only to transport the flows downstream.
7. A number of non - hydraulic attributes shall be included in the model such pipe
material and year of construction.
8. The model shall incorporate all land use data including the City's general and specific
plans and population /employment census data and projections.
C. Develop Wastewater Plows
1. Update the flows based on population and employment data and projections. Evaluate
impacts of past and current water conservation measures, water shortage, water
reduction measures implemented by the City.
2. Obtain flow monitoring data from long -term meters installed by OCSD that apply to
the City's sewer system. Review and evaluate previous flow monitoring data included
25K -14
in the 2003 Sewer Master Plan.
3. Update the major wastewater dischargers, including the industrial dischargers, and
cross -check this list with the City's largest water users. Update all point sources and
their estimated average daily process flows.
4. Review the Infiltration/Inflow Study included within the 2003 Sewer Master Plan.
The update shall recommend the appropriate inflow and infiltration rates in the
analysis.
5. Based on the above information, recommend the design flow criteria for both dry
weather and wet weather flow parameters to be used in determining the existing flow
conditions. Be sure to evaluate any need to reduce the previous design flow criteria
due to water conservation measures since the 2003 Sewer Master Plan.
6. Review the hydraulic deficient areas of the City's sewer system contained in the 2003
Sewer Master Plan. Consultant shall propose and execute a plan to measure and
collect sufficient dry and wet weather wastewater flows to utilize in calibrating the
sewer model. The plan shall include the proposed locations of the temporary flow
monitoring stations and the procedures for monitoring.
For the proposal, assume five (5) flow monitoring sites will be required. A minimum
of two (2) week dry weather flow monitoring will be required, During the rainy
season, the same sites shall be monitored for a minimum of two (2) weeks. The
consultant shall provide the required traffic control plans and traffic control during
the flow monitoring, including the set -up and removal of the equipment from the
manholes.
8. In addition, to confirm the anticipated flows, the consultant shall field inspect at peak
flow hours those manholes in known or suspected problem areas to confirm the depth
of flow (or surcharge) within the manhole. For this proposal, include field inspection
often (10) manholes will be required. The inspection of each manhole shall be
performed during peak dry weather flow and during peak wet weather flow (during a
rain storm). The consultant shall provide the required traffic control during the field
inspection.
D. Sewer System Capacity Analysis
1. Recommend the capacity analysis criteria to be used in the update.
2. Include within the analysis, the impacts of any backwater from OCSD's trunk sewers.
This information shall be obtained from OCSD and their most recent modeling of the
trunks.
3. The capacity analysis shall be performed for the current conditions and for conditions
25K -15
in 2024 (ten years in the future).
4. Identify any sewers with deficiencies under dry weather and wet weather flow
conditions for both existing and ultimate scenarios. In addition, the consultant shall
create model runs assuming no impact from the OCSD trunk sewers and runs
assuming the existing backwater conditions from the OCSD trunk sewers.
5. Provide the hydraulic model in a delivery platform for the City to maintain a
consistent connection with future sewer maintenance and construction updates and
the hydraulic model deliverable for subsequent operations and planning efforts. The
turnkey hydraulic model shall maintain a relationship with City operations and
maintenance systems including GIS, and other maintenance management systems for
ongoing use and application of asset condition and performance for planning and
operating decision support.
E. Summarize Sewer System CCTV Inspection Results
A CCTV inspection of the City's entire sewer system was completed in 2010. The
City assigned each sewer segment a score based on the National Association of Sewer
Service Companies (NASSCO) pipeline rating system. These ratings, as well as the
observed condition of each pipeline, will allow the consultant to identify gravity
mains that are at risk of collapse or prone to more frequent blockage due to pipe
defects. The City is continuing the system -wide video inspection and the consultant
shall use the most recent videos of the sewer system in this task.
2. The consultant shall integrate existing sewer system asset management plan pipe
ratings in the preparation of the prioritized Capital Improvement Program. Any sewer
segments rated QSR Grade 5 (structural condition) or QMR Grade 5 (maintenance
condition) shall be added to the Capital Improvement Program. Based on the 2013
Sewer System Management Plan Internal Audit, there were 371 sewer line segments
that had a structural severity rating (QSR) of 5.
F. Develop Capital Improvement Program
Based on the sewer system capacity analysis and the assessment of the pipe ratings,
the consultant shall recommend a Capital Improvement Program (CIF) to address
existing and projected future capacity, maintenance, and structural deficiencies of the
sewer system. The program shall identify the project, define the deficiency, describe
alternatives analysis and the recommended upgrade, and estimate the corresponding
planning -level capital cost.
2. The projects identified shall be prioritized based on the severity of the condition
assessment of the pipe, severity and /or immediacy of hydraulic capacity deficiencies,
the potential of an overflow, and/or the amount of surcharge.
3. In addition, the consultant shall review and discuss with the City staff the City's
25K -16
preventive maintenance plan, including the EMLs, identified locations from the FOG
program, and the "hot- spots ". Based on this information, the consultant shall
recommend any maintenance enhancement measures for these hot - spots, QMR Grade
5 locations, or other at -risk locations, that should be included within the CIP (i.e.
smart covers, additional cleaning frequency, additional field monitoring, monthly
manhole inspection, etc.). These maintenance recommendations shall be included
within the CIP with references to specific locations and reaches of the sewer.
4. The consultant shall recommend, in coordination with the City, a ten (10) year CIP to
implement the prioritized projects. The CIP shall be financially constrained based on
the projected available CIP budget.
5. The consultant shall also recommend additional monitoring, measurement or program
modifications for the remaining projects that are not included within the ten (10) year
CIP. The intent of this task is to provide new tools and methods to assist the City in
its implementation of the Sewer System Management Plan more effectively and
efficiently.
G. Deliverables and Training
I. Prepare a comprehensive written report describing the work performed, findings and
recommendations including the Capital Improvement Program. The report shall be
organized in a similar manner to the 2003 Sewer Master Plan. The consultant shall
submit six (6) copies of the draft report for City review. The consultant shall make a
presentation of the draft report to the City. After the City has reviewed the draft
report, the consultant shall meet with the City to discuss comments, modifications,
revisions, etc. The consultant shall incorporate the City's comments and final the
report.
2. The consultant shall deliver ten (10) bound copies of the Sewer Master Plan Update
Final Report to the City including all color maps and exhibits. The consultant shall
also provide a digital file of the final report in PDF format. The final report shall be
signed and stamped by a Registered Civil Engineer.
The consultant shall deliver a copy of the final turnkey sewer system model to City
and train staff on its use. The consultant shall hold a meeting at the City to present
the final sewer system model, explain the various model runs, and the model output.
The consultant shall load the model and corresponding model input and output files
onto the City's network. The consultant shall provide the City staff with complete
model maintenance manuals and provide copies of all training materials. The
consultant will be required to run several specific analyses using the City's computer,
program and data files.
4. Provide workshop minimum of twelve (12) hours for training on the model details,
software delivery platform, and methods and methodology behind ongoing use and
maintenance of the hydraulic model. The trainings shall be broken down into
25K -17
workshops consisting of no longer than four (4) hours each.
5. (Optional) The City may require the consultant to procure software program
(Bentley's SewerGEMS, Unlimited pipes Edition), license agreement and
installation. This item will not be an included factor in the proposal evaluation.
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EXHIBIT `B„
CONSULTANTS CERTIFICATION AND FEE SCHEDULE
25K -19
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REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT WITH AEGIS ITS, INC. FOR
TRAFFIC SIGNAL AND STREET LIGHTING
SYSTEMS MAINTENANCE
CITY MA AGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
..9 9,
❑ As Recommended
❑ As Amended
❑ Ordinance on 1" Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Authorize the City Manager and Clerk of the Council to execute an agreement with Aegis ITS, Inc.,
subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide
traffic signal and street lighting systems maintenance services, for a three -year period expiring
August 31, 2017, with the provision for two one -year extensions exercisable by the City Manager,
in an amount not to exceed $650,000 annually.
DISCUSSION
To effectively operate and maintain the City's traffic signals, street lighting systems, and
associated infrastructure, the City relies on a maintenance contractor to provide the necessary
personnel, equipment, and resources. The City's existing contract for traffic signal system and
street lighting maintenance services expires August 31, 2014.
A Request for Proposals (RFP) for maintenance services was issued on June 30, 2014. Two
proposals were received and evaluated by a three - member review panel comprised of Public
Works Agency staff. The scores were based on contractor experience, ability to respond to
emergency call -outs and maintain work schedules, service record performing requested
maintenance, responsiveness to the RFP requirements, and completeness of the proposal. Once
the top rated proposal was identified, the sealed fee proposal was opened.
The summary of proposal scores, annual costs for routine maintenance, and projected annual
extraordinary maintenance costs are as follows:
Contractor
Score
Routine
Extraordinary
Total
Maintenance
I Maintenance
1. Aegis ITS, Inc,
95
$231,598,68
1 $418,401.32
$650,000.00
2. Advantec
Nonresponsive
25L -1
Agreement for Traffic Signal and
Street Lighting Maintenance
August 5, 2014
Page 2
Staff recommends that the contract for traffic signal and street lighting maintenance services be
awarded to Aegis ITS, Inc. Although there is only one vendor which effectively responded to the
RFP, the recommended award is based on the demonstrated experience and exceptional
performance in delivering these services to the City over the past 5 years under the existing
contract, and also that the new contract limit is the same as the previous one.
The contract approved by this Council action will be effective September 1, 2014, through August
31, 2017, with a provision for two one -year extensions exercisable by the City Manager.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities &
Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City
assets), Strategy C (invest resources and technology to extend the service life of existing
infrastructure to protect the City's investment and support a high quality of life standard).
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Based on the submitted bids, the total estimated annual contract cost is $650,000, which includes
$620,000 for traffic signal maintenance and $30,000 for street lighting maintenance. The funds for
Fiscal Year 2014 -15 are available in the Public Works Agency Signal Maintenance and Street
Lighting accounts (Nos. 02917620 and 01117630).
Edwin "William" Galv , -P.E.
Interim Executive Director
Public Works Agency
EWG /VN
Exhibit: 1. Agreement
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
25L -2
CONTRACTOR AGREEMENT
THIS AGREEMENT, made and entered into this 5th day of August, 2014 by and between
Aegis ITS, Inc., a California corporation (hereinafter "Contractor "), and the City of Santa Ana, a
charter city and municipal corporation organized and existing under the Constitution and laws of
the State of California (hereinafter "City "),
RECITALS
A. The City desires to retain a Contractor having special skill and knowledge in the
field of traffic signal and street light systems maintenance.
B. Contractor represents that Contractor is able and willing to provide such services to
the City.
C. In undertaking the performance of this Agreement, Contractor represents that it is
knowledgeable in its field and that any services performed by Contractor under this
Agreement will be performed in compliance with such standards as may reasonably
be expected from a professional contracting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Contractor shall perform preventive and extraordinary maintenance on the citywide
traffic signal system and street light system, as set forth in the Scope of Work attached hereto as
Exhibit A, and incorporated, in fall, by this reference. Said work shall be completed in
conformance with Contractor's Proposal, dated July 14, 2014, on file with the Public Works
Agency, Traffic Engineering Division,
2. COMPENSATION
a. City agrees to pay, and Contractor agrees to accept as total payment for its services,
the rates and charges identified in Contractor's Fee Proposal, attached hereto as Exhibit B, Rate
increase for the first additional twelve -month period (September 1, 2015- August 31, 2016) shall
be based on the year 2014's consumer price index (CPI) or 5 %, whichever is the lowest. Rate
increase for the second additional twelve -month period (September 1, 2016- August 31, 2017)
shall be based on the year 2015's consumer price index (CPI) or 5 %, whichever is the lowest.
The total sum to be budgeted under this Agreement shall not exceed $650,000.00, annually,
during the tern of this Agreement.
b. 1. Invoices for Traffic Signal S, stem
Contractor shall prepare separate invoices for routine maintenance and extraordinary
maintenance.
For extraordinary maintenance billings:
Exhibit 1
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i. The Contractor shall prepare a general invoice to include all extraordinary
billings that is less than $500 per intersection,
ii. The Contractor shall prepare a separate invoice for each location when
extraordinary billing is in excess of $500 per intersection,
iii. The Contractor shall prepare a separate invoice for intersections that are
shared with other jurisdiction listed in Exhibit A, Appendix B, or as
requested by the Traffic Engineer.
2. Invoices for Street Light System
i. For extraordinary maintenance billing, an itemized invoice per month will
be required. Invoices shall be itemized as to, the purpose for the work,
Date of repairs, addresses of repairs, a description of the repairs and a full
itemized accounting of all material, equipment and labor costs. Each
invoice shall be for one (1) days work, each day's work shall be on one (1)
invoice.
c. Payment by City shall be made within thirty (30) days following receipt of such
invoice evidencing work performed, subject to nornral 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. However, payment shall not be made to the
Contractor until the required reports and As- Builts have been properly submitted for work
completed.
3. TERM
This Agreement shall commence on September 1, 2014, and will terminate August 31,
2017, unless terminated earlier in accordance with Section 13, below. Funding for the initial
one -year period has been approved by the City Council. If the City Council fails to approve
continued funding for this Agreement over the subsequent one -year periods from September 1
through August 31, said Agreement will automatically terminate on the expiration of the then
current term, The tenn of this Agreement may be extended for up to two additional one -year
periods, upon a writing executed by both parities, including the City Manager and the City
Attorney for the City.
4. INDEPENDENT CONTRACTOR
Contractor shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor
shall it be construed to create an employer- ernployce 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.
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S. INSURANCE
Prior to undertaking performance of work under this Agreement, Contractor shall
maintain and shall require its subcontractors, if any, to obtain and maintain insurance as
described below:
a. Commercial General Liability Insurance. Contractor shall maintain commercial
general liability insurance naming the City, its officers, employees, agents, volunteers and
representatives as additional insureds) and shall include, but not be limited to protection against
claims arising from bodily and personal injury, including death resulting therefrom and damage
to property, resulting from any act or occurrence arising out of Contractor's operations in the
performance of this Agreement, including, without limitation, acts involving vehicles. The
amounts of insurance shall be not less than the following: single limit coverage applying to
bodily and personal injury, including death resulting therefrom, and property damage, in the total
amount of $1,000,000 per occurrence. Contractor's comprehensive general liability insurance
policy shall contain language substantially similar to the following clauses:
(1) The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701;
its officers, employees, agents, volunteers and representatives are named as additional insureds
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 insured.
(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.
b. Business automobile liability insurance, or equivalent form, with a combined single
limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for
owned, hired and non -owned automobiles.
c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300
of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against
liability for worker's compensation or to undertake self-insurance. Prior to commencing the
performance of the work under this Agreement, Contractor agrees to obtain and maintain any
employer's liability insurance with limits not less than $1,000,000 per accident.
d. If Contractor is or employs a licensed professional such as an architect or engineer:
Professional liability (errors and omissions) insurance, with a combined single limit of not less
than $1,000,000 per claim.
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e, The following requirements apply to the insurance to be provided by Contractor
pursuant to this section:
(i) Contractor shall maintain all insurance required above in full force and
effect for the entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of
this Agreement and shall be approved in form by the City Attorney.
(iii) Certificates and policies shall state that the policies shall not be canceled
or reduced in coverage or changed in any other material aspect without
thirty (30) days prior written notice to the City.
f Certificates of insurance evidencing the coverages required by the clauses set forth
above shall be filed with City prior to the effective date of this Agreement. This is a condition
precedent to the formation of any obligation by City to compensate Contractor under this
agreement.
6. INDEMNIFICATION
Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents,
employees, Contractors, 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 health, and claims for property damage, which may arise from the
direct or indirect operations of the Contractor or its subcontractors, agents, employees, or other
persons acting on their behalf which relates to the services described in section I of this
Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just
compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered,
by reason of the events referred to in this Section. The Contractor further agrees to indemnify,
hold harmless, and pay all costs for the defense of the City, regarding any action by a third party
asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief
due to personal or property rights arises by reason of the direct or indirect operations of the
Contractor or its subcontractors, agents, employees or other persons acting on its behalf, City
may make all reasonable decisions with respect to its representation in any legal proceeding. If
City determines, in its sole discretion, that a conflict may exist between Contractor and City,
Contractor will pay fees and costs for special counsel to be selected by the City.
7. CONFIDENTIALITY
If Contractor receives from the City information which due to the nature of such
information is reasonably understood to be confidential and /or proprietary, Contractor agrees that
it shall not use or disclose such information except in the performance of this Agreement, and
further agrees to exercise the same degree of care it uses to protect its own information of like
importance, but in no event less than reasonable care. "Confidential Information" shall include
all nonpublic information. Confidential infonnation includes not only written information, but
also information transferred orally, visually, electronically, or by other means. Confidential
information disclosed to either party by any subsidiary and /or agent of the other party is covered
by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to
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any information that (a) has been disclosed in publicly available sources; (b) is, through no fault
of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the
Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of
law; or (e) is independently developed by the Contractor without reference to information
disclosed by the City,
8. CONFLICT OF INTEREST CLAUSE
Contractor covenants that it presently has no interests and shall not have interests, direct
or indirect, which would conflict in any manner with performance of services specified under
this Agreement,
9. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid,, or sent by telefacsimile or other
telegraphic communication in the manner provided in this Section, to the following persons:
To City: Cleric of the City Council
City of Santa Ana
20 Civic Center Plaza (M -30)
P.O. Box 1988
Santa Ana, CA 92702 -1988
telefacsimile (714) 647 -6956
With courtesy copies to:
For traffic signal system maintenance:
Traffic Signal System Maintenance
City of Santa Ana
20 Civic Center Plaza, M -43
Santa Ana, CA 92701
Attn: Vinh Nguyen
and City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, CA 92702 -1988
Telefacsimile (714) 647 -6515
To Contractor: Aegis ITS, Inc.
3360 E. La Palma Avenue
Anaheim, CA 92806 -2856
telefacsimile (714) 666 -1123
For street lighting system maintenance:
Street Light Maintenance
City of Santa Ana
20 Civic Center Plaza, M -21
Santa Ana, CA 92701
Attn: Kurt Wiemann
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Attn: Rick Dimean
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 telefacshnile, communication shalt be effective or
deemed to have been given twenty -four (24) hours after the time set forth on the transmission
report issued by the transmitting facsimile machine, addressed, as set forth above. For purposes
of calculating these time frames, weekends, federal, state, County or City holidays shall be
excluded.
10. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Contractor, and supersedes any and all other agreements, oral or written, between the parties. In
the event of a conflict between the terms of this Agreement and any attachments hereto, the
terms of this Agreement shall prevail. This Agreement may not be modified except by written
instrument signed by the City and by an authorized representative of Contractor. The parties
agree that any ternls 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.
11. ASSIGNMENT
Contractor shall not assign or transfer any interest in this agreement, whether by
assignment or novation, without prior written consent of City; provided, however, that claims for
money due or to become due to Contractor from City under this agreement may be assigned to a
bank, trust company, or other financial institution, or to a trustee in bankruptcy, without such
approval. Notice of any such assignment or transfer shall be furnished promptly to City.
12. REDUCTION IN SCOPE OF WORK
The City reserves the right to reduce the scope of work for this contract at any time. In
the event that the City determines to reduce the scope of work, there shall be no adjustment of
unit prices for the remaining scope of work.
The City also reserves the right to conduct any extraordinary maintenance of traffic
signal, ATMS, and street light facilities without using the services of the Contractor, if it is in the
City's best interest to complete the work,
6
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13. TERMINATION
In the event that any of the provisions of this contract are violated by the Contractor, the
City may terminate the contract by serving written notice upon the Contractor of its intention to
terminate such contract and, unless within ten (10) days after the serving of such notice, such
violation shall cease, the contract shall, upon the expiration of said ten (10) days, cease and
terminate. In the event of any such termination for the reason mentioned above, the City may
take over the work and prosecute the same to completion by contract or otherwise for the account
and at the expense of the Contractor, and the Contractor and his sureties shall be liable to the
City for any excess cost occasioned in the event of any such termination. This clause shall not
be construed to prevent the termination, for other causes, authorized by law or other provisions
of this contract
14. 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.
15. 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 Orango 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.
16. PROFESSIONAL LICENSES
Contractor shall, throughout the term of this Agreement, maintain all necessary licenses,
including a California Class C10 Contractor's License, 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.
17. RESPONSIBILITY FOR DAMAGES
The Contractor shall be responsible for all damages to persons and /or property that occur
as a result of the fault or negligence of said Contractor or its employees in connection with the
performance of this work.
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18. PERFORMANCE PROVISIONS
If the Contractor should neglect to prosecute the work properly or fail to perform any
provisions of this contract, the City shall provide written notice to the Contractor of such
inadequacy. Three (3) days after delivery of such Notice to Contractor, if Contractor has failed to
correct the inadequacy, the City may, without prejudice to any other remedy it may have, make
good such deficiencies and may deduct the cost thereof from the payment then or thereafter due
the Contractor, provided, however, that the Executive Director of the Public Works Agency of the
City shall approve such action and certify the amount thereof to be charged to the Contractor.
19. RESOLUTION OF CONSTRUCTION CLAIMS
Contractors claims of $375,000 or less shall be resolved in accordance with the
provisions of Article 1.5 (commencing with Section 20104) of Chapter 1 of Part 3 of the Public
Contract Code.
20. 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.
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IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year first
above written.
ATTEST:
Maria D. Huizar
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Atto A
By: °
Ryan
CITY OF SANTA ANA
David Cavazos
City Manager
AEGIS ITS, INC.
BY:
Rodney Mathis
Senior Vice President
Tax ID No.
25L -11
EXHIBIT A
to
25L -12
SCOPE OF WORK
I. PURPOSE
The City of Santa Ana is seeking an experience contractor to perform preventive and extraordinary
maintenance on the citywide traffic signal system and street lighting system.
II. TRAFFIC SIGNAL SYSTEM MAINTENANCE
1. Scope of Work
The Contractor shall furnish all tools, equipment, apparatus, facilities, labors, services,
training and materials to perform all work necessary to maintain all traffic signal facilities
In a good and worker -like manner according to the proposal submitted and in
accordance with these specifications.
The traffic signal system maintenance portion of this contract does not cover safety light
maintenance, except damage to the combination of traffic signal and safety light pole
due to malicious mischief, traffic collision or nature causes. Maintenance of the traffic
signal control system located at the City's Traffic Management Center will be done as
part of extraordinary maintenance only.
2. Service Personnel
The Contractor shall provide qualified service personnel to maintain and to service all
traffic signal equipment utilized by the City, Personnel shall have at least two years of
experience maintaining and troubleshooting traffic signal equipment, Detailed
knowledge of Type NEMA and Type 332 cabinets is required. The city utilizes 2070
controllers with Econolite ASC3 -2070 Firmware. Personnel must be knowledgeable in
the use of these controllers.
All Lead Maintenance Personnel is required to have an IMSA Traffic Signal level 2
Certification. In addition, all service personnel shall possess an NEC certification.
The City reserves the right to refuse the use of any personnel whom in the City's sole
opinion are not qualified to work on these systems. An agreed upon personnel list shall
be maintained and only those listed are allowed to work in the city. Any changes needs
to be authorized by the City.
3. List of Signalized Intersections
See Appendix "A" for the list of traffic signals, CCTV, flashing beacons, and flashing
crosswalks.
4. Additions to System
The Contractor shall maintain additional traffic signals and appurtenant devices as they
are added or installed. City will notify the contractor of such addition and the contractor
shall include them in the maintenance contract. Cost of the routine maintenance of the
new addition will be per contract unit price and will be effective the 1'c day of the
following month unless stated otherwise in the notification.
5. Routine Maintenance
The routine maintenance shall be performed on a periodically basis based on type of
equipment.
(a) Traffic Signal:
(1) Maintenance period:
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The Contractor shall perform a complete inspection and service of each
signalized intersection once a month, not less than 25 days or more than 35 days
apart, for safety, operation and cleanliness.
(ii) Maintenance Tasks:
• Cabinets:
The Contractor shall clean the cabinets thoroughly on the inside, including all
components. The Contractor shall remove all unauthorized external
attachments such as notices, posters, signs, etc. and notify the City of any
graffiti that is on the signal equipment. It is not the Contractor's responsibility
to remove the graffiti
o Ventilation system:
The Contractor shall ensure that the cabinet's ventilation system is in
working order. Ensure that the Thermostat and Fan operates
properly. The air filter shall be replaced and dated every 90 days
(regardless of condition).
o Controller and Timing:
The Contractor shall check controller timing against the timing sheet
and notify the City on any deviation. No timing parameters shall be
changed without explicit approval from the City.
o Vehicle Detection System:
The Contractor shall ensure that the vehicle detection system is fully
functional. Maintenance Personnel must be well versed in the use of
the different types used by the City. The City utilizes the following
types of Detection:
• Loop Detection - Detectors needs to be checked that it is
properly detecting vehicles and able to apply calls to the
controller. The Contractor shall adjust the sensitivity levels to
tune out any stuck detectors or replace defective vehicle
detector amplifiers as necessary. The Contractor shall meter
loops individually when troubleshooting loop problems. The
City shall be notified of all defective loops.
• Video Detection — The system needs to be inspected to
ensure normal operation. All detection zones needs to be
checked for proper detection and the systems needs to be
verified that it is capable of applying calls to the controller.
• Wireless Detection — The City utilizes Sensys Network's
Wireless Detection System. The system consists of Sensors,
Repeater, Access Point, and Contact Closure Cards. Ensure
that the system is fully functional.
o Battery Backup System (If applicable):
Some intersections are equipped with battery backup system. For
these locations, the Contractor shall test and verify that the system is
charged and in working order.
o Ancillary Equipment:
The Contractor shall check all ancillary equipment (load switches,
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power supply, flashers, Emergency Vehicle Pre - emption, etc.) in the
cabinet for proper operation.
• Field Equipment:
• The Contractor shall check all pedestrian push buttons for proper
operation.
• The Contractor shall check all vehicle and pedestrian signal heads for
proper operation.
• The Contractor shall check all poles and standards for damages.
• Contractor shall clean Video Detection camera lens once a year
• Contractor shall check and notify the City of any missing or damaged
Reflectorized Street Name Signs (RSNS) or traffic signs mounted on
the traffic signal poles.
• Maintenance of safety lights at traffic signal are done as part of Street
Lighting System Maintenance only.
• Maintenance Record:
The Contractor shall maintain a record log in each controller cabinet showing
the date and time of any service. It shall consist of:
• Routine Maintenance
• Extraordinary Maintenance
All records shall be legibly written or printed. These record logs shall become
property of the City.
(b) Closed Circuit Television (CCTV):
(i) Maintenance period:
The Contractor shall perform a complete inspection and service of each CCTV
once every three (3) months for proper operation and cleanliness.
(ii) Maintenance Tasks:
• Cabinets (if applicable):
Some CCTV locations have dedicated type 332 cabinets. Forthese
locations, the Contractor shall clean the cabinets thoroughly on the inside,
including all components. The Contractor shall remove all unauthorized
external attachment such as notices, posters, signs, etc, and notify the City of
any graffiti that is on the signal equipment. It is not the Contractor's
responsibility to remove the graffiti
o Ventilation system:
Tho contractor shall ensure that the cabinet's ventilation system is in
working order. Ensure that the Thermostat and Fan operates
properly. The air filter shall be replaced and dated every 90 days
(regardless of condition).
o Battery Backup System (if applicable):
The Contractor shall ensure that the battery backup system is
charged and in working order.
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Field Equipment
1. The Contractor shall check all poles and standards for damages.
2. The contractor shall clean the camera's housing lens or dome as
appropriate.
(iii) Maintenance Record:
The Contractor shall maintain a record log in each location (with or without
dedicated cabinet) showing the date and time of any service. It shall consist of:
a. Routine Maintenance
b. Extraordinary Maintenance
All records shall be legibly written or printed. These record logs shall become
property of the City.
(c) Pre -timed Overhead Flashing Beacons:
(1) Maintenance period:
The Contractor shall perform a complete Inspection and service of each Flashing
Beacon once a month, not less than 25 days or more than 35 days apart, for
safety, operation and cleanliness
(ii) Tasks:
• Cabinets:
The cabinets for solar powered flashing beacons are small NEMA cabinet
pole mounted at approximately 9'.
The Contractor shall clean the cabinets thoroughly on the inside, including all
components. The Contractor shall remove all unauthorized external
attachments such as notices, posters, signs, etc. and notify the City of any
graffiti that is on the signal equipment. It is not the Contractor's responsibility
to remove the graffiti
The air filter shall be replaced and dated every 90 days (regardless of
condition).
• Battery System:
Contractor shall check system operating voltage and battery life. Notify the
City if battery needs replacement.
Field Equipment
The Contractor shall check all beacons, poles, and standards.
Contractor shall check and notify the City of any missing or damaged traffic
signs mounted on the traffic signal poles.
Clean the solar panels in accordance to the manufacturer's recommendation.
This is required to be done once every 6 months.
Maintenance Record
The Contractor shall maintain a record log in each controller cabinet showing
the date and time of any service. It shall consist of:
a. Routine Maintenance
b. Extraordinary Maintenance
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All records shall be legibly written or printed. These record logs shall become
property of the City.
(d) Activated In -Road Warning Lights (IRWL or Flashing Crosswalk) and Activated
Flashing Beacon:
(1) Maintenance period:
The Contractor shall perform a complete inspection and service once a month,
not less than 25 days or more than 35 days apart, for safety, operation and
cleanliness
(ii) Tasks:
• Cabinets:
The cabinets for solar powered flashing beacons are small NEMA cabinet
pole mounted at 9'.
The Contractor shall clean the cabinets thoroughly on the inside, including all
components. The Contractor shall remove all unauthorized external
attachments such as notices, posters, signs, etc. and notify the City of any
graffiti that is on the signal equipment. It is not the Contractor's responsibility
to remove the graffiti
The air filter shall be replaced and dated every 90 days (regardless of
condition).
o Detection System:
The Contractor shall ensure that the pedestrian detection system is
fully functional. Maintenance Personnel must be well versed in the
use of the different types used by the City. The City utilizes the
following types of pedestrian detection
Push Button Detection
Video Detection — The system needs to be inspected to
ensure normal operation, All detection zones needs to be
checked for proper detection and the systems needs to be
verified that It is capable of applying calls to the controller.
■ In- Ground Pedestrian Detection (Pressure Pad) — The City
utilizes US Traffic Corp, X -FLO in- ground pedestrian detection
pad.
Battery System:
Contractor shall check system operating voltage and battery life. Notify the
City if battery needs replacement.
• Field Equipment
The Contractor shall check all beacons, poles, and standards.
The contractor shall check and ensure that push buttons, pressure pads or
video detection equipment are in working order.
Contractor shall check and notify the City of any missing or damaged traffic
signs mounted on the traffic signal poles,
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Clean the solar panels in accordance to the manufacturer's recommendation.
This Is required to be done once every 6 months.
Contractor shall clean Video Detection camera lens once a year
• Maintenance Record
The Contractor shall maintain a record log in each controller cabinet showing
the date and time of any service. It shall consist of:
a. Routine Maintenance
b. Extraordinary Maintenance
All records shall be legibly written or printed. These record logs shall become
property of the City.
6. Extraordinary Maintenance
Extraordinary maintenance includes work tasks to install new, replace or repair defective
or obsolete equipment and perform modification work not directly covered by routine
maintenance. Work shall be performed with prior City approval unless emergency or
public safety conditions require immediate response.
7. Emergency Service
The Contractor shall provide emergency service to the City twenty -four hours a day,
seven days a week upon City's request. Unless stated by the City at the time of request,
the contractor will need to ascertain whether request is of an emergency nature requiring
immediate response.
Failure or malfunction of the traffic signal or interruption of normal operation as to create
confusion or public hazard is considered emergency nature.
(a) The contractor shall provide qualified personnel at the location within 30 minutes of
receiving emergency request.
(b) The Contractor shall immediately troubleshoot and restore the traffic signal to normal
operations. If that is not possible due to the extent of the damage, sufficient
temporary repairs shall be made to enable the intersection to operate safely. In no
event shall the traffic signal be left overnight in dark mode (black out).
(c) For intersections with power outages, The Contractor shall use the following
procedure:
(1) Setup temporary stop signs at all approach upon arrival at the site.
(ii) Turn off the traffic signal controller and place cabinet control to flashing
operation.
(iii) Once the power is restored, remove all stop signs and return the traffic signal to
normal operation.
8. Compensation For Routine And Extraordinay Maintenance
(a) Routine Maintenance:
Compensation for routine maintenance of traffic signal system shall be per
contracted unit price. Said compensation shall include all labor, material, equipment
and overhead /profits.
(b) Extraordinary Maintenance:
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Compensation for extraordinary maintenance of traffic signal system shall be per
contracted unit price. Said compensation shall include all labor, material, equipment
and overhead /profits.
For work not listed in the bid list, compensation shall be based on agreed lump sum
price or time and material basis.
(1) Materials; The City shall pay the Contractor for materials used in extraordinary
maintenance, the Contractor's cost from the supplier plus the percentage
specified In the Contractor's bid proposal. All materials and parts shall be new or
have the approval of the Traffic Engineer.
The City has the right to inspect the Contractor's records to verify any material
costs used in extraordinary maintenance
(ii) Direct Labor: The Contractor shall present with his monthly invoice a record of
hours spent in extraordinary maintenance of traffic signals and appurtenances
per intersection. City shall pay the Contractor for such hours of extraordinary
maintenance at the rates specified on the Contractor's bid proposal. Said hourly
rates shall be the total cost to City. Rates shall Include all compensation for
wages, profit, overhead, any fringe benefits such as employer payments to, or on
behalf of, work for health and welfare, insurance, worker's compensation,
pension, vacation, sick leave or any local, state, federal, or union tax or
assessment.
(iii) Eauioment: City shall pay the Contractor for equipment used in extraordinary
maintenance on a job -trip basis rate as specified in the Contractor's bid proposal.
The Contractor's job -trip equipment rates shall constitute the rates to be paid by
the City when the specified equipment is used for the extraordinary maintenance,
As used herein, job -trip shall mean the furnishing of the required equipment at
the site of extraordinary maintenance work for the duration of the work. No
additional compensation shall be paid for transporting equipment to or from the
job site
9. Meeting
The City may call for meetings to be held with the Contractor, including personnel
routinely assigned to work in Santa Ana, on an as needed basis without incurring
additional cost to the City
III. STREET LIGHT SYSTEM MAINTENANCE
1. Scope Of Work
Contractor shall furnish all tools, equipment, apparatus, facilities, labor, services and
materials, and perform all work necessary to maintain street lighting facilities in a good
and professional manner in accordance with the specifications contained herein. All
said labor, services, materials, and equipment shall be furnished and said work
performed and completed by the Contractor as an independent contractor, sub ect to
the inspection and approval of the City's Executive Director of Public Works Agency,
or inspectors or their representatives
2. Service Personnel
The Contractor shall provide qualified service personnel to maintain and to service all
series street lights and equipment described in Section 3. Work on the City's series
street lighting circuits shall be supervised and performed by a lead street light
technician with a minimum of five (5) years experience as a high voltage technician.
The technician shall troubleshoot, diagnose and perform all electrical connections.
25L -19
The Contractor shall include street lighting maintenance personnel's qualifications in the
proposal. During the term of the contract the City will notify the Contractor, in the City's
sole opinion, if personnel proposed for any maintenance are not qualified to work on
these systems.
3. List of Street Lighting Systems
For the purpose of this maintenance contract, the City of Santa Ana street light inventory
is as shown on the maps in Appendix B and all safety lights in conjunction with the traffic
signal locations listed in Appendix A.
4. Modifications to System
The City reserves the right to add or delete sections or circuits of streetlights as they are
added or deleted from the City system.
5. Extraordinary Maintenance
(a) The failure or malfunction of street lights may be considered extraordinary
maintenance.
(b) Any upgrading, repair work, or any Installation solicited by the City, shall be
considered as extraordinary. Any extraordinary maintenance requests from the City
shall be confirmed by the Contractor as to the time of and number of personnel
dispatched. The Contractor shall contact the Streetlight Management Section
regarding any extraordinary maintenance work found to be beyond requested repairs
and seek prior approval before the work is scheduled. Contractor shall notify
Public Works Agency (PWA) Dispatch Office at 714. 647.3380 each day prior to
crews being dispatched by Contractor
(i) No underground work shall be performed prior to completion of Underground
Service Alert (USA) markings.
(ii) An electrical permit may need to be obtained prior to any additions to the City's
street light or other electrical system.
(iii) All extraordinary work completed by Contractor shall be invoiced time and
material as specified on Contractor's bid proposal
(c) Contractor shall respond to requests by City for extraordinary work within 24 hours
of the request. Work shall start in a timely manner. Contractor shall dispatch
personnel, materials and equipment on a daily basis until work is completed unless
conditions do not allow work to be performed.
(d) City shall pay for such extra ordinary repairs required as follows:
(1) Materials. The City shall pay to the Contractor for any materials used in
extraordinary maintenance at Contractor's cost from the supplier plus the
percentage specified In the Contractor's bid proposal. All materials and
parts shall be new or have the approval of the Streetlight Management Section if
otherwise. The City has the right to inspect the Contractor's records to verify any
material costs used in extraordinary maintenance. The City may provide
replacement poles and fixtures.
(ii) Direct Labor: Contractor shall furnish a monthly report of hours spent in
extraordinary maintenance of street light and appurtenances per address. City
shall pay the Contractor for such hours of extraordinary maintenance performed
at the lob site address at the rates specified on the Contractor's bid proposal.
Crews shall be dispatched so as to maximize work performed. Said hourly rates
shall be the total cost to the City. Rates shall include all compensation for
wages, profit, overhead, any fringe benefits such as employer payments to, or on
25L -20
behalf of worker for health and welfare, insurance, worker's compensation,
pension, vacation, sick leave or any local, State, Federal or union tax or
assessment.
(iii) Equipment. City shall pay Contractor for equipment used in extraordinary
maintenance on an hourly basis rate as specified in the Contractor's bid
proposal. Equipment shall be dispatched so as to maximize work performed
• The Contractor's listing of per day equipment rates shall constitute total rates
to be paid by City when specified equipment is used.
• As used herein per day shall mean the furnishing at the site of extraordinary
maintenance work the equipment specified. The per -day rate shall be
independent of the length of time the equipment is in the City.
• No additional compensation shall be paid for transporting the equipment to or
from the job site
(e) The Contractor shall submit weekly reports, when repairs are in progress, in a format
approved by Streetlight Management, and shall be submitted (in addition to hard
copy) in Windows Excel spreadsheet. Weekly reports shall Include arrival and
departure times, dates and addresses of the repairs, service personnel dispatched,
types of repairs made, and all materials and equipment used for each day worked.
Weekly reports shall be submitted by Monday the following week.
(f) The Contractor shall provide to the Streetlight Management Section As -Built Maps
of all work performed on a form approved by the City. As Builts shall indicate the
address and description of all repairs made including installation of pull boxes,
splices and connections, etc. As Builts shall be submitted following each day's work
performed.
(g) Emergency Services
Twenty -four hours per day, seven days per week, emergency service shall be
provided by Contractor upon City's call with a response time of less than two
hours under normal circumstances, to make immediate or temporary repairs to City
owned series and multiple street light pole or service knock downs or damage
caused by vehicle collision, acts of God, vandals, or as required because of a public
safety hazard. The Contractor shall respond to emergency calls when directed by
the City and dispatch high voltage technician and equipment. The Contractor shall
so conduct his operations as to cause the least possible obstruction and
inconvenience to public traffic. Contractor shall maintain and make available to the
City, a local telephone number where Contractor can be contacted twenty -four hours
per day..
IV. SUMMARY REPORTS
Contractor shall furnish the following reports and maintenance database:
A. Traffic Signal System Routine and Extraordinary Maintenance Monthly Renort
This report shall state the location in alphabetic order (north -south street first and then east -
west street), date of the work (including the day of the week) performed in chronological order,
arrival and departure time, and detailed description of work performed.
B. Street Light System MonthIV Reports
25L -21
Monthly reports shall include extraordinary maintenance repairs with As -built maps for
series street lighting.
C. Database for Maintenance Work
1. Contractor shall provide a user friendly database that contains all maintenance work
done on the traffic signal system. The database will be installed at the City and as a
minimum shall have the followings:
(a) Ability to fully search and reports (Including the monthly reports) on all type of work
completed.
(b) Allow user input/edit of additional work done by others or staff.
(c) The database must be updated by the contractor on a weekly or sooner basis for the
duration of the contract.
2. The database must be provided within the first six months of the contract and no
additional cost will be provided.
V. PAYMENT AND INVOICES
A. Invoices for Traffic Signal System Maintenance
The Contractor shall prepare separate invoices for routine maintenance and extraordinary
maintenance.
For extraordinary maintenance billings:
1. The Contractor shall prepare a general Invoice to include all extraordinary billings that is
less than $500 per intersection.
2. The Contractor shall prepare a separate invoice for each location when extraordinary
billing is in excess of $500 per intersection.
3. The Contractor shall prepare a separate invoice for interseotions that are shared with
other jurisdiction listed in Appendix A or as requested by the Traffic Engineer.
B. Invoices for Street Light System Maintenance
1. For routine maintenance billing, an itemized invoice per month will be required. Invoices
shall be itemized as to address, dates worked, work performed and materials used
separately for paragraphs A - E as itemized under Section 3 of Street Light routine
maintenance.
2. For extraordinary maintenance billing, an itemized invoice per month will be required.
Invoices shall be itemized as to, the purpose for the work, Date of repairs, addresses of
repairs, a description of the repairs and a full itemized accounting of all material,
equipment and labor costs. Each invoice shall be for one (1) days work, each day's
work shall be on one (1) invoice.
Payment shall not be made to the Contractor until the required reports and As- Builts have been
properly submitted for work completed.
C. Invoices Submittal
The Contractor shall submit all reports and invoices in both paper and Microsoft Excel
electronic file format to the City.
1. For correspondences, reports and invoices associating with traffic signal system
Maintenance please send it to:
Traffic Signal and ATMS Maintenance
City of Santa Ana
20 Civic Center Plaza, M -43
10
25L -22
Santa Ana, CA 92701
2. For correspondences, reports and invoices associating with street light maintenance
please send it to:
Street Light Maintenance
City of Santa Ana
20 Civic Center Plaza, M -21
Santa Ana, CA 92701
VI. STANDARD SPECIFICATIONS
All work on traffic signal system and safety lights on traffic signal shall conform to the City's
current standard plans and specifications.
11
25L -23
APPENDIX A
Traffic Signals, Flashing Beacons and CCTV
kl l
a w `.'±0 `YkA
!l Aa A x..
Traffic Signa!
"°"xl• 'i'� "i },r M•4 'Y`C i`Fl `� '4
i 4 Vk \, i •.. t
« '
h
Y ,A z,str�cv
a,
b�: �Y��a�A3>�2Q
®
=.,;. a` �r�* lvt,. �'. A. za, �A�=•`i..�a��*w��LL
\._�a�.,��su h��wm...a�u�N. %....52u� ,.,. ..... A\
17th Street
aa��..�b: �]�clt1/1a $ 4.
Civic Center Drive
MINIM
EdingerAvenue
®
MacArthur Boulevard
-
0
Bear Street
-_
�'
Maple
Bradford Place
1 • ..
--
Me Trail W/# Aene Drive
m�
birch
:.
®
:..
1
®1�
Existol Marketplace /Santa Ana
mCollege
tristol Street
17th Street
-�
Bristol Street
®
Bristol ..
. • • .
m
Bristol Street
®
Bristol
m
Bristol
Bristol Street
6ristol Street
Edinger Avenue
®
Bristol
••
m
Bristol
®
•
MacArthur Boulevard
m
McFadden
®
Bristol ..
m
Bristol
Santa Ana Boulevard
mBristol
•.
S. Clara •
Bristol Street
Segerstrom Avenue
®
Bristol Street
Washington Av 1
■ -.
Bristol ..
6roadway Street
10th Street
mBroadway
-.
12
25L -24
37
Broadway Street
17th Street
38
Broadway Street
1st Street
39
Broadway Street.
3rd Street
40
Broadway Street
4th Street
41
Broadway Street
Sth Street
42
Broadway Street
Buffalo Avenue
43
Broadway Street
Civic Center Drive
44
Broadway Street
EdingerAvenue
45
- Broadway Street
1.5 NB Off -Ram
46
Broadway Street
Malnplace Drive
47
Broadway Street
McFadden Avenue
48
Broadway Street
Santa Ana Boulevard
49
Broadway Street
Santa Clara Avenue
50
Broadway Street
Washington Avenue
51
Bush Street
1st Street
52
Bush Street
4th Street
53
Bush Street -
5th Street
54
Bush Street
Civic Center Drive
55
Bush Street
Santa Ana Boulevard
56
Cabrillo Park Drive
1st Street
57
Cabrillo Park drive
4th Street
58
Cabrillo Park Drive
State Fund
59
Cabrlllo Park Drive
Xerox
60
Cabrillo Park Drive/ Sherry Lane
17th Street
61
Cambridge Street
Fairhaven Avenue
62
Center Street
1st Street
63
Center Street
Edinger Avenue
-
64
Center Street
McFadden Avenue
65
Centre on 17th/Home Place
17th Street
66
City Place
Memory Lane
67
Clinton Street
Westminster Avenue
68
College Avenue
17th Street
69
Downtown Plaza (E /O Spurgeon
Street) _ _
1st Street
70
Elk Lane /MaburyStreet
1st Street
71
English Street
17th Street
72
English Street
Civic Center Drive
73
Euclid Street
1st Street
74
Euclid Street
5th Street
75
Euclid Street
Hazard Avenue
76
Euclid Street
McFadden Avenue
77
Euclid Street
Oakfield
78
Fairview Street
17th Street
_
79
Fairview Street
1st Street
80
Fairview Street
55th Street
81
Fairview Street
Alton Avenue
13
25L -25
82
Fairview Street
Civic Center Drive
83
Fairview Street
Edinger Avenue
84
Fairview Street
Edna Dr
85
Fairview Street
Harvard Street
86
Fairview Street
MacArthur Boulevard
87
Fairview Street
McFadden Avenue
88
Fairview Street
Segerstrom Avenue
89
Fairview Street
St Andrews /Centenntal
90
Fairview Street
Trask Avenue
91
Fairview Street
Warner Avenue
92
Fairview Street
Willits Street
93
Fire Station. No.I
17th Street
94
Fire Station Nc.9
Warner Avenue
95-
Flower Street
17th Street
96
Flower Street
1st Street
97
1 Flower Street
6th Street
98
Flower Street
Alton Avenue
99
flower Street
Bike Trall N/O Alton Avenue
100
Flower Street
Bishop Street
101
Flower Street
Civic CenterArive
102
Flower Street
Edinger Avenue
103.
Flower Street -
Highland Street
104
1 Flower Street _
MacArthur Boulevard
. 105
Flower Street -
McFadden Avenue
106
Flower Street
Santa Ana Boulevard
107
Flower Street
Segerstrom Avenue
108
Flower Street
Warner Avenue
109
Flower Street
Washington Avenue
110
Flower Street
Wilshire Avenue
111
French Street
4th Street
112
Garnsey St
Der Road
113
Golden Circle Drive
1st Street
114
Golden Circle Drive
4th Street
115
Grand Avenue
17th Street
116
Grand Avenue
_
1st Street
117
Grand Avenue
21st Street.
118
Grand Avenue
4th Street
119
Grand Avenue
Brookhollow Drive / Hotel Terrace Drive
120
Grand Avenue
Century High School
121
Grand Avenue
Chestnut Avenue
122
Grand Avenue
Dyer Road
123
Grand Avenue
Edinger Avenue
124
Grand Avenue
Fairhaven Avenue
125
.Grand Avenue
Fruit Street
126
Grand Avenue
1.5 NB On /Off -Ramps
127-
Grand Avenue
1 -5 SB On /Off -Ramps / Santa Ana
14
25L -26
15
25L -27
Boulevard
128
Grand Avenue
McFadden Avenue
124
Grand Avenue
Register 6th Street)
130
Grand Avenue
Santa Clara Avenue
131
Grand Avenue
SR-55 SB Off -Ramp
132
Grand Avenue
St. Andrew Place
133
Grand Avenue
St. Gertrude Place
134
Grand Avenue
Warner Avenue
13.5'
Greenville Street
Alton Avenue
136
Greenville Street
Edinger Avenue
137
Greenville Street
MacArthur Boulevard
138
Greenville Street
Se erstromAvenue
1.39
Greenville Street.'
Warner Avenue
140
Halladay Street
Der Road
141
Halladay Street
Warner Avenue
142
Harbor Boulevard
1st Street
143
Harbor Boufevard
.5th Street
144
Harbor Boulevard
Garry Avenue
145 -
Harbor,Boulevard
Hazard Avenue
146
Harbor Boulevard
Kent Avenue
147
1 Harbor Boulevard
MacArthur aauievord
148
Harbor Boulevard
McFadden Avenue
149
Harbor Boulevard
Segerstrom Avenue -
150
Harbor Boulevard
Warner Avenue
151
Harbor Boulevard
Westminster Avenue
152
Hathaway Street
McFadden Avenue
153
Hazard ,ElecnentarySchool
Hazard Avenue
154
Home Depot
MacArthur Boulevard
155
Hutton Centre Drive
SandpolnteAvenue
156
Hyland Avenue
MacArthur Boulevard
157 -
1 -5 NB On /Off Ramps
_
4th Street
158
1 -5 NB On /Off -Ramps / Santiago
Street
17th Street
159
1 -5 SB Off -Ramp / Mabury Street
4th Street
160
1 -5 SB On /Off -Ramps
Santa Ana Boulevard
161
1 -5 SB On -Ramp
1st Street
162
Imperial Promenade
1st American Way
163
Jackson Street . —v..._
1st Street
164
Jackson Street
5th Street
165
Jackson Street
McFadden Avenue
166
King Street
17th Street
167
Lacy Street _
4th Street
168
Lawson Dr
Memory Lane
169
Lincoln Avenue LL
17th Street
-Yes
170
Lincoln Avenue
Santa Clara Avenue
Yes
171
Linwood Avenue
17th Street -
15
25L -27
172
Lowell Street
Segerstrom Avenue
173
Lon Street
1st Street
174
Lyon Street
Chestnut Avenue
175
Lyon Street
EdingerAvenue
176
Lyon Street
McFadden Avenue
177
Lyon Street
Lyon St Queue Cutter (R/R Xing)
Yes.
178
Lyon Street
St. Andrew Place
179
MacArthur PI .(Hutton Ctr Dr)
MacArthur Boulevard
yes
180
MacArthur Place
Hutton Centre
181
Main Street
10th Street
182
Main Street
17th Street
183
Main Street
1st Street:
184
Main Street
20th Street
185
Main Street -
3rd Street
186
Main Street
4th Street
187
Main Street
Sth Street
188
Main Street
8th Street
189
Main Street
Alton Avenue
190
Main Street
Goetz Avenue
191
^192
Main Street,
Bishop Street
Main Street
Borchard Avenue
193
Main Street
Bowers Museum
194
Main Street
Chestnut Avenue
195
Main Street
CIvlcCenterDrive
196
Main Street
Columbine Avenue
197
Main Street -
Cublaon Street
- -
198
Main Street
Dyer Road
199
Main Street
Edinger Avenue
200
Main Street
MacArthur Boulevard
201
1 Main Street
MainPlace Drive / Memory Lane
202
Main Street
MainPlace Drive / Town & Country Road
203
Main Street-
MainPlace Entrance
204
Main Street
McFadden Avenue
205
Main Street
Murphy Avenue /Sand Pointe Avenue
206
Main Street
Pomona Street
207
Main Street
Russell Street
208
Main Street
Santa Ana Boulevard
209
Main Street _
.Santiago Road / Walkie Way
210
Main Street
St. Andrew Place
211
Main Street
St. Gertrude Place
212
Main Street
Sunflower Avenue
213
Main Street
Warner Avenue
214
Main Street
Washington Avenue
215
Maple Street/ Majestic Drive
Columbine Avenue
216
Maple_ Street Bike Trail
Edinger Avenue
217
Maple Street Bike Trail
McFadden Avenue
16
25L -28
218
Mohawk Drive
Edinger Avenue
219
Mohawk Drive
McFadden Avenue
220
Newhope Street
1st Street
221
Newhope Street
5th Street
222
Newho eStreet
Edinger Avenue
223
Newhope Street
Hazard Avenue
224
Newhope Street
Kent Avenue
225
Newho a Street
McFadden Avenue
226
Newhope Street
Westminster Avenue
227
OC Crosswalk
Civic Center Drive
228
OCTA Bus Terminal (W /0 Broadway)
Santa Ana Boulevard
229
Orange Avenue
Edin erAvenue
230
Orange Avenue
McFadden Avenue
231
Pacific Avenue
1st Street
232
Pacific Avenue
Civic Center Drive
233
Pacific Avenue
Ed(ngerAvenue
234
Pacific Avenue
Santa Ana Boulevard
235
Pacific Avenue
Warner Avenue
236
Parton Street
Civic Center Drive
237
Parton Street
Santa Ana Boulevard
238
Penn Way
17th Street
239
- Penn Way
fSB 1.5 On /Off Ramps
240
Plaza Drive
MacArthur Boulevard
241
Pullman Street
Dyer Road
242
Pullman Street
Warner Avenue
243
Railroad Xing-
_
Santa Ana Blvd Queue Cutter
Yes
244
Railroad Xing
McFadden Ave Queue Cutter
Yes
245
Raitt Street
1stS'treet
-
246
Raitt Street
5th Street
247
Raitt Street
Alton Avenue
248
Raitt Street
Civic Center Drive
249
RalttStreet
Edinger Avenue
250
Raitt Street
Glenwood Place
251
Raitt Street
MacArthur Boulevard
252
Raitt Street
McFadden Avenue
253 1
RaittStreet
Segerstrorn Avenue
254
Raitt Street
St. Gertrude Place
255
RalttStreet
Warner Avenue
256
Ritchey Street
Edinger Avenue
257
RItchey Street
Ritchey St Queue Cutter (R /R Xing)
Yes.
258
Riverview Marketplace
McFadden Avenue
259
Rosita Street
Hazard Avenue
260
Ross Street
17Th Street
261
Ross Street
1stStree't
262
Ross Street
Civic Center Drive
263
Ross Street
Santa Ana Boulevard
IVA
25L -29
264
Santlago Street
Santa Ana Boulevard
265
Shelton Avenue
McFadden Avenue
266
Shelton Avenue
Santa Ana Boulevard
.267
Spurgeon Street
17th Street
268
S13-55 NB Off -Ramp
Dyer Road
269
SR -55 SE On /Off -Ramp / Hotel Terrace
Dr
Dyer Road
270
Standard Avenue
1st Street
271
Standard Avenue
Chestnut Avenue
272
Standard Avenue
EdingerAvenue
273
Standard Avenue
Hobart Street
274
Standard Avenue
McFadden Avenue
275
Standard Avenue
St. Gertrude Place
276
Standard Avenue
Warner Avenue
277
Sullivan Street
1st Street
278
Sullivan Street
Edinger Avenue
279
Sullivan Street
McFadden. Avenue
280
Sullivan Street
Willits Street
281
Susan Street
MacArthur Boulevard
282
Susan Street
Segerstrom Avenue
283
Susan Street -
Warner Avenue
284
Sycamore Street
1st Street
285
S camoreStreet
Civic Center Drive
28G
Sycamore Street
Washington Avenue
287
Tech Center Drive -
Dyer Road
288
Towner Street
MacArthur Boulevard
289
1 Townsend Street
1st Street
290
Tustin Avenue_ -
17th Street
291
Tustin Avenue
4th Street
292
Tustin Avenue
Centre on 17th / Tustin Center
293
Tustin Avenue
Fruit Street
294
Tustin Avenue_
Santa Clara Avenue
295
Tustin Avenue mm
Wellington Avenue.
295_
Street
Warner Avenue
297
_W_right
Yale Street -
Warner Avenue
25L -30
m'
25L -31
In -Road Warning Light (IRWL or Flashing Xwalk), Activated (ACT) Flashing Beacon,
Pre -Timed Flashing Beacon
1
Fire Station No.2
4" Street
ACT
2
Flower Street
Walnut Avenue
IRWL
3
Flower Street
AnahurstPlace
IRWL
4
Graham Lane
McFadden Avenue
ACT
5
Greenville Street
Pomona Street
ACT
6
Lacy Street
Civic Center Drive
ACT
7
Lacy Street
Santa Ana Boulevard
IRWL
8
Lyon Street
Mark & Brian
ACT
9
Main Street
Walnut Street
Pre -Timed
I
Newhope Street
Camille Street
Pre -Timed
11
Pullman Street
Dyer Road
Pre -Timed
m'
25L -31
CLOSED CIRCUIT TELEVISION (CCTV)
1 Bristol Street 17" Street 2 Cameras
2
Bristol Street
I" Street
3
Bristol Street
Civic Center Drive
4
Bristol Street
Edinger Avenue
5
Bristol Street
Hesperian Street
6
Bristol Street
MacArthur Blvd
7
Bristol Street
McFadden Avenue
2 Cameras
8
Bristol Street
Memory Lane
9
Bristol Street
Santa Ana Blvd
10
Bristol Street
Segerstrom Avenue
11
Bristol Street
Warner Avenue
2 Cameras
12
Broadway Street
17th Street
13
Broadway Street
Civic Center Drive
14
Broadway Street
Santa Ana Boulevard
15
Elk Lane
1" Street.
16
Euclid Street
1°` Street
17
Euclid Street
Hazard Avenue
18
Euclid Street
McFadden Avenue
19
Fairview Street
17t' Street
20
Fairview Street _
_1" Street
21
Fairview Street _
Civic Center Drive
22
Fairview Street
Edinger Avenue
23
Fairview Street
Edna Drive
24
Fairview Street
Harvard Street
25
Fairview Street
_
MacArthur Boulevard
26
Fairview Street
Segerstrom Avenue
27
Fairview Street -
Warner Avenue
28
Flower Street
17th Street
29
Flower Street
I" street
30
Flower Street
Civic Center Drive
31
Flower Street
MacArthur Boulevard
32
Flower Street
Santa Ana Boulevard
33
Flower Street _._.�
Warner Avenue
34
Grand Avenue
17th Street
35
Grand Avenue
I" Street
36 _
Grand Avenue
Dyer Road
37
Grand Avenue
Edinger Avenue
38
Grand Avenue
Hotel Terrace Drive
39
Grand Avenue
McFadden Avenue
40
Avenue
Santa Ana Boulevard
41
_Grand
Grand Avenue
Warner Avenue
20
25L -32
42
Harbor Boulevard
17`" Street
43
Harbor Boulevard
P Street
44
Harbor Boulevard
Hazard Avenue
45
Harbor Boulevard
Kent Avenue
46
Harbor Boulevard
MacArthur Boulevard
47
Harbor Boulevard
McFadden Avenue
48
Harbor Boulevard
Warner Avenue
49
Hotel Terrace Drive
Dyer Road
5o
1 -5
4ch Street
51
King St
17th Street
52
Lincoln Ave
17`hStreet
53
Lyon St
McFadden. Avenue
54
MacArthur Place
MacArthur Boulevard
55
Main Street
17" Street
56
Main Street
1'r Street
57
Main Street: -
5th Street
58
Main Street
Bowers Museum
59
Main Street
Buffalo Avenue
60
Maln Street
Civic Center Drive
61
Maln Street
Dyer Road
62
Main Street
Edgewood Road /I5 N8 Ramps
63
Main Street
Edinger Avenue.
64
Main Street
MacArthur Boulevard
6.5
Main Street
McFadden Avenue
66
Main Street
Town & Country Road
67
Ma In Street
Warner Avenue
68
Newhope St
17th Street
69
Newhope 5t
VStreet
70
Newhope St
McFadden Avenue
71
Pullman Street
Dyer Road
72
RaittSt
Edinger Avenue
73
RalttSt
MacArthur Boulevard
74
Santiago Street
17`h Street
75
SR -55
Edinger Avenue
76
Tustin Avenue
17` "Street
77
Tustin Avenue
4°h Street
78
TustlnAvenue
Fruit Street
29
25L -33
APPENDIX B
Street Lights Locations
(In addition to the street light on traffic signals)
City of Santa Ana �.• i
Street Light Locations !(
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25L -34
EXHIBIT B
11
25L -35
EXHIBIT C
CITY OF SANTA ANA
REQUEST FOR PROPOSALS FOR
TRAFFIC SIGNAL SYSTEM AND
STREET LIGHTING SYSTEM MAINTENANCE
PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING
Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for
Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work
locations. I am familiar with all the existing conditions and limitation that may impact work requests. I
understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for
clarification prior to the submission of my proposal.
Proposal Item Price - Pricing shall be based on hourly cost, time and materials basis for services described in
Exhibit A. Fee must be Inclusive of all costs, Including but not limited to, direct and Indirect costs for labor,
overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the
contractor only after discussed and authorized by the City projects manager or designee in writing.
1. Routine Maintenance -Monthly
Item
_ _ Description
Unit
Quantity Y
Unit Price
Amount
1
21
3
I Traffic Signal
Flashing Beacons
Cellular Phone w/ data plan
EA
EA
EA
297
11
2
_ ,'3:7
r—
7 0 0
Sub -Total
8
�nal
II. Routine Maintenance - Quarterly
-..
pescription
Unit
quantity
Unit Prioe
Amount
4. CCTV EA 78 �o�
T Sub -Total
I o
Ill. Extraordinary Maintenance - Labor
Item
Description
Hourly
Hourlypvertime
Hourlypoubletime
5
Superintendent
8
Engineering Tech
7
Lab Tech
(�
I �J G-1
19 1
8
Maintenance Tech -Lead
q iF
4, (ate
9
MalntonanceTech
W ! 3c
3
t I`r
10
Utility Tech -Lead
r-+L
LZ °F3
(It -10
11
12
1.3
T .,
14
Utility Tech
HI h Voltage Tech - Lead
Street Light Tech
5arvleLaborer
`'g3
Cj Nl
IL
` o
25L -36
IV. Labor & Material
Item
Description
Unit
Unit Price
15
Install Type Q Bike Loop
EA
16
Install 6' Dia Circular Type D Loop
EA
f (�
17
Install 6' Die Circular Type E Loop (1.5loops )
EA
18
Install 6' Me Circular Type Loop 6 -10100 s
EA
19
Install 6' Die Circular Type Loo (>10 loops)
EA
20
Install City Furnished Type P cablret
EA
21
Install City furnished Typa 332 cabinet
EA
loco
22
Install/Replace ADA PPB Assembl
EA
(G{L•
23
Replace PPB with ADA PPB
EA
It 5
24
Install /Replace Overhead Reflectorize Street
Name Sign (RSNS)
EA
� J
25
Conduct Signal Cabinet Operational Test
EA
�^y
26
Replace 12" 3- Section Vehicle Head
EA
L
(p
27
Replace 12" 3•Sectlon Vehicle Head (City
supplied LED)
EA
-4
/ q
�%rhlL
28
PaintTrafflc Signal Cabinet
EA
I# ' 6
29
Paint Traffic Signal Vehicle Head
EA
30
Paint Pedestrian Head _
EA
�4
31
Paint Single -Globe Theme Street Light
EA'i
32
Paint Double -Globe Theme Street Light
EA
"
33
Paint 30 ft Steel Street Light
EA
34
Install City furnished Street Light (exist
foundation)
EA
L
( X117
35
Install 2" Conduit
LF
36
Install 2.5"or 3" Conduit
LF
37
Install 4" Conduit
LP
�� r
V. Equipment
Item
Description
Hourly Rate
Dally Rate
37
Plck-up Truck
zo
1(60
38
Service Truck
250
39
Service Ladder Truck
yJ
40
Boom Ladder Truck
( _ a(o
41
50' Boom Truck
M q00
42
Crane Truck
(
{ )ego
43
Water Truck
44
Dump Truck
45
Bid Concrete Saw
I�
46
Complete Paint Rig1
L(�
47
Jack Hammer /Compressor
�}y
48
Trencher and Backhoe
List additional equipment here If
necessary
49
50
51
25L -37
In addllon, proposers shall provide breakdown details supporting the above costs,
b(* -Pz3
BUSINESS ADDRESS
21-OZ606 -IT g6gi)6.7 6 -ICS
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. (in separate sealed envelope),
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
25L -38
AUGUST 5, 2014
lif fI111 I
AGREEMENT WITH THE SANTA ANA MANAGEMENT
ASSOCIATION (SAMA)
Illliit.'iis ! _
Zmoll WAN
CLERK OF COUNCIL USE ONLY:
CONTINUED TO
Y
R
Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to
execute an agreement with the Santa Ana Management Association (SAMA), subject to non -
substantive changes approved by the City Manager and City Attorney, regarding wages and
other terms and conditions of employment for a one -year period expiring June 30, 2015 in an
amount not to exceed $65,000.
3) Retirement Subsidy: Upon the establishment of Retirement Health Savings Accounts
(RHSA) the City will cease making the 1.75% contribution to the subsidy and increase
employee base salary by 1.25% which individual employees will deposit into their RHSA's.
4) Electronic Device Stipend: SAMA employees whose supervisor determines are required
use a cellphone or tablet for City related business will be given the option of using their awn
equipment in lieu of using City equipment. Employees who choose to do so will receive a
25M -1
Agreement with Santa Ana Management Association
August 5, 2014
Page 2
$75.00 monthly stipend to cover costs related to the use of personal electronic devices
(phone and /or tablet) for City business.
5) Joint Labor Management Team: The City and SAMA agree to form a Joint Labor
Management Team to discuss the development of a Pay for Performance program.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #4 (establish
employee compensation that attracts and retains a highly qualified workforce) and Objective #6
(provide a positive workplace environment that supports the health of its employees and
celebrates its success).
FISCAL IMPACT
Funds are available in the affected departmental salary accounts (no. 61000). It is estimated
that the agreement will result in a cost to the City of $65,000 during the term of the agreement.
Edward S. aya
Executive Director
Personnel Services Department
25M -2
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
2014-2015
MEMORANDUM
Ki
UNDERSTANDING
City of Santa Ana
and
Santa Ana Management Association
25M -3
MEMORANDUM OF UNDERSTANDING
BETWEEN THE CITY OF SANTA ANA AND
THE SANTA ANA MANAGEMENT ASSOCIATION
FOR FISCAL YEARS 2014 -15
TABLE OF CONTENTS
ARTICLE I
RECOGNITION
3
ARTICLE II
PURPOSE AND INTENT
4
ARTICLE III
IMPLEMENTATION
5
ARTICLE IV
ATTENDANCE, WORKDAY, WORKWEEK & WORK
SCHEDULE
7
ARTICLE V
SALARIES
10
ARTICLE VI
ADDITIONAL COMPENSATION
19
ARTICLE VII
OVERTIME PAY
20
ARTICLE VIII
HOLIDAYS
21
ARTICLE IX
VACATION
23
ARTICLE X
OTHER LEAVES OF ABSENCE
27
ARTICLE XI
EMPLOYEE INSURANCE
37
ARTICLE XII
DEFERRED COMPENSATION
40
ARTICLE XIII
RETIREMENT
41
ARTICLE XIV
TUITION REIMBURSEMENT
44
ARTICLE XV
ELECTRONIC DEVICE STIPEND
45
ARTICLE XVI
STRIKES AND WORK STOPPAGES
46
ARTICLE XVII
SOLE AND ENTIRE AGREEMENT
47
ARTICLE XVIII
SEPARABILITY PROVISION
48
ARTICLE XIX
GRIEVANCE REVIEW PROCEDURE
49
ARTICLE XX
WAIVER OF BARGAINING DURING THE TERM OF
THIS AGREEMENT
51
ARTICLE XXI
EMERGENCY WAIVER PROVISION
52
ARTICLE XXII
TERM
53
ARTICLE XXIII
NON - DISCRIMINATION
54
ARTICLE XXIV
RATIFICATION AND EXECUTION
55
EXHIBIT A
SCHEDULE OF SALARY RATE RANGES - MM
57
EXHIBIT B
SCHEDULE OF SALARY RATE RANGES - AM
58
EXHIBIT C
JOB TITLES
59
2511 -4
ARTICLE I
1.0 RECOGNITION
1.1 Pursuant to the Employee Relations Resolution of the City of Santa Ana
(Resolution Number 81 -075) and applicable State law, the City of Santa Ana
(hereinafter called "the City') certified the Santa Ana Management Association
(herein after called "SAMA ") on September 25, 2002, as the majority of the
Middle Management and Administrative Management Representation Unit
(hereinafter called the "Unit') previously found appropriate by the Employee
Relations Officer. The City hereby recognizes SAMA as the certified majority
representative of the full time employees in said Unit. The term "employee" or
"employees" as used herein shall refer only to full -time employees employed by
the City in said Unit in the employee classifications comprising said Unit as listed
in the attachments shown as listed "Exhibit C," as well as such classifications as
may be added hereafter by the Employee Relations Officer.
25M -5
ARTICLE II
2.0 PURPOSE AND INTENT
2.1 It is the purpose of this Memorandum of Understanding to promote and provide
for harmonious relations, cooperation and understanding between the City and
employees covered by this Memorandum. It sets forth the full and entire
understanding reached in good faith negotiations regarding the wages, hours,
terms and conditions of employment of employees covered by this Memorandum
of Understanding which the parties intend to submit jointly and recommend for
approval to the City Council of the City of Santa Ana.
2.2 Notwithstanding the following provisions of this Memorandum of Understanding,
the parties agree that they have intended nothing herein to entitle, alter, or award
Civil Service rights or privileges to any employee represented by SAMA who is in
the Excepted Service of the City.
25M -6
ARTICLE III
3.0 IMPLEMENTATION
3.1 This Memorandum of Understanding constitutes a recommendation jointly
submitted to the City Council of the City of Santa Ana. The parties agree that
this Memorandum of Understanding shall not be binding upon the parties until
said City Council:
A. Acts, by majority vote, formally to approve said Memorandum of
Understanding and,
B. Acts to appropriate the necessary funds required to implement the
provisions of this Memorandum of Understanding that require funding.
3.2 Notwithstanding the foregoing, in the event the City Council fails to take all
actions necessary to implement this Memorandum of Understanding timely, the
parties understand that they may mutually agree to implement appropriate
provisions of this Memorandum that do not require specific approval by the City
Council.
3.3 Implementation shall be effective as of the date approved by the City Council. If
the parties fail to agree to implement provisions of this Memorandum not
requiring City Council approval, then negotiations shall resume upon the request
of either party.
3.4 The City of Santa Ana (City) and the Santa Ana Mangers Association
(SAMA) 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. SAMA employees impacted by this closure will not report to
work. The City also agrees that SAMA 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, "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.
2511 -7
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, "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.
2511 -8
ARTICLE IV
4.0 ATTENDANCE, WORKDAY, WORKWEEK, & WORK SCHEDULE
4.1 Attendance. All full time SAMA employees covered by this Agreement shall be in
attendance at their work during hours prescribed by the Executive Director of his
designee(s) and shall not absent themselves during prescribed hours without
authorization. SAMA employees shall not be required to submit Leave of Absent
Requests for absences of two (2) hours of less.
4.2 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. 4/10 Work Schedule. The Executive Director, with the approval of the City
Manager, may assign SAMA employees to a workweek consisting of four
(4) ten (10) hour day with an additional one -half (1/2) or one (1) hour for
unpaid lunch periods. The regular workweek shall consist of forty (40)
hours. A regular day off shall consist often (10) hours.
B. 9/80 Work Schedule. All SAMA employees shall be permitted to work a
9/80 work schedule when authorized by the Executive Director and
approved by the City Manager. A SAMA employee will not be permitted to
work this schedule if in the discretion of the Executive Director and City
Manager, the 9/80 work schedule may reduce service to the public.
1. 9/80 Work Schedule Defined. The 9/80 work schedule shall be
defined as working eighty hours over nine days in 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 break during each
work shift, totaling forty (40) working hours in each work week.
a. The Work Week Period. The forty (40) hour 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
2511 -9
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. SAMA employees cannot change schedules without prior
approval of their Executive Director. The purpose of this
authorization is to review the impact on supervision, staffing
and workload. Employees may change schedules at the
beginning of any work period with approval of their Executive
Director.
d. Modification of the 9/80 work week period are not permitted
unless authorized by the Executive Director of Personnel
Services and the City Manager.
e. Emergencies. All SAMA 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, Executive Director of designee,
may require such service from any of said employees.
2. Leave Benefits. When a SAMA 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.
3. Holidays.
a. For a recognized City holiday, eight hours 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 the employee's vacation leave time
bank for a nine (9) hour workday charge or eight (8) hours
holiday time off for a Friday.
b. 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/ or Executive
Director approval. If the SAMA employee cannot take their
2511 -10
holiday off before or after the regular scheduled holiday off
the employee will bank eight hours of holiday leave to be
used at a later date with the supervisor's approval.
4. 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 employee's day off work.
4.3 It is intent of the parties that no additional paid time off shall be gained or lost as
a result of implementing any alternate work schedules. The City reserves the
right to abandon any work schedule if, in the opinion of the concerned Executive
Director and the City Manager, such alternate work schedules have not produced
the desired results. If this right is exercised, however, the City and SAMA shall
meet and confer in good faith prior to abandoning any alternate work schedule.
2511 -11
ARTICLE V
5.0 SALARIES
5.1 Basic Compensation Plan. There is hereby established a basic compensation
plan for all full -time personnel who are now employed or will in the future be
employed in any of the designated classifications of employment represented by
SAMA as listed in this Agreement and its attachments.
5.2 Schedule of Salaries.
A. Two separate schedules of salary rate ranges, one for classifications of
employment designated as SAMA Middle Management (MM) assigned to
17 -step monthly salary rate ranges, and one for classifications of
employment designated as SAMA Administrative Management (AM)
assigned to 5 -step monthly salary rate ranges, are attached hereto in
matrix format as though set forth herein. The schedules for SAMA Middle
Management (MM) classifications and SAMA Administrative Management
(AM) classifications and their effective dates are attached to this
Agreement as Exhibit A and Exhibit B, respectively, and are listed as
follows:
Category of Employment Salary Effective
Schedule No. Date
SAMA Middle Management (MM) Refer to Exhibit
(Classification assigned to
17 -step salary rate ranges)
SAMA Administrative Management (AM) Refer to Exhibit
(Classification assigned to
5 -step salary rate ranges)
B. The basic salary schedule for SAMA Middle Management classifications
contains numerous salary rate ranges, each range comprised of
seventeen (17) separate rates of pay shown in monthly amounts. The
respective rate ranges are identified by a two -digit number preceded by
the capital letters "MM." The separate rates of pay or steps within each
salary rate range are identified by the numbers "1" through "17" inclusive,
with Step "1" being the lowest or minimum rate of the range, Step "9" the
middle or midpoint rate of the range, and Step "17 being the highest or
maximum rate. The purpose of each step and criteria for advancement
25M -12
are set forth in Subsection 5.8(A) below.
C. The basic salary schedule for SAMA Administrative Management contains
numerous salary rate ranges, designated by the letter "AM" and a three -
digit rate range number. These rate ranges are comprised of five (5)
steps or rates of pay shown in monthly amounts, identified by the letters
"A" through "E" inclusive, with Step "A" being the lowest step in the range.
The purpose of each step and criteria for advancement to the next higher
step within a particular salary rate range are set forth in Exhibit B and in
Subsection 5.8(B) below.
D. The assignment of SAMA classifications to salary rate ranges is listed in
Exhibit C, which is attached and made a part hereof as though set forth
herein.
5.3 Salaries
Effective the adoption of this MOU by the City Council the base salaries of
classifications covered by this agreement shall be increased by one percent 1 %.
5.4 Application of Basic Compensation Plan. The salary rate ranges contained in
Subsection 5.2 and Exhibit C are monthly salary rate ranges. All employees
working in classifications of employment covered by this Agreement shall be
compensated at a monthly rate.
5.5 Probation. Except for employees in the Expected Service and employees re-
employed from re- employment eligible lists, the probationary period shall be one
(1) year from the date of appointment from an open eligible list (new hire) or a
reappointment eligible list (rehire) or appointment from a promotional eligible list.
5.6 Beginning Rates.
A. SAMA Middle Management Classifications. An employee appointed to a
Middle Management classification shall be compensated at any rate within
the lower third of the 17 step salary rate range (Steps I" through "6 ") for
their job classification as authorized by the Appointing Authority. When
economic conditions, unusual employment conditions, or exceptional
qualifications of a candidate for employment indicate a higher rate would
be in the City's best interest, the City Manager may authorize hiring at a
higher rate in the salary rate range but this higher rate generally shall not
be above the midpoint.
B. SAMA Administrative Management Classifications. An employee
2511 -13
appointed to an Administrative Management classification may be placed
by the Appointing Authority at any step within the applicable five (5) step
salary rate range (Steps "A" through "E ") in the schedule to which the
classification has been assigned through adoption of this Agreement,
provided that such employee shall be assigned such salary step upon the
commencement of his or her service in said classification and such
assignment having once been made shall remain in effect until the said
employee shall be entitled to advance to the next salary step in
accordance with the further provisions of this Article as set forth below.
5.7 Service. The word "service" as used in this Agreement shall be deemed to mean
continuous, full -time service in the classification in which the employee is being
considered for salary advancement, service in the higher classification or service
in a classification allocated to the same salary rate range and having generally
similar duties and requirements.
Notwithstanding the above, employees in classifications represented by SAMA
who are hired after the first (V) working day of the month shall not be credited
with time in service for that month when determining the length of service for
salary advancement.
A lapse of service by an employee for a period of time longer than ten (10)
calendar days, by reason of resignation, quit, or discharge, shall serve to
eliminate the accumulated length of service time of such employee for the
purpose of this Agreement, and any such employee reentering the service of the
City shall be considered as a new employee, except that he or she may be
reappointed as provided in Santa Ana Municipal Code (SAMC) Chapter 9 -114
and may be placed in the same salary step in the appropriate salary rate range
as he or she was at the time of termination of employment.
5.8 Advancement Within Ranges.
A. SAMA Middle Management Classes: The following provisions shall
govern salary advancement within rate ranges for employees employed in
SAMA Middle Management classes:
1. Stems I" through "15" Advancement: For any employee in a
SAMA Middle Management classification covered by this
Agreement who has been initially appointed to a step lower than
Step "15 ", advancement in the SAMA Middle Management
schedule of salary rate ranges may be granted only for continued
meritorious and efficient service by said employee in the effective
performance of the duties of his or her position. Such advancement
2511 -14
shall be in two -step increments, each step being equivalent to
approximately 2.5 %, for a total increase of approximately 5% per
year, until Step "15" is achieved. For example, an employee
covered by this Agreement shall advance from Step 1 to Step 3,
Step 3 to Step 5, Step 5 to Step 7, Step 7 to Step 9, Step 9 to Step
11, Step 11 to Step 13, or Step 13 to Step 15. The effective date of
such merit step increase, if granted, shall be the first (1St) day of the
month following the completion of one (1) year of service at the
step from which said employee is being advanced.
2. Advancement to Steps "16" and "17 ": Any employee in a SAMA
Middle Management classification covered by this Agreement, who
has reached Step "15" or Step "16" in the SAMA Middle
Management schedule of salary rate ranges, may advance to the
next higher step in the SAMA Middle Management schedule of
salary rate ranges only for continued meritorious and efficient
service by said employee in the effective performance of the duties
of his or her position. Such advancement shall be in one -step
increments, each step being equivalent to approximately 2.5% per
year until Step "17" is achieved. For example, an employee
covered by this Agreement shall advance from Step "15" to Step
"16 ", and Step "16" to Step "17 ", respectively.
3. Any current SAMA Middle Management employee who previously
advanced through the steps of each salary rate range using his or
her initial date of hire into a middle management class shall retain
that date as the anniversary date for purposes of advancing
through the steps of each salary rate range while in his or her
current class and for any subsequent promotions to a SAMA Middle
Management class. The effective date of such merit step increase,
if granted, shall be the first (1S) day of the month following the
anniversary date.
Such merit advancement shall require the following:
a. There shall be on file in the office of the Executive Director of
Personnel Services a copy of each periodic performance
appraisal required to be made on the employee by the Civil
Service Rules and Regulations and /or the City Manager
during the period of service time of such employee
subsequent to his or her last salary advancement.
b. The Appointing Authority, at least twenty (20) calendar days
2511 -15
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 Appointing Authority as to such recommendations and
shall be informed of the reasons.
C. No advancement in salary shall become effective until
approved by the City Manager, except when placement on a
salary step above Step I" results from promotion under the
provisions of Section 5.9 (A) of this Agreement.
d. Notwithstanding the foregoing provisions of this subsection
to the contrary, a merit step advance shall be automatically
granted ninety (90) days after the due date if no performance
appraisal is completed. The effective date of such merit step
advance shall be retroactive to the first (1s) day of the month
following the completion of the required length of service.
4. When an employee in a SAMA Middle Management classification
has not been approved for advancement to the next higher salary
step, he or she may be reconsidered for such advancement after
the completion of three (3) months of additional continued service
in the classification and shall be reconsidered for advancement to
the next higher step above his or her then current step after the
completion of six (6) months of additional continued service in the
classification.
5. An employee in a SAMA Middle Management classification who is
being paid at any salary step above Step "1" may be reduced to the
next lower step in the appropriate salary rate range upon the
recommendation of the Appointing Authority and the approval of the
City Manager. Procedure for such reduction shall follow the same
procedure for merit advancement in Subsection 5.8 Paragraph (A)
(6) above, and such officer or employee may be considered for
readvancement under the same provisions as contained in
Subsection 5.8 Paragraph (A) (6) above.
B. SAMA Administrative Management Classifications: The following
conditions shall govern salary advancement within 5 -step rate ranges for
employees employed in SAMA Administrative Management
classifications:
25M -16
1. For any employee in a Administrative Management classification
covered by this Agreement who has been initially appointed to a
step lower than Step "E," advancement to the next higher step
(Step "B" from Step "A" or Step "C" from Step "B," etc.) may be
granted only for continued meritorious and efficient service by said
employee in the effective performance of the duties of his or her
position. The effective date of such merit step increase, if granted,
shall be the first day of the month following the completion of one
year of service at the step from which said employee is being
advanced.
Such merit advancement shall require the following:
a. There shall be on file in the Office of the Executive Director
of Personnel Services a copy of each periodic performance
appraisal required to be made on the employee by the Civil
Service Rules and Regulations and /or the City Manager
during the period of service time of such employee
subsequent to his or her last salary advancement.
b. The Appointing Authority, 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 Appointing Authority as to such recommendations and
shall be informed of the reasons.
C. No advancement in salary shall become effective until
approved by the City Manager, except when placement on a
salary step above Step "A" results from promotion under the
provisions of Section 5.9(B) of this Agreement.
d. Notwithstanding the foregoing provisions of this subsection
to the contrary, a merit step increase shall be automatically
granted ninety (90) days after the due date if no performance
appraisal is completed. The effective date of such merit step
increase shall be retroactive to the first (1st) day of the
month following the completion of the required length of
service.
2. When any such employee in a classification designated as
25M -17
Administrative Management (AM) has not been approved for
advancement to the next higher salary step, he or she may be
reconsidered for such advancement after the completion of three
(3) months of additional service and shall be reconsidered for
advancement to the next higher step above his or her then current
step after the completion of six (6) months of additional service.
This reconsideration shall follow the same steps and shall be
subject to the same actions as provided in Subsection 5.8(8)(1)
above.
3. Any employee in an Administrative Management classification who
is being paid at any salary step above "A" may be reduced to the
next lower step in the appropriate salary rate range upon the
recommendation of the Executive Director and the approval of the
City Manager. Procedure for such reduction shall follow the same
procedure for merit advancement provided in Subsection 5.8(8)(1)
above, and such employee may be considered for readvancement
under the same provisions as contained in Subsection 5.8(8)(2)
above.
5.9 Promotional Salary Advancement.
A. SAMA Middle Management Classifications: When an employee in a non-
management classification of the City service is promoted to a SAMA
Middle Management classification, they shall be placed at a salary rate in
the appropriate salary rate range that will provide at least a five percent
(5 %) pay increase.
B. SAMA Administrative Management Classifications:
1. Promotion from a Non - Management Classification. An employee
who is promoted to a SAMA Administrative Management
classification from a non - management classification of the City
service shall be placed at a salary rate in the appropriate
Administrative Management monthly salary rate range that provides
a pay increase of at least one (1) step (approximately five percent
(5 %))-
2. Promotional Salary Advancement. When an employee in a
classification designated as Administrative Management (AM) is
promoted to a higher classification from a position in a lower
classification in the same occupational career ladder, he or she
shall be reassigned to the beginning step in the appropriate
251 -18
monthly salary range for the higher classification; provided,
however, that if the base salary currently being paid such employee
is already equal to or higher than such beginning step, he or she
shall be placed in the lowest step in the appropriate monthly salary
rate range as will grant the employee a pay increase of at least (1)
step (approximately five percent (5 %)) over his or her current base
salary step exclusive of pay premiums such as bilingual pay,
special skills or the like.
5.10 Demotion.
A. SAMA Middle Management Classifications: When an employee in a
Middle Management classification is demoted to a position in a lower
classification, he or she shall be placed at a rate in the lower salary rate
range which provides at least a five percent (5 %) reduction in pay.
B. SAMA Administrative Management Classifications: When an employee in
a SAMA Administrative Management Classification is demoted to a
position in a lower classification, his or her salary rate shall be fixed in the
appropriate salary rate range for the lower classification accordance with
the following provisions:
1. The salary rate shall be reduced by at least one (1) step
(approximately five percent (5 %)).
2. The new salary rate must be within the appropriate salary rate
range.
3. The new salary rate shall not be higher than the salary step to
which the employee would have been entitled had his or her
service time in the higher classification been spent in the lower
classification.
5.11 Probationary Resection. A promotional employee who is rejected during the
probationary period from a SAMA classification shall be returned to the
classification in which he or she holds regular status and at his or her former
salary step, unless the reasons for failure to complete probation would also be
cause for dismissal from City service.
5.12 Reallocation of Salary Rate Ranges. An employee who is employed in a
classification covered by this Agreement which is reallocated to a different salary
rate range from that previously assigned shall be retained in the same salary
step in the new salary rate range as he or she had previously held in the prior
25M -19
rate range and shall retain credit for length of service in such step towards
advancement to the next higher step.
5.13 Acting Pay. An employee in a classification covered by this Agreement may be
appointed by the Executive Director to serve in an acting capacity during an
unplanned absence from work of thirty (30) calendar days or more of another
employee represented by SAMA. Represented SAMA employees who are
granted "acting pay" shall receive a five percent (5 %) increase or the minimum
rate of the higher salary range while serving in an "acting" capacity.
2511 -20
ARTICLE VI
6.0 ADDITIONAL COMPENSATION
6.1 Bilingual Pay. An employee whom the Executive Director or his designee
assigns to a position requiring bilingual capability in both English and either
Spanish, Vietnamese or other languages designated by the City Manager, will be
paid a monthly premium 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 capability.
B. Positions for which the Executive Director has determined 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 and essential element
of the work being performed, will be designated as Primary Bilingual
Assignments. A qualified incumbent of such position will be paid a
monthly premium of one hundred seventy -five dollars ($175) above his or
her then current base monthly salary step.
C. Positions where it has been determined by the Executive Director 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 ($40.00)
above his or her monthly salary step for each of such assignment.
D. The number of such Primary and /or Secondary Bilingual Assignment shall
be no larger than the requirements of the department as determined by
the Executive Director and the City Manager.
E. There may be annual re- certification of such bilingual capability.
6.2 All assignments to positions set forth in this Article shall be made or revoked at
the discretion of the Executive Director.
25M -21
ARTICLE VII
7.0 OVERTIME PAY
7.1 Compensation for Overtime. Employees in any of the designated classifications
of employment listed in this Agreement are not eligible for monetary
compensation for overtime work or for compensatory time off with pay for
overtime work, unless so required by the Fair Labor Standards Act, or any other
State or Federal laws.
25M -22
ARTICLE VIII
8.0 HOLIDAYS
8.1 Employees covered by this Agreement who work a regular forty (40) hour
workweek schedule shall be entitled to receive the following days off during the
calendar year as paid holidays:
• January 1 st - New Year's Day
• Third (3rd) Monday in January - In observance of Martin Luther King's
Birthday
• Third (3rd) Monday in February - In memory of George Washington's Birthday
• Last Monday in May - In commemoration of Memorial Day
• July 4th - In observance of Independence Day
• First (Ist) 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
• Last working day before Christmas Day, unless Christmas Day falls on a
Thursday, in which instance, the day following Christmas Day shall be
observed in lieu thereof
• December 25th - In observance of Christmas Day
• One (I) 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.
8.2 Holidays — Employees on Alternate Work Schedules.
A. Full -time employees whose regular scheduled days off are other than
Saturday and Sunday shall be entitled to receive twelve (12) eight (8) hour
working days off during the year in lieu of the holiday benefits specified in
Section 8.1 above. However, employees with alternative work schedules
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 from 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 from the final paycheck.
25M -23
B. Said substitute holidays may be scheduled by the Executive Director or
his or her designee, normal 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 proportions to his or her service at
full pay in such capacity during the year.
8.3 A newly 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 holidays 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 must complete six (6) months of continuous full -
time service in order to receive credit for the Floating Holiday listed in Section 8.1
above.
8.4 Holiday time off may only be taken in incumbents of eight (8) hours. Employees
assigned to the 4/10 must use their holiday in ten (10) hour increments. Effective
with the date of approval of this Memorandum of Understanding by the City
Council, employees assigned to a 9/80 work schedule must use their holidays in
nine (9) hour increments as described in Subsection 4.2 (13)(3)(a) supra.
8.5 Holiday benefits may not be carried over from one (1) calendar year to the next.
25 1 -24
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 full -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.
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 (1S) 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 (1/2)
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 manner of
25M -25
MKI
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 Executive Director, 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
Executive Director. The time at which an employee shall take his
or her vacation shall be determined by the Executive Director, with
due regard for the wishes of the employee and particular regard for
the needs of the service.
Longevity Vacation.
A. 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.
25M -26
Hourly Equivalent
Completed Years
Additional Days
of Additional Days
6
1/2
4
7
1
8
8
1 1/2
12
9
2
16
10
2 1/2
20
11
3
24
12
31/2
28
13
4
32
14
41/2
36
15
5
40
16
6
48
17
7
56
18
8
64
19
9
72
20
10
80
25M -26
B. No employee becomes eligible for longevity vacation until completion of
the sixth (6th) 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.
C. A period of earlier services 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, Subsection 10.1 (E) (Sick Leave - Extended),
Article X, Subsection 10.8 (Authorized Absence Without Pay - Long Term)
and Article X, Subsection 10.12 (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 Chapter 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.
D. Effective July 1, 2017, the maximum permitted yearly cash out of longevity
vacation time shall revert back to forty (40) hours per fiscal year.
9.4 Limitation on Vacation.
A. With the exception of a retiring employee, no employee is granted, and no
employee shall be allowed to take any vacation leave with pay in excess
of fifty (50) working days (400 hours) in any one year by any combination
of the vacations granted in these rules and regulations. Further, no
employee may carry over from one (1) calendar year to the next more
than the equivalent of one (1) longevity vacation period and the equivalent
of one (1) regular vacation period from the previous two (2) years and
vacation not taken 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.
25M -27
B. No employee may carry over from one (1) calendar year to the next more
than the equivalent of three (3) longevity vacation periods and the
equivalent of one (1) regular vacation period from the current year and the
previous two (2) years; vacation not taken beyond that amount is forfeited.
Therefore, the maximum vacation that an employee with less than six (6)
years service could accumulate is thirty (30) working days (240 hours) and
only an employee with more than twenty (20) years service could carry
over and take the authorized maximum of seventy -five (75) working days
(600 hours) in any one year.
9.5 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.
9.6 Management Vacation Benefit.
A. All full time SAMA employees covered by this Agreement will be granted
an additional five (5) working days [five (5), eight (8) -hour days for forty
(40) hour employees] per calendar year over the regular and longevity
vacation schedules applicable to represented non - management
employees of the City subject to a maximum accrual of twenty -five (25)
days of such additional five (5) days per year.
B. Effective January 1, 2010, the maximum accrual of management vacation
benefit hours shall increase to thirty (30) days (240 hours).
9.7 Management Vacation Pay Option.
A. Affected employees shall be given once each calendar year the option to
receive cash compensation, computed on a straight time basis, in lieu of
up to five (5) eight (8) hour working days of earned, unused management
vacation benefits set forth in Section 9.6 above.
B. Effective July 1, 2014, the maximum permitted yearly cash out of
management vacation time shall revert back to forty (40) hours per
calendar year.
25M -28
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 from 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 recredited to
his or her account, if the employee remains off work longer than 14
days. Paid sick leave will continue until the fourth (4th) 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
25M -29
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 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 or vacation 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.
1. The maximum total accumulation of sick leave with pay shall be two
hundred (200), eight (8) hour working days (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) hour.
2. Effective January 1, 2005, the maximum total accumulation of sick
leave with pay will be increased by 400 hours to a maximum of
2,000 hours. These additional 400 hours of accumulated sick leave
will not be permitted to be compensated or converted to health
insurance premiums as specified herein under Subsection 10.1 (K)
of this Article at the time of non - disciplinary termination.
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 accrued 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 within 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.
25M -30
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 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 Executive Director
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.
A physician's certificate or other satisfactory written evidence of actual
illness or injury may be required after an absence of any duration 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.
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 vacation leave benefit; second, from the next scheduled salary
payment.
J. Necessity Leave. Each employee shall be afforded the opportunity to use
up to forty -eight (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,
25M -31
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.
1. Except in cases of disability retirement, upon nondisciplinary
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 limit of fifty -three and one -third (53.33)
eight (8) hour working days, at the rate of pay effective on the date
of such termination.
Maximum sick leave cash -out after ten (10) years of service shall
be equal to 427 hours (53.33 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
25M -32
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°/x) 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 Subsection K(2) above excluding Subsections a and b
d. Any employee who retires after July 1, 2014 may apply any
payments for unused Sick Leave that an employee is eligible
for as described above may be applied to the Retirement
Health Savings account as described in Article 11 Section
11.7 of this MOU.
3. Payment After Twenty -Five Years. Affected employees shall be
granted payment for unpaid sick leave on the same basis above,
with the exception that such affected employees who have
completed twenty -five (25) years or more of cumulative service with
the City 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 his or her termination, not to exceed a maximum limit of
1066 hours, at the rate of base pay effective on the date of such
termination.
L. The City Manager is authorized to grant a newly appointed incumbent of a
SAMA classification sick leave credits up to an amount equal to any
earned but unused sick leave credits available to such appointee at the
time of his or her separation from his or her most recent previous
25M -33
employer.
10.2 Bereavement Leave.
A. 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.
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, spouse, child, brother, sister, 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. Whenever an employee is required to travel one way more than 500 miles
to attend to the death of a member of the employee's immediate family, an
employee may use up to sixteen (16) hours of additional leave charged to
their Personal Necessity Leave balance when authorized by the Executive
Director.
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 Chapter 9 -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
251 -34
or non -party witness in any court action, he 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 Executive Director 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 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 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 or
herself makes an explanation satisfactory to the Executive Director regarding the
cause of his or her absence, the Executive Director 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 Executive
Director. Absence without pay not to exceed fifteen (15) calendar days may be
authorized by the Executive Director with the approval of the City Manager.
Such an absence may be authorized only if in the judgment of the Executive
Director it serves the best interest of the City.
10.8 Authorized Absence Without Pay - Long Term. Upon receipt of a written request
from an employee having permanent status, plus action by the Executive Director
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 Executive Director
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 Executive Director 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
25M -35
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 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 up 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.
Employees may take an unpaid leave of absence during 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 she 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.
10.11 Administrative Leave. The City Manager is authorized to grant, at his or her
discretion, paid or unpaid leave for full time SAMA employees.
10.12 Catastrophic Leave. 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 SAMA 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 ordinance 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 Long Term Disability benefits.
A. Guidelines. It shall be understood that all donations under this procedure
251 -36
are voluntary and subject to taxation for the recipient.
1. Employees may donate vacation 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 periods to submit
donations. Donations received after this two -week period shall not
be processed. The two -week period for each case shall be
designed by the Executive Director 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 Subsection 10.12(C)(2) below, will not be
processed.
5. All donations shall be irrevocable.
6. In 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 way be used pursuant
to Subsection 10.1 (A) through 10.1(K).
7. Donations shall be limited to employees of this bargaining unit or
any other unrepresented unit.
B. Eligibility. Regular, full -time SAMA 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 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 Executive Director, or his or her designee, has
approved a written request for donation 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.
251 -37
C. Procedure.
1. Upon receipt of a valid request for donations from an eligible
employee, the Executive Director or his or her designee shall post a
notice of the eligible employee's need for donation on bulletin
boards accessible to employees. No confidential medical
information shall be included in the posted notice.
2. Employee 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 vacation time of the donation within
the limitation of Subsection 10.12(A)(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 donation period, the department shall verify that
each donating employee has accrued vacation 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 Subsection
10.12(A) herein.
5. The City shall add the donated time to the recipient's sick leave
account.
25M -38
ARTICLE XI
11.0 EMPLOYEE INSURANCE
11.1 Health Insurance. The City shall contribute the following amounts toward the
payment of premiums for affected full time 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. Effective July 1, 2005, the City shall contribute toward medical premiums
an amount consistent with the rates then in effect for each tier of the
CalPERS Kaiser Permanente HMO Other Southern California plan.
B. Effective January 1, 2006, January 1, 2007, 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 Permanente HMO Other Southern
California plan.
C. 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.
A. Effective January 1, 2004, through December 31, 2005, the City agrees to
contribute a maximum of up to seventy dollars ($70) per month per
employee toward the payment of premiums for dental insurance plans
provided by the City for employees covered by this Agreement and their
eligible dependents. Effective January 1, 2006, the City contribution
amount will be increased to a maximum of up to eighty dollars ($80) per
month per employee. Effective January 1, 2007, the City contribution
amount will be increased to a maximum of up to ninety dollars ($90) per
month per employee.
B. 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. The City shall continue to pay one
hundred percent (100 %) of the premium cost for a 60 -day elimination period long
25M -39
term disability insurance plan for employee covered by this Agreement.
11.4 Life Insurance, The City shall continue to pay one hundred percent (100 %) of
the premium cost for term life insurance coverage under the policy it maintains
on behalf of employees in order to provide employees covered by this Agreement
with life insurance coverage in an amount equal to twice such employee's annual
rate of salary to a maximum of three hundred thousand ($300,000) provided said
affected employees can provide evidence of insurability of coverage if so
required by the terms and conditions of said term life insurance policy.
In the event any such employee is determined to be ineligible for said insurance
coverage, the City will attempt to provide as much coverage as may be obtained
at reasonable cost without having to provide evidence of insurability.
11.5 The City shall retain the right to change health, dental and life insurance carriers,
administer the insurance benefits provided thereunder, and select and /or change
any excess or supplemental insurance carriers as a part of any self- insurance
plan during the term of this Agreement, provided that employees covered by this
Agreement continue to receive equivalent benefits and provided that the parties
have met and conferred before the benefits changes are made.
11.6 Affected employees shall have the option of waiving coverage under any City
sponsored group insurance plan, such as medical, and dental, and receiving a
cash payment each month in an amount equal to the City contribution for the
"employee- only" coverage for medical and the City contribution for family dental.
The above specified amounts of City contributions towards each such coverage
waived will be applied to earned income.
11.7 Medical Retirement Subsidy Plan.
A. The City shall make an annual deposit of 1.75% of payroll into the Medical
Retirement Subsidy Plan. Said payment shall be made by January 1,
2015.
B. The plan shall be administered by the City, at no cost to SAMA or its
members pursuant to the written directives of SAMA. 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.
25-40
C. The City and SAMA agree to work towards the establishment of a
Retirement Health Savings (RHS) account for individual SAMA members.
D. Upon establishment of the RHS the City agrees to increase SAMA
members base salary by 1.25% with said amount being deducted into
employees individual RHS.
E. If said RHS is established after annual payment of the 1.75% into the
existing Medical Retirement Subsidy plan, the salary adjust of 1.25%
described in paragraph "D" above will occur on July 1, 2015.
11.8 Vision Plan. As soon as practicable after the approval of this Memorandum of
Understanding by the City Council, the City agrees to implement a non-
contributory vision plan through payroll deduction for employees wishing to
participate in such a plan.
25BA -41
ARTICLE XII
12.0 DEFERRED COMPENSATION
12.1 Deferred Compensation Benefit.
A. Background. Prior to July 1, 1991, the City authorized an amount equal to
one percent (1.0 %) of pay for a deferred compensation benefit for full time
management employees. This benefit was treated as a separately from
salary, and was not included in the City's salary and wage schedule.
Effective July 1, 1991, to comply with CalPERS wage reporting
requirements, this benefit was added to the pay rate assigned to each
classification and reported as "salary" to CalPERS. Thereafter, pay levels
for SAMA classifications included this additional one percent (1.0 %)
deferred compensation benefit.
B. Deferred Compensation Benefit. Each affected employee in a SAMA
classification may at his /her option defer said compensation by directing
the City to deposit this amount (one percent of base pay) in their individual
deferred compensation account. Such contribution shall continue to be
subject to the general terms and conditions of the City's qualified Deferred
Compensation Plan.
25M -42
ARTICLE XIII
13.0 RETIREMENT
13.1 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 CaIPERS in accordance with its contract
with CaIPERS for affected employees covered by said contract as amended.
13.2 Deferred Retirement. The City will continue to make payment to CaIPERS 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 currently
equal to seven percent (7 %) of base salary, and will increase to eight percent
(8 %) of base salary, effective January 1, 2009. Such payments shall be credited
to the individual employee's CaIPERS 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, 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
(Administrative Management employees), or sixteen (16) salary rate ranges after
January 1, 2009, or approximately seven percent (7 %) (Middle Management
employees) or approximately eight percent (8 %) after January 1, 2009.
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 Credit for Unused Sick Leave. 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 years 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 employment. This
251A -43
section applies to members whose effective date of retirement is within four (4)
months of separation from employment.
13.4 Military Service Credit as Public. 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.
13.5 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. The
City agrees to provide Miscellaneous employees covered by this agreement with
the 2.7% at 55 Service Retirement benefit. Pursuant to CalPERS regulations.
This formula will apply to each year of eligible service credited with the City of
Santa Ana.
Employee Contribution for Retirement Benefit. The employee's contribution rate
will be eight - percent (8 %). 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 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 CalPERS 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 - sworn.
Final compensation will be based on the highest annual average compensation
earnable during the thirty -six (36) consecutive months immediately preceding the
251 -44
effective date of his or her retirement, or some other thirty -six (36) consecutive
month period designated by the member.
Employees shall pay one half of the normal cost rate, as established by
CalPERS.
25M -45
ARTICLE XIV
14.0 TUITION REIMBURSTMENT
14.1 Affected employees shall continued to be eligible to participate in the existing
Training and Education Assistance Program provided for all regular, full -time
employees of the City; except, however, reimbursement for eligible employees
shall be one hundred percent (100 %) of tuition and registration cost up to a
maximum of two thousand dollars ($2,000) per year in accordance with the
provisions of that program.
25M -46
ARTICLE XV
15.0 ELECTRONIC DEVICE STIPEND
15.1 Electronic Device. Stipend. All full -time SAMA employees covered under this
agreement, whose supervisor determines is required to have a cellphone or
tablet will be given the option to choose one of the following:
A. Be provided a City paid phone or tablet, or
B. Be compensated a maximum of seventy -five dollars ($75) monthly to
cover costs related to the use of personal electronic devices (phone
and /or tablet) for City business.
Employees who use their own devices will comply with the City's policy.
25DA -47
ARTICLE XVI
16.0 STRIKES AND WORK STOPPAGES
16.1 Prohibited Conduct.
A. SAMA, its officers, agents, representatives, and members agree that
during the term of this Agreement, they will not cause or condone any
unlawful strike, walkout, slowdown, sickout, or any other unlawful job
action by withholding or refusing to work.
B. According to City Charter Section 1014, any employee who participates in
any conduct prohibited in Subsection A above shall be subject to
suspension, demotion or dismissal by the Appointing Authority.
16.2 SAMA Responsibility. Whenever SAMA, its officers, agents, representatives, or
members engage in any of the conduct prohibited in Subsection 14.1(A) above of
this Article, SAMA will immediately instruct any persons engaging in such
conduct that their conduct is violating this Agreement and unlawful, and they
must immediately cease engaging in the conduct prohibited in said Subsection
14.1(A) above, and return to work.
25M -48
ARTICLE XVII
17.0 SOLE & ENTIRE AGREEMENT
17.1 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, its Municipal Code, and its City's
Employer - Employee Relations Resolution Number 81 -75. It is the intent of the
parties hereto that the provisions of this Agreement will supersede all prior
agreements, memoranda of agreement, memoranda of understanding, or
contrary salary, and /or personnel rules and regulations, Municipal Code
provisions of the City, oral or written agreements expressed or implied between
the parties. This Agreement will govern the entire relationship and will be the
sole source of any rights that they may assert hereunder. This Agreement is not
intended to conflict with Federal or State law or the City Charter.
17.2 Notwithstanding the above, there exists within the City personnel rules and
regulations and departmental rules and regulations. The City shall continue
these rules and regulations to the extent that 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, or other terms
and conditions of employment, the City shall meet and confer with SAMA;
provided further, the parties shall change no provision of the rules and
regulations to contravene specific provisions of this Agreement.
25W -49
ARTICLE XVIII
18.0 SEPARABILITY PROVISION
18.1 Should any provisions of this Agreement be found to be inoperative, void, or
invalid by a court 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.
25M -50
ARTICLE XIX
19.0 GRIEVANCE REVIEW PROCEDURE
19.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by
an employee or group of employees or the Association concerning the
interpretation or application of specific provisions of this Agreement, or of the
rules and regulations governing personnel practices or working conditions of the
City, except, however, those matters specifically assigned to the jurisdiction of
the City Personnel Board by those provisions of the City Charter and the Civil
Service Rules and Regulations.
No employee shall suffer any reprisal because of filing or processing of a
grievance or participation in the Grievance Review Procedure.
19.2 Informal Process.
A. An employee must first attempt to resolve the grievance on an informal
basis through discussion with his or her immediate supervisor without
undue delay, but in no case, beyond a period of ten (10) calendar days
after the occurrence of the alleged incident giving rise to the grievance, or
when the grievant knew or should have reasonably become aware of the
facts giving rise to the grievance.
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 five (5) working days, a
mutually acceptable solution has not been reached 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
immediate supervisor. 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) working days after first
discussing the grievance with the employee's immediate supervisor, the
grievance shall be barred and waived.
19.3 Formal Process.
A. If a 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 shall add his or her comments and any justification
25M -51
he or she considers proper, sign it, and forward it to the Department Head
without undue delay or, in no case, more than ten (10) calendar days.
B. If the grievant files a written grievance with the Department Head in the
manner and within the time limits specified, then a conference shall be
held at the request of the employee or the Department Head.
C. The Department Head shall inform the employee of his or her action within
ten (10) calendar days after receipt of the request of the settlement. The
original of the grievance form and the Department Head's decision shall
be filed in the personnel records of the department.
D. If no satisfactory settlement has been reached at the departmental level,
the employee may, within ten (10) calendar days after being informed by
the Department Head of his or her decision on the matter, and the reasons
thereof, submit the grievance in writing to the City Manager, or his or her
duly authorized representative, for determination. 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 Department
Head's response.
E. The City Manager or his duly authorized representative, after a careful
review, shall render a final decision on the merits of the grievance, in
writing, and return it to the grievant within fifteen (15) calendar days after
receiving the grievance. A copy of the written grievance to the City
Manager, or his or her duly authorized representative, and of the City
Manager's or his or her representative's written decision shall be filed in
the personnel records of the department and the grievant's personnel
jacket maintained in the Personnel Services Department.
F. After the procedures set forth in this Article have been exhausted, the
grievant, the Association, and the City shall have all rights and remedies
to pursue said grievance under the law.
25M -52
ARTICLE XX
20.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT
20.1 During the term of this Agreement, the parties mutually agree that they will not
seek to negotiate or bargain concerning wages, hours, or terms and conditions of
employment, whether or not covered by the Agreement, or in the negotiations
leading thereto, and whether or not such matters were discussed, or were even
within the contemplation of the parties during the negotiations leading to this
Agreement. Regardless of the waiver contained in this Article, the parties may,
however, by mutual agreement, in writing, agree to meet and confer about any
matter not covered by this Agreement, or to carry out any provision of salary or
benefit tied to another bargaining unit during the term of this Agreement.
20.2 Re- opener Regarding Possible Merger of Middle and Administrative
Management Categories of Employment. During FY 2010 -11, the City and
SAMA agree to re -open the MOU for the purpose of discussing the feasibility of
merging Middle and Administrative Management categories of employment.
25M -53
ARTICLE XXI
21.0 EMERGENCY WAIVER PROVISION
21.1 In case of circumstances beyond the control of the City, such as acts of God, fire,
flood, insurrection, civil disorder, national emergency, or similar circumstances,
provisions of this Agreement or the Santa Ana Municipal Code or Resolutions,
which restrict the City's ability to respond to these emergencies, shall be
suspended for the duration of such emergencies. After the City declares the
emergency over, this Agreement will be reinstated immediately. SAMA shall
have the right to meet and confer with the City regarding the impact of the
suspension of the provisions in the Agreement during the emergency.
25M -54
ARTICLE XXII
22.0 TERM
22.1 The term of this Memorandum of Understanding shall commence on the date
when the terms and conditions for its effectiveness, as set forth in Article III,
Implementation, are fully met, but in no event shall said Memorandum of
Understanding become effective prior to 12:01 a.m. on July 1, 2014. This
Memorandum of Understanding shall expire and otherwise be fully terminated at
12:00 midnight on June 30, 2015.
25M -55
ARTICLE XXIII
23.0 NON - DISCRIMINATION
23.1 The parties mutually recognize and agree fully to protect the rights of all
employees covered hereby to join and participate in the activities of SAMA and
all other rights in the Employee Relations Resolution (Resolution Number 81-
075) and Government Code, Sections 3500 through 3511.
23.2 The provisions of this Memorandum of Understanding shall be applied equally to
all employees covered hereby without favor or discrimination because of race,
color, sex, sexual orientation, age, national origin, political or religious opinions or
affiliations, or disability status or other factors not directly related to the
successful performance of the job.
251 -56
ARTICLE XXIV
24.0 RATIFICATION & EXECUTION
24.1 The City and SAMA have reached an understanding as to certain
recommendations to be made to the City Council of the City of Santa Ana and
have agreed that the parties hereto will jointly urge said Council to adopt a new
wage and salary resolution which will provide for the changes contained in said
joint recommendations. The City and SAMA acknowledge that this Agreement
shall not be in full force and effect until ratified by the membership of SAMA and
adopted by the City Council of the City of Santa Ana. Subject to the foregoing,
this Agreement is hereby executed by the authorized representatives of the City
and SAMA and entered into this day of 2014.
CITY OF SANTA ANA, a Municipal
Corporation of the State of California
Dated: By:
Dated: By:
Dated: By:
Mayor
City Manager
Executive Director, Personnel Services
APPROVED AS TO FORM:
Clerk of the Council City Attorney
25M -57
This Agreement has been ratified by the membership of the Santa Ana Management
Association,
Dated:
Jamie Newton
Orange County Employees Association
Chief Negotiator
SAMA President
25M -58
Exhibit A
251 -59
Schedule of Salary Rate Ranges for Represented
Middle
Management Classes of Employment
Effective 7/01/13
(Note:
Addition of Step 16 effective 7/01/12;
Addition
of Step 17 effective 7/01/13
01
02
03
04
05
06
07
08
09
10
11
12
13
14
15
16
17
MM -10
6038
6187
6341
6501
6666
6830
7000
7175
7355
7538
7725
7919
8119
8320
8527
8743
8961
MM -11
6187
6341
6501
6666
6830
7000
7175
7355
7538
7725
7919
8119
8320
8527
8743
8961
9185
MM -12
6341
6501
6666
6830
7000
7175
7355
7538
7725
7919
8119
8320
8527
8743
8961
9185
9414
MM -13
6501
6666
6830
7000
7175
7355
7538
7725
7919
8119
8320
8527
8743
8961
9185
9414
9651
MM -14
6666
6830
7000
7175
7355
7538
7725
7919
8119
8320
8527
8743
8961
9185
9414
9651
9891
MM -15
6830
7000
7175
7355
7538
7725
7919
8119
8320
8527
8743
8961
9185
9414
9651
9891
10138
MM -16
7000
7175
7355
7538
7725
7919
8119
8320
8527
8743
8961
9185
9414
9651
9891
10138
10392
MM -17
7175
7355
7538
7725
7919
8119
8320
8527
8743
8961
9185
9414
9651
9891
10138
10392
10652
MM -18
7355
7538
7725
7919
8119
8320
8527
8743
8961
9185
9414
9651
9891
10138
10392
10652
10917
MM -19
7538
7725
7919
8119
8320
8527
8743
8961
9185
9414
9651
9891
10138
10392
10652
10917
11190
MM -20
7725
7919
8119
8320
8527
8743
8961
9185
9414
9651
9891
10138
10392
10652
10917
11190
11470
MM -21
7919
8119
8320
8527
8743
8961
9185
9414
9651
9891
10138
10392
10652
10917
11190
11470
11756
MM -22
8119
8320
8527
8743
8961
9185
9414
9651
9891
10138
10392
10652
10917
11190
11470
11756
12051
MM -23
8320
8527
8743
8961
9185
9414
9651
9891
10138
10392
10652
10917
11190
11470
11756
12051
12353
MM -24
8527
8743
8961
9185
9414
9651
9891
10138
10392
10652
10917
11190
11470
11756
12051
12353
12660
MM -25
8743
8961
9185
9414
9651
9891
10138
10392
10652
10917
11190
11470
11756
12051
12353
12660
12978
MM -26
8961
9185
9414
9651
9891
10138
10392
10652
10917
11190
11470
11756
12051
12353
12660
12978
13300
MM -27
9185
9414
9651
9891
10138
10392
10652
10917
11190
11470
11756
12051
12353
12660
12978
13300
13635
MM -28
9414
9651
9891
10138
10392
10652
10917
11190
11470
11756
12051
12353
12660
12978
13300
13635
13976
MM -29
9651
9891
10138
10392
10652
10917
11190
11470
11756
12051
12353
12660
12978
13300
13635
13976
14324
MM -30
9891
10138
10392
10652
10917
11190
11470
11756
12051
12353
12660
12978
13300
13635
13976
14324
14683
MM -31
10138
10392
10652
10917
11190
11470
11756
12051
12353
12660
12978
13300
13635
13976
14324
14683
15048
MM -32
10392
10652
10917
11190
11470
11756
12051
12353
12660
12978
13300
13635
13976
14324
14683
15048
15426
MM -33
10652
10917
11190
11470
11756
12051
12353
12660
12978
13300
13635
13976
14324
14683
15048
15426
15810
MM -34
10917
11190
11470
11756
12051
12353
12660
12978
13300
13635
13976
14324
14683
15048
15426
15810
16205
MM -35
11190
11470
11756
12051
12353
12660
12978
13300
13635
13976
14324
14683
15048
15426
15810
16205
16610
MM -36
11470
11756
12051
12353
12660
12978
13300
13635
13976
14324
14683
15048
15426
15810
16205
16610
17025
MM -37
11756
12051
12353
12660
12978
13300
13635
13976
14324
14683
15048
15426
15810
16205
16610
17025
17450
MM -38
12051
12353
12660
12978
13300
13635
13976
14324
14683
15048
15426
15810
16205
16610
17025
17450
17887
MM -39
12353
12660
12978
13300
13635
13976
14324
14683
15048
15426
15810
16205
16610
17025
17450
17887
18334
MM -40
12660
12978
13300
13635
13976
14324
14683
15048
15426
15810
16205
16610
17025
17450
17887
18334
18792
251 -59
EXHIBIT B
SCHEDULE OF SALARY RATE RANGES FOR
ADMINISTRATIVE MANAGEMENT CLASSES OF EMPLOYMENT
CURRRENT AS OF 7/01/13
25M -60
0
1
2
3
4
5
6
7
8
9
AM50
2391
2402
2414
2427
2439
2451
2463
2475
2488
2500
AM51
2511
2523
2536
2548
2561
2574
2587
2600
2613
2626
AM52
2637
2650
2663
2676
2690
2703
2717
2730
2744
2758
AM53
2769
2782
2796
2810
2824
2838
2853
2867
2881
2896
AM54
2907
2921
2936
2950
2965
2980
2995
3010
3025
3040
AM55
3052
3067
3082
3098
3113
3129
3144
3160
3176
3192
AM56
3205
3221
3237
3253
3269
3285
3302
3318
3335
3352
AM57
3365
3381
3398
3415
3432
3449
3467
3484
3501
3519
AM58
3533
3550
3568
3586
3604
3622
3640
3658
3676
3695
AM59
3710
3728
3747
3765
3784
3803
3822
3841
3861
3880
AM60
3896
3915
3935
3954
3974
3994
4014
4034
4054
4074
AM61
4091
4111
4132
4152
4173
4194
4215
4236
4257
4278
AM62
4296
4317
4339
4360
4382
4404
4426
4448
4470
4493
AM63
4511
4533
4556
4579
4601
4624
4648
4671
4694
4718
AM64
4741
4764
4787
4810
4834
4858
4882
4906
4930
4954
AM65
4978
5002
5026
5051
5076
5101
5126
5151
5176
5201
AM66
5226
5252
5278
5304
5330
5356
5382
5408
5434
5461
AM67
5488
5515
5542
5569
5596
5623
5650
5678
5706
5734
AM68
5762
5790
5818
5847
5876
5905
5934
5963
5992
6021
AM69
6050
6080
6110
6140
6170
6200
6230
6260
6291
6322
AM70
6353
6384
6415
6446
6478
6510
6542
6574
6606
6638
AM71
6670
6702
6735
6768
6801
6835
6869
6903
6937
6971
AM72
7005
7039
7073
7107
7141
7176
7211
7247
7283
7319
AM73
7355
7391
7427
7463
7499
7535
7571
7609
7647
7685
AM74
7723
7761
7799
7837
7875
7913
7951
7989
8029
8069
AM75
8109
8149
8189
8229
8269
8309
8349
8389
8431
8473
AM76
8515
8557
8599
8641
8683
8725
8767
8809
8853
8897
AM77
8941
8985
9029
9073
9117
9161
9205
9250
9296
9342
AM78
9388
9434
9482
9529
9577
9625
9673
9721
9770
9819
AM79
9857
9906
9955
10005
10055
10105
10156
10207
10258
10309
AM80
10350
10401
10453
10506
10558
10611
10664
10717
10771
10825
AM81
10868
10922
10976
11031
11086
11142
11198
11254
11310
11366
AM82
11411
11468
11525
11583
11640
11699
11757
11816
11875
11934
AM83
11982
12041
12102
12162
12223
12284
12345
12407
12469
12532
AM84
12581
12643
12707
12770
12834
12898
12963
13027
13093
13158
AM85
13210
13275
13342
13409
13476
13543
13611
13678
13748
13816
AM86
13871
13939
14009
14079
14150
14220
14292
14362
14435
14507
AM87
14565
14636
14709
14783
14858
14931
15007
15080
15157
15232
AM88
15293
15368
15444
15522
15601
15678
15757
15834
15915
15994
25M -60
EXHIBIT C 7/1/2014
JOB TITLES RANGE
NO.
ACCOUNTING MANAGER (MM)
MM -25
ADMINISTRATIVE SERVICES MANAGER (MM)
MM -22
ASSISTANT CITY ATTORNEY (MM)
MM -22
ASSISTANT DIR OF COMMUNITY DEVELOPMENT (MM)
MM -26
ASSISTANT DIR OF FINANCE AND MANAGEMENT SVCS (MM)
MM -28
ASSISTANT DIR OF PARKS, REC, AND CMTY SVCS (MM)
MM -26
ASSISTANT DIR OF PERSONNEL SERVICES (MM)
MM -26
ASSISTANT DIR OF PLANNING AND BUILDING (MM)
MM -28
ASSISTANT TO THE CITY MANAGER (MM)
MM -22
BUILDING SAFETY MANAGER (MM)
MM -26
CHIEF ASSISTANT CITY ATTORNEY (MM)
MM -30
CITY ENGINEER (MM)
MM -28
CITY TRAFFIC ENGINEER (MM)
MM -25
COMMUNITY DEVELOPMENT MANAGER (MM)
MM -26
COMMUNITY PRESERVATION MANAGER (MM)
MM -26
COMMUNITY SERVICES MANAGER (MM)
MM -22
CORPORATE YARD FACILITIES /FLEET SVCS MGR (MM)
MM -22
COUNCIL SERVICES MANAGER (MM)
MM -22
DEPUTY BUILDING OFFICIAL /NEW CONSTRUCTION (MM)
MM -22
DEPUTY BUILDING OFFICIAL /PLAN CHECK (MM)
MM -25
DEPUTY CITY ATTORNEY (MM)
MM -12
DEPUTY CITY ENGINEER (MM)
MM -25
ECONOMIC DEVELOPMENT MANAGER (MM)
MM -26
FACILITIES MAINTENANCE SUPERINTENDENT (MM)
MM -18
HOUSING DIVISION MANAGER (MM)
MM -26
INFORMATION SERVICES MANAGER (MM)
MM -25
LIBRARY OPERATIONS MANAGER (MM)
MM -17
PLANNING MANAGER (MM)
MM -26
PRINCIPAL CIVIL ENGINEER (MM)
MM -25
PUBLIC WORKS MAINTENANCE MANAGER (MM)
MM -24
RISK MANAGER (MM)
MM -23
SENIOR ASSISTANT CITY ATTORNEY (MM)
MM -28
STRATEGIC COMMUNICATIONS MANAGER (MM)
MM -19
TRANSIT PROGRAM MANAGER (MM)
MM -25
TRANSPORTATION MANAGER (MM)
MM -25
TREASURY MANAGER (MM)
MM -22
WATER RESOURCES MANAGER (MM)
MM -26
ZOO MANAGER (MM)
MM -22
251 -61
APPLICATIONS SYSTEMS MANAGER (AM)
AM772
APPLICATIONS/TECH SUPPORT MANAGER (AM)
AM782
BENEFITS AND COMPENSATION SUPERVISOR (AM)
AM732
BENEFITS SUPERVISOR (AM)
AM721
BUDGET AND RESEARCH MANAGER (AM)
AM762
COMMUNITY PRESERVATION COORDINATOR (AM)
AM723
CORRECTIONAL MANAGER (AM)
AM735
POLICE SYSTEMS MANAGER (AM)
AM772
PRINCIPAL MANAGEMENT ANALYST (AM)
AM732
PRINCIPAL PLANNER (AM)
AM758
SUPERVISOR OF INSPECTIONS (AM)
AM743
WORKERS' COMPENSATION SUPERVISOR (AM)
AM721
25M -62
� 4 �
CITY COUNCIL MEETING DATE:
AUGUST 6, 2014
TITLE:
AGREEMENT WITH THE CONFIDENTIAL
ASSOCIATION OF SANTA ANA
CITY MANAG
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
..., ,
❑ As Recommended
❑ As Amended
❑ Ordinance on I" Reading
❑ Ordinance on 2 "" Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to
execute an agreement with the Confidential Association of Santa Ana, subject to non - substantive
changes approved by the City Manager and City Attorney, regarding wages and other terms and
conditions of employment for a one -year period ending June 30, 2015 in an amount not to
exceed $225,780.
DISCUSSION
The City and the Confidential Association of Santa Ana (CASA) recently completed contract
negotiations resulting in a new one -year Memorandum of Understanding (MOU).
The primary provisions of this agreement include:
1) Term: A one -year term, from July 1, 2014 through June 30, 2015.
2) Salary Increase: Effective upon adoption, the base salary of employees covered by this
MOU shall be increased by two percent (2 %).
3) Insurance: The additional monthly employee contributions of $40 toward medical
insurance and $10 for dental insurance shall be discontinued.
4) Educational Reimbursement: Reimbursement for qualified educational expenses shall be
increased from $2,000 per year to $2,500 per year.
5) Retiree Health Savings Plan: The current medical premium reimbursement plan may be
replaced with a Retiree Health Savings Account Plan for individual employees, The City
25N -1
Agreement with the Confidential Association of Santa Ana
August 5, 2014
Page 2
will exchange its 1.75% contribution for a 1.25% pension - qualified contribution (equal value).
6) Confidential Premium: Employees consistently assigned to sensitive positions by a
Department Head involving labor negotiations and/or employee discipline which require
trust and discretion, may receive a 2.5% premium.
7) Miscellaneous Provisions: Additional provisions pertain to City identification cards and
language clean -up.
Approval of this item allows the City to meet Goal #7 Team Santa Ana, Objective #4 (establish
employee compensation that attracts and retains a highly qualified workforce) and Objective #6
(provide a positive workplace environment that supports the health of its employees and
celebrates its success).
Funds are available in the affected departmental salary accounts (no. 61000). It is estimated that
this agreement will result in an annual cost of $225,780.
C,
Edward Raya
Executive Director
Personnel Services Department
Francisco Gutierrez 5fL
Executive Director
Finance & Management Services Agency
25N -2
MEMORANDUM
�r
UNDERSTANDING
CITY OF SANTA ANA
/_1►If
CONFIDENTIAL ASSOCIATION OF THE CITY OF SANTA ANA
JULY 1, 2014 THROUGH JUNE 30, 2015
25N -3
TABLE OF CONTENTS
ARTICLE
SUBJECT
PAGE
ARTICLE I
RECOGNITION
4
ARTICLE II
NON - DISCRIMINATION CLAUSE
5
ARTICLE III
IMPLEMENTATION
6
ARTICLE IV
ATTENDANCE, WORKDAY & WORKWEEK
7
ARTICLE V
SALARIES
12
ARTICLE VI
ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES
18
ARTICLE VII
OVERTIME
24
ARTICLE VIII
TRAINING & EDUCATIONAL ASSISTANCE PROGRAM
28
ARTICLE IX
HOLIDAYS
31
ARTICLE X
VACATION
34
ARTICLE XI
OTHER LEAVES OF ABSENCE
38
ARTICLE XII
EMPLOYEE INSURANCE
46
ARTICLE XIII
RETIREMENT
49
ARTICLE XIV
SAFETY
52
ARTICLE XV
GRIEVANCE REVIEW PROCEDURE
53
ARTICLE XVI
ASSOCIATION RIGHTS
55
ARTICLE XVII
DUES DEDUCTION & INDEMNIFICATION
58
ARTICLE XVIII
CITY RIGHTS
59
ARTICLE XIX
STRIKES & WORK STOPPAGES
61
ARTICLE XX
LAYOFFS
62
ARTICLE XXI
MISCELLANEOUS PROVISIONS
64
ARTICLE XXII
SOLE & ENTIRE AGREEMENT
67
ARTICLE XXIII
WAIVER OF BARGAINING DURING THE TERM
OF THIS AGREEMENT
68
ARTICLE XXIV
EMERGENCY WAIVER PROVISION
69
ARTICLE XXV
SEPARABILITY PROVISION
70
ARTICLE XXVI
TERM OF AGREEMENT
71
ARTICLE XXVII
RATIFICATION & EXECUTION
72
EXHIBITS
EXHIBIT A BASIC SALARY & WAGE SCHEDULE 74
EXHIBIT B ASSIGNMENT OF CONFIDENTIAL ASSOCIATION OF
SANTA ANA FULL TIME CLASSIFICATIONS TO SALARY
RATE RANGES 76
EXHIBIT RESOLUTION NO. 81-75 78
EXHIBIT D 9/80 HARDSHIP CLAIM 90
CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) yakNiy2015 Page
TABLE OF CONTENTS
(Alphabetical Order)
SUBJECT
ARTICLE
PAGE
ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES
ARTICLE VI
18
ASSOCIATION RIGHTS
ARTICLE XVI
55
ATTENDANCE, WORKDAY & WORKWEEK
ARTICLE IV
7
CITY RIGHTS
ARTICLE XVIII
59
DUES DEDUCTION & INDEMNIFICATION
ARTICLE XVII
58
EMERGENCY WAIVER PROVISION
ARTICLE XXIV
69
EMPLOYEE INSURANCE
ARTICLE XII
46
GRIEVANCE REVIEW PROCEDURE
ARTICLE XV
53
HOLIDAYS
ARTICLE IX
31
IMPLEMENTATION
ARTICLE III
6
LAYOFFS
ARTICLE XX
62
MISCELLANEOUS PROVISIONS
ARTICLE XXI
64
NON - DISCRIMINATION CLAUSE
ARTICLE II
5
OTHER LEAVES OF ABSENCE
ARTICLE XI
38
OVERTIME
ARTICLE VII
24
RATIFICATION & EXECUTION
ARTICLE XXVII
72
RECOGNITION
ARTICLE 1
4
RETIREMENT
ARTICLE XIII
49
SAFETY
ARTICLE XIV
52
SALARIES
ARTICLE V
12
SEPARABILITY PROVISION
ARTICLE XXV
70
SOLE & ENTIRE AGREEMENT
ARTICLE XXII
67
STRIKES & WORK STOPPAGES
ARTICLE XIX
61
TERM OF AGREEMENT
ARTICLE XXVI
71
TRAINING & EDUCATIONAL ASSISTANCE
PROGRAM
ARTICLE VIII
28
VACATION
ARTICLE X
34
WAIVER OF BARGAINING DURING THE TERM
OF THIS AGREEMENT
ARTICLE XXIII
68
EXHIBITS:
ASSIGNMENT OF FULL TIME CLASSES REPRESENTED BY
CONFIDENTIAL ASSOCIATION OF SANTA ANA
EXHIBIT B
76
BASIC SALARY & WAGE SCHEDULE
EXHIBIT A
74
RESOLUTION NO. 81 -75
EXHIBIT C
78
9/80 HARDSHIP CLAIM FORM
EXHIBIT D
90
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 2t N14t015 Page 3
ARTICLE I
1.0 RECOGNITION
1.1 Pursuant to the provisions of the Meyers - Milias -Brown Act, Government Code
Section 3500, et sue., the City of Santa Ana (hereinafter called "the City ") has
recognized the Confidential Association of Santa Ana (hereinafter called
"CASA ") as the majority representative of the bargaining unitwhich includes
all full -time employees employed by the City of Santa Ana in classifications
heretofore designated as "confidential" and which are listed in Exhibit B of
this Agreement.
1.2 Notwithstanding the following provisions of this Memorandum of
Understanding, the parties agree that they have intended nothing herein to
entitle, alter or award Civil Service rights or privileges to any employee
represented by CASA who is in the Excepted (Exempt) Service of the City of
Santa Ana.
1.3 During the term 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 - Employee Relations Resolution of the City of Santa Ana
(refer to Exhibit C).
1.4 The term "employee" or "employees" as used herein shall refer only to full
time CASA employees of the City, in the employee classifications listed in the
attachment shown as Exhibit B of this Agreement, as well as such
classifications as may be added hereinafter via Council resolution.
1.5 It is the purpose of this Memorandum of Understanding to promote and
provide for harmonious relations, cooperation and understanding between
the City and employees covered by this Memorandum. It sets forth the full
and entire understanding reached in good faith negotiations regarding the
wages, hours, terms and conditions of employment of employees covered
by this Memorandum of Understanding which the parties intend to submit
jointly and recommend for approval to the City Council of the City of Santa
Ana.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) n N146015 Page 4
ARTICLE II
2.0 NON - DISCRIMINATION CLAUSE
2.1 The City and CASA agree that they shall not discriminate against any
employee because of race, color, gender, sexual orientation /association or
perception, age, national origin, ancestry, disability, medical condition,
marital status, pregnancy, childbirth or related medical conditions, genetic
information, political orreligious opinions oraffiliations, orCASA membership.
The City and CASA 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 orchange 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) f6 W 015 Page 5
ARTICLE III
3.0 IMPLEMENTATION
3.1 The parties agree that this Memorandum of Understanding shall not be
binding upon the parties until said City Council:
A. Acts, by majority vote, to formally approve said Memorandum of
Understanding; and
B. Acts to appropriate the necessary funds required to implement the
provisions of this Memorandum of Understanding that require funding.
3.2 Notwithstanding the foregoing, in the event the City Council fails to take all
actions necessary to implement this Memorandum of Understanding in a
timely manner, the parties understand that they may mutually agree to
implement appropriate provisions of this Memorandum that do not require
specific approval by the City Council.
3.3 Implementation shall be effective as of the date the memorandum of
understanding is formally approved by the City Council. If the parties fail to
agree to implement provisions of this Memorandum not requiring City
Council approval, then negotiations shall resume upon the request of either
party.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M14015 Page 6
ARTICLE IV
4.0 ATTENDANCE, WORKDAY & WORKWEEK
4.1 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).
4.2 Hours of Work. Eight (8) hours of work shall constitute a normal workday and
forty (40) hours of work shall constitute a minimum workweek, except for
employees for whom special schedules have been approved by the City
Manager.
A. 4/10 Work Schedule. The Department Head, with the approval of the
City Manager, may assign employees to a workweek consisting of four
(4) ten -hour (10 -hour) days with an additional one -half (1 /2) or one (1)
hour for unpaid lunch, as negotiated with CASA. The assigned
employee shall work four (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. 9/80 Work Schedule. The work schedule described below is known as
the "9/80" work schedule. 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 shall 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 shall 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.
"9/80" Work Schedule Defined. The "9/80" work schedule shall
be defined as working eighty hours (80) over nine (9) days in a
two -week period. An employee shall work eight (8) days for
nine (9) hours per day and one day for eight (8) hours, excluding
a one -hour lunch during each work shift, totaling forty (40)
working hours in each FLSA work week.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASH 2L N149(015 Page 7
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 shall be
able to flex their Friday start time nor the time they take
their lunch break, which shall 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 (4) nine -hour work days
(thirty -six hours) and one (1) four -hour Friday for a total of
forty (40) work hours in each workweek (e.g., the Friday is
split into four (4) hours for the first shift, which is charged to
work week one and four hours (4) for the second shift,
which is charged to work week two).
C. Work Schedule Changes. Employees shall not be
permitted to change their work schedules without prior
approval of their supervisor and Department Head.
d. Modifications of the FLSA Work Week. 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.
4.3 9/80 Schedule Hardship Claims. 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" shall be limited to an
employee's authorized hours of work. An accommodation shall 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 29911615 Page 8
after reviewing said claim or assign a manager to investigate and
recommend a resolution of the hardship claim. The manager may
recommend the following:
A. Approve an appropriate flex schedule that does not disrupt the
department's ability to deliver its services or that does not create
disruption in the work unit.
B. Disapprove the employee's proposed solution to resolve the hardship.
C. 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.
D. Hardship Claims. The following process shall apply to CASA employees
on a 9/80 schedule with hardship concerns:
Employees shall be required to explore and exhaust all personal
options to resolve the hardship. The employee's efforts to resolve
his /her personal situation must be explained on the form.
2. An employee claiming an ongoing hardship due to the 9/80
work schedule should submit a hardship claim form (Exhibit D of
this MOU) to the Department Head through his /her manager.
The Department Head may authorize an accommodation after
reviewing said claim or may assign a manager to investigate
and recommend a resolution.
3. If, according to the employee, the hardship claim was not
resolved through the Department Head's recommendation, the
employee may submit the claim form to the Personnel Services
Department, M -24. A Hardship Committee shall be established
to assist in the resolution of hardship claims and meets on an as-
needed basis. The Hardship Committee will review the claim
and make a recommendation to the Department Head.
4. Hardship claims due to health reasons, either the employee's or
a dependant, must be supported by medical verification signed
by the employee's or dependants' private physician.
5. In cases where a hardship exists, as determined by the Hardship
Committee, efforts will be made to identify alternatives with due
regard to the employee's request but, with particular concern
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASAOI� 015 Page 9
to the needs of the department. The Department Head has
final approval on any work schedule adjustment.
6. If transferred or reassigned to a different department and a
hardship continues, a new hardship claim must be filed with the
new Department Head.
7. It is the employee's responsibility to notify his /her supervisor if the
hardship terminates and return to the normal 9/80 work
schedule.
Inconvenience or preference does not constitute a hardship.
4.4 Overtime Defined. All FLSA nonexempt employees working under the "9/80"
work schedule shall 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. Overtime work, and compensation for same,
shall follow the provisions stated in Article VII - Overtime.
B. Compensatory Time. Terms and compensation for Compensatory Time
shall follow the provisions stated in Article VII - Overtime.
4.5 Leave Benefits. When an employee is off on a scheduled workday under the
"9/80" work schedule, nine (9) hours of eligible leave per workday shall be
charged against the employee's leave balance; if the day off is a Friday,
then eight (8) hours shall be charged. When an employee is off on a
scheduled workday under the "4/10" work schedule, ten (10) hours of eligible
leave perworkday shall be charged against the employee's leave balance.
All leaves shall continue under the current accrual, eligibility, request and
approval requirements.
A. Vacation Leave. Provisions for vacation leave are found in Article X of
this MOU.
B. Sick Leave. Provisions for sick leave are found in Article XI of this MOU.
C. Bereavement Leave. Provisions for bereavement leave are found in
Article XI of this MOU.
D. Holidays. Provisions for holiday leave are found in Article IX of this
MOU.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA)2* 401ll15 Page 10
For a recognized City holiday, eight (8) hours, as stated in Article
IX (Holidays), are earned for each holiday. For the charging of
hours on a scheduled holiday, the employee must use nine (9)
hours of holiday time off for a nine (9) hour workday or eight (8)
hours holiday time off for a Friday.
2. 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
shall bank eight (8) hours of holiday leave to be used at a later
date with the supervisor's approval.
E. Jury Duty Leave. If an employee is called to serve on jury duty during
a normal Friday off, or a 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 shall receive no
added compensation. See Article XI, Section 1 1.4, Jury and Witness
Leave.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mil 1115 Page 11
ARTICLE V
5.0 SALARIES
5.1 Basic Compensation Plan. There is hereby established a basic compensation
plan for all full -time personnel who are now employed or shall in the future
be employed in any of the designated classifications of employment
represented by CASA as listed in this Agreement and its attachments.
5.2 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 six (6) 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 "AA" through "E" inclusive,
with Step "AA" 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 for full time personnel is
listed in Exhibit B, which is attached and made a part hereof as though set
forth herein.
5.3 Salaries.
A. Effective first pay period following member ratification and City
Council adoption of this MOU CASA members base salaries for the
classifications listed in Exhibit B shall be increased by four (4) salary rate
ranges (approximately 2.0 %)
5.4 Application of Basic Compensation Plan. The salary rate ranges discussed in
Section 5.2 and attached hereto as Exhibit "B" are monthly salary rate
ranges. All full -time 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) �1 R01 ��15 Page 12
whole cent and a computation resulting in an even one -half cent shall fix the
rate at the next higher whole cent.
5.5 Probation. Except for employees in the Excepted Service as defined by the
City Charter, and employees re- employed from re- employment lists, the
probationary period shall be one (1) year from the date of appointment from
an open eligible list (new hire) or a reappointment eligible list (rehire) and six
(6) months from the date of appointment from a promotional eligible list.
5.6 Beginning Rates. A new employee of the City of Santa Ana shall be paid the
rate shown as Step "AA" 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 "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.
5.7 Service. The word "service" as used in this Agreement shall be deemed to
mean continuous, full -time service in the classification in which the employee
is being considered for salary advancement, service in a higher classification
or service in a classification allocated to the some salary rate range and
having generally similar duties and requirements. Employees hired after the
first (1 st) 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 than 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 as provided in the
Santa Ana Municipal Code (SAMC), Section 9 -114 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" 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mil f615 Page 13
5.8 Advancement within Ranges.
A. Length of Service Advancements. After the salary of an employee has
been first established and fixed under this plan, such employee shall
be advanced from 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 5.2 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 5.2 and Exhibit A hereof; the effective
date of such merit increase, if granted, shall be on the first (1st) 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 Section 8 of this Article.
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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 26N1116 15 Page 14
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, supra.
5.9 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 some procedure as
outlined for merit advancements in Section 5.8 above, and such employee
may be considered for readvancement under the some provisions as
contained in Subsection C of Section 5.8 above.
5.10 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
"AA" 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 "AA," he or she shall
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.
5.11 Demotion. When an 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) 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 5.9 above.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA)�M01115 Page 15
5.12 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.
5.13 Request for Classification Review. Any employee who, for a continuous
period exceeding six (6) months, 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 shall review the employee's submitted request
and within sixty (60) days shall 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 shall forward the
request to the Executive Director of Personnel Services
along with justification for support of the employee's
request.
b. The Department Head shall notify the employee that his
or her request has been submitted to the Executive
Director of Personnel Services.
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 shall 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 299-119 15 Page 16
those of a higher level City classification, he or she can
do the following:
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 shall provide
higher compensation.
B. Any employee request for classification review approved by the
Department Head shall be forwarded to the Executive Director of
Personnel Services. The Executive Director of Personnel Services shall
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 shall 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 shall so notify the
employee and the Department Head in writing and shall 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 shall require City Manager approval
before proceeding.
E. All recommendations resulting from study findings require the approval
of the City Council and shall be implemented in accordance to the
City's Civil Service rules.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 5y01 1U
:A 15 Page 17
ARTICLE VI
6.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES
6.1 Assignment Pay Differential.
Assignment pay differentials, as listed herein and throughout the Agreement,
shall, 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. Employees 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, shall
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. Full -time incumbents in any classification listed in this Agreement who
are required by a Department Head or their designee to perform the
duties of a Notary Public for the City, in addition to regular duties, shall
be paid a monthly pay premium of forty dollars ($40) above his or her
then current base monthly salary step.
6.2 Lead Pay. Incumbents in any classification listed in this Agreement who are
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 CASA 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 any classification listed in this Agreement who are
regularly and continuously assigned to perform lead supervisory
responsibilities shall 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:
6.3 Bilingual Pay. An employee who is assigned by a Department Head or his or
her designee to a position requiring bilingual capability in both English and
either Spanish, Samoan, Vietnamese or other languages designated by the
City Manager, shall be paid a monthly assignment pay differential in
accordance with the criteria and amounts set forth below:
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16N 1 615 Page 18
A. The employee must be certified by the Executive Director of Personnel
Services, or his or her designee, as having satisfactorily demonstrated
conversational fluency in both English and the second language 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, shall
be designated as Primary Bilingual Assignments. A qualified incumbent
of such position shall be paid a monthly differential of one hundred
seventy -five dollars ($175) above his /her then - current base monthly
salary step.
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,
shall be designated as Secondary Bilingual Assignments. A qualified
incumbent of such position shall 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.
F. All assignments to positions set forth in this Article shall be made or
revoked at the discretion of the Department Head.
G. If the City modifies the amount of bilingual pay for any other
bargaining unit during the term of this agreement, CASA agrees to
form a Joint Labor Management (JLM) committee with the City to
review bilingual pay provisions and assignments (see also Article XX1,
Section 21.3.B).
6.4 Shift Differential.
A. Generally. An employee in a classification represented by CASA who
is continuously and regularly assigned to a schedule of work which
requires that he or she actually work a minimum of four and one -half
(4'/2) hours between the hours of 5:00 p.m. and 7:00 a.m., shall be paid
a shift differential for his or her entire work shift at a rate set ten (10)
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16 NIV15 Page 19
salary rate ranges (approximately 5 %) higher than his or her then -
current base monthly salary step.
B. Standby Pay. Employees who are released from active duty but who
are required by their department to leave notice where they can be
reached and be available to return to active duty when required by
the department at any time other than their regularly scheduled
working hours, shall be said to be on standby duty. Effective no later
than the first (1st) day of the second (2nd) payroll period following
Council approval, such employees shall receive two hundred dollars
($200) per week when assigned to be on standby duty.
6.5 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
1. Temporary Upgrade Assignments shall be limited to the
temporary filling of vacant, full -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 anytime, 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 incumbent 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 some
or higher classification.
4. The City Manager or his /her designee must give written
approval of all Temporary Upgrade Assignments involving an
increase in pay for the appointee.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA)ZN 162'5 Page 20
B. Eli iq bility.
Regular, full -time employees shall be eligible to receive
Temporary Upgrade Assignment Pay if the work assumed
encompasses the majority of the typical duties and
responsibilities of the vacated higher -level position, and the
employee meets the qualifications outlined in B.2, below.
a. Employees in the following categories shall not be
assigned to Temporary Upgrade work unless specifically
authorized by the City Manager:
i. Non - permanent employees (Probationary, Part -
time, Seasonal, etc.).
ii. Employees performing work above their regular
classification in a training capacity.
2. 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 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 "9/80" work schedule; or
a. A permitted absence of two working (2) days or less
during such ten (10) day period shall not be deemed to
void such consecutive service; however, the days of
absence shall not be counted in the computation of
eligibility to qualify forthe temporary upgrade assignment
pay.
b. In computing qualifying service rendered, only full days of
actual duty shall be included, and partial days shall not
be combined to make full days unless they are normally
granted holiday hours. Normally granted holidays will be
included in computing actual duty days.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16N 1715 Page 21
C. Employees must requalify for a Temporary Upgrade
Assignment if the employee has not worked in this
specific upgrade assignment for a period of eighteen (18)
consecutive months or longer. 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.
3. Whenever practicable, the appointing authority shall rotate
Temporary Upgrade Assignments among all qualified
employees.
C. Payment.
1. On the next consecutive working day following the qualification
period for temporary upgrade that 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 "AA ") 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 shall not be sufficient to provide
the ten (10) salary rate range increase.
During the term of this Agreement, if an employee has worked
in a higher classification for the required minimum number of
consecutive work days to qualify for temporary upgrade
assignment pay, 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 forTemporary Upgrade Assignment Pay, shall
not be considered in computing the amount of higher pay to
which he or she is entitled in Subparagraph 6.5C 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 shall be added to the new salary
rate range.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mi,1 15 Page 22
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 shall continue to accrue, and have recorded,
general, special or normal salary step increases in the
employee's permanent position; however, such salary increases
shall 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.
6.6 Confidential Premium - An employee who is routinely and consistently
assigned to sensitive positions by a Department Head, involving labor
negotiations and /or employee discipline which require trust and discretion,
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.
6.7 All assignments of personnel to positions set forth in Sections 6.1 through 6.6
above shall be made or revoked at the discretion of the Department Head.
6.8 Career Development Incentives. Employees hired in a classification which
requires a specialized 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 shall 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 provision 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M01615 Page 23
ARTICLE VII
7.0 OVERTIME
7.1 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.
7.2 Definition. Overtime work for those on a 5/40 work schedule is defined as:
A. That authorized or required time worked in excess of the normal
workday, tour of duty, or workweek schedule for the particular
classification and organizational unit of an employee. Aworkweek 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 XVIII, infra.
B. Work on observed holidays or work on any regularly scheduled non -
work day of which there shall be two (2) per week, if work on any
regularly scheduled non -work day is worked at management's
direction.
7.3 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 work time, jury /witness leave, and bereavement leave.
Any combination of these work hours in excess of eight (8) hours per day
(except for employees on a 4/10 or the 9/80 work schedule) or forty (40)
hours per week shall entitle the employee to overtime compensation.
Paid time off for vacation leave, all unpaid leave, Association release time
and compensatory time off shall not be credited towards the forty (40) hour
workweek. No employee shall work overtime hours unless authorized by the
department head or his /her designee.
7.4 All FLSA nonexempt employees working under the "9/80" work schedule shall
earn overtime for all hours worked after the first forty (40) hours in an FLSA
work week as required under FLSA.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mr-126 15 Page 24
Should the City modify the manner by which it pays overtime (FLSA) to
members of other miscellaneous bargaining units, CASA agrees to reopen
this topic for discussion.
7.5 Compensation for Overtime.
A. The preferable method by which overtime shall be compensated is by
monetary payment, at one and one -half (1.5) times the employee's
regular rate of pay, subject to the provisions of Subsection "C" below.
B. Should the Department Head 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 taking paid
compensatory time off in lieu of monetary compensation.
C. Employees shall have the option with Department Head approval to
convert a maximum of eighty (80) hours of time and one -half paid
overtime (in compensation for 53 1/3 [fifty -three and one - third]
overtime hours worked) to time and one -half 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,
provided it does not unduly disrupt the operations of the agency. If
the Department Head or his or her designee subsequently denies the
requested compensatory time off the employee and department shall
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. The comp time bank for employees covered by this Agreement has a
maximum accrual limit of one hundred and sixty (160) hours.
E. Because each hour of overtime worked is programmatically accrued
on a time and one -half basis, compensatory time off shall be taken,
and monetary payment shall be paid, on a straight -time basis. Also,
upon termination, any earned, unused compensatory time off ("time -
on- the - books ") shall 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 (' /2) hour.
G. If compensatory time off is used in excess of that available, such
excess compensatory time off shall first be deducted from any
available vacation benefits, after which it shall finally be deducted
from the next scheduled wage or salary payment.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA):M 1p f 15 Page 25
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.
I. 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.
7.6 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.
7.7 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.
7.8 Call -Back Dutv. 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.
7.9 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.
7.10 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 orjudicial action, they shall meet and confer
regarding any proposed changes to this Agreement; however, no such
changes shall be made except on mutual agreement.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M l g15 Page 26
7.11 Reopener. If, during the term of this Agreement, the City modifies the
manner in which it pays overtime (pursuant to the Fair Labor Standards Act),
the City and CASA agree to reopen this provision of the Agreement and
commence discussions regarding the City's modifications to overtime
payments.
7.12 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 during his /her off -duty hours. If
separate court appearances are made both in the morning and
afternoon of a particular day, a minimum of two (2) hours overtime
shall be allowed for each session attended. If the employee is not
released from a morning session 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 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, he or she shall be compensated as provided in
Subsection A, supra.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) �A�I.� �01��15 Page 27
ARTICLE VIII
8.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM
8.1 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.
8.2 Eligibility.
A. Applications for tuition reimbursement shall be considered only from
full -time, permanent City employees who have completed the
probationary work test period.
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 shall 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 herjob,
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 shall 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 2%N 11615 Page 28
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.
8.3 Reimbursement.
A. Reimbursement shall be based on the cost of tuition, required
enrollment /registration fees, miscellaneous fees (health, parking,
student union fees, etc.) and all required texts, eBooks and related
material for each course. Additional expenses such as meals are not
reimbursable.
B. Costs for required texts are eligible for one hundred percent (100 %)
reimbursement subject to the following conditions:
For textbooks: a duplicate of the required text(s) and eBooks
was unavailable for loan from the departmental libraries prior to
the commencement of course work;
2. For textbooks: 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 five hundred dollars
($2,500.00) 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.
8.4 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 26N!' V' 5 Page 29
Department Head prior to the commencement of class(es) or the
payment of fees for registration /tuition.
B. The Department Head shall recommend approval or disapproval
based on established criteria and budgetary constraints, and then
shall forward the application to the Executive Director of Personnel
Services.
C. The Executive Director of Personnel Services or his or her designee shall
approve or disapprove the application for the City Manager. One
copy shall be returned to the employee and the duplicate shall be
retained by the Personnel Services Department. It is advisable that the
applicant accomplish the procedure so for 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 course or disbursement of personal funds.
D. The employee shall 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
shall 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 shall determine whether the
completed course of instruction is compatible with the provisions of this
Article and shall compute the amount of reimbursement, authenticate
the application and forward it to the employee's Department Head.
F. The Department Head shall then authorize the Finance &
Management Services Department to reimburse the employee the
approved amount out of the budget of the department concerned.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 299-132 1 s Page 30
ARTICLE IX
9.0 HOLIDAYS
9.1 Legal holidays observed by full -time permanent and probationary
employees of the City of Santa Ana are as follows:
o January 1 - New Year's Day.
o Third (3rd) Monday in January - In observance of Martin Luther King, Jr.'s
Birthday.
o Third (3rd) Monday in February - In commemoration of President's Day.
o Last Monday in May -In commemoration of Memorial Day.
o July 4th - In observance of Independence Day.
o First (1St) Monday in September- In observance of Labor Day.
o November 1 1 th - In observance of Veterans' Day.
o Fourth (4th) 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 25th - In 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 shall be observed on the following
Monday.
o Any holiday which falls on a Saturday shall be observed on the Friday
preceding the holiday.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASH Milll15 Page 31
9.2 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) eight -
hour working days off during the year in lieu of the holiday benefits
specified in Section 9.1 above. However, 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. Holiday time for employees on a 9/80 work schedule shall be
posted as follows:
o If a holiday falls on a regularly - scheduled nine (9) hour workday
(Monday, Tuesday, Wednesday or Thursday), nine (9) hours of
holiday time shall be posted.
o If a holiday falls on a regularly - scheduled eight (8) hour workday
(Friday), eight (8) hours of holiday time shall be posted.
o If a holiday falls on an employee's regularly - scheduled day off
work, the employee shall receive credit for eight (8) hours of
holiday time.
If any employee on a 9/80 or 4/10 work schedule separates from
employment prior to December 31 of any year and has already
exhausted 96 hours of holiday time, the value of hours not yet accrued
but used shall be deducted from 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 full pay in such capacity during the year.
9.3 Modified Holiday Schedule - Employees Assigned to the Library. Employees
assigned to the Library shall, during the term of this Agreement, observe
holidays on the dates specified in Section 9.1 above.
9.4 A newly appointed employee must actually work at least one (1) day
preceding the day a holiday listed in Section 9.1, 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 9.1, supra,
actually occurs in order to receive compensation for the holiday.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) �1 O1. - 115 Page 32
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.
9.5 Holiday time off may only be taken in increments of eight (8) hours, unless the
employee is assigned to a 4/10 or 9/80 work schedule. Employees assigned
to the 4/10 work schedule must use their holidays in ten (10) hour increments.
Employees assigned to a 9/80 work schedule must use their holidays in nine
(9) hour increments as described in Article IV, Section 4.5.D, supra.
9.6 Holiday benefits may not be carried over from one (1) calendar year to the
next.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mil 615 Page 33
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 shall be used as a guide in the administration of the provisions of this
Article.
10.2 Reqular Vacation Period.
A. Full -time permanent and probationary employees covered by this
Agreement 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 (1 st) 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 (' /2)
hour, with fractional usage rounded upward to the next higher
multiple of one -half ('/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.
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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M4915 Page 34
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
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. 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.
10.3 Longevity Vacation.
A. 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16 NIV15 Page 35
Hourly Equivalent
Completed Years
Additional Days
of Additional Days
6
/2
4
7
1
8
8
1 '/2
12
9
2
16
10
21/2
20
11
3
24
12
31/2
28
13
4
32
14
41/2
36
15
5
40
Hourly Equivalent
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16 NIV15 Page 35
Completed Years Additional Days
16
6
17
7
18
8
19
9
20
10
of Additional Days
48
56
64
72
80
B. No employee becomes eligible for longevity vacation until completion
of the sixth (6th) 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.
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 Civil Service Rules and Regulations, or
by reemployment from layoff within one (1) year. Leave of absence
without pay, as provided in Article XI, Section 11.1 E (Sick Leave -
Extended), Article XI, Section 11.8 (Authorized Absence Without Pay -
Long Term) and Article XXI, Section 21.2 (Catastrophic Leave
Donation) 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.
D. Employees covered by this agreement are eligible to cash out up to
sixty (60) hours of their current year's allocation of longevity vacation.
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 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 two (2)
longevity vacation periods and, additionally, the equivalent of one (1)
regular vacation period from the previous two (2) years. 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 299-138 15 Page 36
carry over and take the authorized maximum o f f ifty (50) working days
(400 hours) in any one year.
10.5 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.
10.6 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 26913915 Page 37
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
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:
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 shall 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 shall have the three
(3) used sick days recredited to his or her account if the
employee remains off work longer than fourteen (14) days. Paid
sick leave shall continue until the fourth (41h) 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 shall be advanced sick leave for
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA):1�i, . 14x015 Page 38
this purpose. Subsequently, the City shall 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 shall deduct the unrecovered cost of sick leave
from such terminated employee's final paycheck, to the extent
possible.
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 (' /2) hour, with fractional usage rounded upward to the next higher
multiple of one -half ('/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
accrued sick leave if the City physician or a licensed physician
designated by the City Manager indicates that the employee shall be
sufficiently recovered to return to his or her employment within 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.
F. Extension by Use of Accrued 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mi4 f 15 Page 39
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 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.
A physician's certificate or other satisfactory written evidence of
actual illness or injury may be required after an absence of any
duration 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 otherthan 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.
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.
J. 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:
1. To attend to a serious accident to members of the employee's
immediate family;
2. Childbirth;
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) z 11 � 15 Page 40
3. To cope with imminent danger to the employee's family, home,
or other valuable property;
4. When the existence of external circumstances beyond the
employee's control make it impossible for him or her to report for
duty; or
5. To 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 nondisciplinary
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 limit of 427 hours
(53.3 eight -hour days), at the rate of pay effective on the date
of such termination.
Payment of all unused sick leave shall be included in the
employee's final paycheck, and is subject to payroll taxes.
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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Q01 n15 Page 41
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 1 1.1.K.2 above, excluding Subsections
a and b.
3. Payment after 15 years. Affected employees shall be granted
payment for unused sick leave on the same basis above, with
the exception that such affected employees who have
completed fifteen (15) years of cumulative service with the city
shall be entitled to payment for one -half (1 /2) of the total sick
leave benefit credited to his or her account upon the effective
date of his or her termination, not to exceed a maximum limit of
800 hours, at the rate of base pay effective on the date of such
termination.
4. Payment after 20 years. Affected employees shall be granted
payment for unused sick leave on the some basis above, with
the exception that such affected employees who have
completed twenty (20) years of cumulative service with the city
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 his or her termination, not to exceed a maximum limit of
1066 hours, at the rate of base pay effective on the date of such
termination.
5. CASA members who notify the City, in writing, of their intent to
retire within 12 calendar months from the date of retirement
shall be allowed to cash out any eligible sick leave bank
balances (K.1, K.3 and K.4.), upon request. Employees shall
receive payment as soon as practical, and no longer than 30
days after the request has been made. If said employee
cashes out his /her eligible sick leave bank balances prior to
retirement and subsequently does not retire from City, all future
sick leave accrual for said employee shall be subject to the
some cash out provision elected and will be processed on the
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASK 26N0144 415 Page 42
final paycheck. All combined cash outs cannot exceed what
the said employee would have been entitled to if the cash out
was processed on the final paycheck only.
11.2 Bereavement Leave.
A. An employee covered under this Agreement shall be granted up to
three (3) working days leave without loss of pay in the case of a 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:
Any member of the employee's household related by blood or
marriage;
2. A parent, parent -in -law, stepparent, spouse, child, brother, sister,
stepbrother, 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. Whenever an employee is required to travel one way more than 500
miles to attend to the death of a member of the employee's
immediate family, 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.
11.3 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 shall 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, shall 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16N49 15 Page 43
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 non -party witness in any court action, he 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.
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 shall be granted leave with pay for the time actually
required without loss of any accrued vacation time off benefits.
11.6 Unauthorized Absence. Unauthorized absence from duty for any duration of
time may be considered cause for dismissal. Unauthorized absence from
duty for a consecutive number of working hours equal to the number of
working hours in the employee's normal workweek (five (5) consecutive
working days) may be deemed a resignation from City 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.
11.7 Authorized Absence Without Pay - Short Term. Absence without pay not to
exceed five (5) consecutive working days may be authorized by the
employee's Department Head. Absence without pay not to exceed fifteen
(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.
11.8 Authorized Absence Without Pay - Long Term. Upon receipt of a written
request from 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 shall take steps necessary to restore the
employee to his or her former position.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) l� R01�A@C715 Page 44
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.
11.9 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 she is entitled to receive compensation shall not be
considered a break in continuous service forthe purpose of his or her right to
salary adjustments or to the accrual of vacation and seniority.
11.10 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 up to an additional two (2) months of leave, at
the discretion of the City Manager, for a total of up to six (b) months in which
to recover from the disability if substantiated by a physician's certificate.
Employees may take an unpaid leave of absence during 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 she shall take the leave
and the estimated duration of the leave. Health and welfare insurance
coverage shall 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M41 Page 45
ARTICLE XII
12.1 EMPLOYEE INSURANCE
12.1 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 shall 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.
B. The City shall contribute toward medical premiums an amount
consistent with the rates then in effect for each tier of the CalPERS
Kaiser Permanente HMO Other Southern California plan.
C. Effective as soon as practicable following approval of the
Memorandum of Understanding by the City Council, CASA members
shall no longer be required to contribute forty ($40) dollars per month
toward the cost of medical insurance premiums.
D. 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.
12.2 Dental Insurance. The City agrees to contribute a maximum of up to ninety
($90) dollars per month per employee toward the payment of premiums for
dental insurance plans provided by the City for employees covered by this
Agreement and their eligible dependents.
A. Effective as soon as practicable following approval of the
Memorandum of Understanding by the City Council, CASA members
shall no longer be required to contribute ten ($10) dollars per month
toward the cost of dental insurance premiums.
B. 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA)16N49 15 Page 46
12.3 Vision Plan. The City shall maintain in effect its existing vision plan, for
employees covered by this agreement. All costs of the premium shall be
paid by the employee.
12.4 Long -Term Disability (L.T.D.) Insurance. The City shall continue to pay one
hundred percent (100 %) of the premium cost for a 60 -day elimination period
long -term disability insurance plan for employees covered by this
Agreement.
12.5 Life Insurance. The City shall maintain in effect its existing life insurance plans
covering employees covered by this Agreement, including term 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.
12.6 The City shall retain the right to change health, dental and life insurance
carriers, administer the insurance benefits provided thereunder, and select
and /or change any excess or supplemental insurance carriers as a part of
any self- insurance plan during the term of this Agreement, provided that
employees covered by this Agreement continue to receive equivalent
benefits and provided that the parties have met and conferred before the
benefits changes are made.
12.7 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,
CASA shall have an equal number of representatives as the City on such a
committee, and the Committee shall meet as necessary.
12.8 Medical Retirement Subsidy Plan.
A. The City's current annual contribution towards the Medical Retirement
Subsidy Plan for employees covered under this Agreement is 1.75% of
the bargaining unit's base salary, which is based on the first payroll
period in October and deposited no later than October 31 5{ of each
year.
B. The plan shall be administered by the City, at no cost to CASA or its
members pursuant to the written directives of CASA. The funds
contributed by the City shall be maintained in such a manner as to
ensure 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA)2*X01 #15 Page 47
C. Effective November 28, 2011, the City adopted a resolution,
authorizing implementation of the "Vantage Care" Retirement Health
Savings Plan (RHS), which designated ICMA -RC as the administrator of
the plan.
The City agrees to amend the current contract with ICMA -RC to
allow CASA members to participate in the Retiree Health
Savings Plan upon approval of the majority of CASA members.
2. Upon establishment of the RHS and adoption of the RHS plan by
CASA, and upon instructions from CASA, the City's annual
contribution of 1.75% deposited in the Medical Retirement
Subsidy Plan shall cease. Concurrently with said cessation, City
will increase the base pay of each CASA member by 1.25 %with
said amount being deposited into employees individual RHS
accounts each pay period. This 1.25% increase in base is in -lieu
of the Annual City Contribution of 1.75% paid to the Medical
Retirement Subsidy fund in October each year.
3. If said RHS Plan is established afterthe annual payment of 1.75%
into the existing Medical Retirement Subsidy plan has been
made, the salary adjust and deposit into the RHS of the 1.25%
described in paragraph 12.8.C.2. above shall be effective July
1, 2015.
4. Upon approval to participate in the RHS, CASA shall determine
how the existing CASA medical Retirement Subsidy Plan funds
will be distributed among its membership and, if applicable, its
retired members. CASA shall dissolve the existing CASA Retiree
Health Subsidy plan by June 30, 2016, unless said deadline has
been extended by mutual agreement of CASA and the City.
CASA agrees to defend the City against, and indemnify the City
for, any liability and damages incurred by the City as a result of
the dissolution of the CASA Retiree Health Subsidy Plan.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16N0156 15 Page 48
ARTICLE XIII
13.0 RETIREMENT
13.1 General. The terms of the existing contract between the City and the
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 CaIPERS in
accordance with its contract with CaIPERS for affected employees covered
by said contract as amended.
13.2 Deferred Retirement. The City shall continue to make payment to CaIPERS
on behalf of each affected employee, as defined in Sections 13.3.A and 13.13
(below), in an amount necessary to pay one hundred percent (100 %) of his
or her individual retirement contribution which -is equal to eight percent (8 %)
of base salary. Such payments shall be credited to the individual
employee's CaIPERS 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 shall not treat these payments as ordinary income and, thus shall 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 sixteen (16) salary rate ranges (8%).
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 2.7% at 55 Service Retirement Benefit for Miscellaneous Members.
A. The City agrees to continue to provide Miscellaneous employees
covered by this Agreement who were appointed to their classification
on or before December 31, 2012 with the 2.7% at 55 Service Retirement
benefit. Pursuant to CaIPERS regulations, this formula shall apply only to
the aforementioned CASA employees that are in an active status. This
formula shall apply to each year of eligible service credited with the
City of Santa Ana.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mil 6115 Page 49
B. The City agrees to provide Miscellaneous employees covered by this
Agreement who are appointed to their classification on or after
January 1, 2013 and are not new members as defined by the
California Public Employees' Pension Reform Act of 2013 (AB340), with
the 2.7% at 55 Service Retirement benefit. Pursuant to CalPERS, this
formula shall apply only to the afore - mentioned CASA employees that
are in an active status. This formula shall apply to each year of eligible
service credited with the City of Santa Ana.
C. Payment toward the 2.7% at 55 Service Retirement Benefit. Employees
defined in Section 13.3.A (above) covered by this Agreement
contribute 8% of their salary to the employer's share of the cost of the
2.7% at 55 enhanced retirement formula.
All employee contributions to the employer's cost of the CalPERS
retirement benefits shall be implemented as cost - sharing pursuant to
Government Code Section 20516(f). To the extent permitted by
CalPERS and the Internal Revenue Service, this 8% contribution shall be
implemented through payroll deductions on a pre -tax basis.
Effective the first full pay period following City Council adoption of this
MOU employees defined in Section 13.3.6 (above) shall contribute 8%
of their salary toward the employer contribution of the 2.7% at 55
retirement benefit. All employee contributions to CaIPERS for their
retirement benefits shall be implemented as cost - sharing pursuant to
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.
13.4 2.0% at 62 Service Retirement Benefit for Miscellaneous Members.
A. The City agrees to provide Miscellaneous employees covered by this
Agreement who were appointed to their classification on or after
January 1, 2013, and who are defined as new members under the
California Public Employees' Pension Reform Act of 2013 (AB340), with
the 2.0% at 62 Service Retirement benefit.
Pursuant to COWERS regulations, this formula shall apply only to the
afore - mentioned CASA employees that are in an active status. This
formula shall apply to each year of eligible service credited with the
City of Santa Ana.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) milt 2Q15 Page 50
B. Payment towards the 2.0% at 62 Service Retirement Benefit. Employees
defined in 13.4.A (above) covered by this Agreement shall contribute
at least 50% of normal cost of the 2.0% at 62 retirement benefit.
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.
13.5 Credit for Unused Sick Leave. An employee covered by this Agreement shall
be permitted to 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 eight -hour 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 employment. This section applies to members
whose effective date of retirement is within four (4) months of separation from
employment.
13.6 Military Service Credit as Public Service. An employee covered by this
Agreement shall be permitted 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.
13.7 Deferred Compensation.
A. Background. Prior to July 1, 1991, the City authorized an amount equal
to one percent (1.0 %) of base pay for a deferred compensation
benefit for full time "confidential" employees. This benefit was treated
separately from salary, and was not included in the City's salary and
wage schedule. Effective July 1, 1991, to comply with CalPERS wage
reporting requirements, this benefit was added to the pay rate
assigned to each "confidential" classification and reported as "salary"
to CalPERS. Thereafter, pay levels for "confidential" classifications
included this additional one percent (1 %) deferred compensation
benefit.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) :M!'6315 Page 51
ARTICLE XIV
14.0 SAFETY
14.1 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.
14.2 Central Safety Committee. CASA may designate two (2) representatives and
two (2) alternates to serve on the City's Central Safety Committee.
14.3 Employee Identification. CASA agrees that it will not oppose a reasonable
employee identification "ID" program implemented by the City during the
term of this Agreement.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) X16 019X" Page 52
ARTICLE XV
15.0 GRIEVANCE REVIEW PROCEDURE
15.1 Definition of a Grievance. A grievance shall be defined as a timely
complaint by an employee or group of employees or CASA concerning the
interpretation or application of specific provisions of this Agreement, or of the
rules and regulations governing personnel practices or working conditions of
the City, except, however, those matters specifically assigned to the
jurisdiction of the City Personnel Board by those provisions of the City Charter
and the Civil Service Rules and Regulations.
15.2 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) business 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) business 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. If the Department Head is the immediate
supervisor, the employee may proceed directly to the City Manager or
his /her designee. 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) business days after first
discussing the grievance with the employee's immediate supervisor,
the grievance shall be barred 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M01 W15 Page 53
15.3 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) business days after the
grievance has been submitted to the Department Head. The
Department Head, or his or her designated representative, 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)
business 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 shall constitute a
waiver and bar to the grievance, and the grievance shall 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 /orthe employee's designated representative
within fifteen (15) business 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) business 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 maintained in the City Personnel Services
Department.
15.4 Reservation of Rights. After the procedure set forth in this Article has been
exhausted, the grievant, CASA, and the City shall have all rights and
remedies to pursue said grievance under the law.
CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA)�1 y01 �� 15 Page 54
ARTICLE XVI
16.0 ASSOCIATION RIGHTS
16.1 Release Time for Association Representatives. CASA 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 six (6).
B. The City's Executive Director of Personnel Services shall be provided
with a list of names and classification titles of CASA's officers as set
forth in Exhibit B of the Confidential Association of Santa Ana City MOU,
as well as the names and classification titles of all work site
leaders /stewards and other Association representatives. The
Association 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 allow reasonable
time off without loss of compensation to enable the officers and
worksite leaders /stewards to assist other CASA unit employees in
processing grievances under the Grievance Review Procedure and
other CASA business activities; 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.
Time spent by the Association President, officers or worksite
leaders /stewards on Association Release time, under this MOU, shall
not be considered time worked for computation of overtime
according to the Fair Labor Standards Act.
16.2 Worksite Access.
A. Officers, worksite leaders /stewards and /or Association 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 Association business, provided that
arrangements are made in advance with the manager responsible for
the worksite.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) :S N 19? 15 Page 55
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, CASA and
the City will agree on an alternate meeting /conference facility for the
purpose of providing a place for CASA to hold a meeting before or
after work or during lunch periods. If the City facility provided CASA 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.
C. Solicitations of membership and all activities concerned with the
internal management of CASA, such as collecting dues, holding
membership meetings, preparation of petitions, 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 CASA, 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 take any economic action against the City.
16.3 Release Time for Employee Representatives.
A. In the event that CASA 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 CASA
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.
16.4 Use of Bulletin Boards. Space shall be made available to CASA on the City's
existing employee bulletin boards for the purpose of posting notices
pertaining to Association business, subject to the following conditions:
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) :Mil 96,15 Page 56
A. Material posted by CASA 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 CASA and bear the signature of the
authorized representative(s) of CASA responsible for their issuance.
D. The City reserves the right to determine what reasonable portion of
employee bulletin boards are to be allocated to Association materials.
E. If CASA does not abide by these provisions, it will forfeit its right to have
materials posted on the City's employee bulletin boards.
F. CASA shall not be permitted to post any material that is prohibited by
State law or the City Charter.
16.5 Use of City Facilities. The City shall allow CASA 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, CASA shall not
be permitted to use City facilities to discuss or present any matter that is
prohibited by State law or the City Charter.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) QO115 Page 57
ARTICLE XVII
17.0 DUES DEDUCTION & INDEMNIFICATION
17.1 Dues Deduction. Upon ratification and approval of dues collection by
Association membership, the City shall deduct dues, on a regular basis, from
the pay of all employees recognized to be represented by CASA, 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 CASA within thirty
(30) calendar days following their deduction. Provisions for such dues
deduction shall be included in future Memorandums of Understanding
should CASA members elect to authorize said deduction.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mitt t 5 Page 58
ARTICLE XVIII
18.0 CITY RIGHTS
18.1 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.
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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 2�i, , 1 6 15 Page 59
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 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.
O. 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.
18.2 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 CASA 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA)M16215 Page 60
ARTICLE XIX
19.0 STRIKES & WORK STOPPAGES
19.1 Prohibited Conduct.
A. Any employee of the City who engages in any strike, sickout, or other
partial or total stoppage of work 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Z OI�.Qn15 Page 61
ARTICLE XX
20.0 LAYOFFS
20.1 It is the hope of the City not to separate any employee(s) from employment
because of a reduction in the work force or workweek during the term of this
Agreement. However, circumstances arising during this Agreement may
require such separation(s). In that event, the City shall notify CASA in writing
of the layoff at least 30 days prior to the occurrence of the layoff of the
employee and, if requested by CASA, schedule a meeting to discuss the
same. Only the written notice is required to occur 30 days before the
proposed layoff. This provision in not intended to be a waiver of any other
rights the parties may have under this Agreement.
20.2 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 CASA
reasonable notice of the decision to contract out, shall meet with CASA
upon CASA's request over the impact of the decision to contract out and
shall consider reasonable alternatives provided by CASA.
20.3 If the City determines to contemporaneously replace employees covered by
this Agreement with contract workers to perform the same work under similar
circumstances, it shall expeditiously notify CASA of its intentions. Upon
request by CASA the City shall schedule meetings with CASA leadership to
discuss this objective and give CASA the opportunity to present information
before any final decision. The City and Association 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
shall be resolved according to the City's Employer - Employee Relations
Resolution (Resolution No. 81 -75 — Exhibit C of this MOU).
20.4 Notwithstanding Section 20.2 and /or Section 20.3 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 entitywith which the
City contracted for the applicable services.
20.5 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 299—'84 15 Page 62
nature. Any dispute over the application of the principles outlined in this
Article XX 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.
B. In lieu of layoff, an employee may elect to work in a lower
classification, in which he or she has served, providing that a vacancy
exists and the classification is within the samejob family /career ladder.
In that event, the employee's length of service in the next lower
classification shall 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 as outlined in Article Number XXI
shall determine Job Family /Career Ladder for purposes of layoff. See
Article XXI, Section 21.3.A, Joint Labor Management Teams - Career
Ladder /Job Family.
20.6 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 shall be terminated upon the establishment of a new eligible
list for the classification or on the one hundred eightieth (180th) day following
the initial day of such temporary appointment, whichever occurs first.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA)2* 44615 Page 63
ARTICLE XXI
21.0 MISCELLANEOUS PROVISIONS
21.1 The City agrees to distribute Association membership pamphlets to
bargaining unit employees at the new employee orientation sessions
conducted by the City.
21.2 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.
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. Any remaining
Catastrophic Leave benefit will be used to supplement L.T.D. benefit
payments to ensure an employee continues to receive their full salary
continuation between both 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.
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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 26N, it 6615 Page 64
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 10.1 through 10.6.
B. Elicjibility. Regular, 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 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:
a. His or her name, department name, and employee
number.
b. The numberof hours of compensatoryorvacation time of
the donation within the limitations of Section A,
subparagraph 3 above;
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) :299-167 15 Page 65
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 donation period, the department shall verify
that each donating employee has accrued 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.
21.3 Joint Labor Management Teams. The City and CASA 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 Executive Director of
Personnel, or his or her designee. In no case shall the activity of a team
create a delay or hindrance to the ongoing operation of the City.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) �iApl.{� �01��15 Page bb
ARTICLE XXII
22.0 SOLE & ENTIRE AGREEMENT
22.1 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 number 81 -75 (Exhibit
C). 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 shall provide employees covered by this Agreement a copy of this
Agreement and its attachments, including a section containing the
Employer - Employee Relations Resolution of the City of Santa Ana.
22.2 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 CASA; provided, further, however, no provision of the rules and
regulations shall be changed to contravene specific provisions of this
Agreement.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) ZSNI' 15915 Page 67
ARTICLE XXIII
23.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT
23.1 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mill a, I Page 68
ARTICLE XXIV
24.0 EMERGENCY WAIVER PROVISION
24.1 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. CASA 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Milf, 5 Page 69
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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mi'1215 Page 70
ARTICLE XXVI
26.0 TERM OF AGREEMENT
26.1 The term of this Agreement shall be from July 1, 2014 to June 30, 2015.
26.2 If this Agreement is not replaced by a new mutually - agreed upon
Agreement between the City of Santa Ana and CASA before June 30, 2015,
then it is agreed that all provisions of this MOU shall remain in effect until
mutual agreement is reached on a new Memorandum of Understanding.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) ZQiW73' 5 Page 71
ARTICLE XXVII
27.0 RATIFICATION & EXECUTION
27.1 The City and CASA 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 CASA acknowledge
that this Agreement shall not be in full force and effect until ratified by the
membership of CASA 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 CASA and entered into this
day of 2014.
CITY OF SANTA ANA, a Municipal
Corporation of the State of California
Dated: By:
Mayor
Dated:
ATTEST:
Maria D. Huizar,
Clerk of the Council
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
M
0
City Manager
Executive Director,
Personnel Services
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) :8N44" Page 72
This Agreement has been ratified by the membership of the Confidential
Association of Santa Ana (CASA).
Dated:
CASA:
M
Jamie Newton Waldo Barela
Orange County Employees Association CASA President
Chief Negotiator
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) IN i, 1915 Page 73
CASA 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 full -time employees in CASA classifications. The
salary rate ranges are identified by a three digit number, and salary steps are identified by letters
AA, A to E inclusive. For CASA employees covered by this Agreement, the purpose of each step and
the length of service required for advancement within the rate range are summarized as follows:
Purpose:
AA Step
- Normal beginning pay 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
- After one year's completed service.
classifications.
D Step
- Automatic Increase, and is maximum hiring rate.
E Step
- Merit Rate.
Required Length of Service:
AA
to A
- After six months' 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 rate range is identified by a three digit number.
The first two digits are listed in the first vertical column on the left and the third digit is listed
horizontally across the top and identifies the appropriate column. This three digit salary rate range
number locates the "AA" step of the range, which is the first of the 6 steps. Steps "A," "B ", "C ", "D ",
and "E" are found in the column directly below the "AA" step. For example, the "AA" step of Salary
Rate Range No. 401 is found to be $1476 by moving down the left column to the number 40 (the first
two digits of the Salary Rate Range No.), then horizontally to column 1 (the third digit of the Salary
Rate Range No.). The "AA" step of $1 476 has the remaining steps shown directly beneath it; thus the
full, six -step range is 1476 - 1549 - 1627- 1708 - 1793 -1883. In the same manner, Salary Rate Range No. 455
is found to be 1921 - 2017 -2118- 2223 - 2334 -2451.
SALARY SCHEDULE MATRIX
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M011615 Page 74
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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M011615 Page 74
CASA
BASIC SALARY & WAGE SCHEDULE
EXHIBIT A
(Salary
Schedule Matrix Continued)
Page 2 of 2
49
2277
2288
2299
2311
2322
2334
2346
2357
2369
2381
50
2391
2402
2414
2427
2439
2451
2463
2475
2488
2500
51
2511
2523
2536
2548
2561
2574
2587
2600
2613
2626
52
2637
2650
2663
2676
2690
2703
2717
2730
2744
2758
53
2769
2782
2796
2810
2824
2838
2853
2867
2881
2896
54
2907
2921
2936
2950
2965
2980
2995
3010
3025
3040
55
3052
3067
3082
3098
3113
3129
3144
3160
3176
3192
56
3205
3221
3237
3253
3269
3285
3302
3318
3335
3352
57
3365
3381
3398
3415
3432
3449
3467
3484
3501
3519
58
3533
3550
3568
3586
3604
3622
3640
3658
3676
3695
59
3710
3728
3747
3765
3784
3803
3822
3841
3861
3880
60
3896
3915
3935
3954
3974
3994
4014
4034
4054
4074
61
4091
4111
4132
4152
4173
4194
4215
4236
4257
4278
62
4296
4317
4339
4360
4382
4404
4426
4448
4470
4493
63
4511
4533
4556
4579
4601
4624
4648
4671
4694
4718
64
4741
4764
4787
4810
4834
4858
4882
4906
4930
4954
65
4978
5002
5026
5051
5076
5101
5126
5151
5176
5201
66
5226
5252
5278
5304
5330
5356
5382
5408
5434
5461
67
5488
5515
5542
5569
5596
5623
5650
5678
5706
5734
68
5762
5790
5818
5847
5876
5905
5934
5963
5992
6021
69
6050
6080
6110
6140
6170
6200
6230
6260
6291
6322
70
6353
6384
6416
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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) M1 7 715 Page 75
EXHIBIT B
CONFIDENTIAL ASSOCIATION OF SANTA ANA
ASSIGNMENT OF CLASSIFICATIONS TO SALARY RATE RANGES
1[67:11111:
BUDGET AIDE (UC)
BUDGET ANALYST (UC)
COUNCIL SERVICES SECRETARY (UC)
EXECUTIVE ASSISTANT (UC)
EXECUTIVE SECRETARY TO THE POLICE CHIEF (UC)
FINANCE EXECUTIVE SECRETARY (UC)
FINANCIAL ANALYST (UC)
LEGAL OFFICE ASSISTANT (UC)
LEGAL SECRETARY (UC)
LIABILITY CLAIMS PROCESSOR (UC)
LOSS CONTROL ANALYST (UC)
LOSS CONTROL TECHNICIAN (UC)
MANAGEMENT AIDE (UC)
MANAGEMENT ANALYST (UC)
MANAGEMENT ASSISTANT (EXEMPT) (UC)
PARALEGAL (EXEMPT) (UC)
PAYROLL SYSTEMS ANALYST (UC)
PAYROLL TECHNICIAN (UC)
PERSONNEL ANALYST (UC)
PERSONNEL EXECUTIVE SECRETARY (UC)
PERSONNEL SECRETARY (UC)
PERSONNEL SERVICES RECEPTIONIST (UC)
PERSONNEL SERVICES SPECIALIST (UC)
PERSONNEL TECHNICIAN (UC)
POLICE PERSONNEL SERVICES SPECIALIST (UC)
RISK MANAGEMENT TECHNICIAN (UC)
SECRETARY TO THE CITY MANAGER (UC)
SENIOR BUDGET ANALYST (UC)
SENIOR FINANCIAL ANALYST (UC)
SENIOR LEGAL MANAGEMENT ASSISTANT (EXEMPT) (UC)
SENIOR LEGAL OFFICE ASSISTANT (UC)
SENIOR LEGAL SECRETARY (UC)
SENIOR MANAGEMENT ANALYST (UC)
SENIOR MANAGEMENT ASSISTANT (EXEMPT) (UC)
SENIOR PARALEGAL (EXEMPT) (UC)
SENIOR PAYROLL TECHNICIAN (UC)
SENIOR PERSONNEL ANALYST (UC)
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Milt "I15
7/1/2014
RANGE
638
664
585
641
616
612
659
540
584
589
659
638
638
664
664
619
704
618
659
606
585
567
577
618
598
618
662
693
703
693
567
606
693
693
659
638
703
Page 76
SENIOR PERSONNEL RECEPTIONIST (UC)
585
SENIOR PERSONNEL SERVICES SPECIALIST (UC)
598
SENIOR PERSONNEL TECHNICIAN (UC)
638
SENIOR RISK MANAGEMENT TECHNICIAN (UC)
638
SENIOR WORKERS' COMP. CLAIMS ASSISTANT (UC)
613
SENIOR WORKERS' COMP. CLAIMS EXAM. (UC)
678
SENIOR WORKERS' COMPENSATION SYSTEMS TECHNICIAN (UC)
623
TRAINING COORDINATOR (UC)
703
WORKERS' COMPENSATION CLAIMS ASSISTANT (UC)
589
WORKERS' COMPENSATION CLAIMS EXAMINER (UC)
648
WORKERS' COMPENSATION SYSTEMS TECHNICIAN (UC)
599
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 29917915 Page 77
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 the 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 purpose of representation on matters affecting
employee relations or to represent themselves individually in dealing with the City; and (b)
establishing equitable and uniform rules and 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 administration 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 of Resolution
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, the following terms shall have the meanings indicated:
APPROPRIATE UNIT - means a unit of employee classifications or positions established pursuant to
Section 1 1 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 29 a1 to 15 Page 78
EXHIBIT C (Continued)
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 heads, and professional administrative staff
employees employed to render advice and 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 a field of science or learning customarily acquired by
a prolonged course of specialized intellectual instruction and study in an institution of higher
learning, 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 the 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 the 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16NIV 15 Page 79
EXHIBIT C (Continued)
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.
PEACE OFFICER - means an employee of the Santa Ana 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 the right to meet and confer in good faith as the majority representative of all members of an
appropriate representation unit pursuant to Section 1 1 hereof, except those employees in such unit
who have exercised their right not join an employee organization and who choose to represent
themselves individually with 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
11 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 City's Emplovee Relations Officer
The City Council hereby designates the City Manager as the Employee Relations Officer who shall
be the 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 the employee relations rule and procedures adopted pursuant
thereto. The Employee Relations Officer is authorized to delegate his duties and responsibilities.
Section 4: Meet and Confer in Good Faith - Scope
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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 299-192 15 Page 8o
EXHIBIT C (Continued)
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, rule, 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 ai the earliest practicable time following the adoption
of such ordinance, rule, resolution or regulation.
Section 6: Petition for Recoanition
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 manner 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 26Nil9115 Page 81
EXHIBIT C (Continued)
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 relations 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.
The Employee Relations Officer shall give prompt written notice of the filing of a Petition to any
recognized employee organization affected thereby.
Section 7: City Response to Recognition 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 written 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 16 I'9415 Page 82
EXHIBIT C (Continued)
Section 8: Open Period for Filing Challenginq 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 filed, any other employee organization may
file a competing request to be formally acknowledged as the recognized employee organization of
the employees in 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 in the unit claimed to be appropriate of at
least thirty (30) percent and otherwise in the same 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 fora 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
communicated 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 full time in regular, permanent positions within the designated appropriate unit
who were employed during the pay period immediately prior to the date which ended at least
fifteen (15) days before the date the 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 rules 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.
There shall be no more than one valid election under this Resolution pursuant to any petition in a 12
month period affecting the some 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 that the employee organization is the majority representative of the employees
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) ZgNilgs 15 Page 83
EXHIBIT C (Continued)
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 Decertification of Recognized Employee Organization
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:
The 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 from 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 the 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 return such Petition(s) to the employees or
employee organization with a statement of the reasons therefore in writing. The petitioning
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 26N'9615 Page 84
EXHIBIT C (Continued)
employees or employee organization may appeal such determination in accordance with Section
13 of this Resolution.
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 determine 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 borne 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 full force and effect for the balance of the
term thereof.
Section 11: Policv and Standards for Determination of Appropriate 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.
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA): olal15 Page 85
EXHIBIT C (Continued)
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 Appropriate Units
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 in 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 8) 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 matter 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) 2M, i as15 Page 86
EXHIBIT C (Continued)
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 determination prior to making its
final decision regarding the resolution of the dispute.
Section 14: Submission of Current 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 Behalf of Employee 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.
Section 16: Employee Organization Activities - Use of Citv 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: Initiation of Impasse Procedures
If the meet and confer process has reached impasse as defined in this Resolution, either party may
initiate the 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;
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) :16N018 §15 Page 87
EXHIBIT C (Continued)
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: Impasse Procedures
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 make 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 commence this process in an 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 commenced meetings with the parties, the parties may agree to submit the issues in
dispute directly to the City 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.
Section 20: 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
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) Mi'5615 Page 88
EXHIBIT C (Continued)
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 the City at 20 Civic Center Plaza, Santa Ana,
California 92701, or to any employee organization at its last address furnished to the City.
Section 21: Severability
In any section, subsection, sentence, clause or phrase of this Resolution, or the 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 as 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 18th day of May, 1981, by the following
vote:
AYES: Acosta, Bricken, Griset, Luxembourger, Markel, McGuigan, Serrat
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MIM 015 Page 89
EXHIBIT "D"
9/80 HARDSHIP CLAIM
Name:
Division /Section:
Position:
Work Telephone Number:
Supervisor Name and Telephone:
Work Hours:
Proposed Work Hours:
Basis for Hardship Claim:
Options explored by employee to resolve the hardship:
Employee's proposed solution:
Supervisor's needs /concerns /comments:
Hardship Committee Recommendation to Department Head:
CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) ZSWl9215 Page 90
PODIUM 1
AUGUST 6, 2014
TITLE:
AGREEMENT WITH THE SERVICE
EMPLOYEES INTERNATIONAL UNION
CITY MANAGE
❑ As Recommended
C) As Amended
❑ Ordinance on 1' Reeding
❑ Ordinance on 2"d Reading
❑ Implementing Resolution
❑ Set Public ! -fearing For
CONTINUED TO
x•
Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to
execute an agreement with the Service Employees International Union, representing the Part -
Time Non -Civil Service Unit, subject to non - substantive changes approved by the City Manager
and City Attorney, regarding wages and other terms and conditions of employment for a one -year
period ending June 30, 2015 in an amount not to exceed $245,600.
The City and the Service Employees International Union (SEIU) recently completed contract
negotiations resulting in a new one -year Memorandum of Understanding (MCU) for the Part-Time
Non -Civil Service Bargaining Unit.
The primary provisions of this agreement Include:
1) Term: A one -year term, from July 1, 2014 through June 30, 2015.
2) Salary Increase: Effective upon ratification, of by
MOU shall be s by X
lips
• ♦,
4) Report Pay: Employees who report to work for a scheduled shift of two hours or more, but
are dismissed prior to the completion of two hours, will receive two hours of compensation.
250 -1
Agreement with the Service Employees International Union
August 5, 2014
Page 2
5) Breaks: Employees who work a minimum of six hours are entitled to a 30 minute, non -
paid, lunch period. In addition, a paid rest period of 15 minutes may be granted during
each work period of four hours or more.
6) Holidays: Effective July 1, 2014, employees who work on a City - recognized holiday will be
paid at time - and - one -half their regular rate of pay for any hours worked.
7) Tool Reimbursement: Effective July 1, 2014 and once per fiscal year thereafter,
employees with at least one year of experience who are assigned to the Fleet Division and
required to use their own tools will receive a tool reimbursement of up to $500. This is
50% of the amount provided to full -time employees.
8) Insurance: Employees may voluntarily participate in the insurance programs offered by
the Union's Benefit Trust through a payroll deduction.
9) Paid Leave Time: Employees shall be allowed paid time off to attend to City- conducted
job examinations /interviews, jury duty, and testimony as a witness (if subpeoned by City) if
the activities occur during scheduled work time.
10) Miscellaneous Provisions: Additional provisions pertain to union access, union
notification, meet & confer requests, and language changes.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #7, Team Santa Ana, Objective #4 (establish
employee compensation that attracts and retains a highly qualified workforce) and Objective #6
(provide a positive workplace environment that supports the health of its employees and
celebrates its success).
FISCAL IMPACT
Funds are available in the affected departmental salary accounts (no. 61020). It is estimated that
this agreement will result in an annual cost of $245,600.
Approved as to Funds and Accounts:
250 -2
MEMORANDUM OF UNDERSTANDING
BETWEEN THE CITY OF SANTA ANA AND
SANTA ANA CITY EMPLOYEES, CHAPTER 1939 /SERVICE EMPLOYEES
INTERNATIONAL UNION LOCAL 721, PART TIME NON CIVIL SERVICE
EMPLOYEE REPRESENTATION UNIT FOR
THE PERIOD JULY 1, 2013, JUNE 30, 2015
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MEMORANDUM OF UNDERSTANDING
BETWEEN THE CITY OF SANTA ANA AND
SANTA ANA CITY EMPLOYEES, CHAPTER 1939
SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721,
PART TIME EMPLOYEE NON CIVIL SERVICE
REPRESENTATION UNIT FOR
THE PERIOD JULY 1, 2013 — JUNE 30, 2015
TABLE OF CONTENTS
ARTICLE
SUBJECT
PAGE
Article I
Recognition
3
Article II
Non - Discrimination Clause
3
Article III
Working Conditions
4
Article IV
Compensation and Overtime
5
Article V
Union Trust & Insurance
8
Article VI
City -Paid Training/Instruction
8
Article VII
Uniform Maintenance, Safety Shoes & Tools
8
Article VIII
Miscellaneous Provisions
9
Article IX
Grievance Review Procedure
11
Article X
Agency Shop, Dues Deduction & Indemnification
13
Article XI
City Rights
14
Article XII
Waiver of Bargaining During Tenn of Agreement
16
Article XIII
Emergency Waiver Provision
16
Article XIV
Separability Provision
16
Article XV
Term of Agreement
16
Article XVI
Ratification & Execution
17
Exhibit A
SEIU Part Time Hourly Wage Rate Schedule
19
(Effective 7 -1 -14)
2
250 -4
ARTICLE I
1.0 RECOGNITION
1.1 Pursuant to the provisions of the Meyers - Milias -Brown Act, Government Code Section
3500, et seq., the City of Santa Ana (hereinafter called the "City ") has recognized Santa
Ana City Employees, Chapter 1939 /Service Employees International Union Local 721,
(hereinafter called the "Union ") as the exclusive representative of the representation unit
which includes part time personnel employed by the City as defined in Section 1.2,
immediately hereafter.
1.2 To be entitled to the contract rights provided in this Part Time Employee Representation
Unit, employees must be employed in the classifications listed in Exhibits A -1 and A -2,
respectively, (attached hereto) and must have worked for at least four hundred (400)
hours and five (5) months in a fiscal year. Employees in classifications listed in Exhibit
A, who have met the four hundred (400) hours and five (5) months qualification
requirement during any fiscal year beginning with 1997 -98, are entitled to the contract
rights provided in this Memorandum of Understanding (MOU) and shall not be required
to re- qualify in the future.
The City will provide the Union a list that identifies the cumulative number of hours
worked each fiscal year for all Part Time employees. This list will be provided each
month of each fiscal year.
1.3 In accordance with Article X, Section 1002 of the City Charter of the City of Santa Ana,
all Part Time positions or employments requiring less than twenty (20) regular hours of
employment per week are in the "Excepted Service" of the City; that is, they are not
covered by the Civil Service System of the City. Nothing in this Agreement shall be
deemed to confer any vested rights or rights greater than those provided in the Charter or
ordinances of the City to employees in the Part Time representation unit.
ARTICLE II
2.0 NON - DISCRIMINATION
2.1 The City and the Union agree that they shall not discriminate against any employee
because of race, color, sex, age, sexual orientation, national origin or alienage, political or
religious opinions or affiliations, or union 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 feminine gender, it shall be understood to include the
masculine gender, unless expressly stated otherwise.
250 -5
ARTICLE III
3.0 WORKING CONDITIONS
3.1 Hours of Work. The Department Head, or his or her designee, subject to regulation and
control by the City Manager, shall determine the number of hours of work per day and
work week which any Part Time employee may be required to work, or whether such Part
Time employee shall work at all.
A. Rest Period. A paid rest period of fifteen (15) minutes duration may be granted
during each work period of four (4) or more hours, subject to the operational needs
and staffing requirements of the department during that period.
B. Meal Period. Part Time employees who are scheduled to work and who work a
minimum of six (6) hours in a day shall be entitled to a non -paid lunch period of
one -half (%) hour. Such non -paid lunch periods shall be scheduled at or about the
midpoint of each work shift.
3.2 Maximum Hour Limits. Part Time employees are limited to a maximum of twenty (20)
hours of work per week. Part Time employees are limited to a maximum of nine hundred
and ninety -nine (999) hours per fiscal year (July 1 each year through June 30 of the
following year).
The City will provide timely notification to Part Time employees prior to the attainment
of their maximum annual limit of work hours, but failure to provide such notification
shall not be the basis for any liability of the City.
3.3 Public Relations. The parties agree that the image of the public employee in the
commimity must be maintained if high levels of employee morale are to be achieved. To
this end, the parties agree to mutually pledge their best efforts over the life of this
Agreement to continuously encourage employees to be courteous, helpful and industrious
in all their public contacts and when in public view during the full duty period.
3.4 Health and Safetv. The parties agree that industrial health and safety are mutual concerns
of the City and of the Union. The City and the employees covered by this Agreement
agree to comply with all applicable Federal, State, and local laws, and City of Santa Ana
regulations, which pertain to health and safety. The Union agrees to encourage
employees to work safely and efficiently.
3.5 Sub - Contracting. In the event the City decides to sub - contract the work currently
performed by bargaining unit employees it will provide notice to the Union.
n
250 -6
ARTICLE IV
4.0 COMPENSATION AND OVERTIME
4.1 Wage Rate Schedule. The wage rates for designated class titles to which Part Time
employees are assigned are specified on the attached Exhibit A.
Salaries will be increased by 1% effective first full pay period after ratification and
adoption by City Council.
4.2 Compensation for Hours Worked. An employee's paycheck shall reflect the actual hours
worked during that pay period.
A. Adjustment of Time Sheets. The employee must be given an explanation of any
changes to his /her time sheet within 24 hours of any change.
4.3 Initial Wage Rate. The initial wage rate for new employees covered by this Agreement
shall be the lowest rate assigned to the class title in the aforementioned Part Time Wage
Rate Schedule (Exhibits A -1 and A -2, respectively) to which the employee is appointed;
provided, however, the Appointing Authority may appoint a new employee at a higher
step in the applicable wage rate range assigned to the class title if there has been unusual
difficulty in recruiting competent employees at the lowest rate, or the higher initial rate
selected is commensurate with the education and experience of the appointee. An
employee shall be entitled to advance to the next higher step, if any, in the rate range
assigned to his or her class title in accordance with further provisions of this Article.
4.4 Advancement Within Ranges.
A. Part Time employees shall be entitled to advance from Step A to Step B after
completing 1040 hours of work, effective the first day of the pay period next
following the date of completion of said number of work hours.
B. Progression to successively higher steps shall be in accordance with the following
schedule.
1. Step B to Step C, after completion of 1040 hours of work at Step B;
2. Step C to Step D, after completion of 1040 hours of work at Step C;
3. Step D to Step E, after completion of 1040 hours of work at Step D.
The effective date of an increase to a higher step shall be the first day of the pay period
next following the date of completion of the specified number of work hours required for
advancement.
4.5 Bilingual Pay. A Part Time employee who is assigned by a Department Head or his or
5
250 -7
her designee to a position requiring bilingual capability in both English and either
Spanish, Samoan, Vietnamese, Korean, Cambodian, Hmong, or other languages
designated by the City Manager, shall be paid an hourly assignment pay differential in
accordance with the criteria and amounts set forth below:
A. Certification by the Executive Director of Personnel Services, or his or her designee,
as having satisfactorily demonstrated conversational fluency in both languages for
any position requiring bilingual capability.
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, shall be designated as Primary Bilingual Assignments. A qualified
incumbent of such position shall be paid a differential of one dollar and one cent
($1.01) per hour above his or her base hourly rate effective first full pay period after
ratification and adoption by City Council.
C. Positions where it has been determined by a Department Head that regular and
frequent bilingual usage is necessary to the performance of duties, but not major,
essential, or integral element of the work, shall be designated as a Secondary
Bilingual Assignment. A qualified incumbent of such position shall be paid a
differential of twenty -three cents ($.23) per hour above his or her base hourly rate.
D. The number of such Primary and /or Secondary Bilingual Assignments shall be no
larger than the requirements of the department as determined solely by the
Department Head and the City Manager.
E. There shall be periodic recertification of such bilingual capability.
4.6 Deferred Compensation. The City has adopted a qualified retirement plan for all Part
Time, Temporary and Emergency employees not covered by Ca1PERS to satisfy the
requirements of the Omnibus Budget Reconciliation Act of 1990. This plan is a qualified
Section 457 Deferred Compensation Plan. The disbursement from the plan shall be
consistent with the law and the policies and procedures established by the City.
A. The City and the Union further agree that all such employees shall be required to
contribute 3.75% of their wages into the City- adopted qualified retirement plans,
such as Section 457 Deferred Compensation Plan.
B. The City agrees to contribute 3.75% of all such employees' wages into the
employees' retirement plan.
C. If, at any time in the future, the Internal Revenue Service rules that the adopted
retirement plan does not meet Federal requirements as a qualified alternative
retirement system to Social Security coverage, the City shall discontinue its
6
250 -8
contributions into said plan for affected employees and shall not assume
responsibility for the payment of any back taxes due for Social Security coverage or
for payments to any other qualified retirement plan for affected employees except for
those payments mandated by law to be paid for by an employer.
D. In consideration of the inclusion in Ca1PERS of all Part Time employees working in
excess of 999 hours in any fiscal year, the Union and the City agree that:
• Classic employees as defined by Ca1PERS shall be enrolled in the 2.7% @ 55
benefit formula and shall pay the 8% member contribution. New Ca1PERS
members (as defined under the California Public Employees' Pension Reform
Act (PEPRA) of 2013) will be enrolled in the 2% @ 62 benefit formula paying
one half of the normal cost rate, as established by CalPERS. For FY 14/15, one
half the normal cost rate is 6.75 %.
E. The City at no time shall be required to pay contributions to two separate retirement
systems.
4.7 Overtime. Any work in excess of forty (40) hours in a workweek shall entitle the
employee to overtime compensation, at a rate equal to one and one -half (1 ' /2) times the
employee's regular hourly rate of pay.
A. Employees who work overnight trips and remain available for duty for any 24 hour
period shall be paid for 16 hours each 24 hour period.
B. Any partial day worked shall be paid based on actual hours worked on that day.
4.8 Holidays. Effective the first full pay period after ratification and adoption by City
Council an employee covered by this MOU who works on any recognized City Holiday
will be paid at time and one -half (1.5x) their regular rate of pay for any hours worked.
Only part time employees that are required to work on the day of the week in which the
holiday referenced above actually occurs will receive holiday pay at time and one half.
4.9 Report Pay. Effective first full pay period after ratification and adoption by City
Council of this agreement any employee who reports to work for a scheduled shift of 2
hours or more, but is dismissed prior to the completion of 2 hours, shall be compensated
for a total of 2 hours.
4.10 Paid Leave Time. Effective first fall pay period after ratification and adoption by City
Council if any of the following events occur during a PTNCS employee normally
scheduled work time such employees shall be allowed paid time off for the following
purposes: City conducted job examinations /interviews, jury duty and if subpoenaed as a
witness in City related litigation.
VA
250 -9
ARTICLE V
5.0 UNION TRUST & INSURANCE
5.1 Union Trust Fund. The Union is desirous of establishing a trust find to reimburse active
unit employees for certain benefits. The parties intend that the Union will establish said
designated fund to administer certain benefits for active unit employees. The eligibility
criteria and benefit levels shall be developed, administered and managed solely by the
union.
The Trust Fund shall be established in accordance with federal and state laws and the
Union shall defend and indemnify the City for any claims regarding the administration of,
or the payment of, benefits arising out the administration of the Trust Fund. The Union
may elect to cover the costs of establishing and administering the Trust from the City's
allocation.
The City will set aside the sum of $200,000 on an annual basis to the fund administered
by the Union. The first payment will be made during FY 2014 -2015 but the City will not
be required to release any funds until the Union certifies that the Trust has been
established. Annual payments will be made by February 1st °f each fiscal year beginning
in FY 2015 -2016.
5.2 Insurance Benefits. PTNCS workers may voluntarily participate in the insurance
programs offered by the Union's Benefit Trust through payroll deduction.
ARTICLE IV
6.0 CITY PAID TRAINING/INSTRUCTION
6.1 If a Part Time employee is required by his or her Department Head to attend a workshop,
seminar, conference or similar training/educational activity, the expense, if any, shall be
borne entirely by the department, including the employee's wages.
ARTICLE VII
7.0 UNIFORM MAINTENANCE, SAFETY SHOES & TOOLS
7.1 Uniform Maintenance. All 'Part Time employees who are required by the City to wear a
uniform while on duty shall be provided clean uniforms at no cost to the employee. The
City shall replace, upon request and with supervisory approval, worn uniforms with
uniforms that are in good condition. The City shall provide weather gear (hat, rain gear,
rain boots, and a plastic water bottle) for field personnel.
250 -10
7.2 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 meet the requirements
under the American Society for Testing and Materials (ASTM) F 2412 -05 and F
2413 -05.
C. If a particular class of employment is designated as requiring its incumbents to wear
safety shoes, then it will be mandatory for all incumbents of that class to wear the
type of safety shoe (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.
7.3 Tool Reimbursement Policy. Effective first full pay period after ratification and adoption
by City Council and once per fiscal year thereafter, unit employees with at least one year
of service, who are assigned to fleet and are required to use their own tools, will receive a
tool reimbursement up to $500.
ARTICLE VIII
8.0 MISCELLANEOUS PROVISIONS
8.1 During the term of this Agreement:
A. It is understood and agreed that the parties to this MOU are subject to all current
and firture applicable Federal and California laws, the City of Santa Ana Charter
and Municipal Code, as well as the City's Employer- Employee Relations
Resolution (Council Resolution No. 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 riles 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 during the term of this
Agreement. This Agreement is not intended to conflict with Federal or State law or
the City Charter.
9
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The City will provide employees covered by this Agreement a copy of this
Agreement and its attachments, including a section containing the Employer -
Employee Relations Resolution of the City of Santa Ana.
B. Notwithstanding the foregoing, personnel rules and regulations and departmental
rules and regulations exist within the City. 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.
C. If any part time employee is terminated from employment with the City, he or she
may request a review of the action with the Department head or designee prior to
the effective date of the action. Said meeting shall be held prior to the effective
date of the action.
D. Union Release Time for Union Officials, Board Members, and Employee
Representatives.
1) The City's Executive Director of Personnel Services shall be provided with a
list of names and classification titles of the part-time employees serving as the
Union's Board members, Officers, and Employee Representatives. Such
Board members, Officers, and Employee Representatives shall be considered
work site representatives.
2) During the term of this Agreement, the City agrees to grant up to a total of
fifty (50) hours per fiscal year on a non - cumulative basis to this bargaining
unit to allow its work site representatives, without loss of pay, to perform the
responsibilities of their positions as follows: the investigation and processing
of grievances, including representation at all levels of the grievance
procedure; meetings with Department Heads involving the termination of
part-time employees, as referenced in Article VII, Section 7.1C; joint labor -
management meetings; meet and confer sessions; and contract negotiations.
3) Such part-time work site representatives shall make advance arrangements
with their supervisors prior to absenting themselves for such purposes and
shall be required by the City to record and report to their supervisors on the
work time spent in assisting other employees or on Union business, as defined
in #2 above. Such time shall be recorded as "union representative time."
4) Officers, worksite leaders /stewards and /or paid Union representatives shall be
permitted to visit break and hmch areas designated by the City, before or after
work or during designated lunch periods for the purpose of discussing Union
10
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business, provided that arrangements are made in advance with the manager
responsible for the worksite.
E. Executive Board Member's Union Release Time.
1) The City's Executive Director of Personnel Services shall be provided with
the name and classification title of the part-time employee serving as the
Union's Executive Board Member.
2) One (1) designated SEIU Local 721 Executive Board Member shall be
allowed up to 20 hours per year without loss of pay and benefits to perform
the responsibilities of his/her position.
3) The Union shall reimburse the City for 100% of the salary, including any
premium payments and benefit costs for Union Release Time.
4) The Union agrees to pay for Union Release Time within thirty (30) days of
receiving the bill from the City.
5) Such Executive Board Member shall make advance arrangements with his or
her supervisor prior to absenting him or herself for such purpose and shall be
required by the City to record and report to his or her supervisor on the work
time spent in Union Release Time. Such time shall be recorded as "union
release time."
F. Electronic Time keeping. The City agrees to meet and confer when and if it desires
to implement an electronic time keeping.
G. Promotional Opportunities. The City shall give part-time employees the opportunity
to apply for full -time "open," "open and promotional," and "restricted" positions.
ARTICLE IX
9.0 GRIEVANCE REVIEW PROCEDURE
9.1 Nothing in this grievance procedure shall be deemed to confer any vested rights or rights
greater than those provided in the Charter or ordinances of the City of Santa Ana to
employees in this representation unit.
9.2 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, and/or the City's personnel and /or
departmental rules applicable to Unit employees.
No employee shall suffer any reprisal because of filing or processing of a grievance or
11
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participation in the Grievance Review Procedure.
9.3 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)
calendar days after the occurrence of the alleged incident giving rise to the grievance,
or when the grievant knew or should have reasonably become aware of the facts
giving rise to the grievance.
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) calendar 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
fonnal. Should the grievant fail to file a written grievance, and in the manner
specified above within fifteen (15) calendar days after first discussing the grievance
with the employee's immediate supervisor, the grievance shall be barred and waived.
D. Any resolution of the grievance at the informal stage by any person other than a mid-
level manager or above shall not become precedence or be used to establish past
practice regarding implementation, interpretation, or application of this Agreement.
9.4 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, 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) calendar 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 shall constitute
a waiver and bar to the grievance, and the grievance shall be considered settled on
the basis of the disposition made at the Second Step.
12
250 -14
The City Manager, or his or her designated representative, shall meet with the
employee and /or the employee's designated representative, within fifteen (15)
calendar 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) calendar 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.
9.5 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.
ARTICLE X
10.0 AGENCY SHOP, DUES DEDUCTION & INDEMNIFICATION
10.1 Agency Shop.
A. All employees covered by this MOU, as defined in Article I, 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
month less than Union dues if legally authorized.
B. When an employee is hired and meets the qualifying threshold as defined in Article I,
the Personnel Services Department shall provide him or her with an authorization
form for the deduction of Union dues. Said employees shall have thirty (30) calendar
days following the qualifying date to fully execute the Authorization Form of his or
her choice and to return said form to the Agency /Department payroll section. The
City shall initiate payroll deduction of Union dues, service fees, or charitable
contributions beginning the first pay period of employment.
C. Any employee of the City subject to this MOU 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 payment. Declarations or applications
for religious exemption and any supporting documentation shall be forwarded to the
13
250 -15
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 any 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" 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 fees or charitable contributions, which the employee was obligated
to pay, but failed to pay, regardless of the reasons.
ARTICLE XI
11.0 CITY RIGHTS
11.1 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, technology, and extent of services to be
provided to the public.
E. To detenmine methods of financing.
F. To determine types of equipment and/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.
14
250 -16
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.
I. 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 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.
O. To determine policies, procedures, and standards for selection and 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.
11.2 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.
15
250 -17
ARTICLE XII
12.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT
12.1 During the terns of this Agreement, the parties mutually agree that they shall 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.
ARTICLE XIII
13.0 EMERGENCY WAIVER PROVISION
13.1 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 and/or personnel and /or departmental rules applicable to
unit employees, 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 shall 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.
ARTICLE XIV
14.0 SEPARABILITY PROVISION
14.1 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.
ARTICLE XV
15.0 TERM OF AGREEMENT
15.1 This MOU will expire on June 30, 2015.
16
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ARTICLE XVI
16.0 RATIFICATION & EXECUTION
16.1 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 Ana and have agreed that the parties
hereto shall jointly urge said Council to adopt this Agreement which provides for the
wages, hours and other terms and conditions of employment for employees represented
by the Part Time Employees Representation unit. The City and the Union acknowledge
that this Agreement shall not be in full 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 in to this day of 2014.
Dated:
Dated:
Dated:
ATTEST:
MARIA D. HUIZAR
CLERK OF THE COUNCIL
CITY OF SANTA ANA, a municipal
corporation of the State of California
By:
MAYOR
CITY MANAGER
EXECUTIVE DIRECTOR OF
PERSONNEL SERVICES
APPROVED AS TO FORM:
In
17
250 -19
JOSEPH STRAKA
ASSISTANT CITY ATTORNEY
This Agreement has been ratified by the membership of the Santa Ana City Employees, Chapter
1939 /Service Employees International Union Local 721, Part Time Employees Representation
Unit.
Dated:
Dated:
Dated:
18
250 -20
Bob Hunt
SEIU Legal Counsel
Jaime V. Lopez
SEIU President
Renee Hernandez, Board Member
SEIU PART TIME HOURLY WAGE RATE SCHEDULE
EFFECTIVE 7/1/14
EXHIBIT A
JOB TITLE
STEP A
STEP B
STEP C
STEP D
STEP E
ACCOUNT CLERK 1
18.37
19.26
20.23
21.24
22.30
ACCOUNT CLERK II
20.32
21.33
22.42
23.52
24.70
ACCOUNTANT
31.21
32.78
34.41
36.14
37.95
ADMINISTRATIVE AIDE
23.29
24.46
25.68
26.97
28.31
ANIMAL KEEPER 1
11.44
12.02
12.61
13.25
13.90
ANIMAL KEEPER 11
13.27
13.92
14.63
15.35
16.11
BUILDING MAINTENANCE ASST.
20.01
21.01
22.06
23.19
24.32
CASHIER
11.22
11.79
12.38
13.02
13.66
CLERICAL AIDE
13.13
13.79
14.50
15.24
15.98
CLERICAL ASSISTANT
9.00
9.45
9.92
10.41
10.93
CLERK TYPIST 1
14.44
15.16
15.93
16.73
17.55
CLERK TYPIST 11
16.97
17.81
18.71
19.64
20.60
COMBINATION INSPECTOR
28.45
29.87
31.38
32.94
34.60
COMMUNITY CENTER AIDE
17.34
18.21
19.12
20.08
21.09
COMPUTER TECHNICIAN
18.51
19.44
20.41
21.44
22.53
CUSTOMER SERVICE CLERK
19.08
20.01
21.02
22.07
23.19
DATA ENTRY CLERK
15.82
16.62
17.48
18.34
19.25
EQUIP. SVC. ATTENDANT
17.81
18.68
19.64
20.59
21.64
GENERAL ASSISTANT
9.00
9.45
9.92
10.41
10.93
GRAPHICS AIDE
12.98
13.64
14.31
15.03
15.79
HOUSING AUTHORITY ASST.
20.49
21.51
22.60
23.74
24.93
JANITOR
14.59
15.31
16.07
16.88
17.75
LIBRARIAN (PART -TIME)
21.22
22.28
23.40
24.58
25.81
LIBRARY ASSISTANT
17.87
18.76
19.69
20.69
21.74
LIBRARY CLERK 1
14.88
15.62
16.41
17.23
18.07
LIBRARY CLERK II
16.48
17.30
18.15
19.08
20.01
LOSS CONTROL OFFICE ASST.
18.42
19.35
20.30
21.32
22.39
MAINTENANCE AIDE 1
9.00
9.45
9.92
10.41
10.93
MAINTENANCE AIDE 11
9.97
10.47
10.99
11.56
12.15
MEDIA RELATIONS SPECIALIST
18.42
19.35
20.30
21.32
22.39
MOBILE LIBRARY CLERK
18.13
19.08
20.00
21.01
22.06
MUNICIPAL UTILITY READER /COLL.
18.25
19.16
20.10
21.12
22.18
PAGE
9.00
9.45
9.92
10.41
10.93
PAINTER
17.29
18.13
19.07
20.00
21.01
PARK MAINTENANCE ASST.
15.46
16.24
17.06
17.93
18.82
PARK RANGER (PART TIME)
25.67
26.96
28.30
29.73
31.22
PARK SECURITY GUARD
18.51
19.44
20.41
21.44
22.53
PARKING METER MAINTENANCE AIDE
16.80
17.63
18.53
19.45
20.42
PERMIT PARKING AIDE
19.69
20.68
21.74
22.80
23.95
PLANNING TECHNICIAN
23.40
24.56
25.80
27.09
28.45
POLICE RECORDS CLERK 1
15.90
16.70
17.53
18.41
19.33
POLICE RECORDS CLERK 11
17.29
18.13
19.08
20.00
21.01
POLICE SUPPLY CLERK
17.34
18.21
19.12
20.08
21.09
PROGRAM COORDINATOR
15.02
15.77
16.55
17.38
18.29
PROGRAM LEADER 1
9.00
9.45
9.92
10.41
10.93
PROGRAM LEADER 11
10.37
10.89
11.43
12.01
12.59
PUBLIC WORKS RECORDS ASSISTANT
21.94
23.04
24.20
25.41
26.68
PURCHASING AGENT
29.02
30.46
31.99
33.59
35.26
PURCHASING CLERK
18.30
19.20
20.19
21.18
22.23
19
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RIGHT OF WAY TECHNICIAN
14.72
15.46
16.26
17.05
17.89
SENIOR ADMINISTRATIVE AIDE
25.64
26.91
28.26
29.67
31.16
SENIOR CLERICAL AIDE
14.88
15.62
16.41
17.23
18.07
SENIOR PROGRAM LEADER
12.28
12.86
13.53
14.19
14.90
SPECIAL EMP. COUNSELOR 1
9.85
10.34
10.88
11.40
11.97
SPECIAL EMP. COUNSELOR II
12.11
12.71
13.35
14.03
14.72
SPECIAL EMP. COUNSELOR III
13.64
14.31
15.03
15.79
16.57
SPECIAL EVENTS LEADER 1
11.97
12.56
13.18
13.85
14.54
SPECIAL EVENTS LEADER 11
14.59
15.31
16.07
16.88
17.75
SPORTS ATTENDANT
9.00
9.45
9.92
10.41
10.93
SR. LIBRARY ASSISTANT
18.97
19.91
20.89
21.96
23.04
SR. MAINTENANCE AIDE 1
11.38
11.94
12.53
13.15
13.81
SR. MAINTENANCE AIDE 11
12.90
13.57
14.24
14.93
15.70
SR, MAINTENANCE WORKER
16.18
16.99
17.85
18.72
19.66
SR. SPECIAL EMP. COUNSELOR
14.72
15.46
16.26
17.05
17.89
SR. TUTOR
14.37
15.10
15.84
16.63
17.49
STORES AIDE
16.99
17.85
18.72
19.66
20.63
STRUCTURAL PLAN EXAMINER 1
31.22
32.79
34.42
36.15
37.95
STRUCTURAL PLAN EXAMINER II
33.43
35.11
36.85
38.69
40.62
SUPERVISING PARK RANGER (PART TIME)
29.00
30.46
31.99
33.59
35.26
TUTOR
12.11
12.71
13.35
14.03
14.72
20
250 -22
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
AGREEMENT FOR STATE
GOVERNMENT LIAISON SERVICES
WITH TOWNSEND PUBLIC AFFAIRS
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 16' Reading
❑ Ordinance on 2"' Reading
❑ Implementing Resolution
❑ Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Authorize the City Manager and Clerk of the Council to execute an agreement for state government
liaison services with Townsend Public Affairs in an annual amount not to exceed $60,000,
commencing July 1, 2014 for a one -year term with the option of extending the term for two one -
year terms, subject to non- substantive changes approved by the City Manager and City Attorney.
DISCUSSION
Local government agencies rely upon the expertise of state government consultants to represent
their respective government agencies in Sacramento. This service typically includes legislative
monitoring and analysis, state budget advocacy, and state grant coordination and advocacy.
State government consultants further provide monitoring of state executive proposals, as well as
administrative rules and regulations that may affect cities.
Townsend Public Affairs has provided this service to the City of Santa Ana for the past 14 years.
During this time, Townsend Public Affairs has served the City well by advocating for legislation,
policies and regulations that protect the City's interest. In addition, Townsend Public Affairs has
worked with the City on targeted funding opportunities, including funding for water conservation
and reliability projects and supporting the City's applications for the Active Transportation Program.
Townsend Public Affairs represented Santa Ana's interests in Sacramento this past year on
numerous issues, including: the City's liabilities from the dissolution of the redevelopment
agency, the state budget, local economic development proposals, regulation of medicinal
cannabis, and numerous pieces of legislation directly affecting the City and its operations. A
summary of Townsend Public Affairs' work efforts on behalf of the City for the past 12 months is
attached (Exhibit 1).
Staff is very pleased with the state advocacy efforts of Townsend Public Affairs and is
recommending re- instatement of their original annual fee of $60,000 for the FY 2014 -2015
agreement. Townsend Public Affairs' original annual contract for services prior to the 2008
economic recession was $60,000. As a result Townsend Public Affairs agreed to reduce their
25P -1
Agreement For State Government Liaison
Services With Townsend Public Affairs
August 5, 2014
Page 2
annual contract to $50,000 in FY 09/10 to assist the City in stabilizing its financial position. Now
that the economy is improving and the City's financial situation is more favorable, staff
recommends re- instating their contract to the original annual amount of $60,000 (Exhibit 2).
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet all seven goals and objectives of the
strategic plan which include: Community Safety; Youth, Education, Recreation; Economic
Development; City Financial Stability; Community Health, Livability, Engagement and
Sustainability; Community Facilities and Infrastructure; and Team Santa Ana.
FISCAL IMPACT
Funds are available in the Public Works Administrative Services account (no. 10117601 - 62300)
and General Fund Legislative Affairs (no. 01104012 - 62300).
Edwin "William" Galvez, P.E.
Executive Director
Public Works Agency
Exhibit 1
Exhibit 2
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Mgmt. Services Agency��/
25P -2
TOWNS E N ® EXHIBIT 1
P U 8 L I C A F F A I R S
TPA ° N
MEMO
To: Mark Lawrence, City of Santa Ana
From: Townsend Public Affairs, Inc.
Christopher Townsend, President
Heather Stratman, Senior Director
Casey Elliott, State Capitol Director
Date: July 30, 2014
Subject: Summary of Work Efforts
This document is intended to provide a brief summary of the efforts undertaken by Townsend
Public Affairs (TPA) on behalf of the City. These efforts were done in collaboration with City
staff over the course of the past twelve months. We would be glad to provide additional
information on any of the below items, if so desired.
State Budget Advocacy— TPA worked with City staff to keep them updated on the development
and potential impacts of the FY 2014 -15 State budget. TPA provided detailed information relating
to the Governor's proposal to modify the laws currently governing infrastructure financing districts.
While this language was not included in the package of budget bills that was adopted on June
1511, there are still discussions in the Capitol that the Governor would like the Legislature to
consider this proposal prior to adjournment on August 31St. The Legislature is working on several
measures related to redevelopment dissolution and local economic development, and may try to
link the Governor's infrastructure financing district proposal to a larger discussion on all of these
proposals. TPA has worked closely with the City's legislative representatives to communicate the
City's continued interest in local economic development tools, as well as other aspects of the
State budget that would be most impactful to the City.
Redevelopment Dissolution — TPA has worked with City staff, the Department of Finance, and
the City's legislative representatives on numerous items resulting from the dissolution of
redevelopment. In 2013, TPA coordinated with the City and its representatives, to oppose the
Department of Finance's attempt to withhold sales and use tax funds from the City for the
collection of outstanding Low and Moderate Housing Income Funds. Additionally, TPA monitored
and updated the City on numerous pieces of legislation that would impact various aspects of the
dissolution process, including the potential use of unspent 2011 redevelopment bonds and
modifications of local economic development tools, such as infrastructure financing districts.
State Grant Coordination and Advocacy — TPA has worked with staff to provide assistance on
specific grant programs, and City projects, where appropriate. TPA is able to coordinate with the
City to advocate on behalf of specific grant proposals, by leveraging support from the City's
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delegation and contacts within granting agencies, to ensure that the City's applications are
given full consideration for funding. Specific examples include:
Water Conservation and Reliability Projects — TPA met with City staff to discuss potential
shovel -ready projects that the City had which may have been a positive fit for funding in
the emergency drought legislation that was being considered by the Legislature.
Active Transportation Planning Grant Applications — TPA has worked with City staff to
receive information on the applications for funding that the City submitted for the Active
Transportation Planning grant program. TPA will continue to work with the City's
representatives, as well as the Department of Transportation, to support the City's
applications.
Legislative Monitoring and analysis — TPA monitored legislation introduced and amended at the
State level for potential impacts on the City. Over the course of the past year, TPA has
monitored over 100 bills on behalf of the City that are moving, or have moved, through the
legislative process. TPA also provided analysis of potential impacts on the City and
recommended positions on legislation, when appropriate. Additionally, TPA worked closely with
City staff to convey the City's positions, issues, and concerns on specific legislation to the
appropriate legislators, committees, and staff, including:
AB 300 (Perea) /AB 1717 (Perea) — Prepaid mobile phone surcharges and collections.
• Action: TPA provided background and status update of the measure to City staff.
TPA communicated the City's support for the measure, as adopted in the City's
legislative platform, to the author and to the City's representatives.
• Status: AB 300 (Perea) was supported by the City last year and was approved by
the Legislature, but ultimately vetoed by the Governor. AB 1717 was introduced
in early 2014 and has been approved by the Assembly. The measure continues
to move through the committee process in the Senate.
AB 1839 (Gatto) — Tax credits for qualified motion pictures.
• Action: TPA provided background and analysis of the measure to City staff. The
Mayor joined with other Big 10 Mayors to support this measure. TPA
communicated the City's position to the author, the City's representatives and
appropriate committee members.
• Status: The measure has been approved by the Assembly and is currently
working through the committee process in the Senate. The bill received
unanimous support as it moved through the Assembly.
AB 2398 (Levine) — Penalties for vehicles causing injury to bicyclists and pedestrians.
• Action: TPA provided background and analysis of the measure to City staff.
Councilmember Martinez issued a letter of support. TPA communicated the
City's position to the author, the City's representatives and appropriate
committee members.
• Status: The measure has been approved by the Assembly and is currently
working through the committee process in the Senate.
HR 29 (Gomez) — Relative to outsourcing public services.
• Action: TPA provided background and analysis of the resolution to City staff.
• Status: The resolution was adopted by the Legislature on April 3rd (Note: house
resolutions are not binding statute and do not require action by the Senate or the
Governor.)
SB 962 (Leno) — Smart phone anti -theft device.
25P -4
• Action: TPA provided background and analysis of the measure to City staff. The
Mayor joined with other Big 10 Mayors to support the measure. TPA
communicated the City's position to the author, the City's representatives and
appropriate committee members. TPA also worked in a coalition with other
Orange County stakeholders in support of the measure.
• Status: The measure has been approved by the Senate and is currently working
through the committee process in the Assembly.
SB 1000 (Monning) — Sugar sweetened beverages safety warning.
o Action: TPA provided background and analysis of the measure to City staff. City
staff prepared a letter of support for consideration through City approval process.
o Status: The measure failed passage in the Assembly Health committee on a 7 -8
vote (10 votes needed for passage). The measure is not eligible to be further
considered in the current legislative session, but may be reintroduced next year.
AB 981 (Bloom) /SB 1129 (Steinberg) /AB 2493 (Bloom) — Redevelopment dissolution
modifications.
• Action: TPA provided background and analysis of the measures to City staff.
• Status: AB 981 (Bloom) was approved by the Legislature last year, but was
ultimately vetoed by the Governor. As a result, Assemblyman Bloom
reintroduced the measure earlier this year as AB 2493. The author has been
working closely with the Department of Finance and the affected cities to craft a
measure that can be supported by the Administration and is helpful for cities with
outstanding 2011 RDA bonds. TPA continues to stay in close contact with the
authors' offices on these measures as they work with the Department of Finance
and the Administration in order to understand the potential impacts on the City.
Provide Information to City on Specific Requested Items — TPA has worked with the City to
provide information and analysis on a wide range of issues that have been brought to the City's
attention. Specific items include:
SB 7 (Steinberg) Analysis and Litigation Update — TPA worked with the City, and other
affected jurisdictions to oppose SB 7, which restricts state funding for charter cities with
charter provisions impacting prevailing wage, while it was considered by the Legislature
in 2013. Despite significant opposition from local governments across the state, the
measure was approved by the Legislature and signed by the Governor. TPA has also
kept City staff updated on the ongoing legal challenges to SB 7. A coalition of charter
cities have filed lawsuit challenging the constitutionality of SB 7 and the litigation (City of
El Centro v. Lanier) is currently pending in San Diego County Superior Court.
Emergency Drought Legislation — TPA met with City staff to provide information
regarding the potential items for inclusion in the emergency drought legislation, as well
as projects that the City might have which would be eligible for funding. Specific project
information, as well as overall policy principals, were provided to the City's legislative
representatives.
Medicinal Cannabis Legislation — TPA worked with the City to closely monitor numerous
pieces of legislation regarding the regulation of medicinal cannabis in 2013. TPA
worked with staff to analyze the potential impacts of these measures on the City.
Additionally, TPA worked with the City to draft letters of opposition to the measures and
ensure that the Orange County delegation, and other appropriate members of the
Legislature, were aware of the City's position on the measures. In 2014, TPA has
worked with City staff and Councilmembers to provide updates on evolving state
25P -5
legislation relating to medicinal cannabis, as well as examples of how cooperatives and
collectives are regulated in other California municipalities, as the City considers local
alternatives. TPA continues to be engaged in the remaining legislative proposal related
to medicinal cannabis, SB 1262 (Correa), and will continue to advise on potential
impacts.
Cap and Trade Budget Proposal — TPA provided information to the Mayor regarding the
various cap and trade proposals that were being considered by the Legislature as part of
the State budget process.
Input on Creation of Legislative Platform — TPA worked with City staff to provide input on
the potential content and format for the City's Legislative Platform.
25P -6 4
EXHIBIT 2
CONSULTANT AGREEMENT
This Agreement shall be deemed effective as of July 1, 2014 by and between the City of
Santa Ana, a charter city of the State of California ( "City ") and Townsend Public Affairs, Inc., a
California corporation (hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal
corporation organized and existing under the Constitution and laws of the State of California (hereinafter
"City ").
RECITALS
A. The City desires to retain a consultant having special skill and knowledge in the field of
government lobbying.
B. Consultant represents that it is able and willing to provide such services to the City.
C. In undertaking the performance of this Agreement, Consultant represents that it is
knowledgeable in its field and that any services performed by Consultant under this Agreement
will be performed in compliance with such standards as may reasonably be expected from a
professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms
and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Consultant shall perform lobbying services on behalf of the City, as set forth in Exhibit A,
attached hereto and incorporated by reference.
2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services,$5,000 per
month, including expenses. The total sum to be expended under this Agreement shall not exceed $60,000
during any one -year 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
The Initial Term of this Agreement shall be from July 1, 2014 through July 1, 2015,
unless earlier terminated or extended as provided herein. On or before July 1, 2015 and July, 1,
2016, as the case may be, the City Manager shall have the authority to extend the Initial Term for
up to two additional one -year terms (Additional Terms). All extensions, if granted, must be in
writing executed by both parties. The City Manager's authority to extend this Agreement is
limited to the Initial and Additional Terms only.
25P -7
4. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an independent
contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to
create an employer - employee relationship, ajoint venture relationship, or to allow the City to exercise
discretion or control over the professional manner in which Consultant performs the services which are
the subject matter of this Agreement; however, the services to be provided by Consultant shall be
provided in a manner consistent with all applicable standards and regulations governing such services.
Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and
similar taxes relating to employees and shall be responsible for all applicable withholding taxes.
6 W&I U:L1041
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and
shall require its subcontractors, if any, to obtain and maintain insurance as described below:
a. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the
Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for
worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work
under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with
limits not less than $1,000,000 per accident.
b. Professional liability (errors and omissions) insurance, with a combined single limit of not
less than $1,000,000 per claim.
c. The following requirements apply to the insurance to be provided by Consultant pursuant to
this section:
(i) Consultant shall maintain all insurance required above in fill 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.
6. INDEMNIFICATION
Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents,
employees, consultants, special counsel, and representatives from liability for personal injury, damages,
just compensation, restitution, judicial or equitable relief 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 Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their
behalf which relates to the services described in section 1 of this Agreement. The Consultant further
agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs
for special counsel to be selected by the City, regarding any action by a third party challenging the
validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution,
judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects
arising from this Agreement. City may make all reasonable decisions with respect to its representation in
any legal proceeding.
25P -8
CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such information is
reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or
disclose such information except in the performance of this Agreement, and further agrees to exercise the
same degree of care it uses to protect its own information of like importance, but in no event less than
reasonable care. "Confidential Information" shall include all nonpublic information. Confidential
information includes not only written information, but also information transferred orally, visually,
electronically, or by other means. Confidential information disclosed to either party by any subsidiary
and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and
nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources;
(b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful
possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by
operation of law; or (e) is independently developed by the Consultant without reference to information
disclosed by the City.
8. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct or
indirect, which would conflict in any manner with performance of services specified under this
Agreement.
9. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall
be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or
certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner
provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M -30)
P.O. Box 1988
Santa Ana, CA 92702 -1988
telefacsimile 714 - 647 -6956
With courtesy copy to:
City Attorney
City of Santa Ana
20 Civic Center Plaza (M -29)
P.O. Box 1988
Santa Ana, California 92702
telefacsimile 714 - 647 -6515
To Consultant: Townsend Public Affairs, Inc.
2699 White Road, Suite 251
Irvine, CA 92614
Telefacsimile 949 - 476 -8215
Attn: Christopher Townsend
25P -9
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.
10. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event
of a conflict between the terms of this Agreement and any attachments hereto, the terms of this
Agreement shall prevail. This Agreement may not be modified except by written instrument signed by
the City and by an authorized representative of Consultant. The parties agree that any terms or conditions
of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and
conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement
acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have
been made by any party, or anyone acting on behalf of any party, which is not embodied herein.
11. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant,
Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written
consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior
written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit
the City's ability to have any of the services which are the subject to this Agreement performed by City
personnel or by other consultants retained by City.
12. TERMINATION
This Agreement may be terminated by either party upon thirty (30) days written notice of
termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant
compensation for all services performed by Consultant prior to receipt of such notice of termination. As a
condition of such payment, the City Manager may require Consultant to deliver to the City all work product
completed as of such date, and in such case such work product shall be the property of the City unless
prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems
appropriate.
13. DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual
orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the
recruitment, selection, training, utilization, promotion, termination or other employment related activities.
Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal,
state and local laws and regulations.
0
25P -10
14. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined
and governed by the laws of the State of California. Both parties further agree that Orange County,
California, shall be the venue for any action or proceeding that may be brought or arise out of, in
connection with or by reason of this Agreement.
15. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits,
approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by
the laws and regulations of the United States, the State of California, the City of Santa Ana and all other
governmental agencies. Consultant shall notify the City immediately and in writing of her inability to
obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be
cause for termination of this Agreement.
16. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority
and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City
fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such
authority or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the
body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above
written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
CITY OF SANTA ANA
DAVID CAVAZOS
City Manager
TOWNSEND PUBLIC AFFAIRS, INC.
CHRISTOPHER TOWNSEND
President
25P -11
EXHIBIT A
OBLIGATIONS OF TOWNSEND PUBLIC AFFAIRS, INC.
A. Townsend Public Affairs will represent the City of Santa Ana in Sacramento.
B. The Consultant will confer with the Legislative Council Committee, City Manager and such
other City personnel as the City Manager may designate at times and places mutually agreed to
by the City and Consultant on all organizational planning and program activity which has a
bearing on the ability of the City to make the best use of state programs.
C. Consultant will review state proposals, legislation under consideration, proposed and adopted
administrative rules and regulations and other Sacramento developments for the purpose of
advising the City of those items which may have a bearing on City policy or programs.
D. Consultant will secure and furnish such detailed information as may be available on state issues
in which the City indicates an interest.
E. As requested by the City, Consultant will review and comment on legislative proposals and
grant applications of the City which are being prepared for submission to state agencies.
F. Consultant will maintain liaison with the City's state legislative delegation and other
appropriate state legislators, including the Governor and legislative leadership, and will assist
the delegation in any matter which the City determines to be in its best interest in the same
manner as any other member of the City's administrative staff might render assistance.
G. Consultant will counsel with the City regarding appearance by City personnel before legislative
committees and administrative agencies and will arrange for appointments and accommodations
for City personnel as necessary.
H. Consultant will contact state agencies on the City's behalf when City applications are under
consideration by such agencies, facilitate provision of additional information from the City,
resolve potential concerns, provide guidance to the City, and otherwise take whatever steps
appear to be necessary to obtain the most favorable consideration of such applications.
L Consultant will support City efforts related to federal appropriations and other initiatives
requiring outreach to local and regional agencies.
25P -12
REQUEST FOR
COUNCIL ACTION
NkWC91•111,MI Ill 4411 Z Ig17Yii
AUGUST 5, 2014
TITLE:
AGREEMENT FOR FEDERAL
GOVERNMENT LIAISON SERVICES
WITH HOLLAND & KNIGHT
CI ;GER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
❑ As Recommended
❑ As Amended
❑ Ordinance on 15' Reading
❑ Ordinance on 2 n Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Authorize the City Manager and the Clerk of the Council to execute an amended agreement for
federal government liaison services with Holland and Knight, in an annual amount not to exceed
$100,800, commencing July 1, 2014 for a one -year term with the option of extending the term for
two one -year terms, subject to non - substantive changes approved by the City Manager and City
Attorney.
DISCUSSION
Cities throughout California engage federal government liaisons to represent their municipal
policy perspectives in legislative matters in Washington D.C. This service typically includes
review and monitoring of federal executive proposals and legislation, as well as administrative
rules and regulations that may affect the City. Federal government liaison services are also
essential in identifying funding opportunities and grant applications and other special programs
for which the City may qualify.
On December 16, 2013, an agreement with Holland and Knight (HK) was approved by the City
Council for federal government liaison services. In the past six months, the City has
benefited significantly from their services. Specifically, HK assisted the City in successfully
renegotiating the City's jail per diem contract rate with the U.S. Marshals Office resulting in a
$1.4 million net increase to the General Fund. HK was also instrumental in obtaining an increase
in the Urban Area Security Initiative allocation from $2.5 million to $5.5 million in FY 14.
Additionally, HK effectively advocated for the inclusion of the Empowerment Zone Employment
Tax Credit as part of the U.S. Senate's tax extender package. This important legislation is
expected to be taken up again during Congress' lame duck session after November 2014 and
would provide tax credits to businesses that hire workers who also live in the empowerment
zone. A summary of HK work efforts on behalf of the City for the past six months is attached
(Exhibit 1).
HK has exceeded the expectations of staff in its first six months and as a result we are
recommending to increase their original agreement compensation from $84,000 to $100,800.
Staff believes the increase is appropriate given the level of service provided and is more in line
25Q -1
Holland & Knight Agreement
August 5, 2014
Page 2
with comparable services provided by HK to similar and smaller size cities. HK has proven
effective in maximizing the City's interest in Washington D.C. and they have been instrumental in
increasing the City's revenue /grant funding by $4.4 million in the first six months of their contract.
Staff is further recommending that the term of HK's agreement be amended to coincide with the
term of the City's state lobbyist (July 1st to June 30th) which will allow for more effective
management of the state and federal lobbyists contracts (Exhibit 2).
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet all seven goals and objectives of the
strategic plan which include: Community Safety; Youth, Education, Recreation; Economic
Development; City Financial Stability; Community Health, Livability, Engagement and
Sustainability; Community Facilities and Infrastructure; and Team Santa Ana.
FISCAL IMPACT
Funds are available in the Public Works Administrative Services account (no. 10117601- 62300)
and General Fund Legislative Affairs (no. 01104012 - 62300).
Edwin "William" Galvez, P.E.
Interim Executive Director
Public Works Agency
Exhibit 1
Exhibit 2
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director r
Finance & Management Services Agenc
25Q -2
EXHIBIT 1
Holland & Knight
800 171° St. NW I Washington, D.C. 20006 1 T 202.955.3000 1 F 202.955.5564
Holland & Knight LLP I www.hklaw.com
Memorandum
Date: July 30, 2014
To: David Cavazos, City Manager
Mark Lawrence, Assistant to the City Manager
From: Dan Maldonado, Senior Policy Advisor
Leslie Pollner, Senior Policy Advisor
Re: Federal Update
This memo provides a brief overview of Holland & Knight's work with the City of Santa Ana
over the past six months and highlights upcoming federal issues as they relate to the City's
priorities.
I. Progress to Date
Since beginning our work with the City, the Holland & Knight (HK) team has made significant
progress on several of the City's key issues, including:
•
Immigration and Customs Enforcement OCE/U.S. Marshals: The Santa Ana jail's
operations have strained the City's budget because of the inadequate per diem paid by the
U.S. Marshals and ICE. Working closely with HK, Santa Ana successfully obtained an
increase in the per diem (moving from $95 /per day to $105 /per day) from U.S. Marshals
(final contract pending), and negotiations are ongoing with ICE. HK set up meetings and
calls with senior staff at ICE and the U.S. Marshals, provided talking points /strategy for
the meetings, and continues to closely monitor the approval process.
• Urban Area Security Initiative (UASI): For FY 14, Santa Ana's UASI allocation
increased to $5.5 million — an increase from $2.5 million. HK has worked closely with
Congresswoman Sanchez and Senator Feinstein to ensure that they understand the
region's security needs.
• Empowerment Zone Employment Tax Credit: HK successfully worked to have the
empowerment zone employment tax included as part of the Senate tax extenders package
(EXPIRE Act), including leading a letter of support for the tax credits along with Los
Angeles Mayor Gareetti and Fresno Mayor Swearengin. HK worked with the City's
Senate delegation, together with Senate Finance Committee member Senator Stabenow,
of Michigan (Detroit being an empowerment zone) to lead a successful effort to add the
25Q -3
Page 2
empowerment zone employment tax provision to the tax extenders bill. Final action on
the bill by Congress will likely be pushed to the lame duck session.
• Grant Assistance: HK has monitored funding opportunities at the federal level for the
City and continues to provide a weekly grants newsletter that highlights opportunities of
relevance to local government. HK has also assisted with grant applications, including:
o TIGER: Assisting with obtaining letters of support from Senators Feinstein and
Boxer as well as Congresswoman Sanchez
o Byrne Justice Innovation Grant: Reviewed application; assisting with letters of
support from Senators Feinstein and Boxer as well as Congresswoman Sanchez
o Community Oriented Policing Services (COPS): Arranged meeting with COPS
leadership in D.C.; provided feedback on City's proposal
o Partnerships to Improve Community Health (PICH): Provided strategic
guidance on funding opportunity
• Letters: HK assisted with drafting letters on key city issues, including:
Utility Users Tax (UUT)/Protecting Local Revenue: Assisted with drafting
a letter from Mayor Pulido articulating the City's position on key policies
impacting the city's UUT and its local revenue control.
o Gainful Employment: Assisted the City in drafting a letter from Mayor
Pulido to the U.S. Department of Education regarding the recently proposed
gainful employment rule.
11. Ongoing
• Biweekly Calls: Host biweekly calls with city staff
Washington, D.C. Trip: Organized Washington, D.C. trip for City Manager David
Cavazos and Police Chief Carlos Rojas that included meetings with Congresswoman
Sanchez, Senator Boxer's office, Senator Feinstein's office, the COPS Office, ICE, and
with the U.S. Marshals Office (by phone). Also, met with Mayor Pro Tern Sal Tinajero
during the National League of Cities Legislative Conference in Washington, D.C.
• Communication with Senators and Representatives: Maintain regular contact with Santa
Ana's congressional delegation.
III. Federal Update
Political Landscape
25Q -4
Page 3
With November quickly approaching, lawmakers are turning their attention on the midterm
elections. Republicans are expected to retain control of the House. The Senate is much more in
flux. There, Republicans are expected to gain seats, but it remains to be seen whether or not they
will take control of the chamber.
The recent primary defeat of House Majority Leader Eric Cantor shocked Washington politicos
and will likely have a profound effect on Capitol Hill activity for the remainder of this Congress.
On June 19, House Republicans elected Representative Kevin McCarthy (R -CA) to replace
Cantor. McCarthy previously served as Majority Whip, which now goes to Representative Steve
Scalise (R -LA).
Cantor's loss to a Tea Party- aligned candidate will likely have serious implications for legislation
regarding important topics like voting rights act amendments and immigration reform, as many
Republicans won't want to address such hot button issues for their districts leading up to the
election.
Appropriations
The appropriations process for FY 2015 is well underway in both the House and Senate. To date,
the full House has approved five appropriations bills (Military Construction and Veterans Affairs
(Milton -VA); Legislative Branch; Commerce, Justice, and Science (CJS); Transportation,
Housing, and Urban Development (THUD); and Defense). The House began debate of its
Agriculture spending proposal, but the legislation was pulled from the floor before a vote on
final passage could take place.
The full Senate attempted to begin work on appropriations bills during the week of June 16,
beginning with a "minibus" made up of the Agriculture, CJS, and THUD measures; however,
progress quickly stalled after Senate Majority Leader Harry Reid (D -NV) failed to reach an
agreement with Republicans on amendments to be considered. In light of these circumstances,
the future of the passage of these bills remains unclear.
Meanwhile, the House and Senate Appropriations Committees continue to craft the remainder of
the 12 annual spending bills. Both House Appropriations Committee Chairman Hal Rogers (R-
KY) and Senate Appropriations Committee Chairwoman Barbara Milculski (D -MD) have said
that they want to return to regular order and pass all of the measures prior to the end of the fiscal
year, as opposed to passing yet another omnibus. This seems like a much more achievable goal
this year, given the two -year budget deal that was agreed to in late 2013. However, it is still
possible that policy disagreements over issues such as the Affordable Care Act (ACA) and
environmental regulations could derail appropriations progress. If progress on these bills,
including the Labor -HHS- Education bill, bogs down, then we will likely see an omnibus package
being put together and considered in the lameduck session.
Surface Transportation Reauthorization
The current law governing surface transportation (MAP -21) is set to expire on September 30,
and lawmakers continue to grapple with its reauthorization. The main question involves the
25Q -5
Page 4
identification of a viable funding source that can be used to replenish the Highway Trust Fund
(HTF), which is expected to become insolvent in late August. If this is allowed to occur,
reimbursements to states and municipalities will be delayed and project delivery will be slowed.
In the House, the Transportation and Infrastructure Committee has sole jurisdiction over the
issue. Chairman Bill Shuster (R -PA) has stated his intent to craft a comprehensive, long -term bill
but has yet to release any legislation. House Republican leaders recently floated the idea of a
short-term extension of MAP -21 to be funded by cost savings generated by a shift to five -day
postal delivery. However, the proposal was criticized by many rank and file GOP members and
seems to be off the table for now.
Across the Capitol, jurisdiction is split between four Senate committees. The Environment and
Public Works (EPW) Committee oversees highways. The Commerce, Science, and
Transportation Committee handles rail and safety issues. The Banking, Housing, and Urban
Affairs Committee deals with transit. And, the Finance Committee is tasked with finding a
funding source for the legislation.
The EPW Committee has marked up a bill. Its proposal — which would provide for current levels
of spending plus inflation — was approved with broad, bipartisan support. The Senate Commerce
and Banking Committees are expected to release their measures soon, though an exact timeline
has not been announced.
During the week of June 23, Senate Finance Committee Chairman Ron Wyden (D -OR) unveiled
a proposal that would generate approximately $9 billion, effectively tiding the HTF over until the
end of this calendar year. A markup of the measure — which includes an increased heavy vehicle
(truck) use tax, changes to "Stretch IRAs," and heightened requirements for banks to report
mortgage information — is expected to take place on June 26. Immediately after the plan was put
forth, the panel's ranking member, Republican Senator Orrin Hatch of Utah, stated that Wyden's
bill did not have Republican support and would not, unless it included sizeable reductions in
spending.
Meanwhile, Senators Bob Corker (R -TN) and Chris Murphy (D -CT) recently released the first
bipartisan proposal to raise the gas tax. Their plan would provide for a six cent increase in each
of the next two years before indexing the tax to inflation. It would be offset with tax relief for
businesses and families, likely through the permanent extension of several credits and breaks
commonly known as "extenders."
Immigration
Nearly one year ago, the Senate passed its sweeping immigration reform bill in a bipartisan
manner. Since, there has been little legislative movement on the issue. The House Judiciary
Committee has marked up several piecemeal bills, but none of the measures has managed to
reach the House floor where Democrats are expected to oppose as unresponsive to the principles
of comprehensive reform, including a pathway to citizenship.
25Q -6
Page 5
The White House, House Democrats, and countless immigration advocacy groups continue to
pressure House Republicans to move on the issue. However, as previously mentioned, many
have speculated that the recent defeat of House Majority Leader Eric Cantor (R -VA) by an anti -
immigration candidate will cause the House GOP to avoid the issue until after the mid -term
elections and possibly into the new Congress when attention begins to focus on the Presidential
elections.
Internet Tax Freedom Act
First enacted in 1998, the Internet Tax Freedom Act (ITFA) places a moratorium on state and
local taxation of internet access. The bill's original intent was to encourage the development of
the internet, which at the time was a new technology. Today, however, the legislation serves as
little more than a preemption of state and local taxing authority. This is especially true in states
like California, where municipalities levy voter - approved utility user taxes (UUTs).
The ITFA's current authorization is set to expire on November 1, and there is a push in both the
House and Senate for a permanent extension. On June 18, the House Judiciary Committee
approved H.R. 3086, the Permanent Internet Tax Freedom Act, sponsored by Chairman Bob
Goodlatte (R -VA). The bill passed out of committee with bipartisan support, and HK has learned
that it could reach the House floor soon after the July 4 recess.
Particularly considering that more and more services are transitioning to broadband, such
legislation could seriously jeopardize California cities' UUT revenue streams. HK will continue
to work with Senators Feinstein and Boxer as well as the City's House delegation to push for a
short-term ITFA reauthorization.
25Q -7
EXHIBIT 2
CITY OF SANTA ANA
HOLLAND AND KNIGHT
PROFESSIONAL SERVICES AGREEMENT
1. PARTIES AND DATE.
This Agreement shall be deemed effective as of July 1, 2014 by and between the City of
Santa Ana, a charter city of the State of California ( "City ") and Holland and Knight of
Washington D.C. with its principal place of business at 800 17th Street N.W., Suite 1100,
Washington, DC, 20006 ( "Consultant "). City and Consultant are sometimes individually
referred to herein as "Party" and collectively as "Parties."
2. RECITALS.
2.1 Consultant.
Consultant desires to perform and assume responsibility for the provision of certain
professional services required by the City on the terms and conditions set forth in this
Agreement. Consultant represents that it is experienced in developing federal communications
and legislative strategies for public clients, is a full service government relations firm registered
with both the U.S. Senate & House of Representatives, and is familiar with issues identified by
City in City's Legislative Priorities document. .
2.2 Project.
City desires to engage Consultant to render Federal Legislative Advocacy and Liaison
services ( "Project ") as set forth in this Agreement.
3. TERMS.
3.1 Scope of Services and Term.
3.1.1 General Scope of Services. Consultant promises and agrees to furnish to
the City all labor, materials, tools, equipment, services, and incidental and customary work
necessary to fully and adequately supply the professional federal legislative advocacy and liaison
consulting services necessary for the Project ( "Services "). The Services are more particularly
described in Exhibit "A" attached hereto and incorporated herein by reference. All Services
shall be subject to, and performed in accordance with, this Agreement, the exhibits attached
hereto and incorporated herein by reference, and all applicable local, state and federal laws, rules
and regulations.
3.1.2 Term. The Initial Term of this Agreement shall be from July 1, 2014
through July 1, 2015, unless earlier terminated or extended as provided herein. On or before July
1, 2015 and July, 1, 2016, as the case may be, the City Manager shall have the authority to
extend the Initial Term for up to two additional one -year terms (Additional Terms). All
25Q -8
extensions, if granted, must be in writing executed by both parties. The City Manager's
authority to extend this Agreement is limited to the Initial and Additional Terms only.
3.2 Responsibilities of Consultant.
3.2.1 Control and Pavment of Subordinates: Independent Contractor. The
Services shall be performed by Consultant or under its supervision. Consultant will determine
the means, methods and details of performing the Services subject to the requirements of this
Agreement. City retains Consultant on an independent contractor basis and not as an employee.
Consultant retains the right to perform similar or different services for others during the term of
this Agreement. Any additional personnel performing the Services under this Agreement on
behalf of Consultant shall also not be employees of City and shall at all times be under
Consultant's exclusive direction and control. Consultant shall pay all wages, salaries, and other
amounts due such personnel in connection with their performance of Services under this
Agreement and as required by law. Consultant shall be responsible for all reports and
obligations respecting such additional personnel, including, but not limited to: social security
taxes, income tax withholding, unemployment insurance, disability insurance, and workers'
compensation insurance.
3.2.2 Intentionally Omitted.
3.2.3 Conformance to Applicable Requirements. All work prepared by
Consultant shall be subject to the approval of City.
3.2.4 Substitution of Key Personnel. Consultant has represented to City that
certain key personnel will perform and coordinate the Services under this Agreement. Should
one or more of such personnel become unavailable, Consultant may substitute other personnel of
at least equal competence upon written approval of City. In the event that City and Consultant
cannot agree as to the substitution of key personnel, City shall be entitled to terminate this
Agreement for cause. As discussed below, any personnel who fail or refuse to perform the
Services in a manner acceptable to the City, or who are determined by the City to be
uncooperative, incompetent, a threat to the adequate or timely completion of the Project or a
threat to the safety of persons or property, shall be promptly removed from the Project by the
Consultant at the request of the City. The key personnel for performance of this Agreement are
as follows: Dan Maldonado.
3.2.5 City's Representative. The City hereby designates the City Manager, or
his or her designee, to act as its representative for the performance of this Agreement ( "City's
Representative "). City's Representative shall have the power to act on behalf of the City for all
purposes under this Contract. Consultant shall not accept direction or orders from any person
other than the City's Representative or his or her designee.
3.2.6 Consultant's Representative. Consultant hereby designates Dan
Maldonado, or his or her designee, to act as its representative for the performance of this
Agreement ( "Consultant's Representative "). Consultant's Representative shall have full
authority to represent and act on behalf of the Consultant for all purposes under this Agreement.
The Consultant's Representative shall supervise and direct the Services, using his best skill and
256 -9
attention, and shall be responsible for all means, methods, techniques, sequences and procedures
and for the satisfactory coordination of all portions of the Services under this Agreement.
3.2.7 Coordination of Services. Consultant agrees to work closely with City
staff in the performance of Services and shall be available to City's staff, consultants and other
staff at all reasonable times.
3.2.8 Standard of Care; Performance of Employees. Consultant shall perform
all Services under this Agreement in a skillful and competent manner, consistent with the
standards generally recognized as being employed by professionals in the same discipline in the
State of California. Consultant represents and maintains that it is skilled in the professional
calling necessary to perform the Services. Consultant warrants that all employees and
subcontractors shall have sufficient skill and experience to perform the Services assigned to
them. Finally, Consultant represents that it, its employees and subcontractors have all licenses,
permits, qualifications and approvals of whatever nature that are legally required to perform the
Services, including a City Business License, and that such licenses and approvals shall be
maintained throughout the term of this Agreement. Consultant shall perform, at its own cost and
expense and without reimbursement from the City, any services necessary to correct errors or
omissions which are caused by the Consultant's failure to comply with the standard of care
provided for herein. Any employee of the Consultant or its sub - consultants who is determined
by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the
Project, a threat to the safety of persons or property, or any employee who fails or refuses to
perform the Services in a manner acceptable to the City, shall be promptly removed from the
Project by the Consultant and shall not be re- employed to perform any of the Services or to work
on the Project.
3.2.9 Laws and Regulations. Consultant shall keep itself fully informed of and
in compliance with all local, state and federal laws, rules and regulations in any manner affecting
the performance of the Project or the Services and shall give all notices required by law.
Consultant shall be liable for all violations of such laws and regulations in connection with
Services. If the Consultant performs any work knowing it to be contrary to such laws, rules and
regulations and without giving written notice to the City, Consultant shall be solely responsible
for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials,
directors, officers, employees and agents free and harmless, pursuant to the indemnification
provisions of this Agreement, from any claim or liability arising out of any failure or alleged
failure to comply with such laws, rules or regulations.
3.2. 10 Insurance.
3.2.10.1 Time for Compliance. Consultant shall not commence
Work under this Agreement until it has provided evidence satisfactory to the City that it has
secured all insurance required under this section. In addition, Consultant shall not allow any
subcontractor to commence work on any subcontract until it has provided evidence satisfactory
to the City that the subcontractor has secured all insurance required under this section.
3.2.10.2 Minimum Requirements. Consultant shall, at its expense,
procure and maintain for the duration of the Agreement insurance against claims for injuries to
250 -10
persons or damages to property which may arise from or in connection with the performance of
the Agreement by the Consultant, its agents, representatives, employees or subcontractors.
Consultant shall also require all of its subcontractors to procure and maintain the same insurance
for the duration of the Agreement. Such insurance shall meet at least the following minimum
levels of coverage:
(A) Minimum Scope of Insurance. Coverage shall be at least as
broad as the latest version of the following: (1) General Liability: Insurance Services Office
Commercial General Liability coverage (occurrence form CG 0001); and (3) Workers'
Compensation and Employer's Liability: Workers' Compensation insurance.
(B) Minimum Limits of Insurance. Consultant shall maintain
limits no less than: (1) General Liability: $1,000,000 per occurrence for bodily injury, personal
injury and property damage. If Commercial General Liability Insurance or other form with
general aggregate limit is used, either the general aggregate limit shall apply separately to this
Agreement/location or the general aggregate limit shall be twice the required occurrence limit;
and (3) Workers' Compensation and Employer's Liability: Workers' Compensation limits as
required by the District of Columbia.
3.2.10.3 Professional Liability. . Professional liability (errors and
omissions) insurance, with a combined single limit of not less than $1,000,000 per claim.
3.2.10.4 Insurance Endorsements. The insurance policies shall
contain the following provisions, or Consultant shall provide endorsements on forms supplied or
approved by the City to add the following provisions to the insurance policies:
(A) General Liability. The general liability policy shall be
endorsed to state that: (1) the City shall be covered as additional insured with respect to the
Work or operations performed by or on behalf of the Consultant, including materials, parts or
equipment furnished in connection with such work; and (2) the insurance coverage shall be
primary insurance as respects the City shall stand in an unbroken chain of coverage excess of the
Consultant's scheduled underlying coverage. Any insurance or self - insurance maintained by the
City shall be excess of the Consultant's insurance and shall not be called upon to contribute with
it in any way.
(B) [Intentionally Omitted].
(C) Workers' Compensation and Employers Liabili
Coverage. The insurer shall agree to waive all rights of subrogation against the City, its directors,
officials, officers, employees, agents and volunteers for losses paid under the terms of the
insurance policy which arise from work performed by the Consultant.
(D) All Coverages. Each insurance policy required by this
Agreement shall be endorsed to state that: (A) coverage shall not be suspended, voided, reduced
or canceled except after thirty (30) days prior written notice by certified mail, return receipt
requested, has been given to the City; and (B) any failure to comply with reporting or other
provisions of the policies, including breaches of warranties, shall not affect coverage provided to
the City, its directors, officials, officers, employees, agents and volunteers.
250 -11
3.2.10.5 Separation of Insureds: No Special Limitations. All
insurance required by this Section shall contain standard separation of insureds provisions. In
addition, such insurance shall not contain any special limitations on the scope of protection
afforded to the City, its directors, officials, officers, employees, agents and volunteers.
3.2.10.6 Deductibles and Self- Insurance Retentions. Any
deductibles or self - insured retentions must be declared to and approved by the City. Consultant
shall guarantee that, at the option of the City, either: (1) the insurer shall reduce or eliminate
such deductibles or self - insured retentions as respects the City, its directors, officials, officers,
employees, agents and volunteers; or (2) the Consultant shall procure a bond guaranteeing
payment of losses and related investigation costs, claims and administrative and defense
expenses.
3.2.10.7 Acceptability of Insurers. Insurance is to be placed with
insurers with a current A.M. Best's rating no less than A:VIII, licensed to do business in
California, and satisfactory to the City.
3.2.10.8 Verification of Coverage. Consultant shall furnish City
with original certificates of insurance and endorsements effecting coverage required by this
Agreement on forms satisfactory to the City. The certificates and endorsements for each
insurance policy shall be signed by a person authorized by that insurer to bind coverage on its
behalf, and shall be on forms provided by the City if requested. All certificates and
endorsements must be received and approved by the City before work commences. The City
reserves the right to require complete, certified copies of all required insurance policies, at any
time.
3.2.11 Safety. Consultant shall execute and maintain its work so as to avoid
injury or damage to any person or property. In carrying out its Services, the Consultant shall at
all times be in compliance with all applicable local, state and federal laws, rules and regulations,
and shall exercise all necessary precautions for the safety of employees appropriate to the nature
of the work and the conditions under which the work is to be performed. Safety precautions as
applicable shall include, but shall not be limited to: (A) adequate life protection and life saving
equipment and procedures; (B) instructions in accident prevention for all employees and
subcontractors, such as safe walkways, scaffolds, fall protection ladders, bridges, gang planks,
confined space procedures, trenching and shoring, equipment and other safety devices,
equipment and wearing apparel as are necessary or lawfully required to prevent accidents or
injuries; and (C) adequate facilities for the proper inspection and maintenance of all safety
measures.
250 -12
3.3 Fees and Payments.
3.3.1 Compensation. Consultant shall receive compensation in the amount of
$8,400 (Eight Thousand Four Hundred dollars) per month. The total compensation shall not
exceed $100,800 (One Hundred Thousand Eight Hundred dollars) in any one -year term.
3.3.2 Payment of Compensation. Consultant shall submit to City a monthly
itemized statement which indicates work completed and hours of Services rendered by
Consultant. The statement shall describe the amount of Services and supplies provided since the
initial commencement date, or since the start of the subsequent billing periods, as appropriate,
through the date of the statement. City shall, within 45 days of receiving such statement, review
the statement and pay all approved charges thereon.
3.3.3 Reimbursement for Expenses. Consultant shall not be reimbursed for any
expenses unless authorized in writing by City.
3.3.4 Extra Work. Section Removed
3.3.5 Prevailing Wages. Section Removed
3.4 Accounting Records.
3.4.1 Maintenance and Inspection. Consultant shall maintain complete and
accurate records with respect to all costs and expenses incurred under this Agreement. All such
records shall be clearly identifiable. Consultant shall allow a representative of City during
normal business hours to examine, audit, and make transcripts or copies of such records and any
other documents created pursuant to this Agreement. Consultant shall allow inspection of all
work, data, documents, proceedings, and activities related to the Agreement for a period of three
(3) years from the date of final payment under this Agreement.
3.5 General Provisions.
3.5.1 Termination of Agreement.
3.5.1.1 Grounds for Termination. City or Consultant may terminate the
whole or any part of this Agreement at any time and without cause by giving written notice to the
other party of such termination, and specifying the effective date thereof, at least thirty (30) days
before the effective date of such termination. Upon termination, Consultant shall be
compensated only for those services and authorized reimbursable expenses which have been
adequately rendered to or on behalf of City, and Consultant shall be entitled to no further
compensation.
3.5.1.2 Effect of Termination. If this Agreement is terminated as provided
herein, City may require Consultant to provide all finished or unfinished Documents and Data
and other information of any kind prepared by Consultant in connection with the performance of
Services under this Agreement. Consultant shall be required to provide such document and other
information within fifteen (15) days of the request.
250 -13
3.5.1.3 Additional Services. In the event this Agreement is terminated in
whole or in part as provided herein, City may procure, upon such terms and in such manner as it
may determine appropriate, services similar to those terminated.
3.5.2 Delivery of Notices. All notices permitted or required under this
Agreement shall be given to the respective parties at the following address, or at such other
address as the respective parties may provide in writing for this purpose:
Consultant: Holland and Knight LLP
800 176' Street NW, Suite 1100
Washington, D.C. 20006
Fax: 202-955-5564
Attn: Eve O'Toole, Senior Policy Advisor
City: City of Santa Ana
20 Civic Center Plaza (M -31)
P.O. Box 1985
Santa Ana, California 92702
Fax: 714-647-6954
Attn: David Cavazos, City Manager
Such notice shall be deemed made when personally delivered or when mailed, forty -eight
(48) hours after deposit in the U.S. Mail, first class postage prepaid and addressed to the party at
its applicable address. Actual notice shall be deemed adequate notice on the date actual notice
occurred, regardless of the method of service.
3.5.3 Ownership of Materials and Confidentiality.
3.5.3.1 Documents & Data; Licensing of Intellectual Property. This
Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or
sublicense any and all copyrights, designs, and other intellectual property embodied in plans,
specifications, studies, drawings, estimates, and other documents or works of authorship fixed in
any tangible medium of expression, including but not limited to, physical drawings or data
magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be
prepared by Consultant under this Agreement ( "Documents & Data "). Consultant shall require
all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license
for any Documents & Data the subcontractor prepares under this Agreement. Consultant
represents and warrants that Consultant has the legal right to license any and all Documents &
Data. Consultant makes no such representation and warranty in regard to Documents & Data
which were prepared by design professionals other than Consultant or provided to Consultant by
the City. City shall not be limited in any way in its use of the Documents and Data at any time,
provided that any such use not within the purposes intended by this Agreement shall be at City's
sole risk.
25d -14
3.5.3.2 Confidentiality. All ideas, memoranda, specifications, plans,
procedures, drawings, descriptions, computer program data, input record data, written
information, and other Documents and Data either created by or provided to Consultant in
connection with the performance of this Agreement shall be held confidential by Consultant.
Such materials shall not, without the prior written consent of City, be used by Consultant for any
purposes other than the performance of the Services. Nor shall such materials be disclosed to
any person or entity not connected with the performance of the Services or the Project. Nothing
furnished to Consultant which is otherwise known to Consultant or is generally known, or has
become known, to the related industry shall be deemed confidential. Consultant shall not use
City's name or insignia, photographs of the Project, or any publicity pertaining to the Services or
the Project in any magazine, trade paper, newspaper, television or radio production or other
similar medium without the prior written consent of City.
3.5.4 Cooperation; Further Acts. The Parties shall fully cooperate with one
another, and shall take any additional acts or sign any additional documents as may be necessary,
appropriate or convenient to attain the purposes of this Agreement.
3.5.5 Attorney's Fees. If either party commences an action against the other
party, either legal, administrative or otherwise, arising out of or in connection with this
Agreement, the prevailing party in such litigation shall be entitled to have and recover from the
losing party reasonable attorney's fees and all other costs of such action.
3.5.6 Indemnification. Consultant agrees to and shall defend, indemnify and
hold harmless the City, its officers, agents, employees and consultants from and against any
damages or claims resulting from or arising out of Consultant's negligent or wrongful acts, errors
or omissions.
3.5.7 Entire Agreement. This Agreement contains the entire Agreement of the
parties with respect to the subject matter hereof, and supersedes all prior negotiations,
understandings or agreements. This Agreement may only be modified by a writing signed by
both parties.
3.5.8 Governing Law. This Agreement shall be governed by the laws of the
State of California. Venue shall be in Orange County.
3.5.9 Time of Essence. Time is of the essence for each and every provision of
this Agreement.
3.5. 10 City's Right to Employ Other Consultants. City reserves right to employ
other consultants in connection with this Project.
3.5.11 Successors and Assigns. This Agreement shall be binding on the
successors and assigns of the parties.
3.5.12 Assignment or Transfer. Consultant shall not assign, hypothecate, or
transfer, either directly or by operation of law, this Agreement or any interest herein without the
prior written consent of the City. Any attempt to do so shall be null and void, and any assignees,
250 -15
hypothecates or transferees shall acquire no right or interest by reason of such attempted
assignment, hypothecation or transfer.
3.5.13 Construction; References; Captions. Since the Parties or their agents have
participated fully in the preparation of this Agreement, the language of this Agreement shall be
construed simply, according to its fair meaning, and not strictly for or against any Party. Any
term referencing time, days or period for performance shall be deemed calendar days and not
work days. All references to Consultant include all personnel, employees, agents, and
subcontractors of Consultant, except as otherwise specified in this Agreement. All references to
City include its elected officials, officers, employees, agents, and volunteers except as otherwise
specified in this Agreement. The captions of the various articles and paragraphs are for
convenience and ease of reference only, and do not define, limit, augment, or describe the scope,
content, or intent of this Agreement.
3.5.14 Amendment; Modification. No supplement, modification, or amendment
of this Agreement shall be binding unless executed in writing and signed by both Parties.
3.5.15 Waiver. No waiver of any default shall constitute a waiver of any other
default or breach, whether of the same or other covenant or condition. No waiver, benefit,
privilege, or service voluntarily given or performed by a Party shall give the other Party any
contractual rights by custom, estoppel, or otherwise.
3.5.16 No Third Party Beneficiaries. There are no intended third party
beneficiaries of any right or obligation assumed by the Parties.
3.5.17 Invalidity; Severability. If any portion of this Agreement is declared
invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining
provisions shall continue in full force and effect.
3.5.18 Prohibited Interests. Consultant maintains and warrants that it has not
employed nor retained any company or person, other than a bona fide employee working solely
for Consultant, to solicit or secure this Agreement. Further, Consultant warrants that it has not
paid nor has it agreed to pay any company or person, other than a bona fide employee working
solely for Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration
contingent upon or resulting from the award or making of this Agreement. Consultant fiuther
agrees to file, or shall cause its employees or subconsultants to file, a Statement of Economic
Interest with the City's Filing Officer as required under state law in the performance of the
Services. For breach or violation of this warranty, City shall have the right to rescind this
Agreement without liability. For the term of this Agreement, no member, officer or employee of
City, during the term of his or her service with City, shall have any direct interest in this
Agreement, or obtain any present or anticipated material benefit arising therefrom.
3.5.19 Equal Opportunity Employz ent. Consultant represents that it is an equal
opportunity employer and it shall not discriminate against any subcontractor, employee or
applicant for employment because of race, religion, color, national origin, handicap, ancestry,
sex or age. Such non - discrimination shall include, but not be limited to, all activities related to
initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff
25d -16
or termination. Consultant shall also comply with all relevant provisions of City's Minority
Business Enterprise program, Affirmative Action Plan or other related programs or guidelines
currently in effect or hereinafter enacted.
3.5.20 Labor Certification. By its signature hereunder, Consultant certifies that it
is aware of the provisions of Section 3700 of the California Labor Code which require every
employer to be insured against liability for Worker's Compensation or to undertake self -
insurance in accordance with the provisions of that Code, and agrees to comply with such
provisions before commencing the performance of the Services.
3.5.21 Authority to Enter Agreement. Consultant has all requisite power and
authority to conduct its business and to execute, deliver, and perform the Agreement. Each Party
warrants that the individuals who have signed this Agreement have the legal power, right, and
authority to make this Agreement and bind each respective Party.
3.5.22 Counterparts. This Agreement may be signed in counterparts, each of
which shall constitute an original.
3.6 Subcontracting.
3.6.1 Prior Approval Required. Consultant shall not subcontract any portion of
the work required by this Agreement, except as expressly stated herein, without prior written
approval of City. Subcontracts, if any, shall contain a provision making them subject to all
provisions stipulated in this Agreement.
[Signatures on Next Page]
25(x' --17
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above
written.
CITY OF SANTA ANA
Attest:
David Cavazos
City Manager
Maria D. Huizar, City Clerk
Approved as to Form:
Sonia R. Carvalho, City Attorney
HOLLAND AND KNIGHT LLP
LIN
Daniel Maldonado
Senior Policy Advisor
25(x' -18
EXHIBIT A
CITY OF SANTA ANA
REQUEST FOR PROPOSAL FOR
FEDERAL GOVERNMENT LIAISON SERVICES
SCOPE OF SERVICES
DESCRIPTION
The City of Santa Ana is seeking Requests for Proposals from a professional consulting firm
to provide federal government liaison services. The consultant works under the policy
direction of the Mayor and City Council and is administratively responsible to the City
Manager. The principle responsibility of the consultant will be to secure federal funding and
achieve determined legislative and regulatory outcomes on behalf of the City as outlined in
the Scope of Services below.
II. SCOPE OF SERVICES
A. Consultant will act as a Washington Representative to the City in Washington, D. C.
B. The Consultant will confer with the City Manager and such other City personnel as he
may designate at the times and places mutually agreed to by the City and the
Consultant on all organizational planning and program activity which has a bearing on
the ability of the City to utilize federal programs.
C. Consultant shall serve as lead advocate on City issues if the City contracts for the
services of other Washington representatives. Consultant shall coordinate such other
services.
D. Consultant will review federal executive proposals, legislation under consideration,
proposed and adopted administrative rules and regulations, and other Washington
developments for the purpose of advising the City on those Items which may have a
bearing on City policy or programs.
E. Consultant will secure and furnish such detailed information as may be available on
federal issues in which the City indicates an interest.
F. At the request of the City Manager, Consultant will review and comment on proposals
of the City which are being prepared for submission to federal agencies.
G. Consultant will maintain liaison with the City's Congressional delegation and will assist
the delegation in any matter which the City determines to be in its best interest in the
same manner as any other member of the City's administrative staff might render
assistance.
H. Consultant will counsel with the City regarding appearance by City personnel before
Congressional committees and administrative agencies and will arrange for
appointments and accommodations for City personnel as necessary.
City of Santa Ana RFP 12 -075 — Federal Government Liaison Services
Page 9
C-1
99999.91060\2925571.4
25Q -19
Consultant will contact federal agencies on the City's behalf when City applications are
under consideration by such agencies and otherwise take whatever steps appear to be
necessary to obtain the most favorable consideration of such applications.
J. In fulfilling responsibilities under this Agreement, the Consultant will act in the name of
the City of Santa Ana and with the title Washington Representative to the City
Manager.
In addition to the Scope of Services listed above, the City seeks assistance in identifying funding
opportunities and grant applications and other special programs for which the City may qualify.
Below Is a detailed listing of existing federally funded programs /grants administered by the City:
U.S. Department of Housing and Urban Development
Community Development Block Grant
Neighborhood Stabilization Program 1
Neighborhood Stabilization Program 3
Emergency Shelter /Solutions Grant
ARRA - Homelessness Prevention and Rapid Rehousing
Section 8 Housing Choice Vouchers
Housing Opportunities for Persons with AIDS
Home Investment Partnerships Program
ARRA - Neighborhood Stabilization Program 2
U.S. Department of Labor
CA Employment Development Department:
Workforce Investment Act Cluster:
Job Tech Center
H -18 Job Training Grant
South Bay Workforce Investment Board:
National Emergency Grant
U.S. Department of Transportation
CA Department of Transportation:
Highway Bridge Replacement and Rehabilitation
Regional Surface Transportation
Arterial Highway Rehabilitation Program
SAFETEA -LU
CA Department of Parks and Recreation:
National Recreation Trails Program
CA Department of Transportation:
Highway Safety Improvement Program
Hazardous Elimination Safety Program
CA Office of Traffic Safety:
DUI EnforcemenUAwareness 2010
Selective Traffic Enforcement
U.S. Department of Justice
Federal Equitable Sharing (Asset Forfeiture)
CA Emergency Management Agency:
OES- Anti -Gang Initiative
County of Orange Sheriffs Department:
Byrne Justice Assistance Grant
County of Orange Sheriffs Department:
City of Santa Ana RFP 12.075 — Federal Government Liaison Services
Page 10
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99999.91060\2925571.4
25Q -20
ARRA - Byrne Justice Assistance Grant 2009
ARRA - Community Oriented Policing Services
U.S. Department of Homeland Security
CA Emergency Management Agency:
Urban Area Security Initiative
FEMA Metro Mad Response
FEMA - Metro Mad Response 2009
CA Emergency Management Agency:
Interoperable Emergency Communications 2010
FEMA Flood Emergency
FEMA - Assist Firefighters 2008
U.S. Department of Commerce
CA Emergency Management Agency:
Public Safety Interoperable Communications 2007
U.S. Department of Health and Human Services
County of Orange Social Services Agency:
Vocational Training & Work Experience Program
U.S. Institute of Museum and Library Services
CA State Library:
Library Services & Technology Act FY
Laura Bush IMLS Seeds to Trees
U.S. Department of Energy
ARRA - Energy Conservation
U.S. Environmental Protection Agency
Water Infrastructure Special Appropriation -
West Pump Facility Upgrade
City of Santa Ana RFP 12 -075 — Federal Government Liaison Services
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99999.91060\2925571.4
25Q -21
25Q -22
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 6, 2014
TITLE:
CONDITIONAL USE PERMIT NO. 2014 -18 TO
ALLOW A TYPE 47 ALCOHOLIC BEVERAGE
CONTROL LICENSE FOR MARISCOS EL
CANGREJO NICE RESTAURANT LOCATED AT
819 SOUTH MAIN STREET — BLANCA TORIZ,
APPLICANT
CITY MANAG
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
i:W2007will
❑ As Recommended
❑ As Amended
❑ Ordinance on 1" Reading
❑ Ordinance on 2otl Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Receive and file the staff report approving Conditional Use Permit No. 2014 -18.
PLANNING COMMISSION ACTION
On July 14, 2014, the Planning Commission adopted a resolution approving Conditional Use
Permit No. 2014 -18 by a vote of 6:0 (Gartner absent) to allow an upgrade from a Type 41 to a
Type 47 Alcoholic Beverage Control license in order to sell beer, wine and distilled spirits for on-
premise sale and consumption at Mariscos El Cangrejo Nice restaurant located at 819 South
Main Street in the Commercial South Main (C -SM) zoning district. The Planning Commission
made no changes to the recommended conditions of approval outlined in the attached staff
report (Exhibit A).
DISCUSSION
Mariscos El Cangrejo Nice 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 is a full - service, 3,225- square foot sit -
down eating establishment that holds approximately 99 seats within its dining room. 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 Monday and
Tuesday from 10:00 a.m. to 10:00 p.m., and Wednesday through Sunday from 10:00 a.m. to
12:00 midnight. Full -sized site plans are available for public viewing in the Clerk of the Council
Office.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development,
Objective No. 2 (create new opportunities for business /job growth and encourage private
development through new General Plan and Zoning Ordinance policies).
31A-1
Conditional Use Permit No. 2014 -18
August 5, 2014
Page 2
FISCAL IMPACT
There is no fiscal impact associated with this action.
�( am
Karen Haluza
Interim Executive Director
Planning & Building Agency
AP:rb
apWAReportstStaff Reports for CCIC UPI 4 -18 El Cangrejo Nice Type 47 ABC=
Exhibit: A. Planning Commission Staff Report
31A-2
REQUEST
A
PLANNING COMMISSION MEETING DATE,
JULY 14, 2014
TITLE:
PUBLIC HEARING — FILED BY BLANCA TORIZ
FOR CONDITIONAL USE PERMIT NO, 2014 -18
TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE
CONTROL LICENSE FOR MARISCOS EL
CANGREJO NICE RESTAURANT LOCATED AT
819 SOUTH MAIN STREET
Prepared by Ali Pezeshkpour
t.0 l
Interim Executive Ri
PLANNING COMMISSION S E�eRETJ Y
APPROVED
171 As Recommended
• As Amended
• Set Public Hearing For
DENIED
• Applicants Request
• Staff Recommendation
CONTINUED TO
Adopt a resolution approving Conditional Use Permit No, 2014 -18.
Request of Applicant
Mariscos El Cangrejo Nice, represented by Blanca Toriz on behalf of Karina Onofre of Santa Ana
Property Management, is requesting approval of a conditional use permit (CUP) to upgrade an
existing Type 41 ABC license to a Type 47 Alcoholic Beverage Control (ABC) license to allow the
on- premise sale and consumption of beer, wine, and distilled spirits at Mariscos El Cangrejo Nice,
an existing restaurant located at 819 South Main Street. Establishments that sell alcoholic
beverages require a conditional use permit pursuant to Section 41 -196 of the Santa Ana Municipal
Code (SAMC).
Project Location and Site Description
Mariscos El Cangrejo Nice is located within a single -story, 3,225- square foot detached commercial
building. The subject parcel is also developed with a single -story, 1,525 - square foot single - family
residence in the rear. The parcel, located on Main Street between Richland and Highland Streets, is
8,162 square feet (0.19 acre) in size.
The site contains 29 parking spaces, of which three are for the exclusive use of the residents in the
rear dwelling. The site is surrounded by a commercial and residential mixed use structure to the north,
residential uses to the east, and commercial uses to the south and west across Main Street (Exhibits 1,
2 and 3). Although overconcentration criteria are not applicable to on -sale ABC licenses, a review of
the project vicinity indicates that there is currently one Type 41 ABC license located within 500 feet
of the project site in addition to the proposed license. However, this information does not affect the
analysis or recommendation contained in this report.
EXHIBIT A
31A-3
Conditional Use Permit No. 2014 -18
July 14, 2014
Page 2
Project Description
Mariscos El Cangrejo Nice 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 park of the existing
eating establishment's operations. The restaurant is a full - service; 3,225- square foot sit -down eating
establishment that holds approximately 99 seats within its dining room. 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 Monday and Tuesday from 10:00 a.m.
to 10 :00 p.m., and Wednesday through Sunday from 10:00 a.m. to 12:00 midnight.
The storage area for alcoholic beverages will be located near the rear of the restaurant in an area that
is approximately 40 square feet in size. The restaurant will also contain a display area nearthe front of
the restaurant that is approximately 15 square feet in size. Combined, the alcohol storage and display
areas will occupy less than two percent of the floor area, which is less than the five - percent maximum
allowed by the SAMC (Exhibits 4 and 5).
Project Background
Mariscos El Cangrejo Nice has been in operation since November 2013. Before then, the commercial
building on the site has had a variety of restaurant and prior retail tenants, In 1994, the restaurant
received approval of Conditional Use Permit No. 1994 -01, which allowed the on- premise sale of beer
and wine at a prior eating establishment.
The State Department of Alcoholic Beverage Control conducts an annual drawing for a limited number
of new Type 47 (on -sale general) liquor licenses. Having been selected as part of this drawing, the
applicant is now seeking to upgrade the license to allow the sale of distilled spirits in addition to beer
and wine. If approved, the action will also entail the voiding of the above- referenced CUP,
The project site at 819 South Main Street has been developed since at least 1921 with the current
structures. The use history on the site is mixed: the original structure that currently contains the
restaurant use was converted to a residential structure for a period of time, after which it reverted to
commercial uses. The rear structure that currently contains the residential use was constructed as a
detached garage and converted to a legal residence in 1953.
Mariscos El Cangrejo Nice is a locally -owned and operated establishment specializing in Mexican
cuisine and seafood. in order to display and sell distilled spirits in addition to beer and wine, a new
conditional use permit is required.
General Plan and Zoning Consistency
The General Plan land use designation for the site is General Commercial (GC). General Commercial
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.
31A-4
Conditional Use Permit No. 2014.18
July 14, 2014
Page 3
The parcel Is located within the South Main Street Commercial (C -SM) zoning district. The C -SM
zoning district allows for retail and service uses such as restaurants, making the proposed use
consistent with the 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 farms 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 alcoholic beverage license upgrade will provide an ancillary service to the
restaurant customers by allowing them the ability to purchase a variety of alcoholic beverages
with their food. This will thereby benefit the community by providing a restaurant with an
additional and complementary food - related amenity, Standards are applicable to the alcoholic
beverage control license which will mitigate any potential impacts created by the use and ensure
thatthe 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 the project
site is subject to the operational standards for on -sale establishments in the SAMC that will
31A-5
Conditional Use Permit No. 2014 -18
July 14, 2014
Page 4
mitigate any potential negative or adverse impacts created by the use. These standards will
ensure that the sale of alcoholic beverages will remain an ancillary use to the main restaurant
operation on the site. Moreover, the restaurant's operations and sale of alcoholic beverages are,
and will remain, limited to no later than 12:00 midnight, In addition; the use will occur only within
the interior of the premises and is Incidental to the 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 full selection of
alcoholic beverages for sale to their guests and other visitors. Moreover, the offering of alcoholic
beverages allows Madscos El Cangrejo Nice, a locally -owned small business, to remain
economically viable and contributes to the overall success of the South Main Street commercial
district, helping to decrease the number of vacant spaces that may affect the economic viability
of this unique commercial area,
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. The facility will be maintained as a full - service, bona -fide eating
establishment, 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
two 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
restaurant with an ancillary alcohol license provides a dining service to the residents of Santa
Ana and strengthens the economic vitality of the South Main Street commercial district.
Moreover, Policy 5.5 of the Land Use Element encourages development that is compatible
with and supporting of surrounding land uses. The proposed alcoholic beverage service will
be located entirely within an enclosed building and its operations will be compatible with the
surrounding mix of uses.
Mariscos El Cangrejo Nice has been in operation at the subject location since November 2013,
with the commercial building on the project site occupied by restaurants since the 1960s. The
site is in compliance with all standards of SAMC Section 41- 196(8) for the on -site sale and
consumption of alcoholic beverages (Exhibit 6), In addition to these 25 operational standards,
additional conditions of approval are proposed to mitigate potential impacts on the adjacent
residential use on the property and ensure the use does not becorne an attractive nuisance to the
community.
31A-6
Conditional Use Permit No, 2014 -18
July 14, 2014
Page 5
Police Department Analysis
The Police Department reviews conditional use permit applications for the sale of alcoholic
beverages because there is a strong correlation between the availability of alcohol and crime.
Studies have shown that alcohol is a contributing factor in crimes such as drunk driving, fatal
traffic collisions, homicide, assaults, rape, domestic violence, drunk in public; and other nuisance -
type offenses. Without stringent controls to address the location of alcohol outlets, there is a
strong likelihood that an overconcentration will create blight and adversely impact the community.
The approval of a license in an area deemed over - concentrated and high in crime may affect the
quality of life and police resources in the area, and aggravate existing conditions.
Since the City's overconcentration standards do not apply to on -sale establishments, the Police
Department considers two factors when reviewing this type of application: crime rate and
sensitive land uses. It has been determined that 819 South Main Street is located in an area that
has an above average number of reported crimes when compared to all crime reporting districts
based on standards established under Business and Professions Code Section 23956.4. The
site is located in Reporting District No. 186, which ranks 2 °d out of 102 citywide reporting districts.
Further, the restaurant is within close proximity (less than 50 feet) of residential property,
Although the Police Department is concerned that the ABC license at the restaurant may impact
adjacent sensitive land uses, operational standards will mitigate any potentially negative impacts
this operation may have on adjacent residences and will prevent it from generating police calls for
service,
Public Notification
The project site is located within the boundaries of the Eastside Neighborhood Association. Staff
contacted the president of this and the nearby Neninger Park 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 and tenants 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 for
further review per Section 15301. The Class 1 exemption allows the licensing of existing facilities
with no expansion of the existing use. Mariscos El Cangrejo Nice is a tenant within an existing
commercial building that is not slated to undergo any expansion of square footage or use. After
analyzing the project, staff will file Categorical Exemption Environmental Review No. 2014 -43 for
this project.
31A-7
Conditional Use Permit No. 2014 -18
July 14, 2014
Page 6
Conclusion
Based on the analysis provided within this report, staff recommends that the Planning Commission
approve Conditional Use Permit No. 2014 -18 as conditioned.
Ali Pezesh pour
Assistant Planner l
AP:Jm
ap1M \ReportsiStaff Reports for pQkCUP1 d -18.EI CanBrejo Nice Type $7 ABq.pc
Attachments:
Exhibit 1 - Vicinity Map
Exhibit 2 — Location Map
Exhibit 3- Site Photo
Exhibit 4 — Site Plan
Exhibit 5 — Floor Plan
Exhibit 6 — "$AMC Sec. 41- 196(8): Operational Standards for On -Sale Establishments
31A-8
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31A -10
CUP 2014 -18
EL CANGREJO NICE TYPE 47 ABC
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31A -12
1 11111 ���
31A -13
Sec. 41 -196. Establishments selling alcoholic beverages.
Operational standards for on -safe establishments, The following operational standards
shall be included in the conditions of approval for the conditional use permit required
pursuant to Section 41 -196
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, Pull and complete meals must be
served whenever the privileges of the on -sale license are being exercised.
2. There shall be no fixed bar or lounge area upon the premises maintained for the
sole purpose of sales, service or consumption of alcoholic beverages directly to
patrons. A fixed bar or lounge may be permitted if patrons may order food being
offered to the general patrons of the eating establishment.
3. The sales, services 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.
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.
7. During those times when patrons are restricted to 21 years of age or older, the
applicant shall at all times utilize an age verification means or device for all
purchases of alcoholic beverages. Such verification of age is not intended to
discriminate against patrons based on race, ethnicity or legal status, but only to
comply with state law restricting the sale of alcohol to those 21 and older.
8. Queuing lines shall be managed in an orderly manner and all disruptive andior
intoxicated patrons shall be denied entry. The business owner, or his designee,
shall be responsible for monitoring the queuing lines at all times.
EXHIBIT 6
1 of 4
31A -14
9, The outdoor queuing line shall not block public walkways or obstruct the entry or
exit doors of adjacent businesses, Stanchions or barriers must be used to
maintain order at all times the queue exceeds 25 patrons. All stanchions or
barriers located on public property must be approved by the Public Works Agency:
10. Employees and contract security personnel shall not consume any alcoholic
beverages during their work shift, except for product sampling for purposes of
employee education about new products. Under no circumstances may contract
security personnel consume alcoholic beverages during their work shift:
11. There shall be no exterior advertising of any kind or type, including window signs
or other signs visible from outside, that promote or indicate the availability of
alcoholic beverages on the premises. Interior displays of alcoholic beverages or
signs, which are clearly visible to the exterior, shall constitute a violation of this
condition. Permissible window displays must be kept to a minimum for maximum
visibility and shall not exceed 25 percent of window coverage. Floor displays shall
not exceed three feet in height.
12. There shall be no promotions encouraging intoxication or drinking contests or
advertisements indicating "buy one drink, get one free ", "two for the price of one ",
or "all you can drink for.,:" or similar language.
13. Any pool tables, amusement machines or video games maintained on the
premises at any time must be reviewed and approved in a security plan submitted
to the Chief of Police.
14. Live Entertainment, including but not limited to, amplified music, karaoke,
performers and dancing, shall be subject to the issuance of an entertainment
permit pursuant to Santa Ana Municipal Code ( "SAMC") Chapter 11 —
Entertainment, and shall comply with all of the standards contained therein.
Notwithstanding this requirement, music /noise shall not be audible beyond 24 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.
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.
2of4
31A-15
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 Cade
(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.
Procedures for handling obviously intoxicated persons.
b, The method for establishing a reasonable ratio of employees to patrons,
based upon activity level, in order to ensure adequate staffing levels to
monitor beverage sales and patron behavior.
C. Procedures for handling patrons involved in fighting; arguing or loitering
about the building, and /or in the immediate adjacent area that is owned,
leased, rented or used under agreement by the Licensee(s).
d. Procedures for verifying the age of patrons for purposes of alcohol sales.
e. Procedures for ensuring that servers monitor patrons to ensure that their
drinking limit/potential intoxication is not exceeded; This procedure should
include a description of the procedure the server would use to warn, or
refuse to serve, the patron,
Procedures for calling the police regarding observed or reported criminal
activity.
g. Procedures for management of queuing lines.
h. The location and description of any video games proposed to be on the
premises.
3of4
31A -16
24. The operator shall be responsible for submitting a detailed outdoor fencing and
dining plan where outdoor dining Is proposed as part of the business operation; If
the proposed dining area or fencing is in the public right of way, the applicant must
obtain all required permits and approvals from the Public Works Agency,
25. Combined alcohol storage and display areas shall not exceed five percent (5 %) of
the gross floor area of the licensed establishment.
4of4
31A -17
ROH — 07/14/14
RESOLUTION NO. 2014 -23
A RESOLUTION OF THE PLANNING COMMISSION OF
THE CITY OF SANTA ANA APPROVING CONDITIONAL
USE PERMIT NO. 2014 -18 TO ALLOW A TYPE 47
ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE
PROPERTY LOCATED AT 819 SOUTH MAIN 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. The applicant is requesting approval of Conditional Use Permit No. 2014-
18 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 819 South Main Street.
B. Conditional Use Permit No. 2014 -18 came before the Planning
Commission of the City of Santa Ana for a duly noticed public hearing on
July 14, 2014.
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 alcoholic beverage license upgrade will
provide an ancillary service to the restaurant customers by
allowing them the ability to purchase a variety of alcoholic
beverages with their food. This will thereby benefit the
community by providing a restaurant with an additional and
complementary food - related amenity. Standards are
applicable to 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.
Resolution No. 2014 -23
Page 1 of 4
31A -18
Z 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 the project site is subject to the operational
standards for on -sale establishments in the SAMC that will
mitigate any potential negative or adverse impacts created
by the use. These standards will ensure that the sale of
alcoholic beverages will remain an ancillary use to the main
restaurant operation on the site. Moreover, the restaurant's
operations and sale of alcoholic beverages are, and will
remain, limited to no later than 12:00 midnight. In addition,
the use will occur only within the interior of the premises and
is incidental to the 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 a full
selection of alcoholic beverages for sale to their guests and
other visitors. Moreover, the offering of alcoholic beverages
allows Mariscos El Cangrejo Nice, a locally -owned small
business, to remain economically viable and contributes to
the overall success of the South Main Street commercial
district, helping to decrease the number, of vacant spaces
that may affect the economic viability of this unique
commercial area.
4. Will the proposed use comply with the regulations and conditions
specified in Chapter 41 for such use?
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. The facility
will be maintained as a full- service, bona -fide eating
establishment, 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 two percent of the gross floor area for the
display and storage of alcoholic beverages, which is below
Resolution No. 2014 -23
Page 2 of 4
31A -19
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 restaurant with an ancillary alcohol license provides a
dining service to the residents of Santa Ana and strengthens
the economic vitality of the South Main Street commercial
district. Moreover, Policy 5.5 of the Land Use Element
encourages development that is compatible with and
supporting of surrounding land uses. The proposed
alcoholic beverage service will be located entirely within an
enclosed building and its operations will be compatible with
the surrounding mix of uses.
E. In accordance with the California Environmental Quality Act the
recommended action is exempt for further review per Section 15301. The
Class 1 exemption allows the licensing of existing facilities with no
expansion of the existing use. Mariscos El Cangrejo Nice is a tenant
within an existing commercial building that is not slated to undergo any
expansion of square footage or use. After analyzing the project, staff will
file Categorical Exemption Environmental Review No. 2014 -43 for this
project.
Section 2. The Planning Commission of the City of Santa Ana hereby
approves Conditional Use Permit No. 2014 -18. 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 July 14, 2014, and exhibits attached
thereto; and the public testimony, all of which are incorporated herein by this reference.
Resolution No, 2014 -23
Page 3 of 4
31A-20
ADOPTED this 14th day of Jam, 2014.
AYES: Commissioners: Alderete, Bacerra, Bauer, Mill, Nalle, Yrarrazaval
(6)
NOES: Commissioners: None (0)
ABSENT: Commissioners: Gartner (1)
ABSTENTIONS: Commissioners: None (0)
Eric Alderete
Chairman
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:
Ryan O. Hodge
Assistant City Attorney
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, ROSA BARELA, Acting Commission Secretary of the Planning Commission, do
hereby attest to and certify the attached Resolution No. 2014 -23 to be the original
resolution adopted by the Planning Commission of the City of Santa Ana on July 14,
2014.
Date:
Acting Commission Secretary of the
Planning Commission
City of Santa Ana
31A-21
Resolution No. 2014 -23
Page 4 of 4
31A-22
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
TENTATIVE PARCEL MAP NO. 2014 -02 TO
SUBDIVIDE AN EXISTING PARCEL INTO
TWO LOTS AT 1135 WEST BROOK STREET
— HOWARD GLASSER, APPLICANT
9
CITY MAN ER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
y •;• 7,
❑ As Recommended
❑ As Amended
❑ Ordinance on 1s' Reading
❑ Ordinance on 2 "d Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
FILE NUMBER
Confirm the Zoning Administrator's action approving Tentative Parcel Map No. 2014 -02 (County
Map No. 2013 -154) as conditioned.
ZONING ADMINISTRATOR ACTION
On June 4, 2014, the Zoning Administrator adopted a resolution approving Tentative Parcel Map
No. 2014 -02 (County Map No. 2013 -154) as conditioned to subdivide a parcel into two residential
lots to facilitate the construction of a single - family residence at 1135 West Brook Street located
in the Multiple Family Residential (R3) zoning district. The Zoning Administrator modified
Condition No. 4 to require construction of a six -foot tall decorative block wall along all rear and
side yards not in front yard areas of proposed lots A and B and approved the item as amended
(Exhibit A).
Howard Glasser is requesting approval of a parcel map to divide an existing 13,511 - square foot
through lot into two roughly equally -sized residential lots to facilitate the construction of a new
single - family residence. The first lot, currently developed with a single - family residence at 1135
West Brook Street, will be approximately 6,756 square feet, while the second lot at 1134 West
Highland Street will be approximately 6,755 square feet. A new single - family residence and
detached garage are proposed to be constructed on the Highland Street lot. The proposed
development will satisfy the minimum requirements of the SAMC. Full sized site plans are
available for public viewing in the Clerk of the Council Office.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability,
Engagement & Sustainability, Objective Nos. 3 and 4 (facilitate diverse housing opportunities
and support neighborhood vitality and livability) by allowing the applicant to subdivide an existing,
underutilized lot to develop a new single - family residence on site.
32A -1
Tentative Parcel Map No. 2014 -02
August 5, 2014
Page 2
FISCAL IMPACT
There is no fiscal impact associated with this action.
Karen Haluz
Interim Execd`t14 Director
Planning & Building Agency
AP:rb
aplreports \Staff Reports for CC \TPM14 -2 Togs Pass Properties=
Exhibit: 1. Zoning Administration Staff Report
32A -2
REQUEST FOR
Zoning Administrator Action
ZONING ADMINISTRATOR MEETING DATE:
JUNE 4, 2014
TITLE:
PUBLIC HEARING — FILED BY HOWARD
GLASSER FOR TENTATIVE PARCEL MAP
NO, 2014 -02 TO SUBDIVIDE AN EXISTING
PARCEL INTO TWO LOTS AT 1135 WEST
BROOK STREET
Prepared by Ali Pezeshkpour
PLANNING COMMISSION SECRETARY
APPROVED
❑
As Recommended
❑
As Amended
❑
Set Public Hearing For
DENIED
•
Applicant's Request
•
Staff Recommendation
CONTINUED TO
Acting Planning Vanager
RECOMMENDED ACTION
Adopt a resolution approving Tentative Parcel Map No. 2014 -02 (County Map No. 2013 -154) as
conditioned.
Request of Applicant
Howard Glasser, representing Tioga Pass Properties, LLC, is requesting approval of a tentative parcel
map to subdivide a parcel into two residential lots to facilitate the construction of a new single- family
residence. Applications for residential subdivisions of under five parcels require approval of a parcel
map by the Zoning Administrator pursuant to Section 34 -126 of the Santa Ana Municipal Code
(SAMC).
Pronect Location and Site Description
The project is located on a 13,511- square foot (0.31 -acre) through lot that extends from Brook Street
north to Highland Street near the intersection of Bristol Street and McFadden Avenue. The property is
flat and rectangular in shape and is currently improved with a residential use.
Structures on the site include an existing four- bedroom single - family residence and detached garage.
Land uses surrounding the site vary in development and unit intensity. These include single - family
and multiple- family residences to the north, east, and south, and single - family, two - family and
multiple - family residences to the west (Exhibits 1, 2, and 3).
Protect Description
Howard Glasser is requesting approval of a parcel map to divide an existing 13,511- square foot
through lot into two roughly equally -sized residential lots to facilitate the construction of a new single -
family residence. The first lot, currently developed with a single - family residence at 1135 West Brook
EXHIBIT A
32A -3
Tentative Parcel Map No. 2014 -02
June 4, 2014
Page 2
Street, will be approximately 6,756 square feet, while the second lot at 1134 West Highland Street will
be approximately 6,755 square feet. A new single - family residence and detached garage are
proposed to be constructed on the Highland Street lot. The proposed development will satisfy the
minimum requirements of the SAMC.
The applicant has submitted preliminary architectural elevations and a site plan, which complies
with the minimum setback and lot coverage requirements. Subsequent plan check submittals will
be subject to a thorough architectural and landscape review to ensure compliance with current
architectural, design, landscape, and development standards applicable to single - family residential
developments (Exhibits 4 and 5).
Project Background
The through lot that is the subject of this application was shown on assessor's parcel maps as early
as March 1948. In 1961, the existing structure on the site was relocated to the property from 1614
South Sycamore Street. The original structure contained two residential units. In 2000, the structure
was converted to a single - family residence that met the requirements of the SAMC in place at the
time.
The subject property was acquired by the current property owner, Tioga Pass Properties, LLC, in July
2013. Since then, the current owner has substantially rehabilitated the existing single - family
residence on the site through a variety of improvements or repairs, including a new roof, installation of
new windows, furnace, and a water heater, as well as repairs to the foundation.
In January 2014, the applicant submitted applications and plans to divide the through lot into two
roughly equally -sized properties and to construct a single - family residence on the resulting vacant lot.
Proposals to create subdivisions of less than five parcels, such as the current project, require review
and approval by the Zoning Administrator.
General Plan and Zoning consistency
The General Plan land use designation for the site is Low Density Residential (LR -7). The LR -7
designation applies to areas of the City that are developed with lower density residential land uses,
with an allowable maximum development density of seven units per acre. The proposed parcel map
and single - family residence is consistent with the maximum allowable development density for this
General Plan land use designation.
The parcel is located within the Multiple- Family Residence (R -3) zoning district. The R -3 zoning
district allows for the development of single- family residences pursuant to the provisions and
development standards found in Division 3, Article III (Single - Family Residence) of the SAMC,
making the proposed use consistent with the zoning designation.
32A -4
Tentative Parcel Map No. 2014 -02
June 4, 2014
Page 3
Project Analysis
Subdivision requests are governed by Chapter 34 and Chapter 41 of the SAMC. Pursuant to Section
66473.5 and 66474 of the California Subdivision Map Act, applications for tentative parcel maps are
approved when it can be shown that the following can be established:
• That the proposed project, as conditioned, and its design and improvements are consistent with
the land use designation of the General Plan and are otherwise consistent with all other Elements
of the General Plan and applicable Specific Plans.
• That the proposed project, as conditioned, conforms to all applicable requirements of the zoning
and subdivision codes as well as other applicable City ordinances.
That the project site is physically suitable for the type and density of the proposed project.
• That 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.
That design or improvements of the proposed project will not cause serious public health
problems.
That 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 approve the tentative parcel map. 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 applicant's request, staff believes that the following findings of fact warrant
approval of the tentative parcel map.
The proposed project, as conditioned, and its design and improvements will be consistent with
the Low Density Residential (LR -7) 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
density of the proposed subdivision, at seven dwelling units per acre, is consistent with the Low
Density Residential land use designation and all other elements of the General Plan.
The proposed project, as conditioned, will conform to all applicable requirements of the zoning
and subdivision codes as well as other applicable City ordinances. The proposed project, as
conditioned, conforms to the provisions of the zoning code, including lot size, lot frontage,
landscaping, setbacks, lot coverage, and parking,
32A -5
Tentative Parcel Map No. 2014 -02
June 4, 2014
Page 4
• The project site is physically suitable for the type and density of the proposed project. The
proposed site is physically suitable for the single- family residence as proposed since the property
is located within the Multiple - Family Residence (R -3) zoning district, which permits single - family
dwellings, and has a General Plan land use designation of Low Density Residential at seven
dwelling units per acre. Additionally, this site is surrounded by a combination of residential uses of
various densities, including single - family and multi - family structures.
• 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. Since the project
site is located in an urbanized area, 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.
• Design or improvements of the proposed project will not cause serious public health problems.
The proposed subdivision will not have any detrimental effects upon the general public. Each
property includes necessary utilities and infrastructure improvements as conditioned in
Development Project No. 2014 -01.
• 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 since there is no
significant public access easement located within this property.
The tentative parcel map is proposed to subdivide an existing 13,511- square foot site into two
parcels. The subdivision has been reviewed and has been found to be in conformance with the
City's subdivision regulations (SAMC Chapter 34) as well as the California Subdivision Map Act.
Existing infrastructure in the area will be upgraded to service the project. These upgrades include
construction of a new driveway, sidewalks, curbs, and gutters; planting of new sod and tree in the
landscape parkway; and new water service, all per City standards.
The proposed project, including both the subdivision and construction of a new single- family
residence, meets all provisions of the zoning code (SAMC Chapter 41), including lot size, lot
frontage, landscaping, setbacks, lot coverage, and parking. Further, the proposed subdivision is at
seven dwelling units per acre, which is consistent with the Low Density Residential General Plan
land use designation and all other elements of the General Plan. As a result, staff recommends
approval of Tentative Parcel Map No. 2014 -02 (County Map No. 2013 -154) as conditioned
(Exhibit 6).
Public Notification
The project site is located within the boundaries of the Pico - Lowell Neighborhood Association. The
president of this neighborhood association was contacted by staff and was notified by mail 10 days
prior to this public hearing. In addition, the project site was posted with a notice advertising this
32A -6
Tentative Parcel Map No. 2014 -02
June 4, 2014
Page 5
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 areas
of concern were raised, nor had any correspondence, either written or electronic, been received
from the neighborhood president or from any members of the public.
CEQA Compliance
This project was reviewed in accordance with the Guidelines for the California Environmental
Quality Act. The project is exempt from further review pursuant to Section 15303. This Class 3
exemption allows in -fill developments for the construction and location of limited numbers of new,
small facilities or structures, such as the proposed project.
The project entails dividing an existing residential lot into two residential lots of equal size and
constructing an approximately 2,117 square foot home and garage on the new, second lot, while
retaining the existing home on the first lot. The project has been found by the City's development
review agencies to not create any adverse impacts such as noise, traffic, or safety concerns. As a
result, Categorical Exemption Environmental Review No. 2014 -1 will be filed for this project.
Conclusion
Based on the analysis provided within this report, staff recommends that the Zoning Administrator
approve Tentative Parcel Map No. 2014 -02 as conditioned.
A
All Pezeshkifour
Assistant Planner
AP:jm
aplreports\Staff Reports for ZAITPM14 -2 Tioga Pass Propertles.za
Attachments:
Exhibit 1 — Vicinity Map
Exhibit 2 — Location Map
Exhibit 3 — Existing Conditions Photo
Exhibit 4 — Site & Floor Plan
Exhibit 5 — Elevations
Exhibit 6 — Tentative Parcel Map
32A -7
Verny Carvajal
Senior Planner
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32A -9
TPM 2014 -02
TIOGA PASS PROPERTIES, LLC
1135 WEST BROOK STREET
SITE PHOTO
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TENTATIVE PARCEL MAP NO. 2013 -154
RI V MP.S .
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THE CARD REFERRED TO HEREIN BELOW IS SITUATED
IN THE OFF OF SANTA ANA. COUNTY OF ORANGE,
STATE OF CALIFORNIA, ANO IS DESCRIBED AS
FOLLOWS:
THE EAST 30. FEET OF LOT 10, OF THE HIGHLAND
STREET TRACT, IN THE CITY OF SANTA AND, GORKIY
OF ORANGE STATE BE CALIPoRNU, AN SHOWN ON A
MAP THEREOF RECORDED IN BOOK G, PAGE 40,
MISCELLANEOUS MAPS, RECORDS OF SAID ORANGE
COUNTY.
EXCEPTING THEREFROM THE SOCMERLY 30.00 FOR
OF THE EAST HALF OF LOT 10, AS GRANTED TO
THE CRY OF SANTA ANA, IN A DEED RECORDED
JDNE 13, NU2 IN BOOK 6142. PACE 638, OF
OFFICIAL DEPENDS.
6GEF,60
0.310 ACRES (10)
1.00.02
PRESENT USE R3 (MULTI - FAMILY RESIDENCE)
PROPOSED USE NO OWES
ERRRESS_P.ARGE4_•
1134 W. HIGHLAND STREET
SANTA ANA, CA 92703
1135 W. BROOK BURGER
SANTA ANA CA 02703
L�EGENQ
9 C15STTO HAWS[
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TGW PASS PROPERTIES , LLC
HOWARD GIASSER - PRAWENT
930 W. TOGA PASS
ORAROG CA 920E
(714) 003 -0210
PROPOSED SUDDMDER:
POCA PASS PROBLEMS, LLC
HOWARD GL45ER - PRESIDENT
920 W. III PANS
ORANGE, CA SPINS
(7t4) 553 -523D
P.BEP,CfiELI Xt
WASI FNCINEENING OESICNS. INC.
10331 N VWW A CSUITE 201 WRW4
FOUNINN 14)59.-4 92700 Nl%
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PUBLIC WORKS REQUIREMENTS
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NEW ONNEWAY APPROACH W-S, A -MR, X =3' PER CITY
PRO ARDS TO DC CONTAINER PoTHIN THE LOT FRONTAGE.
2�. REMOVE BRANDS GOEWALO AND REPIACE WRH A NEW
SEOWALK, ALORG THE ERRING PROTECT FRONTAGE PER
GTY STANDARDS,
3�. REMOVE EXITING CURB AND GUTAN AND REPLACE WIN
NEW CURB MD GURER ALONG TOE ENME PROJECT
FRONTAGE PER CM STANOPI
[Al PLANE NEW SOD N THE PARKWAY. RANG THE MURE
PROJECT FRONTAGE ON HIGHLAND STREET.
5❑' SUGAR EXISTING DRIVEWAY APPROACH. A!0 CONSTRUCT
NEW POWDER APPROACH W-M A -IV, X -B' PER CRY
SEM MES.
NI..., PIRTMO OF A TREE IN IRE PARKWAY ALONG PROJECT
FRONTAGE ON HIONUMO ERNST, PiN PER STANDARDS,
THERE SHOULD BE AN I05TALUSIgN OF SEPARATE
DOMESTIC WATER SEMACE. MID SEPARATE SEWER IATE.UL
FOR EACH INOMOUAL PARCEL
KEY NOTES:
® (E) I' ABANDONED SERAce LINE, CONSTRUCT NEW WATER
SERVICE UNE AND NEVER.
(E) SEWER HOUSE CONNECTOR.
C) GAS SENCE UNE
GRAPHIC SCALE
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ROH — 06/04/14
RESOLUTION NO. 2014 -03
A RESOLUTION OF THE ZONING ADMINISTRATOR OF
THE CITY OF SANTA ANA APPROVING TENTATIVE
PARCEL MAP NO. 2014 -02 AS CONDITIONED TO
SUBDIVIDE AN EXISTING PARCEL INTO TWO LOTS
LOCATED AT 1135 WEST BROOK STREET
BE IT RESOLVED BY THE ZONING ADMINISTRATOR OF THE CITY OF
SANTA ANA AS FOLLOWS:
Section 1. The Zoning Administrator of the City of Santa Ana hereby finds,
determines and declares as follows:
A. The applicant is requesting approval of Tentative Parcel Map No. 2014 -02
to subdivide an existing parcel into two residential lots to facilitate the
construction of a new single - family residence at 1135 West Brook Street.
B. Tentative Parcel Map No. 2014 -02 came before the Zoning Administrator
of the City of Santa Ana on June 4, 2014, for a duly noticed public hearing.
C. Applications for residential subdivisions of under five parcels require
approval of a parcel map by the Zoning Administrator pursuant to Santa
Ana Municipal Code section 34 -126.
D. For Tentative Parcel Map No. 2014 -02, the Zoning Administrator of the
City of Santa Ana determines that the following findings have been
established:
1. The proposed project, as conditioned, and its design and
improvements are consistent with the Low Density Residential (LR-
7) designation of the General Plan and are otherwise consistent
with all other elements of the General Plan.
The proposed project, as conditioned, and its design and
improvements will be consistent with the Low Density
Residential 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 density of the
proposed subdivision, at seven dwelling units per acre, is
consistent with the Low Density Residential land use
designation and all other elements of the General Plan.
Resolution No. 2014 -03
Page 1 of 6
32A -14
2. The proposed project, as conditioned, conforms to all applicable
requirements of the zoning and subdivision codes as well as other
applicable City ordinances.
The proposed project, as conditioned, will conform to all
applicable requirements of the zoning and subdivision codes
as well as other applicable City ordinances. The proposed
project, as conditioned, conforms to the provisions of the
zoning code, including lot size, lot frontage, landscaping,
setbacks, lot coverage, and parking.
3. The project site is physically suitable for the type and density of the
proposed project.
The project site is physically suitable for the type and density
of the proposed project. The proposed site is physically
suitable for the single - family residence as proposed since
the property is located within the Multiple - Family Residence
(R -3) zoning district, which permits single - family dwellings,
and has a General Plan land use designation of Low Density
Residential at seven dwelling units per acre. Additionally,
this site is surrounded by a combination of residential uses
of various densities, including single - family and multi - family
structures.
4. The design and improvements of the proposed project will not
cause substantial environmental damage or substantially and
avoidably injure fish or wildlife or their habitat.
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. Since
the project site is located in an urbanized area, 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.
5. 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
cause serious public health problems. The proposed
subdivision will not have any detrimental effects upon the
general public. Each property includes necessary utilities
and infrastructure improvements as conditioned in
Development Project No. 2014 -01.
Resolution No. 2014 -03
Page 2 of 6
32A -15
6. The design or improvements of the proposed project will not conflict
with the easements acquired by the public at large for access
through or use of property within the proposed project.
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 since there
is no significant public access easement located within this
property.
E. This project was reviewed in accordance with the Guidelines for the
California Environmental Quality Act. The project is exempt from further
review pursuant to Section 15303. This Class 3 exemption allows in -fill
developments for the construction and location of limited numbers of new,
small facilities or structures, such as the proposed project. The project
entails dividing an existing residential lot into two residential lots of equal
size and constructing an approximately 2,117 square foot home and garage
on the new, second lot, while retaining the existing home on the first lot.
The project has been found by the City's development review agencies to
not create any adverse impacts such as noise, traffic, or safety concerns.
As a result, Categorical Exemption Environmental Review No. 2014 -1 will
be filed for this project.
Section 2. The Zoning Administrator of the City of Santa Ana, after conducting
the duly noticed public hearing, hereby approves Tentative Parcel Map No. 2014 -02, to
subdivide an existing parcel into two lots, as conditioned in Exhibit A attached hereto and
incorporated herein. This decision is based upon the evidence submitted at the
abovesaid hearing, which includes but is not limited to: the Request for Zoning
Administrator Action dated June 4, 2014, and the public testimony, all of which are
incorporated herein by this reference.
ADOPTED this 4th day of June, 2014.
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
By:
Ryan O. Hodge
Assistant City Attorney
Sergio Klotz
Zoning Administrator
32A -16
Resolution No. 2014 -03
Page 3 of 6
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, JOCELYN MAGALONA, Clerk of the Zoning Administrator, do hereby attest to and
certify the attached Resolution No. 2014 -03 to be the original resolution adopted by the
Zoning Administrator of the City of Santa Ana on June 4, 2014.
Date:
Clerk of the Zoning Administrator
City of Santa Ana
32A -17
Resolution No. 2014 -03
Page 4 of 6
Conditions for Approval for Tentative Parcel Map No. 2014 -02
Tentative Parcel Map No. 2014 -02 is approved subject to compliance, to the reasonable
satisfaction of the Planning Manager, with all applicable sections of the Santa Ana
Municipal Code, the California Administrative Code, the California Building Standards
Code and all other applicable regulations.
The applicant must comply in full with each and every condition listed below rip or to
exercising the rights conferred by this approval.
The applicant must remain in compliance with all conditions listed below throughout the
life of the tentative parcel map. Failure to comply with each and every condition may
result in the revocation of the tentative parcel map.
A. Planning Division
Two copies of the recorded final parcel map shall be submitted each to the
Planning Division, Building Division and Public Works Agency within 10 days
of recordation.
2. The tentative parcel map, final map and all improvements required to be
made or installed by the subdivider shall be in accordance with the
requirements and design standards and specifications of the City of Santa
Ana and the requirements of the State Subdivision Map Act.
3. After project occupancy, landscaping is to be maintained in accordance with
the landscape plan approved for the project. This shall include the minimum
levels of plant materials shown on the landscape plan and installed at the
time of occupancy.
4. Prior to recordation of the final map, the applicant shall obtain permits for the
installation of a six -foot tall decorative block wall along all rear and side
yards not in front yard areas within the proposed lots A and B. All other
fencing shall match the required block wall in terms of height and material
and will be subject to review upon submittal of the new single - family
residence into plan check.
5. The applicant shall be responsible for securing and maintaining the newly -
created lot. The property owner shall also be responsible for maintaining the
proposed lot free from debris, overgrown vegetation, and graffiti.
6. All real estate signage must be removed from the site within one year from
the date of installation. An extension of time may be granted as determined
by the Planning Manager.
Exhibit A
Page 1 of 2 Resolution No. 2014 -03
Page 5 of 6
32A -18
7. The final map must be approved and recorded prior to issuance of building
permits.
8. Development within the area of the map is subject to development and
permit fees in effect at the time of permit issuance.
9. The proposed single - family residence shall be subject to the current
development fees in place at the time of plan check.
% Exhibits 4 and 5 contained within this staff report are intended for illustrative
purposes only and do not constitute an approved architectural review of this
project. The proposed single - family residence shall be reviewed and subject
to the architectural design, landscape, and development standards in place
at time of Building plan check.
11. The project must be in compliance with the provisions of Site Plan Review
(DP No. 2014 -1).
12. The final map and all improvements required to be made or installed by the
subdivider must be in accordance with the design standards and
specifications of the Santa Ana Municipal Code and the requirements of the
State Subdivision Map Act.
Exhibit A
Page 2 of 2 Resolution No. 2014 -03
Page 6 of 6
32A -19
32A -20
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
EMERGENCY ORDINANCE ADOPTING A
45 DAY MORATORIUM FOR THE
ESTABLISHMENT OF RECYCLING
FACILITIES
CITY MA, IAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
M-W-007wo,
❑ As Recommended
❑ As Amended
❑ Ordinance on 16` Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For_,,,,
CONTINUED TO
FILE NUMBER
Adopt an emergency ordinance adopting a 45 -day temporary moratorium on the establishment of
any new or expansion of any existing recycling facility.
DISCUSSION
In 1988, the City adopted Ordinance No. NS -1946 to establish standards for new recycling
facilities. In 1997, the City adopted Ordinance No. NS -2333 to amend the original ordinance and
adopt revised standards for recycling facilities. A recycling facility is a center for the collection
and /or processing of recyclable materials. Recycling facilities can also be State certified and are
thus designated as a certified recycling facility or certified processor if they attain certification by
the California Department of Conservation and meet specific State requirements. Recycling
facilities can consist of a collection facility or a processing facility.
While recycling facilities offer broad benefits, communities that surround such facilities often
experience a number of detrimental impacts such as noise, trash, traffic, vibration and air quality.
The current standards found in Chapter 41 (Zoning Code) of the Santa Ana Municipal Code
(SAMC) may not adequately address these impacts. Adoption of the proposed moratorium will
allow staff to analyze existing City standards as well as recent changes to State laws regarding
recycling facilities to ensure that the City's standards are aligned with the State provisions. As
such, the existing recycling facilities ordinance contained in the SAMC needs review, study, and
possible revision in order to respond to recent concerns relating to the impacts of recycling
facilities and potential establishment of new recycling facilities in the City.
Given these concerns, staff recommends that a study be undertaken of the current provisions of
the General Plan and Chapter 41 of the SAMC to determine if the existing standards require
amending. The proposed interim ordinance will prohibit the establishment of any new recycling
facility or expansion of an existing recycling facility for a 45 -day time period.
50A -1
Moratorium for the Establishment
of Recycling Facilities
August 5, 2014
Page 2
During the 45 -day interim ordinance period, staff will conduct a zoning study together with an
analysis of existing State regulations that will assist in the preparation of an updated ordinance
for recycling facilities. An update on further study of this issue and a public hearing to consider a
potential extension will be scheduled for the September 16, 2014, City Council meeting,
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal No. 5, Community Health, Livability,
Engagement and Sustainability, Objective No. 4 (support neighborhood vitality and livability).
9&1107-1111111 il7TOY1
There is no fiscal impact associated with this action.
Karen A. Haluza
Interim Executive Director
Planning and Building Agency
VF:rb
AreportslReeydling Facllltles 45 day moratorlum.080514
50A -2
SRC 07/22/14
ORDINANCE NO. NS-
AN EMERGENCY ORDINANCE OF THE CITY OF SANTA
ANA ADOPTING A 45 DAY TEMPORARY MORATORIUM
ON THE CONSTRUCTION OR ESTABLISHMENT OF A
RECYCLING OR PROCESSING FACILITY
THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS
FOLLOWS:
Section 1. The City Council of Santa Ana hereby finds, determines and declares as
follows:
A. In 1988, the City adopted Ordinance No. NS -1946 to establish standards for new
recycling and processing facilities. In 1997, the City adopted Ordinance No. NS-
2333, amending the original ordinance and adopt revised standards for recycling
and processing facilities as contained in Article XIV of Chapter 41 of the Santa Ana
Municipal Code.
B. Currently recycling and processing facilities are allowed as a matter of right in
certain industrial areas where there is an absence of transitional commercial zones
between residential and industrial uses. The current provisions of the Santa Ana
Municipal Code do not fully take into account the potential impacts associated with
the establishment of recycling and processing facilities near existing residential
zones. As such, provisions of the Santa Ana Municipal Code ( "the Code ") need
review, study and possible revision in order to respond to recent concerns relating to
the impacts of recycling and processing facilities in the City.
C. Given these concerns, the City Council hereby requests that a study be undertaken
of the current provisions of the General Plan and Chapter 41 of the Code to address
recycling and processing facilities and determine where such businesses should be
permitted in the City and under what conditions.
D. Without adoption of this ordinance, properties in the City could quickly receive
entitlements to establish recycling and processing facilities despite the fact that the
city council has determined that the Code is in need of updating and has directed
that a study be done to recommend new standards and revise the Code to address
concerns created by such uses.
E. It has come to the City Council's attention that at least one individual has
approached city staff seeking entitlements to establish a recycling facility directly
across from residentially zones property.
Ordinance No. NS -
50A -3 Page 1 of 4
F. If the recycling facility is permitted in the City without further review and potential
regulation, it will pose a serious threat to the public interest, health, safety and
welfare for the following reasons:
1. Recycling and processing facilities create detrimental impacts such as noise,
trash, traffic, vibration and air quality concerns.
2. Residents living near recycling and processing facilities have expressed
concerns related to noise and vibration impacts resulting from crushing,
baling, after -hours loading and sorting activities. Others have experienced
increased levels of traffic congestion due to off -site loading, debris and
undesirable odors from these uses due to lack of property maintenance and
compliance with operational standards currently in place.
G. In order to prevent frustration and detrimental impacts on residents, the public
interest, health, safety and welfare require the immediate enactment of this
ordinance. The absence of this ordinance would create a serious threat to the
orderly and effective implementation of any code amendments, general plan
amendments or specific plan amendments which may be adopted by the city as a
result of the studies in that the establishment or construction of recycling and
processing facilities may be in conflict with or frustrate the contemplated updates
and revisions to the Code. Moreover, permitting such recycling and processing
facilities to be established or constructed during said studies and implementation
would create impacts on the public health, safety and welfare that the city council, in
adopting this ordinance, has found to be unacceptable.
H. The Request for Council Action for this ordinance dated August 5, 2014 and duly
signed by the City Manager shall, by this reference, be incorporated herein, and
together with this ordinance, any amendments or supplements, and oral testimony
constitute the necessary findings for this ordinance.
I. The city council finds, determines and declares that the current and immediate threat
to the public health, safety and welfare of the city and its citizens necessitates the
immediate enactment of the ordinance. The facts constituting such urgency are set
forth in paragraphs A -1 of this ordinance.
Section 2. Prohibition
No recycling or processing facility as defined in Article XIV of Chapter 41 of the
Code shall be established, constructed, permitted or expanded in the City of Santa Ana.
Section 3.
California Government Code Section 65858 authorizes the City Council to adopt
an interim urgency ordinance, by a four - fifths vote, without following the procedures
otherwise required for the adoption of an ordinance, to protect the public safety, health,
Ordinance No. NS - _
Page 2 of 4
50A -4
and welfare, prohibiting any uses that may be in conflict with a contemplated general
plan, specific plan, or zoning proposal that the City Council, Planning Commission or
the planning department is considering or studying or intends to study within a
reasonable time.
This ordinance shall be immediately effective pursuant to Section 415 of the City
Charter.
Section 4.
This ordinance shall have no further force and effect forty -five (45) days from the
date of its adoption; unless, however, after public hearing the City Council members, by
four - fifths (4/5) vote, extend this ordinance for an initial period of ten (10) months and
fifteen (15) days and thereafter, after public hearing, the City Council members, by four -
fifths (4/5) vote, extend this ordinance one more year.
Section 5.
It shall be unlawful and a misdemeanor for any person to violate or fail to comply
with any provision of the ordinance. The violation of any provision of this ordinance
shall be punished as provided in Section 1 -8 of the Code.
Section 6.
The Clerk of the Council shall certify to the adoption of this ordinance and cause
the same to be published in the manner prescribed by law.
Section 7.
This ordinance is introduced, passed and adopted at one and the same meeting
and is thereafter immediately effective. The city council finds that this ordinance is
necessary to protect the public safety, health and welfare. The reasons for the
emergency are set forth in Section 1, paragraphs A -I, inclusive of this ordinance.
ADOPTED this 5th day of August 2014.
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
Miguel A. Pulido
Mayor
Ordinance No. NS -
50A -5 Page 3 of 4
m
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
Ordinance No. NS- to be the original ordinance adopted by the City Council of the
City of Santa Ana on August 5, 2014.
Date:
Clerk of the Council
City of Santa Ana
Ordinance No. NS - _
Page 4 of 4
50A -6
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
RESOLUTION AUTHORIZING A WAIVER OF THE
NEW APPLICATION FEE FOR THE PRIVATE
PARTY NOMINATIONS OF PROPERTIES TO THE
SANTA ANA REGISTER HISTORICAL
PROPERTIES AND MODIFICATION OF MILLS
ACT AGREEMENT FEES
CITY MANAq@rR
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
❑ As Recommended
❑ As Amended
❑ Ordinance on 13' Reading
❑ Ordinance on 2nd Reading
❑ Implementing Resolution
❑ Set Public Hearing For
CONTINUED TO
Adopt a resolution authorizing a one -year program to encourage historic preservation by
temporarily waiving private party nominations of properties to the Santa Ana register of historical
properties fees and reducing Historic Property Preservation Agreement (Mills Act) fees.
DISCUSSION
Background on Historic Preservation Fees
In March 2009, the City Council adopted a resolution that provided for a comprehensive update
of the City's development processing fees. The new fee structure was the result of an extensive
study by both City staff and the consulting firm of MGT of America, Inc. The resulting fees were
based on 100% cost recovery of the actual cost in time and materials to provide a given service.
While the fee for Historic Property Preservation Agreements (Mills Act) was included in this study,
a fee for private party nomination of properties to the Santa Ana Register of Historic Properties
was not Included and continued to be offered for free.
When the Historic Preservation program was created in 2001, the decision to not charge a fee for
private party properties was made based on the concern that a fee would discourage property
owners from listing their properties. Given that the listing process was new and many historically -
significant properties were at risk of being lost if altered, the incentive provided by the free
application was deemed appropriate.
In 2010, the City Council adopted an ordinance amendment establishing a fee for self -
nominations. The decision to establish a fee for private party nominations was based on a
number of factors but primary amongst these was the determination that the most significant
properties had received historic status and further listings of nominated properties are primarily
for the purpose of receiving the Mills Act tax reduction. The fee was developed utilizing the same
methodology used to update the other development processing fees and was based on full cost
recovery.
55A -1
Historic Preservation Fee Waiver
August 5, 2014
Page 2
In the 13 years that the program has been in existence, through a combination of City - initiated
and private party nominated applications, over 560 properties have been added to the Santa Ana
Register of Historical Properties.
Historic Property Listing Process
Currently there are two ways for a property to be added to the Santa Ana Register of Historical
Properties. The first is through a City- sponsored nomination process. These are properties that
have been identified by the City as having historic significance as a contributing property, key
property or landmark. The second is through a voluntary private party nomination, often called a
self- nomination, by the property owner. These are properties that meet the eligibility criteria
established by the Santa Ana Municipal Code (SAMC) Chapter 30 — Places of Historical and
Architectural Significance to be added to the register, but that were not identified by the City as
having special historic significance. In most cases, the properties nominated through private party
nomination process fall into the Contributive category.
Historic Property Preservation Agreement (Mills Act)
The most common reason property owners request their properties to be added to the historic
register is to enter into a Historic Property Preservation Agreement commonly known as a Mills
Act Contract. The property must be listed on the Register in order to be eligible for this benefit.
This contract, enacted between the property owner and the City, requires the property owner to
protect and preserve the historic nature of the property over the term of the contract. In
exchange for this preservation, the property owner is able to take advantage of substantial
property tax savings through tax credits for the life of the agreement. While the exact savings is
dependent on a number of factors, many property owners realize as much as a 50% savings on
their property tax bill.
Development and Transportation City Council Committee Recommendation
Currently, the fee for private party nominations of a property to the Historic Register is $5,015.05
and the fee for a Historic Property Preservation Agreement (Mills Act) is $3,935.87 resulting in a
total cost for both of $8,950.92.
For those properties on the higher end of the value scale, these fees have not had as much of a
dampening effect as for those on the lower end of the value scale. This may be due to the fact
that owners of more highly - valued properties can afford the relatively high up -front cost of the
applications because it would be outweighed in a relatively short amount of time by the tax
savings. Conversely, owners of less highly- valued properties would not see as much of a return
on the initial investment of the fee and the size of the fee required up front may be a deterrent to
applying.
55A -2
Historic Preservation Fee Waiver
August 5, 2014
Page 3
Given the concerns that the current fees are presenting a barrier to property owners' participation
in the City's Historic Preservation Program, the Development and Transportation Council
Committee requested staff to explore options for waiving all or a portion of these fees as a way to
continue to encourage historic preservation. Based on this direction and further analysis, staff
recommends that the City Council temporarily waive the full fee amount to list a property on the
Historic Register and reduce the fee to enter into a Mills Act Agreement by 50 %. This approach
is similar to the one used to encourage solar installations in the City by waiving solar permit and
inspection fees. The proposed fee waiver would be in effect for one year with an option for the
City Council to renew for an additional two years.
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability,
Sustainability and Engagement, Objective No. 3 (facilitate diverse housing opportunities and
support efforts to preserve and improve the livability of Santa Ana neighborhoods).
FISCAL IMPACT
Based on the data for the last 13 years of the program, the City has processed an average of ten
applications per year. At that rate, the estimated revenue loss to the General Fund is
approximately $69,800 per year for up to three years, during the life of the waiver program.
APPROVED AS TO FUNDS AND ACCOUNTS:
Karen Haluza(7 Francisco Gutierrez
Interim Executive Director Executive Director
Planning & Building Agency Finance & Management Services Agency�-
MF:rb
mtlrepodslHlstoric Fee Waiver RFCA 5 -5 -2014
55A -3
55A -4
ROH — 08/05/14
RESOLUTION NO. 2014 -XXX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA AUTHORIZING A WAIVER OF THE NEW
APPLICATION FEE FOR THE PRIVATE PARTY
NOMINATIONS OF PROPERTIES TO THE SANTA ANA
REGISTER OF HISTORICAL PROPERTIES AND
MODIFICATION OF MILLS ACT AGREEMENT FEES
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. In March 2009, the City Council adopted a resolution that provided for a
comprehensive update of the City's development processing fees. The
new fee structure was the result of an extensive study by both City staff
and the consulting firm of MGT of America, Inc. The resulting fees were
based on 100% cost recovery of the actual cost in time and materials to
provide a given service. While the fee for Historic Property Preservation
Agreements (Mills Act) was included in this study, a fee for private party
nomination of properties to the Santa Ana Register of Historic Properties
was not included and continued to be offered for free.
B. In 2010, the City Council adopted an ordinance amendment establishing a
fee for self- nominations. The decision to establish a fee for private party
nominations was based on a number of factors but primary amongst these
was the determination that the most significant properties had received
historic status and further listings of nominated properties are primarily for
the purpose of receiving the Mills Act tax reduction. The fee was
developed utilizing the same methodology used to update the other
development processing fees and was based on full cost recovery.
C. In the 13 years that the program has been in existence, through a
combination of City- initiated and private party nominated applications,
over 560 properties have been added to the Santa Ana Register of
Historic Properties.
D. Currently the fee for private party nominations of a property to the Historic
Register is $5,015.05 and the fee for a Historic Property Preservation
Agreement (Mills Act) is $3,935.87 resulting in a total cost for both of
$8,950.92.
Resolution No. 2014 -XXX
Page 1 of 3
55A -5
E. Given the concerns that the current fees are presenting a barrier to
property owners' participation in the City's Historic Preservation Program,
the Development and Transportation Council Committee requested staff to
explore options for waiving all or a portion of these fees as a way to
continue to encourage historic preservation. Based on this direction and
further analysis, staff recommends that the City Council temporarily waive
the full fee amount to list a property on the Historic Register and reduce
the fee to enter into a Mills Act Agreement by 50 %. The proposed fee
waiver would be in effect for one -year with an option for the City Council to
renew for an additional two years.
Section 2. The City Council hereby waives the full amount of the new application
fee for the private party nominations of properties to the Santa Ana Register of Historical
Properties for a one year period commencing upon the date of adoption of this Resolution.
Additionally, the City Council hereby reduces the fee to enter into a Mills Act Agreement by
50% for a one year period commencing upon the date of adoption of this Resolution. The
City Council shall have the option to renew both the Historic Register Listing fee waiver
and the Mills Act Agreement fee reduction for an additional two years.
Section 3. This resolution shall take effect immediately upon its adoption by the
City Council and the Clerk of the Council shall attest to and certify the vote adopting this
Resolution.
ADOPTED this day of 2014.
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
Ryan O. Hodge
Assistant City Attorney
y
Miguel A. Pulido
Mayor
Resolution No. 2014 -XXX
Page 2 of 3
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 Resolution No. 2014 -XXX to be the original resolution adopted by the City
Council of the City of Santa Ana on , and that said resolution was
published in accordance with the Charter of the City of Santa Ana.
Date:
Clerk of the Council
City of Santa Ana
55A -7
Resolution No. 2014 -XXX
Page 3 of 3
y •
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE. CLERK OF COUNCIL USE ONLY:
AUGUST 5, 2014
TITLE: APPROVED
PROPOSED AMENDMENT TO ❑ As Recommended
CLASSIFICATION AND ❑ As mecca Amended
COMPENSATION PLAN AND p Ordinance on O' Read�ind
ANNUAL BUDGET 0 implementing Resolution
0 Set Public Hearing For
CONTINUED TO
-j FILE NUMBER
CITY MANAGER
RECOMMENDED ACTION
Adopt a resolution that amends the City's Basic Classification and Compensation Plan (Resolution
No. 82 -110) and amends the Fiscal Year 2014 -15 Annual Budget to add three positions to the
Parks, Recreation and Community Services Agency.
DISCUSSION
On March 18, 2014, the City Council adopted a strategic plan that provides a clear statement of
the City's direction over the next five years. The Strategic Plan includes a set of principles that will
guide actions, a set of multi -year goals that will guide decisions, and a plan for implementation. In
order to provide staffing to assist in achieving the programmatic milestones established in the
Strategic Plan, the Executive Director of Parks, Recreation and Community Services proposes the
addition of two Recreation Program Coordinator positions and one Recreation Leader position.
One of the Recreation Program Coordinator positions and the Recreation Leader position will
assist in coordinating youth sports, after - school programs, and the Wellness Program; the other
Recreation Program Coordinator position will be assigned to oversee day -to -day services at the
Southwest Senior Center.
These new positions will facilitate the achievement of goals that pertain to the youth sports and
wellness objectives of the Strategic Plan and will further the City's efforts in expanding youth
programming and improving the health and wellness of all residents. These positions will be
funded entirely from monies allocated through the Strategic Plan.
STRATEGIC PLAN ALIGNMENT
Approval of this item allows the City to meet Goal #2 — Youth, Education, Recreation, Objective
#2, Expand youth programming and Goal #5 Community Health, Livability, Engagement
Sustainability, Objective #6, Focus projects and programs on improving the health and wellness of
all residents.
5513-1
Proposed Amendment to Classification and Compensation Plan and Annual Budget
August 5, 2014
Page 2
Funds are available in the Parks, Recreation and Community Services Agency salary account
(account no.01113230). The cost for the two Recreation Program Coordinator positions will be
$177,570 and one Recreation Leader position will be $67,695 for the remainder of the fiscal year,
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
55B -2
RESOLUTION NO. 2014-
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA TO AMEND THE CURRENT ANNUAL BUDGET
TO ADD TWO FULL TIME RECREATION PROGRAM
COORDINATOR POSITIONS AND ONE FULL TIME
RECREATION LEADER POSITION IN THE PARKS,
RECREATION AND COMMUNITY SERVICES AGENCY.
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS
FOLLOWS:
Section 1: The City Council hereby finds, determines and declares as follows:
A. On July 1, 2014, the City Council passed and adopted Ordinance No.
NS -2867, establishing the City's Budget and authorizing position
allocations for Fiscal Year 2014 -2015. The Ordinance also sets forth the
requirement that alterations in the allocation of authorized positions be
reviewed and approved by the City Council.
B. In response to the City's vision for the future as roadmapped in the five -
year Strategic Plan, the Parks, Recreation and Community Services
Agency is planning to increase service levels in Youth Sports, After -
School Programs, Wellness Programs and services at the Senior Centers.
C. The Executive Director of the Parks, Recreation and Community Services
Agency proposes adding two full -time Recreation Program Coordinator
positions and one full -time Recreation Leader position to the Parks,
Recreation and Community Services Agency budget to effectively manage
the workload associated with increased service levels supporting the
growth, development and health of all residents.
D. It is now desired that the Budget for Fiscal Year 2014 -2015, as amended,
be further amended in order to effect this change.
Section 2: That the Budget for Fiscal Year 2014 -2015, as amended, be further
amended by:
A. Allocating two Recreation Program Coordinator positions as shown below:
7 -Step Salary Monthly Salary
Classification Title Rate Range (SRR) Minimum - Maximum
Recreation Program Coordinator 602 $3,935 — $5,278
55B -3
B. Allocating one Recreation Leader position as shown below:
7 -Step Salary Monthly Salary
Classification Title Rate Range (SRR) Minimum - Maximum
Recreation Leader 522 $2,663 — $3,568
Section 3: That except as amended by this Resolution, all other provisions of
the Budget for Fiscal Year 2014 -2015, as amended, shall remain in full force and effect.
Section 4: This Resolution shall be operative from and after its date of adoption.
ADOPTED this 5t" day of August, 2014.
Miguel A. Pulido
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
By:
Joseph Straka
Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers
55B -4
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached
Resolution No. 2014 -_ to be the original resolution adopted by the City Council of the
City of Santa Ana on August 5, 2014.
Date:
55B -5
Clerk of the Council
City of Santa Ana
55B -6
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
AUGUST 5, 2014
TITLE:
RESOLUTION IDENTIFYING A LOCALLY
PREFERRED ALTERNATIVE FOR THE
SANTA ANA - GARDEN GROVE FIXED
GUIDEWAY PROJECT
CITY MA GER
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
Approve a resolution identifying Streetcar Alternative 1 as the Locally Preferred Alternative for the
Santa Ana - Garden Grove Fixed Guideway Project.
BACKGROUND
Since 2008, the Cities of Santa Ana and Garden Grove have worked collaboratively with the
Orange County Transportation Authority (OCTA) on the Santa Ana - Garden Grove Fixed
Guideway Project. Santa Ana and OCTA have entered into two cooperative agreements for
development of the Santa Ana - Garden Grove Fixed Guideway Project to define the respective
roles and responsibilities. The first cooperative agreement involves development of an
environmental document, an Alternatives Analysis (AA), and the nomination of a Locally Preferred
Alternative (LPA). An LPA Decision Report has been prepared and is enclosed herein. The
second cooperative agreement includes additional analysis of the LPA to meet eligibility
requirements for Federal Transit Administration (FTA) funding.
The AA has been prepared concurrently with the Environmental Assessment /Draft Environmental
Impact Report (EA /DEIR). The AA established three build alternatives to be analyzed in the
EA/DEIR: Streetcar Alternative 1, Streetcar Alternative 2, and a Transportation System
Modification (TSM) Alternative. Throughout the process, staff worked closely with OCTA and FTA
to ensure that the EA /DEIR met all federal eligibility requirements for grant funding through the
FTA New Starts /Small Starts Program. FTA certification of the EA /DEIR is anticipated by this fall.
ENVIRONMENTAL REVIEW PROCESS
The EA /DEIR Notice of Availability was released on May 22, 2014, and the 45 -day public
comment period began May 23, 2014. Subsequently, staff implemented an extensive outreach
campaign that exceeded statutory requirements:
55C -1
Identification of a Locally Preferred Alternative for the
Santa Ana - Garden Grove Fixed Guideway Project
August 5, 2014
Page 2
• 3,796 postcards were prepared and sent to all properties within 500 feet of the area of
potential effect (multi - residential and single -unit properties, including the owner and tenant
of each property), as well as to key stakeholders who had previously participated in the
environmental process. The postcards provided details of the three scheduled meetings in
English, Spanish, and Vietnamese.
• A press release was sent out via Nixle and an announcement was made by the City
Manager at a publicly televised City Council meeting at the start of the 45 -day review period.
• Seven news outlets, including the OC Reporter and the Orange County Register, provided
print and web coverage on the Santa Ana - Garden Grove Fixed Guideway Project and the
scheduled public meetings.
• Information was placed prominently on the homepage of the City's website, eliciting 100,000
views in the first 30 days of the 45 -day review period.
• To encourage attendance, staff contacted key stakeholders, groups, and neighborhood
leaders (including those outside of the 500 -foot envelope, such as the Logan and French
Park neighborhoods), and sent out an a -news release to over 2,000 neighborhood leaders
in advance of the meetings.
• A copy of the Santa Ana - Garden Grove Fixed Guideway Project AA /DEIR was placed at
seven locations, including five in Santa Ana, one in the OCTA office in Orange, one location
in Garden Grove, and a digital copy online, for public review.
• Three public meetings were held along the potential Santa Ana - Garden Grove Fixed
Guideway Project route at various times to accommodate as many people as possible.
Information, interpretation and translation services were provided in English, Spanish, and
Vietnamese.
• Flyers in all three languages were placed at every community and senior center in the city,
providing information on where to find the AA /DEIR, the website address, the 45 -day review
period, and how to submit comments.
• Notice of the public meetings and calls for public comment were also promoted on the City's
social media channels several times throughout the 45 -day review period.
• To encourage input, flyers on the 45 -day review period and calls for comments were also
distributed as handouts at neighborhood meetings throughout the 45 -day review period.
• Information was provided to the Santa Ana Unified School District ( SAUSD) Public
Information Office and various SAUSD staff, to extend notification to those interested.
55C -2
Identification of a Locally Preferred Alternative for the
Santa Ana - Garden Grove Fixed Guideway Project
August 5, 2014
Page 3
The public comment period ended on July 7, 2014. As of the close of public review, comments
were received from the following agencies:
• Santa Ana Historical Preservation Society (letter and e-mail) - support for Streetcar
Alternative 1.
• US General Services Agency (GSA) (e -mail) - support for Streetcar Alternative 1;
opposition to Streetcar Alternative 2.
• California Native American Heritage Commission (letter) - reiterating measures needed to
protect sensitive archaeological resources.
• Caltrans (letter) - no comment; will continue to follow project.
Public comments were also received from the following groups /residents:
• Downtown, Inc. (e -mail) - support for Streetcar Alternative 1
• Santa Ana Community & Business Alliance (letter):
- Opposition to the "Preferred Option" signed by 85 residents and businesses
- Opposition to the 'Preferred Option" and request for equity analysis signed by 98
residents
• Santa Ana Chamber of Commerce (e -mail) support for Santa Ana - Garden Grove Fixed
Guideway Project
• Santa Ana Restaurant Association (e -mail) support for Santa Ana - Garden Grove Fixed
Guideway Project
• Santiago Lofts resident (e -mail) support for Santa Ana - Garden Grove Fixed Guideway
Project
Public comment totals from the public meetings are as follows:
• 4 postcards from residents
• Public Meeting #1: Verbal comments from 6 individuals
Public Meeting #2: Verbal comments from 4 individuals
• Public Meeting #3: Verbal comments from 24 individuals
Comments generally fell into the following categories:
• General community support for a streetcar system
• Concern about the duration and potential impacts of construction on Downtown businesses
• Concern about loss of on- street parking
• Opportunities to stimulate economic development along Fifth Street
55C -3
Identification of a Locally Preferred Alternative for the
Santa Ana - Garden Grove Fixed Guideway Project
August 5, 2014
Page 4
Fourth Street versus Fifth Street
LPA RECOMMENDATION
Since the close of the public review period, the City's consultant team has prepared an LPA
Decision Report (Exhibit 1). This report evaluates the AA and comments relevant to the LPA that
were received during the release of the ENDEIR and the public review. Based on the findings in
the report, the recommended alternative is Streetcar Alternative 1 as referenced in the resolution
(Exhibit 2). This recommendation is based on several factors:
• Strong community support for a streetcar system
• Highest ridership
• Serves greatest number of transit dependent households
• Least right -of -way acquisition compared to Streetcar Alternative 2
• Lower cost compared to Streetcar Alternative 2
• Most transit - supportive land uses
• Larger economic development potential
• Ease of constructability compared to Streetcar Alternative 2
Additionally, three options for parking along Fourth Street were considered: parking on both
sides, parking along the north side only without south -side parking, and elimination of on- street
parking. The LPA Decision Report recommends that parking remain along both sides on Fourth
Street per parking Scenario A, which will require that the diagonal parking along the south side be
changed to parallel parking.
The report also recommends selection of Site B for the operations and maintenance facility along
Fifth Street west of Raitt Street. Staff concurs with the findings of the LPA Decision Report and
recommends Streetcar Alternative 1 as the LPA with Site B selected as the operations and
maintenance facility location.
CONSTRUCTABILITY
Construction of streetcar systems differs significantly from that of light rail systems or other
dedicated rail transportation systems. Construction of streetcar systems has minimal impact on
vehicle and pedestrian access and requires fewer pavement cuts, allowing businesses to continue
without major disruption. Downtown segments of two to three blocks can be completed in two to
three months per segment and noncontiguous segments can be constructed at the same time.
Construction will be completed in conjunction with Downtown stakeholders and the business
community in order to minimize potential impacts from construction, such as coordinating work at
night and on weekends.
55C -4
Identification of a Locally Preferred Alternative for the
Santa Ana - Garden Grove Fixed Guideway Project
August 5, 2014
Page 5
STRATEGIC PLAN ALIGNMENT
Approval of this item supports the City's efforts to meet Goal #6 Community Facilities &
Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City
assets), Strategy G (develop and implement the City's Capital Improvement Program in
coordination with the Community Investment and Deferred Maintenance Plans).
Approval of this item also supports Goal #3 Economic Development, Objective #2 (create new
opportunities for business /job growth and encourage private development through new General
Plan and Zoning Ordinance policies), Strategy C (support business development and job growth
along transit corridors through the completion of critical transit plans /projects including: The Fixed
Guideway Project, Santa Ana Regional Transportation Center Master Plan, Complete Streets and
General Plan Circulation Element update).
Approval of this item also supports Goal #3 Economic Development, Objective #4 (continue to
pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping,
dining, and entertainment destination), Strategy B (create a comprehensive program to manage
parking that includes innovative strategies to provide parking, create revenue and enhance
accessibility in the downtown).
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this specific action. The nomination of the
Locally Preferred Alternative (LPA) will support progress of the Santa Ana - Garden Grove Fixed
Guideway project which is the subject of an Environmental Assessment /Draft Environmental
Impact Report (EA /DEIR). Nomination of the LPA is not a project as such nomination will not
result in a potentially significant physical impact to the environment and because such nomination
has no potential for immediate direct physical impacts to the environment. Additionally, the
nomination is statutorily exempt from CEQA under State CEQA Guidelines section 15262
because it qualifies as a decision for possible future actions that have not yet been approved and
future final actions will not be taken without final approval and certification of all necessary state
and federal environmental documents.
FISCAL IMPACT
There is no fiscal impact associated with this specific action. Development on this project to date
and future work is being funded by the 2006 Measure M -Local sales tax and will not require City
funding. Design and construction funding for this project will be provided by OCTA and /or federal
funds.
55C -5
Identification of a Locally Preferred Alternative for the
Santa Ana - Garden Grove Fixed Guideway Project
August 5, 2014
Page 6
Edwin "William" Galve P.E.
Interim Executive Dire for
Public Works Agency
WG /JG
Exhibits: 1. LPA Decision Report
2. Resolution
55C -6
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55C -8
Locally Preferred Alternative Decision Report
in support of the
SANTA ANA AND GARDEN GROVE
FIXED GUIDEWAY CORRIDOR STUDY
Santa Ana Regional Transportation Center (SARTC) to Harbor Boulevard
Prepared for
City of Santa Ana
in cooperation with
City of Garden Grove
Orange County Transportation Authority
tl
�G
4 C
I
1
OCTA 4
Prepared by
Cordoba Corporation
2677 North Main Street, Suite 240
Santa Ana, CA 92705
July 2014
55C -9
I
ACRONYMS......................................................................... ............................... IV
EXECUTIVE SUMMARY ..................................................... ............................... ES -1
Background................................................................... ............................... ES-1
Summary of Alternatives Analysis ................................... ............................... ES -1
Summary of Environmental Review .................................. ............................... ES -2
Summary of Public Outreach ........................................... ............................... ES -2
Recommended Locally Preferred Alternative ....................... ............................... ES -3
1.0 INTRODUCTION ......................................................... ............................1 -1
1.1 Project Background and History .................................. ............................... 1 -1
1.2 Purpose and Need for the Project ................................ ............................... 1 -2
1.3 Purpose of the LPA Decision Report ............................ ............................... 1 -4
1.4 Organization of the Report ......................................... ............................... 1 -5
2.0 OVERVIEW OF ALTERNATIVES ANALYSIS ................. ............................... 2 -1
C
2.1 Alternatives Development ............................................. ............................2 -1
2.2 Public Scoping ......................................................... ............................... 2 -4
2.3 Initial Screening ........................................................... ............................2 -5
2.4 Detailed Evaluation of a Reduced Set of Alternatives ...... ............................... 2 -8
2.4.1 Operations and Maintenance Facility Site Options ............................. 2 -11
2.4.2 4`h Street Parking Scenarios ............................ ............................... 2 -14
2.5 Detailed Evaluation of Alternatives' Screening Criteria .. ............................... 2 -16
2.6 Detailed Evaluation of Alternatives' Results ................ ............................... 2 -17
2.7 Conclusions and Tradeoffs among Alternatives ........... ............................... 2 -18
LPA Derision Report
July 2 D 1 4
55C -10
i I Page.
3.0 OVERVIEW OF ENVIRONMENTAL REVIEW .................... ............................3 -1
3.1 Summary of Impacts .................................................... ............................3 -1
4.0 OVERVIEW OF PUBLIC OUTREACH .............................. ............................4 -1
4.1 Summary of Outreach Efforts ........................................ ............................4 -1
4.1 .1 Stakeholder Working Group ................................. ............................4 -1
4.2 Pre-Scoping Activities .............................................. ............................... 4 -2
4.3 Public Scoping Period Activities ..................................... ............................4 -3
4.4 AA Public Outreach Activities ........................................ ............................4 -4
4.5 Public Review Period Activities ........................ .. ...................................... ..4 -4
4.6 Public Review Meetings ................................................ ............................4 -5
4.7 Summary of Public Comments ....................................... ............................4 -7
4.8 Incorporation of Public Comments into the EA /Final EIR .... ...........................4 -12
5.0 RECOMMENDED LOCALLY PREFERRED ALTERNATIVES (LPA) .....................5 -1
5.1 Results of Detailed Technical Evaluation .......................... ............................5 -1
5.2 Results of Environmental Review ................................ ............................... 5 -5
5.3 Results of Community Outreach ................................. ............................... 5 -5
5.4 Summary of Findings and Conclusions ............................ ............................5 -6
5.5 Locally Preferred Alternative ....................................... ............................... 5 -8
5.5.1 Technology (Mode) ...................................... ............................... 5-8
5.5.2 Alignment (Route) ........................................ ............................... 5 -9
5.5.3 Operations and Maintenance Facility ..................... ....................... 5 -10
5.5.4 Roadway Improvements/ Modifications ........... ............................... 5 -10
5.5.5 Station Locations and Characteristics ............ ............................... 5 -10
5.5.6 Operating Characteristics of the Streetcar ...... ............................... 5 -11
LPA Decision Report
July 201}
55C -11
ii I Page
r I .
Table 2 -1:
Initial Screening Criteria and Measures of Effectiveness . ............................2
-6
Table 2 -2:
Detailed Evaluation Criteria and Measures of Effectiveness ......................
2 -16
Table 2 -3:
Ranking of Alternatives Based on Detailed Evaluation Results ...................
2 -17
Table 3-1:
Summary of Effects, Mitigation Measures, and Effects after Mitigation ........
3 -3
Table 5-1:
Cost Comparison of Alternatives ............................. ...............................
5 -2
Table 5 -2:
Final Alternatives Ranking ......................................... ............................5
-3
LPA Decision Report
July 2014
55C -12
iii I Page
List of Figures
Figure ES -1:
Recommended Locally Preferred Alternative ........... ...............................
1 -1
Figure 1-1:
Location Map ......................................................... ............................1
-1
Figure1 -2:
Study Area ............................................................ ............................1
-3
Figure 2 -1:
Alternatives Development and Analysis Process .......... ............................2
-2
Figure 2 -2:
Study Goals and Objectives .................................. ...............................
2 -3
Figure 2 -3:
Transportation Systems Management (TSM) Alternative (Select Elements)..
2-9
Figure 2 -4:
Streetcar Alternative 1 ....................................... ...............................
2 -10
Figure 2 -5:
Streetcar Alternative 2 ....................................... ...............................
2 -12
Figure 2 -6:
Potential O &M Facility Site Locations ................... ...............................
2 -13
Figure 2 -7:
4th Street Parking Scenarios ........................... .. .................................
2 -15
Figure 5 -1:
Siemens S70 Vehicle ......................................................... .................
5 -8
Figure 5 -2:
Locally Preferred Alternative Route .................... ........ ............................
5 -9
Figure 5 -3:
Typical Station Shelter ....................................... ...............................
5-11
LPA Decision Report
July 2014
55C -13
iv I page
ACRONYMS
Acronyms Definition
AA
Alternative Analysis
ATV
automated ticket vending
BRT
bus rapid transit
Caltrans
California Department of Transportation
CEQA
California Environmental Quality Act
CPUC
California Public Utilities Commission
DEIR
Draft Environmental Impact Report
DMU
light diesel multiple unit
EA
Environmental Assessment
EA /DEIR
Environmental Assessment /Draft Environmental Impact Report
EA /FEIR
Environmental Assessment /Final Environmental Impact Report
FONSI
Finding of No Significant Impact
FTA
Federal Transit Administration
GSA
General Services Administration
1 -5
Interstate 5
IOSs
Initial Operable Segments
LOSSAN
Los Angeles -San Diego -San Luis Obispo
LPA
Locally Preferred Alternative
LRT
light rail transit
mph
miles per hour
MOEs
Measures of Effectiveness
NAHC
Native American Heritage Commission
NEPA
National Environmental Policy Act
NOA
Notice of Availability
NOP
Notice of Preparation
NRHP
National Register of Historic Places
OCTA
Orange County Transportation Authority
OCTAM
Orange County Transportation Analysis Model
PE
Pacific Electric
PE ROW
Pacific Electric Right -of -Way
PRT
personal rapid transit
ROW
right -of -way
SAC -BA
Santa Ana Community- Business Alliance
SAHPS
Santa Ana Historic Preservation Society
SA -GG
Santa Ana - Garden Grove
SARTC
Santa Ana Regional Transportation Center
LPA Decision Report
July 201}
55C -14
V I Page
Acronyms Definition
SCH State Clearinghouse
SWG Stakeholder Working Group
TDM
Transportation Demand Management
TPSSs
traction power substations
TSM
Transportation System Management
LPA Decision Report
July 2014
55C -15
vi Page
In 2009 the cities of Santa Ana and Garden Grove initiated the Alternatives Analysis (AA)
and Environmental Review (Go Local Program Step 2) for the Santa Ana - Garden Grove
(SA -GG) Fixed Guideway Corridor. In the study process followed by the cities of Santa
Ana and Garden Grove in completing the requirements of the Go Local Step 2 work
program, the AA and the environmental review were conducted concurrently. The AA was
performed in compliance with the requirements of the Federal Transit Administration and
the environmental review process satisfied the requirements of both the National
Environmental Policy Act (NEPA) and the California Environmental Quality Act (CEQA).
The purpose of the SA -GG Fixed Guideway Project is to:
• Improve Transit Connectivity within the Study Area;
• Relieve Congestion by Providing Alternative Mobility Options;
• Be Sensitive to the Character of the Community;
• Increase Transit Options;
• Improve Transit Accessibility to and within the Study Area; and
• Provide Benefits to the Environment through Improved Air Quality.
This LPA Decision Report provides a summary of the efforts undertaken as part of the
planning process to define, screen and evaluate options and alternatives for the Santa Ana -
Garden Grove Fixed Guideway Corridor, and documents the recommendation for a Locally
Preferred Alternative.
M
The alternatives analysis process consisted of four major steps: (1) Preliminary Definition
of Alternatives, (2A) Initial Screening (Route Options), (213) Initial Screening (Technology
Options), and (3) Detailed Evaluation and Environmental Impact Analysis of the reduced set
of alternatives and selection of the LPA.
A wide range of potentially suitable technology options for the SA -GG Fixed Guideway
Corridor were investigated. A variety of alignment options were narrowed down to six that
based on the need to establish an east -west transit corridor in the Study Area, and to
improve the Study Area's regional transit connectivity by providing direct connections to
existing and planned transit services (Metrolink and OCTA fixed route and BRT services) at
SARTC and at the northeast corner of Harbor Boulevard and Westminster Avenue in the
City of Garden Grove.
Initial screening was performed to identify which of the conceptual alternatives best
satisfied the Purpose and Need and project goals and objectives and appeared to be most
LPA Decision Report
July 2014
55C -16
1 I Page
feasible. The initial screening process consisted of two stages — an early qualitative
analysis of the conceptual alternatives resulting in the screening of route options; and, a
subsequent quantitative analysis of the conceptual alternatives resulting in the screening of
technology options.
A detailed technical evaluation was performed on the reduced set of alternatives resulting
from the initial screening. The reduced set of alternatives included:
• TSM Alternative
• Streetcar Alternative 1 — Santa Ana Boulevard /41h Street
• Streetcar Alternative 2 — Santa Ana Boulevard /Civic Center Drive /5th Street
Upon completion of the detailed technical evaluation Streetcar Alternative 1 was found to
have the highest daily ridership and serve the greatest number of transit dependent
household. Land uses along the alignment provided the densities and development
patterns to support a high- capacity transit system, and the city's adopted land use plans
reinforced these patterns and encouraged the types of development /redevelopment needed
to support the system. Streetcar Alternative 1 also most effectively served key
destinations within the study area.
The TSM Alternative ranked first among the alternatives in terms of Environmental
Responsibility because it was not estimated to affect any conditions in the environment.
The TSM Alternative also ranked first in terms of ease of constructability and lowest
capital cost.
Overall, Streetcar Alternative 1 was ranked first among the alternatives.
Summary of Environmental Review
The reduced set of alternatives was also subjected to an environmental evaluation. An
Environmental Assessment /Draft Environmental Impact Report (EA /DEIR) was prepared to
meet the requirements of the National Environmental Policy Act (NEPA) and California
Environmental Quality Act (CEQA), concurrent with the preparation of the AA.
Adverse effects associated with hazardous materials, operational noise (moderate), safety,
and construction air quality were identified to occur with Streetcar Alternatives 1 and 2
prior to incorporation of mitigation measures (CEQA only). Mitigation measures would
eliminate the adverse effects associated with hazardous materials and safety. Moderate
effects associated with operational noise and identified in the EA /DEIR would remain after
the implementation of mitigation, however these effects would not be considered adverse.
In addition, significant construction air quality impacts under CEQA would remain after the
implementation of mitigation; however, construction - related air quality impacts would be
temporary and not adverse under NEPA after the implementation of mitigation. No adverse
effects were identified for the TSM Alternative.
LPA Decision Report
July 2014
55C -17
2 1 Page
Summary ®f Public Outreach
Meaningful public engagement is an important component of the Santa Ana - Garden Grove
Fixed Guideway Project. From the outset of the project and throughout the process, the
cities shared information with and sought input from the community, elected officials, and
key stakeholders through meetings, dissemination of informational materials, a project
website.
In support of the environment review process and the 45 -day public review period for the
EA/DEIR, the cities of Santa Ana and Garden Grove, in coordination with OCTA, conducted
three Public Review Meetings for the Santa Ana- Garden Grove Fixed Guideway EA /DEIR in
accordance with the requirements of CEQA.
The Public Review Meetings, held between June 14 and June 19, 2014, combined an
open house with a formal presentation and comment period, and provided members of the
community forums through which to comment on the EA /DEIR. Trilingual
(English /Spanish /Vietnamese) materials, interpretations and transcriptionists were available
at public meetings. Approximately 120 to 150 people attended the public meetings. The
following summarizes the comments received during the Public Review Period, (oral and
written) that are germane to the selection of the Locally Preferred Alternative.
• General community support for a streetcar system
• Concern about the duration and potential impacts of construction on local
Downtown businesses
• Concern about loss of on- street parking
• Interest in economic development stimulus in conjunction with the streetcar,
particularly on 5`h Street
• Expressed preferences for either 4`h Street or 5` Street.
Based on the results of the detailed technical evaluation of the alternatives, the findings of
the environmental review, and the comments received during the public review period, the
recommended Locally Preferred Alternative (LPA) is Streetcar Alternative 1. The following
summarizes the key features of the LPA.
Technology (Mode): It is recommended that transit service be provided by modern
streetcars operating within existing streets in mixed -flow traffic (the streetcar will share
the travel lane with other vehicles), consistent with the Streetcar Alternatives analyzed in
the EA /DEIR. For planning purposes, the Siemens S70 short vehicle was assumed since it
is currently the only vehicle approved by the California Public Utilities Commission (CPUC)
for streetcar operations in California.
LPA Decision Report
July 2014
55C -18
3 Page
Power would be supplied via an overhead electric line. Other emerging streetcar
technologies, including "wireless" and other vehicle options that may be acceptable to the
CPUC will also be considered as they become available during the project development
process.
Alignment (Route): The recommended alignment (see Figure ES -1) is consistent with
Streetcar Alternative 1, with the streetcar traveling westbound from eastern terminus
station at SARTC in Santa Ana, along Santa Ana Boulevard, entering the Pacific Electric
Right -of -way (PE ROW) west of Raitt Street and continuing to the western terminus station
in the northwest quadrant of the intersection of Harbor Boulevard and Westminster Avenue
in Garden Grove. Eastbound, the streetcar will travel along the PE ROW and Santa Ana
Boulevard to approximately Parton Street, where the route will exit Santa Ana Boulevard
and continue along a public easement on the south edge of Sasscer Park. The streetcar
will exit Sasscer Park onto 4" Street and continue along 4" Street to Mortimer Street,
where it will turn north and reconnect with Santa Ana Boulevard, continuing east to the
eastern terminus station at SARTC. The route is approximately 4.1 miles in length. Six
traction power substations have been identified along the route to distribute electrical
power to the vehicles.
Station Locations: In addition to the two terminus stations at SARTC on the east and
Harbor Boulevard /Westminster Avenue on the west, there will be station stops at 10 other
locations /cross streets along the route:
1 . Harbor Boulevard and Westminster Avenue
2. Willowick
3. Fairview Street and PE ROW
4. Raitt St. and Santa Ana Boulevard
5. Bristol St. and Santa Ana Boulevard
6. Flower St. and Santa Ana Boulevard
Couplet Section (Eastbound)
Couplet Section (Westbound)
7.
Sasscer Park
7.
Ross Street and Santa Ana Boulevard
8.
Broadway and 4" Street
8.
Broadway and Santa Ana Boulevard
9.
Main St. and 4" Street
9.
Main Street and Santa Ana Boulevard
10.
French St. and 4" Street
10.
French Street and Santa Ana Boulevard
11.
Santa Ana Boulevard and Lacy Street
12.
SARTC
IPA Decision Report 4 1 Page
July 2014
55C -19
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55C -21
Operations & Maintenance (O &M) Facility Location: The preferred location for the
maintenance facility for the streetcar is between the PE ROW and 51h Street, west of Raitt
Street (between Daisy Avenue and English Street. This is Site B as examined in the
EA /D E I R.
4th Street Parking: Diagonal parking is currently provided along 4th Street between Ross
Street and French Street. It is recommended that, with implementation of the streetcar,
the diagonal parking along the south side of 4th Street be replaced by parallel parking (4th
Street Parking Scenario A), resulting in the loss of approximately 26 to 30 parking spaces
along the roadway segment. The sidewalks along the south side of 4th Street will be
widened from 12 feet to 20 feet.
Section 5.5 provides a more detailed discussion of the physical and operating
characteristics of the recommended LPA.
LPA Decision Report
July 2014
55C -22
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55C -23
1.0 INTRODUCTION
1.1 Project Background and History
In early 2006, the Orange County Transportation Authority (OCTA) initiated the Go Local
program to encourage local agencies to consider transit system connection to Metrolink.
In 2008, as part of the Go Local program, the cities of Santa Ana and Garden Grove
completed a study that identified the benefits of developing a fixed guideway corridor to
link key activity and employment centers in their communities to the Santa Ana Regional
Transportation Center (SARTC). Their project was selected by OCTA for further study and
in 2009, the cities initiated the Alternatives Analysis (AA) and Environmental Review (Go
Local Program Step 2) for the Santa Ana - Garden Grove (SA -GG) Fixed Guideway Corridor
in coordination with OCTA. As illustrated in Figure 1 -1, the project location is in central
Orange County, California and directly accesses both the Los Angeles -San Diego (LOSSAN)
rail corridor and the old Pacific Electric Railway corridor.
Figure 1 -1: Location Map
N.
i
Project Location
... LEGEND
�.... i Stull Area
,mm MatrolinkJArtrtrak
Rail Line
PE ROW
LPA Decision Report
July 2014
55C -24
1 -11 Page
Figure 1 -2 illustrates the Study Area for the Santa Ana - Garden Grove Fixed Guideway
Project. The Study Area was defined to support the development and evaluation of a broad
range of modal alternatives that satisfy the goals and objectives of the study. It
encompasses SARTC and existing and planned development surrounding the rail station;
employment, government, commercial and cultural activity centers in the Civic Center and
downtown Santa Ana; and, existing neighborhoods, businesses, and activity centers in
central Santa Ana and east Garden Grove. Planned development and areas that offer
future development and redevelopment opportunities were also considered, as were
planned regional transportation system improvements such as OCTA's Bus Rapid Transit
(BRT) program, and Metrolink service expansions.
rrr ^t r. r
Santa Ana and Garden Grove are mature, densely populated, and ethnically diverse cities
located in the heart of Orange County, California. Transit service equity is an important
issue for the Study Area, where the median household income is slightly above the U.S.
Census Bureau poverty level threshold and approximately 17.8 percent of households are
without an automobile and therefore must rely on ridesharing, public transportation or non -
motorized transportation for all of their travel needs. Approximately 91 percent of the
Study Area population is non - white; approximately 31.9 percent are under the age of 15
and therefore not eligible to drive an automobile.' More than half of Study Area residents
use modes of transportation other than the single- occupant automobile for their travel
to /from work including approximately 13.8 percent of Study Area residents who use public
transportation .2
Santa Ana and Garden Grove's overall vision for the Study Area includes a transit system
that integrates seamlessly with the community, provides connections to regional Metrolink
and Amtrak commuter rail services at the SARTC, and is compatible with the established
urban character.
The purpose of the SA -GG Fixed Guideway Project is to:
• Improve Transit Connectivity within the Study Area;
• Relieve Congestion by Providing Alternative Mobility Options;
• Be Sensitive to the Character of the Community;
• Increase Transit Options;
• Improve Transit Accessibility to and within the Study Area; and
• Provide Benefits to the Environment through Improved Air Quality.
' US Census 2000.
Y Census: Journey to Work 2000.
LPA Decision Report
July '2014
55C -25
1.2 1 Page
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55C -27
The following summarizes the needs for the project:
• Missing Transit Links
• Congested Freeways and Arterials
• Limited Transportation Improvement Options
• Limited Travel Choices
• Significant Level of Transit Dependence
• Automobile Emissions Contribute to Unhealthy Air Quality
The Santa Ana - Garden Grove Fixed Guideway Corridor project included preparation of an
Alternatives Analysis (AA) which would satisfy the requirements of the Federal Transit
Administration and an environmental review process that would satisfy the requirements of
both the National Environmental Policy Act (NEPA) and the California Environmental Quality
Act (CEQA). In the study process followed by the cities of Santa Ana and Garden Grove in
completing the requirements of the Go Local Step 2 work program, the AA and the
environmental review were conducted concurrently. The Alternatives Analysis Report
documented the process followed to define, screen and evaluate the technical merits of
alternatives. Through the Santa Ana - Garden Grove Fixed Guideway Corridor AA:
• The purpose and need for the project were defined,
• A broad range of technology and route options were defined and screened based on
the Purpose and Need and other identified criteria, with some concepts eliminated
from further consideration,
• The remaining technology and route concepts were combined to form alternatives,
and an additional screening was conducted in two stages; the first stage included
the further analysis of route options while the second stage included the further
analysis of technology options (with additional detail) to determine which options
best meet the project's Purpose and Need and goals and objectives and which
options should be eliminated from further consideration.
• The reduced set of alternatives underwent detailed evaluation using screening
criteria that were tied to the Purpose and Need and goals and objectives, and
• The alternatives which performed best against the criteria and best addressed the
Purpose and Need and goals and objectives for the project were identified for
potential selection as the LPA.
The reduced set of alternatives was also subjected to environmental analyses compliant
with NEPA and CEQA. Upon completion of the environmental analysis, an Environmental
Assessment /Draft Environmental Impact Report (EA /DEIR) was prepared. The Federal
Transit Administration (FTA) served as the lead agency for the preparation of the EA, and
the city of Santa Ana was the lead agency for the DEIR. Following review and approval of
LPA Decision Report
July 2014
55C -28
1 4 1 Page
the EA /DEIR by the City of Santa Ana, OCTA and the FTA, the EA /DEIR was released for a
45 -day public review period on
May 23, 2014. During the 45 -day public review, public meetings were conducted to
solicit comments from the community, interested agencies and key stakeholders.
Following the close of the public review period on July 7, 2014, the results of the
environmental analysis documented in the EA /DEIR, and the comments received during the
public review period were considered in combination with the technical evaluation of the
alternatives completed as part of the AA to formulate a Locally Preferred Alternative (LPA)
recommendation for consideration and adoption by the cities of Santa Ana and Garden
Grove. Included in the process of formulating an LPA recommendation, responses to the
public comments were developed for use in finalizing the EA /EIR.
The purpose of this report is to review and summarize the analyses and evaluation results
from the AA and the EA /DEIR, and the comments received during the public review period
and recommend a LPA for adoption by the cities of Santa Ana and Garden Grove.
This LPA Decision Report provides a summary of the efforts undertaken as part of the
planning process to define, screen and evaluate options and alternatives for the Santa Ana -
Garden Grove Fixed Guideway Corridor, and documents the recommendation for a Locally
Preferred Alternative. The following summarizes the content and organization of this
report:
1. Chapter 1 introduces the project and the purpose and need for it.
2. Chapter 2 provides an overview of the AA process from the preliminary definition of
a wide range of potential alternatives through the detailed evaluation of the reduced
set of alternatives. A comparison is provided of the results of the detailed analysis
and a ranking of the alternatives based on analysis results.
3. Chapter 3 summarizes the results of the environmental review of the reduced set of
alternatives as documented in the EA/DEIS (May 2014).
4. Chapter 4 describes the public outreach and interagency coordination efforts
undertaken in support of the study process, including the public review of the
environmental document and the comments received.
5. Chapter 5 presents the recommended Locally Preferred Alternative.
LPA Decision Report
July 2014
55C -29
1.51 Page
In 2009, the cities initiated the Alternatives Analysis and Environmental Review for the SA-
GG Fixed Guideway System in coordination with OCTA. The alternatives analysis process,
is described in detail in the SA -GG Fixed Guideway Preliminary Definition of Alternatives
Report (June 12, 2011), Initial Alternatives Screening Report (August 5, 2011), and
Alternatives Analysis Report (April 2014). The following provides an overview of the
Alternatives Analysis process, and a brief summary of the findings and results.
The alternatives analysis process consisted of four major steps: (1) Preliminary Definition
of Alternatives, (2A) Initial Screening (Route Options), (213) Initial Screening (Technology
Options), and (3) Detailed Evaluation and Environmental Impact Analysis of the reduced set
of alternatives and selection of the LPA. Figure 2 -1 illustrates the alternatives development
and evaluation process undertaken for the SA -GG Fixed Guideway Project.
The alternatives development process began with a survey of potential technology and
alignment options, the definition of the project's goals and objectives, development of
initial screening criteria based on the Purpose and Need Statement, and engagement with
the community through public listening sessions and public scoping.
Potential Technology Options. A wide range of potentially suitable technology options for
the SA -GG Fixed Guideway Corridor were investigated, including:
• Bus Transit • Light Diesel Multiple Unit
• Bus Rapid Transit • Monorail
• Streetcar • Low Speed Maglev
• Light Rail Transit • Personal Rapid Transit
• Commuter Rail
Potential Alignment Options. The initial alignment options were based on the need to
establish an east -west transit corridor in the Study Area, and to improve the Study Area's
regional transit connectivity by providing direct connections to existing and planned transit
services (Metrolink and OCTA fixed route and BRT services) at SARTC and at the northeast
corner of Harbor Boulevard and Westminster Avenue in the City of Garden Grove. Six
alignment options were initially investigated.
Goals and Objectives. The project's goals and objectives (see Figure 2 -2) were derived
from the purpose and need for transportation improvements in the corridor study area.
Along with Purpose and Need, they shaped the development of transportation alternatives
as well as establishing an evaluative framework for how alternatives should be assessed
and compared in subsequent study phases.
LPA Decision Report
July 2014
55C -30
2.11 Page
Preliminary Definition of Alternatives
1. (Route and Technology Options) 10 Technology Options
Preliminary 4 Route Options
Definition of Community Listening Sessions
Alternatives
1. Preliminary Screening
Conceptual Alternatives INoBuildAl ter native
(General Characteristics) 1 TSMAlternative
2BRT Alternatives
ScopingMeetings 3StreetcarAlternatives
2. rCConceptual Initial Screening (Route Options)
Initial
Screening Alternatives 1 No Build Altern ative
ship Information) -1TSMAIternative
1 BRT Alternative
r Meetings 2 Streetcar Alternatives
3.
Detailed
Evaluation
nd Environ-
mental
Impacts
Analysis
Stage of
Evaluation
2B. Initial Screening (Technology Options)
Detailed Definition of Alternatives
(Engineering) Environmental 1 No Build Alternative
1 TSM Alternative
2 Streetcar Alternatives
EAIDEIR Public Hearings
3. Detailed Evaluation of Alternatives I Selection of LPA
(NEPAICEQA Comoliance)
Locally Preferred Alternative
Level of Public Typeof
Detail Outreach Screening
Alternatives
Considered
Figure 2 -2: Study Goals and Objectives
■ Support planned growth in regional rail and bus service
' Enhance connections to regional, interstate, and international bus, rail and air
service
• Provide convenient, efficient regional access between SARTC, and employment
and activity centers, and residential neighborhoods in central Santa Ana and
Garden Grove
• Enhance connectivity between neighborhoods, businesses, and activity centers in
central Santa Ana
' Provide employees with improved access to job sites
' Provide additional travel options for students and transit - dependent individuals
• Stimulate land development opportunities in undeveloped and underdeveloped
areas along the corridor
■ Provide a transportation system that supports pedestrian activity, and serves
higher density development
• Integrate well with surrounding neighborhoods by providing frequent stops with
shorter travel distances between stops
' Reinforce transit- oriented development near SARTC and in appropriate locations
along the corridor
• Reduce automobile trips by providing high quality transit access and promoting
walkability
• Improve air quality; reduce energy consumption, carbon footprint, and greenhouse
gas emissions
• Support reduced parking requirements along the corridor where appropriate
' Limit environmental impacts by implementing a system that operates primarily
• Provide transit service that is user - friendly
• Attract new transit riders
• Provide service that is travel time competitive with personal automobiles
• Use a service - proven technology
• Provide for the safety of the system users and individuals who live in the corridor
• Provide for a reasonable, integrated fare structure
' Attract long -term, sustainable public and private investment
• Explore opportunities to reduce or minimize capital costs
' Provide for efficient and cost - effective system operations and maintenance
' Maximize overall system cost- effectiveness
• Maximize ridership
' Minimize cost per rider for long term operations
LPA Decision Report
July 2011
55C -32
2.3 1 Page
2.2 Public Scoping
In January 2010, the cities engaged the community and resource agencies in Public
Listening Sessions to receive input on Purpose and Need the project development process,
project goals, and potential technology and alignment options. Four different alignment
alternatives were presented, all of which spanned the full breadth of the four -mile corridor
between SARTC and Harbor Boulevard. Through this process, three technologies were
identified as the technologies best suited for meeting the Purpose and Need because they
were viewed as reliable, affordable, least likely to result in adverse
community /environmental impacts, and capable of supporting local economic development
goals:
1 . Bus (or Trolley Bus)
2. BRT
3. Streetcar
In addition, general requirements for the Santa Ana - Garden Grove Fixed Guideway System
were defined to guide the preliminary screening process:
• System must be surface - running
• System must be capable of operating in mixed flow traffic within existing lane widths
• Vehicles compatible with short downtown block face lengths
• System must be compatible with pedestrian activity and pedestrian scale street frontage
• Operating cost per potential passenger must be reasonable
• System must be proven to be reliable in revenue service in the U.S.
• System should operate in the curb lane (except in the PE ROW where it would operate
in a dedicated alignment down the center of the available ROW)
In June 2010, the cities conducted formal public scoping through which seven conceptual
project alternatives were presented:
• No Build — The No Build Alternative includes existing conditions as well as conditions
that would be reasonably expected to occur in the foreseeable future without
implementation of the proposed project. Conditions in the foreseeable future (through
planning horizon year 2035) include other projects that (1) have environmental analysis
approved by an implementing agency and (2) have a funding source identified for
implementation. The No Build Alternative provides the basis for comparing future
conditions resulting from other alternatives proposed.
• TSM — The TSM Alternative consists of a number of bus improvements and represents
the most that can be done for mobility without construction of major new
transportation facilities or physical capacity improvements in the context of the existing
transportation infrastructure. As such, the TSM Alternative provides the baseline
against which the Build Alternatives (Le., those that would entail a major investment)
LPA Decision Report
July 2.014
55C -33
2.41 Page
are compared. The TSM Alternative emphasizes low cost (i.e., small physical)
improvements and operational efficiencies such as focused traffic engineering actions,
expanded bus service, and improved access to transit services. Included within the
TSM Alternative are modifications and enhancements to selected bus routes in the
Study Area; intersection /signal improvements, and bus stop amenity upgrades. While
the Build Alternatives utilize the PE ROW the TSM improvements do not since the PE
ROW is unpaved and would require construction of a roadway to accommodate bus
service.
• BRT 1 (Civic Center Drive) — BRT transit line between SARTC and Harbor Boulevard
traversing Civic Center Drive and the PE ROW with buses would operating in mixed
flow traffic lanes on existing city streets and in new lanes dedicated exclusively to bus
use in the PE ROW.
• BRT 2 (Santa Ana Boulevard /5th Street) - BRT transit line between SARTC and Harbor
Boulevard traversing Santa Ana Boulevard and the PE ROW with a Santa Ana Boulevard
and 5th Street couplet through the Downtown area. Buses would operate within mixed
flow traffic lanes on existing city streets and in new lanes dedicated exclusively to bus
use in the PE ROW.
• Streetcar A (Santa Ana Boulevard /5th Street) - Modern streetcar line between SARTC
and Harbor Boulevard traversing Brown Street /Santa Ana Boulevard and the PE ROW
with a Santa Ana Boulevard and 5th Street couplet through the downtown area.
Streetcars would operate in mixed flow traffic on tracks embedded within existing city
• Streetcar B (Santa Ana Boulevard /4th Street) - Modern streetcar line between SARTC
and Harbor Boulevard traversing Santa Ana Boulevard and the PE ROW with a Santa
Ana Boulevard and 4th Street couplet through the downtown area. Streetcars would
operate in mixed flow traffic on tracks embedded within existing city streets and on
tracks dedicated exclusively for streetcar use within the PE ROW.
Streetcar C (4th Street /3rd Street) - Modern streetcar line between SARTC and Harbor
Boulevard traversing Fourth Street /Santa Ana Boulevard and the PE ROW with a 4th Street
and 3rd Street couplet through the downtown area. Streetcars would operate in mixed
flow traffic on tracks embedded within existing city streets and on tracks dedicated
exclusively for streetcar use within the PE ROW.
f a
Initial screening was performed to identify which of the conceptual alternatives best
satisfied the Purpose and Need and project goals and objectives and appeared to be most
feasible.
LPA Decision Report
July 2014
55C -34
2.51 Page
Initial Screening Criteria. Five screening criteria that relate directly to the Purpose and
Need and the study goals and objectives were identified for use in stage 2A of the initial
screening process:
1 . Accessibility and livability
2. Economic development, transit supportive land uses and community goals
3. Environmental responsibility and sustainability
4. Travel benefits, choice and reliability
5. Cost effectiveness and financial feasibility
Measures of effectiveness were developed for each of the screening criteria to differentiate
among alternatives (see Table 2 -1) and to measure and compare their performance. The
performance measures also include evaluation criteria adopted by the OCTA Board of
Directors for the Go Local program and criteria from FTA's New Starts /Small Starts
program.
Table 2 -1: Initial Screening Criteria and Measures of Effectiveness
SCREENING CRITERIA
MEASURES OF EFFECTIVENESS
1. Accessibility /Livability
Number of direct connections to (within one block of)
designated transfer points /transit nodes
Number of new transit connections /a/
Number of residents within 1/2 mile walking distance of
proposed alignment
Number of employees within 1/2 mile walking distance of
proposed alignment
Percentage of designated activity centers or medium -to -high
density residential areas within 3 blocks of proposed station
Degree to which alternative promotes the U.S. Livable
Communities Committee's Principals of Livability
2. Economic Development,
Transit Supportive Land Use
and Community Goals
Number of "high opportunity areas" for development/
redevelopment within 1/2 mile of alignment
Qualitative assessment of the transit supportiveness of land
uses served by the proposed project /a/
Potential impacts to physical character of community including
physical scale, visual fit
3. Environmental Responsibility
and Sustainability
Number of environmental issue areas with potentially
significant impacts
Amount of additional ROW required
4. Travel Benefits, Choice and
Reliability
Service- proven technology /a/
Station /stop spacing
Transit vehicle capacity
Qualitative assessment of ease of use and "understandability"
LPA Decision Report
July 2014
55C -35
2.61 Page
5. Cost Effectiveness and Will be perceived by potential investors /developers as
Financial Feasibility significant long -term public investment
LCapital cost estimate
)ital cost estimate per mile
/a/ Measure included in the OCTA Board - approved Go Local Program Evaluation Criteria & FTA's New
Starts /Small Starts program.
The initial screening process consisted of two stages — an early qualitative analysis of the
conceptual alternatives resulting in the screening of route options; and, a subsequent
quantitative analysis of the conceptual alternatives resulting in the screening of technology
options.
Stage 2A Initial Screening Results. The streetcar alternatives along Santa Ana
Boulevard /4th Street and Brown Street /Santa Ana Boulevard /5th Street performed best
overall due in large part to how well they addressed accessibility and livability and
supported economic development, transit supportive land use and community goals. Of
the BRT options, the alternative along Santa Ana Boulevard /5th Street also performed well
in terms of accessibility and livability and economic development, transit supportive land
use and community goals.
After careful review and consideration of the stage 2A initial screening results, it was
determined that the following alternatives would be carried forward for further study:
• Streetcar Alternative — Santa Ana Boulevard /4t" Street;
• Streetcar Alternative — Brown Street /Santa Ana Boulevard /Civic Center Drive /5`"
Street; and
• BRT Alternative — Santa Ana Boulevard /51h Street.
Stage 2B Initial Screening Results. The stage 2B initial screening used the five original
project goals and objectives to directly compare the remaining three conceptual
alternatives. Community supportiveness was also considered. Valuable quantitative data
that was not available at the time of the stage 2A initial screening was incorporated into
the analysis and used to screen technology options.
The streetcar alternatives along Santa Ana Boulevard /4" Street and Brown Street /Santa
Ana Boulevard /Civic Center /51" Street performed best overall because they satisfied all five
project goals used as criteria to compare alternatives. Alternatively, the BRT alternative
along Santa Ana Boulevard /51h Street only met four of five project goals and objectives. In
addition, project stakeholders and the general public were not as supportive of the BRT
mode as they were of the modern streetcar.
LPA Decision Report
July 2014
55C -36
2 -7I Page
After careful review and consideration of the Stage 2B initial screening results, it was
determined that the BRT Alternative would be eliminated from further consideration
because it was projected to carry significantly fewer riders than the streetcar alternatives,
which coupled with a substantial capital and annual 0 &M costs, would make the
alternative less cost effective in terms of both capital and O &M costs per rider.
Therefore, the remaining conceptual alternatives included:
• Streetcar Alternative Brown Street /Santa Ana Boulevard /Civic Center /5`" Street; and
• Streetcar Alternative Santa Ana Boulevard /41" Street.
A detailed technical evaluation was performed on the reduced set of alternatives resulting
from the initial screening. The reduced set of alternatives included the following:
TSM Alternative. Consistent with FTA guidelines, the TSM Alternative enhances the mobility
of existing transportation facilities and the transit network without construction of major new
transportation facilities or significant, costly physical capacity improvements. It, therefore,
emphasizes low cost (i.e., small physical) improvements and operational efficiencies such as
focused traffic engineering actions, expanded bus service, and improved access to transit
services. Figure 2 -3 is a map of the proposed routes for the TSM bus network
enhancements. Included within the TSM Alternative are modifications and enhancements to
selected bus routes in the Study Area; intersection /signal improvements; and bus stop
amenity upgrades. The TSM Alternative would provide increased transit operations and
service levels along roadways within the Study Area which currently support fixed route bus
transit.
Streetcar Alternative 1. To connect the City of Garden Grove with SARTC in Santa Ana,
Streetcar Alternative 1 would utilize the PE ROW, an abandoned and vacant rail right -of-
way owned by OCTA, through the western half of its alignment and generally operate
along Santa Ana Boulevard, and 4t' Street on the way to SARTC. The 4.2 -mile alignment
for Streetcar Alternative 1 would include 12 stations. Figure 2 -4 shows the alignment and
the station locations for Streetcar Alternative 1 . It is anticipated that the streetcar system
would operate seven days a week with 10- minute headways during peak periods and 15-
minute headways during off -peak periods. The streetcars would be electrically powered
using an overhead contact system and a series of Traction Power Substations (TPSSs)
located intermittently along the alignment.
In Streetcar Alternative
1, the Downtown
segment features couplet operations
with the
westbound streetcar alignment
on Santa
Ana Boulevard, and the eastbound
streetcar
alignment on 4t" Street.
For the eastbound
transition from Santa Ana Boulevard to 4"
Street, a direct route
would be provided
from Santa Ana Boulevard along
a public
easement on the
southern edge
of Sasscer Park to 4"
Street.
LPA Decision Report
July 2014
55C -37
2.8 1 Page
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Streetcar Alternative 2. Streetcar Alternative 2 would also utilize the PE ROW through the
western half of its alignment and substantially operate along Santa Ana Boulevard, Civic
Center Drive, and 51h Street along the eastern half of the alignment to SARTC. The
operational characteristic of this alternative are identical to Streetcar Alternative 1. The
differences between the two streetcar alternatives are the alignment and the fact that
Streetcar Alternative 2 would have one additional station for a total of 13. Figure 2 -5
shows the alignment and the station locations for Streetcar Alternative 2.
The Streetcar Alternative 2 alignment travels westbound through the Civic Center along
Civic Center Drive between Spurgeon and Flower Streets. As part of the City of Santa
Ana's Complete Streets Program, bicycle lanes are proposed for Civic Center Drive.
Streetcar Alternative 2 would acquire additional right -of -way to accommodate the bicycle
lane.
These three alternatives were also subjected to a full environmental benefits and impacts
analysis which is documented in the EA/DEIR. An overview of the environmental process
and a summary of the findings will be presented in the next section; additional detail is
available in the EA/DEIR document.
Each of the Streetcar Alternatives had Design Options to address specific features of their
specific routes. An initial screening identified clear advantages or disadvantages for some
of the options under consideration, resulting in a recommendation of the options to be
carried forward for further study. Two of the elements for which design options were
identified are sufficiently complex that, while the technical analysis and evaluation of these
options provided useful information in considering the advantages and disadvantages of
each, the analysis conducted as part of the environmental review process and the
accompanying public comment is needed to support the selection of the preferred option.
The two elements requiring additional analysis of their design options are the Operations
and Maintenance Facility Site options and the scenarios to address the diagonal on- street
parking along 4th Street.
2.4.1 Operations and Maintenance Facility Site Options
Two sites have been proposed as possible candidate locations for the streetcar operations
and maintenance facility (see Figure 2 -6). Site A is located south of SARTC at the corner
of Santiago Street and 6th Street. The 2.2 acre site is currently being used as a material
recovery /disposal transfer station. Site B is located between 5th Street and the PE ROW,
west of Raitt Street. This 2.4 -acre rectangular site is comprised of three parcels. A
materials reclamation /recycling facility is on the two eastern parcels. The western -most
parcel has several residences. All three parcels are zoned "Industrial ".
LPA Decision Report
July 2014
55C -40
2.11 1 Page
This page left blank intentionally.
55C -41
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Both sites were evaluated based on Community Support for their conversion to use as an
O &M Facility, Right -of -Way Required, Environmental Tradeoffs, Noise and Vibration, Ease
of Transit Operations and Capital Cost.
Site A is slightly smaller than Site B and irregularly shaped, making the ease of operations
somewhat less than with Site B. Site A is also more expensive than Site B. Site A offers
some advantages in terms of environmental tradeoffs. It would not result in the
displacement of any residents. It also would not create additional noise compared to
existing conditions and may in fact reduce noise somewhat. It was anticipated that the
environmental review process and accompanying public comment would further discern
the relative advantages and disadvantages of each of these options and support the
selection of the preferred option. Through this process, Site B was identified as offering
better options for future system expansion into Garden Grove because of its location in the
western portion of the alignment and its size compared to Site A.
2.4.2 4t' Street Parking Scenarios
The Streetcar 1 alignment would utilize 4`h Street between Ross Street and Mortimer
Street in the westbound direction. From east of Ross Street to French Street, 4'" Street has
one travel lane in each direction with head -in diagonal parking along each side of the
roadway. The diagonal parking, with vehicles exiting parking spaces by backing into the
travel lane, is incompatible with reliable streetcar operations. Three design options were
identified to address the diagonal parking on 4'h Street, shown previously on Figure 2 -7 and
described below:
• Scenario A: Convert the diagonal parking along the south side of 4`h Street to
parallel parking and widen the sidewalk along the south side from 12 feet to 20
feet.
• Scenario B: Remove the diagonal parking along the south side of 4`h Street and
widen the sidewalk along the south side from 12 feet to 28 feet.
• Scenario C: Remove the diagonal parking along both sides of 4 " Street and widen
the sidewalks along both sides from 12 feet to 28 feet. In this option, only the
parking removal and sidewalk widening along the south side would be included in
the cost of the project since the streetcar will only operate on the south side
(eastbound direction) of the street. The City of Santa Ana would pursue alternative
funding to construct the improvements to the north side.
The three scenarios to address the diagonal parking along 4"' Street were evaluated based
on Community Support for the scenario, Environmental Tradeoffs, impacts to
Traffic /Circulation, Parking, and Bicycle /Pedestrian Facilities, Construction Impacts
(temporary), Ease of Transit Operations and Capital Cost.
LPA Decision Report
July 2014
55C -44
2.14 1 Page
The Detailed Evaluation of Alternatives found that, overall, the technical and operational
benefits of removing all of the on- street parking along 4`" Street between Ross Street and
French Street and widening the sidewalks (Scenario C) are greater than under the two
Figure 2 -7; 4th Street Parking Scenarios
A45,
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_ EXIST EXIST IXIST TRAVEL PARKING SIDEWALK
SIDEWALK PARKING TRAVEL LANE LANE LANE
flR'
NORTH SIDE OF 4TH STREET SOUTH SIDE OF 4TH STREET
4th Street Parking Scenario A: Convert Parking along South Side to
Parallel and Widen Southern Sidewalk to 20 Feet
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SIDEWALK PARKING TRAVEL IANE 88�LANE SIDEWALK
NORTH SIDE OF 4TH STREET SOUTH SIDE OF 4TH STREET
4th Street Parking Scenario B: Remove Parking along South Side and
Widen Southern Sidewalk to 28 Feet
en�sr
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28' R' AVEL
PIiOPOSED SIDEWALK EXI51' tRAYEL J PROPOSED SIDEWALK
_.�..,.. _...m_ _.... ..�.. N
_ TRAVEL LANE 80_ LANE
_ _
'NORTH SIDEOF4THSTREET .� SOUTH SIDE OF 4TH STREET
4th Street Parking Scenario C: Remove Parking along South Side and
North Side and Widen Sidewalks to 28 Feet
LPA Decision Report
July 2014
55C -45
2.15 1 Page
scenarios that only reduce or remove some of the parking. Scenario C would enhance the
pedestrian character of 4th Street to the benefit of restaurants, cafes, shops and other
adjacent businesses. Traffic flow along 4`h Street would be improved, allowing for more
reliable streetcar operations and reduced potential for conflicts between automobiles and
streetcars. Although approximately 132 on- street parking spaces would be eliminated
under Scenario C, there is adequate parking available in nearby parking structures located
just off and accessible from 4th Street. However, during environmental review process and
accompanying public comment there was opposition expressed by adjacent businesses to
the removal of parking along 4`h Street and the potential impact to their businesses.
� • r u � �, t " � r,
The screening criteria used to evaluate the Project Alternatives relate directly to the
Purpose and Need and the goals and objectives for the Project, and they are similar with
those used in the first stage of the initial screening. The measures of effectiveness
identified for each criterion, presented in Table 2 -2, were refined for the Detailed
Evaluation to better highlight the distinguishing characteristics of each of the Project
Alternatives.
Table 2 -2: Detailed Evaluation Criteria and Measures of Effectiveness
SCREENING CRITERIA
MEASURES OF EFFECTIVENESS
Number of transit- dependent households within A mile
Accessibility /Livability
of the alignment
Ridership
Assessment of the transit supportiveness of land uses
Economic Development, Transit
served by the project
Supportive Land Use and Community
Assessment of economic development opportunities of
Goals
parcels served by the project
Community Support
Environmental Responsibility and
Amount of right-of-way required
Sustainability
Environmental tradeoffs
Travel Benefits, Choice and
Reliability
Customer service (route travel times between 0 D pairs)
Capital cost estimate
Capital cost per route mile
I - - ---
Cost and Financial Feasibility
---- - -- -- - - - - -- - - - -- -- --
Estimated annualized operating cost
Estimated operating cost per hour
LPA Decision Raport
July 2014
55C -46
2.16 1 Page
The following summarizes the results of applying the criteria and measures of effectiveness
to the reduced set of alternatives for the Santa Ana - Garden Grove Fixed Guideway
Corridor. A more detailed description of the detailed evaluation in provided in the
Alternatives Analysis Report (April 2014). Table 2 -3 summarizes the results of the results
of comparing each of the alternatives to the technical criteria and then ranking the
alternatives based on the results of the comparison.
Table 2 -3: Ranking of Alternatives Based on Detailed Evaluation Results
*For purposes of comparison to the Streetcar Alternatives, the Annualized Operating Cost for TSM includes
only the SARTC -to- Harbor route.
LPA Decision Report
July 2014
55C -47
2.171 Page
STREETCAR
STREETCAR
CRITERIA ( MEASURE OF EFFECTIVENESS
TSM
ALTERNATIVE 1
ALTERNATIVE 2
1.
ACCESSIBILITY AND LIVABILITY
No. of transit - dependent households within
1A
1/4 mile walking distance of proposed
3
1
2
alignment
1 B
No. of daily riders (average weekday
2
1
3
boardin s)
2
_
ECONOMIC DEVELOPMENT, TRANSIT SUPPORTIVE LAND USE AND COMMUNITY
GOALS
Assessment of the transit supportiveness
_
2A
of land uses served by the proposed
2
1
3
alignment
Assessment of the economic development
213
potential of land uses served by the
3
1
2
ro osed alignment._
2C
Community support
TBD
--
3.
--- - - -- -- - - - - - -- -------------------------
ENVIRONMENTAL RESPONSIBILITY
3A
Amount of additional right -of -way require
2 3
3B
Environmental Tradeoffs 1
2 3
4.
TRAVEL BENEFITS, CHOICE AND RELIABILITY
4A
Customer service (travel times between 0- 2 1 3
D pairs) _ _
4B
Number of daily riders (average weekday 2 1 3
_
boardin s)
_
6
EFFECTIVENESS AND FINANCIAL FEASIBILITY
_
5A
_COST
Con_ s_ tructability /eas_e_of_construction
1
2
513
Capital cost
1
2
__3 _
3
_ _
cost per route mile
1
2
3
__5C
5D
_Capital
Annualized operating cost*
1
_
2
3
5E
Operating hour
2
2
_cost _per
OVERALL RANKING
2
1
_
3
*For purposes of comparison to the Streetcar Alternatives, the Annualized Operating Cost for TSM includes
only the SARTC -to- Harbor route.
LPA Decision Report
July 2014
55C -47
2.171 Page
2.7 Conclusions and Tradeoffs among Alternatives
Streetcar Alternative 1 was ranked first in all MOEs included in Accessibility and Livability
because it served the greatest number of transit dependent households and was estimated
to have the highest daily ridership of the three alternatives. It ranked the highest among
the alternatives on Economic Development, Transit Supportive Land Use and Community
Goals. The existing land uses along the eastern portion of the Streetcar Alternative 1
alignment provide the densities and development patterns to support a high capacity transit
system. Adopted land use plans that cover the Streetcar Alternative 1 alignment support
and encourage the types of development /redevelopment likely to occur in conjunction with
high capacity and transit, and existing development patterns provide opportunity for such
development /redevelopment to occur. Streetcar Alternative 1 effectively serves key
destinations within the corridor area, ranking it first in Travel Benefit, Choice and
Reliability.
The TSM alternative ranked first among the alternatives in Environmental Responsibility.
Because it does not include substantial new construction, it does not require acquisition of
right -of -way, nor does it adversely affect any conditions in the environment compared to
the No Build Alternative.
In terms of Cost Effectiveness and Financial Feasibility, the TSM Alternative ranked first for
constructability /ease of construction because of the very limited amount of construction
likely to occur under this alternative. It has the lowest capital cost of the alternatives, and
therefore the lowest cost per route mile.
Streetcar Alternative 1 ranked second in terms of constructability /ease of construction, and
capital cost. It was estimated to be less expensive than Streetcar Alternative 2 primarily
because of its shorter route length. Streetcar Alternative 1 ranked first in terms of annual
operating cost and second on operating costs per hour. The TSM Alternative includes
considerably greater number of revenue hours than Streetcar Alternative 1 or 2, although
the cost per revenue hour for the TSM Alternative was less than for the Streetcar
Alternatives.
Overall, Streetcar Alternative 1 ranked first among the alternatives based on the technical
evaluation.
LPA Decision Report
July 2014
55C -48
2.181 Page
This page left blank intentionally.
55C -49
This EA /DEIR was prepared to meet the requirements of NEPA and CEQA. As required by
these laws, the environmental review process must be completed before the proposed project
can be approved by the City of Santa Ana (acting as the lead agency for Santa Ana and
Garden Grove) and the FTA. Meaningful public engagement was an important component of
the SA -GG Fixed Guideway Project from the start. Well before any key decisions were made,
the City of Santa Ana initiated a public scoping process to help define the appropriate range
of issues to be addressed in the EA /DEIR. Four scoping meetings were conducted for the
general public between June 8 and June 12, 2010. Two of these meetings were scheduled
in the evening, one meeting was scheduled in the morning and one meeting was scheduled
on a Saturday afternoon, providing those community members who could not attend any of
the weekday evening meetings with an opportunity to participate. Public comment
opportunities were made available at each meeting. It should also be noted that articles and
advertisements were published in a number of local newspapers, including several non - English
publications. All information materials were presented in English as well as Spanish.
The alternatives identified for evaluation in this EA /DEIR were based on public comments
as well as technical analyses, as detailed in the AA Report (under separate cover and
available by request or on the City's website at http://www.ci.santa -
ana.ca.us/transitvision). Following receipt of public comments on the EA /DEIR, the Santa
Ana and Garden Grove City Councils will select an LPA for the Fixed Guideway Project.
Their decision will be based on a combination of environmental impacts, community input,
cost, ridership and economic development considerations brought to light through the
EA /DEIR, AA, and public review process. Subsequent to the City actions, the LPA will be
presented to the OCTA Board of Directors. If necessary to address comments received
during the environmental public review, additional engineering may be performed to refine
the conceptual design of the LPA prior to presentation to the City Councils. If a hybrid
alternative which results in changes outside the envelope of environmental effect is
selected, then an environmental re- evaluation may be needed.
2AILTEMMEML 1
Table 3 -1 summarizes the potential adverse effects associated with the implementation of
Streetcar Alternatives 1 and 2. No impacts would occur from the implementation of the
TSM Alternative. The information presented in Table 4 -1 is a summary of the analysis
contained in the EA /DEIR.
Adverse effects associated with hazardous materials, operational noise (moderate), safety,
and construction air quality are anticipated to occur prior to incorporation of mitigation
measures (CEQA only). Each of these adverse effects would result from implementation of
Streetcar Alternatives 1 and 2. Mitigation measures would eliminate the adverse effects
associated with hazardous materials and safety. Moderate effects associated with
LPA Decision Report
July 2D 14
55C -50
3.1 I Page
operational noise and identified in the EA /DEIR would remain after the implementation of
mitigation, however these effects would not be considered adverse. In addition, significant
construction air quality impacts under CEQA would remain after the implementation of
Mitigation; however, it should be noted that construction - related air quality impacts would
be temporary and not adverse under NEPA after the implementation of mitigation. No
adverse effects were identified for the TSM Alternative.
In addition to mitigation measures, design features and best management practices have
been incorporated into the proposed project. These include a Traffic Management Plan, a
Noise and Vibration Control Plan, and a number of features to manage water quality. Refer
to Chapter 3.0 of the EA /DEIR for detailed discussions of these features and best
management practices.
LPA Decision Report
July 2014
55C -51
3 2 1 Page
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55C -57
• A Transportation Management Plan.
• Best management practices to ensure safety and security, access for emergency
vehicles, reduce surface runoff and water pollution, noise, erosion, and minimize
construction effects.
Stakeholder, agency, and community coordination will be required during advanced
design, including but not limited to the following:
• Coordination with the United States Army Corps of Engineers, Santa Ana Regional
Water Quality Control Board, Orange County Department of Public Works, and Orange
County Parks to minimize impacts at the Santa Ana River crossing.
• Coordination with the Santa Ana Unified School District and Santa Ana Police
Department regarding safety at schools adjacent to the alignment.
• Coordination with security personnel at the Ronald Reagan Federal Building and United
States Courthouse.
L P A Decision Report
July 2014
55C -58
3.81 Page
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55C -59
t1 '1C
4.1 Summary of Outreach Efforts
Meaningful public engagement was an important component of the Santa Ana - Garden
Grove Fixed Guideway Project from the start. Well before any key decisions were made,
the cities initiated a dialogue with the community (residents, businesses and interested
public agencies), and a public scoping process to help define the appropriate range of
issues to be addressed in the Alternatives Analysis (AA), Draft Environment Impact Report
(DEIR) and Environmental Assessment (EA).
Although not required by state or federal regulations, the cities have continued to share
information with and seek input from the community, elected officials, and key
stakeholders throughout the study process through meetings, dissemination of
informational materials, a project website, and a project information line in support of the
following public outreach goals:
• Use an inclusive outreach strategy that maximizes input from a broad range of
project stakeholders;
• Provide forums for meaningful participation; and
• Create multiple opportunities for generation of ideas and comments.
In addition to the cities of Santa Ana and Garden Grove, the FTA and OCTA have
participated in the Project.
4.1.1 Stakeholder Working Group
As part of the public outreach strategy, a Stakeholders Working Group (SWG) was created
at the outset of the project to provide an opportunity for dialogue between the project
team and individual stakeholders that represent key constituencies and /or organizations
throughout the Study Area, including: local, County, State, and federal elected and
appointed officials; public agencies /officials; neighborhood councils, homeowners
associations, and community councils; business and labor associations and groups;
representatives of retail and employment centers; representatives of educational, cultural,
religious, and health care institutions; transit advocacy and environmental groups; and
individuals who live, work, and travel in the Study Area.
SWG members were charged with taking information back to their organizations, collecting
feedback, and working with other members of the SWG in the spirit of cooperation to build
consensus. As a sign of their strong interest in the Project, SWG members agreed to
remain involved for the duration of the environmental phase of the Project.
L P A D a c i s i a n Report
July 7.014
55C -60
4 'I 1 Page
Five Stakeholder Working Group Meetings were held at key decision points in the planning
process from project kick -off through the identification of the reduced set of alternatives
and the initiation of the preparation of the EA/DEIR.
42 Pre - Scoping Activities
Between August 2009 and June 2010, the cities of Santa Ana and Garden Grove, in
cooperation with OCTA, conducted three pre - Scoping meetings for the Santa Ana - Garden
Grove Fixed Guideway Project in support of the Alternatives Analysis and in preparation for
the public Scoping process. The public meetings included a City Council Workshop, and
two Community Listening Sessions. The meeting locations were selected based on
geographic location and recommendations from the Stakeholders Working Group. To
facilitate community participation, meetings were scheduled at different times throughout
the day.
The first Stakeholder Working Group meeting was held on January 26, 2010. Members
were provided an introduction to the project and the environmental process. In addition,
the proposed format and content for the Community Listening Sessions were discussed
and members were asked to help publicize the Community Listening Sessions and to
encourage attendance at them.
The two Community Listening Sessions were conducted several months in advance of
formal public scoping to gain community input on the project purpose and need,
alternatives, and evaluation criteria, to introduce the environmental review process, and to
identify special environmental /community concerns that may need to be addressed as part
of the alternative analysis process. They were conducted utilizing an open house format
that allowed participants to drop by at their convenience. Project team members were on
hand to walk attendees through a series of information boards, answer questions, and
receive feedback. Information was provided in English and Spanish. Comment sheets were
also available for attendees to complete or mail back.
The following provides a brief summary of the comments received during the community
listening sessions:
General Comments
• Excitement towards a new transit system being developed
• Concern related to neighborhood impacts in residential areas and near schools
• Support for an environmentally friendly and safe system
Comments Regarding Technology Options
• Lack of interest in traditional bus or trolleybus service
• One comment in support of Bus Rapid Transit
• One comment in support of Personal Rapid Transit (PRT)
• Strong support for a streetcar or light rail system
LPA Decision Report
July 2014
55C -61
4.2 1 Page
• No support for monorail, low speed mag -lev, commuter rail or subway
Comments Regarding Alignment Options
• No comments received
Along with Purpose and Need, the public comments received during the Pre - Scoping period
helped to guide the preliminary definition of alternatives and preliminary screening process.
mms t
The Public Scoping Period for the Santa Ana - Garden Grove Fixed Guideway Project began
on May 24, 2010 with publication of the Notice of Preparation by the State Clearinghouse,
as noted below, and concluded on June 21, 2010.
On June 3, 2010, the Stakeholders Working Group reconvened. The project team
previewed and accepted comments on the information that had been prepared for the
public scoping meetings, announced the public scoping meeting dates, times and locations,
and encouraged member assistance in sharing scoping meeting information with
community members.
Four Public Scoping Meetings were held between June 8 and June 14, 2010 in accordance
with the requirements of CEQA. Several methods were used to notify the public about the
scoping meetings. The scoping meetings were publicized via publication of the NOP by the
State Clearinghouse, mailings, door -to -door business walks, meeting notices posted and
handed out at SARTC, electronic notices to the SWG and Com -Link, project factsheets, a
press release, the project website, and display advertisements in local English and Spanish
language newspapers.
The Public Scoping Meetings enabled stakeholders and the general public to officially
comment on the scope of the environmental documents, potential environmental impacts
and issues that should be evaluated in the Draft Environmental Impact Report (EIR), and to
provide feedback on the technology and alignment alternatives being proposed for the
Fixed Guideway Project.
The cities of Santa Ana and Garden Grove accepted written and oral comments throughout
the scoping period, from May 24, 2010 until June 21, 2010. All comments were recorded
and kept on file at the City of Santa Ana Public Works Department and are included in the
Santa Ana and Garden Grove Fixed Guideway Draft Environmental Impact Report.
Although community participation in the Public Scoping Meetings was fairly low, the
comments received generally indicated support for the proposed Project. Residents who
participated had questions about how the proposed Project would impact their immediate
neighborhoods. Likewise, business owners along the proposed alignments expressed
concern about how their businesses would be impacted, especially during the construction
phase.
LPA Decision Report
July 2014
55C -62
4.31 Page
In addition to the public scoping meetings, an interagency scoping meeting was held on
June 9, 2010 with representatives from participating agencies, coordinating agencies, and
interested agencies. Seven agencies attended the Interagency Scoping Meeting on June 9,
2010. The comments received that day were:
• Consider using First Street for the east -west transit alignment in lieu of 4`h
Street
• Address bicycle and pedestrian issues in the vicinity of the Pacific Electric Santa
Ana River Bridge
• Follow the guidelines that need to be considered when siting new transportation
infrastructure in close proximity to major federal buildings located within the
Civic Center complex
Six agencies submitted comment letters during the public scoping period including County
of Orange public Works, County of Orange Sheriff - Coroner, Caltrans District 12,
Department of Toxic Substances Control, California Energy Commission, and the California
public Utilities Commission.
During the preparation of the Alternatives Analysis and in support of the selection of an
LPA, the City of Santa Ana conducted a door -to -door survey of approximately 234
businesses in the Downtown area. They spoke to available representatives to gauge
awareness of the project and to solicit input. Approximately 50 businesses expressed an
opinion about the project. Sixty -two percent (62 %) said they support the project, twenty -
eight percent (28 %) said they were neutral, and ten percent (10 %) said they opposed the
project. Many of the 4`h Street business owners, while acknowledging support for the
project, expressed concern about potential impacts of construction and parking removal on
their businesses, with some expressing opposition to the 4`" Street alignment.
The survey concluded that despite the concerns raised, businesses in Downtown see the
potential the project holds for the downtown and hope that it brings back customers and
improves mobility.
The Public Review Period for the Santa Ana - Garden Grove Fixed Guideway EA /DEIR began
on May 23, 2014 with filing of the Notice of Availability with the State Clearinghouse, and
the Orange County Clerk's Office, and concluded on July 7, 2104. Activities during this
period included:
• Update of the City of Santa Ana website to incorporate the most current
information regarding the project.
LPA Decision Report
July 2014
55C -63
4-4 1 Page
• Posting copies of the environmental documents at locations throughout the
study area and on the City's website,
• Notifying residents, property owners and businesses within 500 feet of the
project alignments of the availability of the environmental document, the
scheduled public reviews meetings and ways to submit comment. Notifications
were provided in English, Spanish and Vietnamese.
• Notifying the broader community through flyers at key activity centers (in
English, Spanish and Vietnamese) and press releases in community newspapers
about the availability of the document, the meetings and methods for submitting
comments,
• Advising the city councils of Garden Grove and Santa Ana, and the OCTA Board
of the environmental document release and planned public meetings
• Hosting three public meetings that provided information about the project, and
opportunities for attendees to have their comments recorded by court reporters
or accepted in writing.
4.5.1 Public Review Meeting Notification
Several methods were used to notify the public about the availability of the EA /DEIR and
the scheduled Public Review Meetings,
Notification Database
A database of approximately 3,800 resident and business addresses near the proposed
Project corridor was assembled by the cities of Santa Ana and Garden Grove; it
encompassed all properties within a 500 -foot radius of the proposed corridor.
Noticing
The NOA for the Santa Ana - Garden Grove Fixed Guideway Project was published by the
State Clearinghouse on May 23, 2014 (SCH # 2010051060). In addition, copies of the
meeting notice were posted at the Santa Ana and Garden Grove City Hall information
desks and Public Works Department information counters, and at other gathering places
throughout the corridor.
Mailings
To notify the public of the availability of the EA /DEIR, where a copy might be viewed and
that three Public Review Meetings had been scheduled, notices were mailed to every
address in the notification database. The mailings were in English, Spanish and
Vietnamese.
Interagency Notification
LPA Decision Report
July 2014
55C -64
4.51 Page
In addition to the Notice of Availability published by the State Clearinghouse, emails were sent to known
contacts of agencies with a potential interest in the project or with resources in the project Study Area,
notifying them of the availability of the environment document, inviting them to attend the public
review meetings, and to submit any comments they may have on the document. The following agencies
were contacted directly via e-mail:
• U.S. Fish and Wildlife Service, Carlsbad Office
• U.S. Army Corps of Engineers, Los Angeles District
• U.S. Environmental Protection Agency, Southern California Field Office, Region
IX
• Caltrans, District 12
• California Department of Fish and Game, Region 5
• California Regional Water Quality Control Board, Region 8
• California Public Utilities Commission, Los Angeles Office
• Southern California Regional Rail Authority
• Southern California Association of Governments
• South Coast Air Quality Management District
• Office of Historic Preservation /California Department of Parks, Sacramento
• Orange County Transportation Authority
• County of Orange
• City of Santa Ana
• City of Garden Grove
• City of Costa Mesa
• City of Fountain Valley
• City of Orange
• City of Irvine
• City of Tustin
• City of Westminster
• Amtrak, Oakland Office
• Pacific Bell
• Southern California Edison, Santa Ana Office
• Southern California Gas Company, Orange County Division
Electronic Notices
Electronic notices were sent to all members of the Stakeholders Working Group as well as
the City of Santa Ana's Com -Link database, which includes more than 60 Santa Ana
neighborhood associations. Electronic notices were also sent to public agencies with an
interest in the project, notifying them of the availability of the EA/DEIR for review, and the
scheduled meetings.
LPA Decision Report
July 2014
55C -65
4.61 Page
Praec RP.IP.ACP.
A press releases for the public review meetings was distributed to The Orange County
Register reporters Alejandra Molina and Theresa Cisneros, and Unidos (Spanish language
weekly of the Orange County Register) report Laura Bucio. The press release was also
provided to Sandra Cervantes of Miniondas.
Project Website
The project website, www.santaanatransitvision.com , which had been established at the
outset of the project, was updated to include the most recent information regarding the
Project. The EA /DEIR and the Alternatives Analysis Report were posted to the website in
addition to the various physical locations throughout the Study Area. In addition, the City
of Garden Grove, and OCTA posted information about the proposed Project and the public
review meetings on their websites.
Newspaper Legal Notices
A legal notice was published in the OC Reporter on Friday, May 23, 2014. At least two
weeks prior to the first meeting date, meeting notices were also placed in the City Halls of
both Santa Ana and Garden Grove, on the cities' websites, www.santa - ana.org and
www.ci.garden- grove.ca.us, in all of the City of Santa Ana community centers, and in the
public libraries.
EA /DEIR Document Posting
The copies of the EA /DEIR were available at the following locations:
• Santa Ana City Hall City Clerk's Office
• Santa Ana City Hall Public Works Counter
• Santa Ana Public Library
• Salgado Center, Rosita Park
• Santa Ana Regional Transportation Center (SARTC)
• Orange County Transportation Authority (OCTA)
• Garden Grove City Hall Engineering Counter.
Between June 14 and June 19, 2014, the cities of Santa Ana and Garden Grove, in
coordination with OCTA, conducted three Public Review Meetings for the Santa Ana -
Garden Grove Fixed Guideway EA /DEIR in accordance with the requirements of CEQA. Per
CEQA guidelines, public notice was provided to the community about the release of the
EA /DEIR for public review and comment via issuance of a Notice of Availability (NOA) on
May 23, 2014, initiating the 45 -day Public Review Period.
The Public Review Meetings were conducted at different times of the day to accommodate
the busy schedules of the area residents and to provide different times and opportunities
for them to attend (including a weekend meeting). The dates and locations of the meetings
are listed below:
LPA Decision Report
July 2014
55C -66
4.71 Page
• Saturday, June 14, 2014, 9:00 a.m. — 12:00 p.m. — Garfield Community
Center, 501 N. Lacy
• Tuesday, June 17, 2014, 9:00 a.m. — 12:00 p.m. — Santa Ana Police
Department Community Room, 60 Civic Center Plaza
• Thursday, June 19, 2014, 6:00 p.m. — 9:00 p.m. — Goodwill Industries, 412 N.
Fairview Street.
4.6.1 Public review Meeting Format
The Public Review Meetings provided members of the community forums through which to
comment on the EA /DEIR. The Public Review Meetings combined an open house with a
formal presentation and comment period. Upon arrival of meeting attendees, project team
members were on hand to walk attendees through a series of information boards and
answer questions. Approximately 30 minutes into the meeting schedule, there was a brief
presentation about the project and the planning, environmental review and implementation
processes. Following the presentation, attendees were invited to provide oral comments,
which were recorded by court reporters. Attendees were also advised of additional
opportunities to submit their comments in writing (by mail, fax, or email) and postcards
were provided to them for that purpose.
Display Boards
A total of 10 display boards were used to provide information to the public. Boards
illustrating the various alternatives being considered were placed around the room
providing comprehensive project information. They were divided among five information
stations:
• Meeting Purpose /Agenda
• Locations to Review the EA /DEIR
• Project Alternatives (3 alternatives on separate boards)
• Characteristics of the Streetcar System
• Stations & Vehicles
• Study Process
• Environmental Process
• How to Submit Comments
The display boards were printed in English, with Spanish Vietnamese translations provided
for each board. Native speakers of each language were on hand to answer questions and
translate comments. Following the Public Review Meetings, electronic copies of the
boards were posted on the City of Santa Ana website.
Power Point Presentation
The PowerPoint presentation included 23 slides. Some of the slides included the same
information as provided on the boards, with the speaker providing additional, more detailed
information. Information on Project Background, the OCTA Go Local Program of which the
[.PA Decision Report
July 2014
55C -67
4 81 PaIt o
project is a part, and OCTA's vision was provided. Slides also address the alternatives
that had been considered, why streetcar was being studied, how much the project was
estimated to cost and how it might be funded. Slides also described the environmental
review requirements, how the locally preferred alternative would be selected, and what the
next steps and future actions on the project would be. Final slides invited comments and
identified the varied of ways comments could be submitted, and thanked participants for
their interest. The slide presentation was provided simultaneously (three projectors, three
screens) in English, Spanish and Vietnamese. Following the Public Review Meetings, the
PowerPoint presentation was posted on the City of Santa Ana website.
Comment Cards
Comment cards were available at each meeting for attendees who wished to provide
written comments.
Meeting Interpretation /Transcription
Trilingual (English /Spanish /Vietnamese) interpretation services were available at each public
meeting for attendees who preferred to provide oral comments. Transcriptionists were
also at meeting to record the oral comments.
The cities of Santa Ana and Garden Grove accepted written and oral comments throughout
the 45 -day Public Review Period, from May 23, 2014 until July 7, 2014. All comments
were recorded and kept on file at the City of Santa Ana Public Works Department and will
be included in the Santa Ana - Garden Grove Fixed Guideway Environmental
Assessment /Final Environmental Impact Report.
4.7.1 Summary of Public Comments Provided at Public Review Meetings
Approximately 120 to 150 people attended the three Public Review Meetings. Some of
those who attended expressed general support for the project, while others expressed a
preference for a particular alternative. Many participants, particularly the business owners
along 4`" Street in Santa Ana, expressed concern about impacts to their business during
construction.
Following is a summary of comments provided at each of the Public Review Meetings:
Public Review Meeting #1 at Garfield Community Center
Approximately 30 to 40 people attended the Public Review Meeting at Garfield Community
Center. Approximately 6 people provided verbal comments for the record. The comments
generally related to:
• General statements of support for the project
• How community noticing was accomplished
• Whether an Equity Analysis had been performed for the project
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• Concern about potential construction impacts to 4`h Street businesses
• Support for Streetcar Alternative 2
• The physical appearance /attractiveness of the streetcar vehicles
• Safety particularly in proximity to schools along the streetcar route
Public Review Meeting #2 at Santa Ana Police Department Community Room
Public Review Meeting #2 was held on Tuesday, July 17, 2014 from 9:00 a.m. to 12:00
p.m. at the Santa Ana Police Department Community Room. Approximately 40 to 50
people were in attendance. Three people offered public comment for the record at this
meeting. The comments were all in support of the project for various reasons including:
• Potential economic development and jobs that would result
• Landscaping and station area improvements improving overall street attractiveness
Public Review Meeting #3 at Goodwill Industries
The final public meeting was held on Thursday, July 19, 2014 from 6:00 p.m. to 9:00
p.m. at Goodwill Industries at the western end of the study area. There were
approximately 50 to 60 people in attendance at this meeting. Approximately 24 people
asked questions or provided comments that were recorded by the court reporter. The
comments generally consisted of the following:
• Whether an equity analysis had been performed as part of the environmental review
process to address issues of environmental justice.
• Concern about construction impacts and impacts to the historic buildings on 4`h
Street.
• How the streetcar would alter the street for bicyclists
• Concerns about impacts to on- street parking in the area
• Who would use the transit system, whether it was local residents or more regionally
oriented
• What measures would be taken to provide for community safety
• How the project would be funded, and
• How many residents would be displaced.
4.7.2 Summary of Public Comments Received Outside of the Public Review Meetings
A Board Member of Downtown, Inc., representing Downtown and Artists Village
merchants and property owners submitted comments on behalf of their membership.
Downtown, Inc. expressed their strong support for the project and indicated a preference
for Streetcar Alternative 1 so that the route would more closely serve the Downtown and
Artist Village business district.
The Santa Ana Community & Business Coalition (SAC -BA) submitted a letter stating their
opposition the streetcar project on the basis that construction along 4`h Street will severely
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impact 4" Street businesses, and cause residential displacement in the Santa Anita
Neighborhood of Santa Ana. In addition, they indicate opposition to the project for the
following reasons: Lack of inclusion in the planning process; 2. Questionable objectives for
the specified project; 3. Project costs; 4. Disruptive construction, vacant properties,
displacement; and 5. Public safety issues. They further requested that an equity analysis
(which is provided in Section 3.5 of the EA /DEIR) be performed. Along with their letter,
the SAC -BA also included over 180 form letters of opposition, most signed by residents
and representatives of business within the study area, some signed by individuals outside
the study area.
4.7.3 Summary of Public Agency Comments
Three agencies submitted comment letters during the public review period. A brief
summary of each is provided below:
California Department of Transportation (Caltrans)
Caltrans, as a commenting agency on the project, had no comments at this time.
However, in the event of any activity in the Department's right -of -way, they noted that an
encroachment permit would be necessary. They asked to be kept informed of the project
and any future development that might impact State transportation facilities.
California Native American Heritage Commission
The Native American Heritage Commission (NAHC) conveyed their concern for CEQA
compliance with regard to areas of identified archaeological sensitivity, and suggested that
archaeological activity be coordinated with the NAHC and that the final report including
mitigation measures be provided to the NAHC planning department.
United States General Services Administration
The United States General Services Administration (GSA) provided comments on behalf of
the GSA and their Tenant Agencies in the Ronald Reagan Federal Building and Courthouse,
located between 4`" and 5`" Streets, west of Ross Street. The GSA expressed a preference
for Streetcar Alternative 1 and strong objections to Streetcar Alternative 2. Their
objections to Streetcar Alternative 2 were based on security and operational concerns with
the 51" Street alignment.
Santa Ana Historical Preservation Society
The Santa Ana Historical Preservation Society (SAHPS) provided their comments on the
EA /DEIR in a letter dated July 7, 2014. Their primary concern was about potential right -
of -way acquisitions along Civic Center Drive to accommodate the streetcar in Streetcar
Alternative 2 and the planned bike lanes. They also expressed their support for Streetcar
Alternative 1 because they believe it will promote more visitors to Downtown Santa Ana
and reduce current vehicle and parking demands on the existing street system.
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a r r ,,Im, cmnr r
The comments have been considered in recommending the Locally Preferred Alternative
(LPA) for the project, and have been incorporated into the definition of the LPA's physical
and operating characteristics, where appropriate.
Responses will be prepared to all of the comments received through the Court Reporters at
the Public Review Meetings, or in writing (through mail, fax, email or personal delivery)
during the Public Review Period, and incorporated into the Environmental Assessment /Final
Environmental Impact Report (EA /FEIR).
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FAT CI I jj 104111 r7�TrTi�l3iT��I
OW11111FAIl9O
The following describes the criteria, factors and considerations that contributed to the
recommendation of the LPA.
5.1 Results of Detailed Technical Evaluation
As presented in Sections 3.6 and 3.7, the Detailed Evaluation of the Reduced Set of
Alternatives considered how each alternative compared against the criteria and measures
of effectiveness (MOEs) presented previously in Table 3 -2. The criteria included:
• Accessibility and Livability
• Economic Development, Transit Supportive Land Use and Community Goals
• Environmental responsibility
• Travel Benefits, Choice and Reliability, and
• Cost Effectiveness and Financial Feasibility.
Streetcar Alternative 1 ranked number 1 overall in the Detailed Evaluation of Alternatives.
It was ranked first in Accessibility and Livability because it served the greatest number of
transit dependent households and was estimated to have the highest daily ridership of the
three alternatives.
Streetcar Alternative 1 also ranked the highest among the alternatives on Economic
Development, Transit Supportive Land Use and Community Goals. The existing land uses
along the eastern portion of the Streetcar Alternative 1 alignment provide the densities and
development patterns to support a high capacity transit system. Much of the land use
along the eastern portion of the Streetcar Alternative 2 alignment is governmental
/institutional uses and public parking structures, which are unlikely to redevelop in the near
term. Adopted land use plans that cover the streetcar alignment areas support and
encourage the types of development /redevelopment likely to occur in conjunction with high
capacity and transit, and existing development patterns provide opportunity for such
development/ redevelopment to occur. Because of the nature of the types of land uses
along the Streetcar Alternative 2 route, particularly the government offices and
courthouses along the central portion through the Downtown and Civic Center, land use
plans do not anticipate similar levels and types of development /redevelopment along its
alignment.
Streetcar Alternative 1 effectively serves key destinations within the corridor area, ranking
it first in Travel Benefit, Choice and Reliability.
Streetcar Alternative 1 ranked second among the alternatives in Environmental
Responsibility, while TSM ranked first. Because the TSM Alternative does not include
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5.1 1 Page
substantial new construction, it does not require acquisition of right -of -way, nor does it
adversely affect any conditions in the environment compared to the No Build Alternative.
Both Streetcar Alternatives require acquisition of right -of -way (with Streetcar Alternative 2
requiring somewhat more than Streetcar Alternative 1). Because both Streetcar
Alternatives involve new construction, both alternatives will alter conditions in the
environment compared to the No Build Alternative.
The MOEs for Cost Effectiveness and Financial Feasibility in the Alternatives Analysis
included Constructability /Ease of Construction, Capital Cost, Capital Cost per Route Mile,
Annualized Operating Cost, and Operating Cost per Hour. During the environmental review
process, and as part of the public outreach efforts that were undertaken in support of the
environmental review, capital and operating costs for the alternatives were reviewed as
were the Cost Effectiveness MOEs.
The TSM Alternative ranked first for Constructability /Ease of Construction because of the
very limited amount of construction likely to occur under this alternative.
TSM Alternative ranked first in capital cost and capital cost per route mile. However,
although the TSM Alternative is initially less expensive to implement, the busses used in
the TSM Alternative only have a 12 -year life cycle, compared to a 25 to 30 year life cycle
for streetcar vehicles. Also, Streetcar 1 has the lowest annual operating cost. So while
Streetcar Alternative 1 costs considerably more than the TSM Alternative to initially
implement, after 25 years it has cost less than TSM or Streetcar 2 to construct, operate
and maintain. Over a 25 year period, the cost per passenger to construct, maintain and
operate Streetcar Alternative 1 is approximately half that of the TSM alternative.
Table 5 -1 provides a summary of estimated capital and operating costs for each of the
alternatives.
Table 5 -1: Cost Comparison of Alternatives
*Operating Cost of TSM SARTC -to- Harbor route only is $5.1 million; daily ridership is 3,085.
Table 5 -2 shows the results of the detailed evaluation of alternatives. Again, Streetcar
Alternative 1 is ranked first overall with the TSM Alternative ranking second.
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STREETCAR
STREETCAR
TSM
ALTERNATIVE
1 ALTERNATIVE 2
i $197.4 million -
$217.0 million -
Capital Cost
—
$14.5 million
$209.7 million
4 $228.1 million —
Daily Ridership
j 31982
6,090
j 4,752
Operating Cost (Annual)_
-
i 13.3 million
-- - - -
$4
4.9 million
-- ------ - - -
r
'
6.1 million
---
Cost /Passenger
$10.20
$6.59
t$9.59
Cost /Revenue Mile
$13.23_
$14.86-
t
—tI $16.81
Cost /Revenue Hour
$125.70
$187.12
1 $187.12
*Operating Cost of TSM SARTC -to- Harbor route only is $5.1 million; daily ridership is 3,085.
Table 5 -2 shows the results of the detailed evaluation of alternatives. Again, Streetcar
Alternative 1 is ranked first overall with the TSM Alternative ranking second.
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Table 5 -2: Final Alternatives Ranking
CRITERIA I MEASURE OF EFFECTIVENESS
TSM
STREETCAR
ALTERNATIVE 1
STREETCAR
ALTERNATIVE 2
1.
ACCESSIBILITY AND LIVABILITY
1A
1113
No. of transit - dependent households within 1/4 3 1 2
mile walkinkdistance of proposed _alignment —�
No. of daily riders (average weekday boardings) 3 1 2
2•
ECONOMIC DEVELOPMENT, TRANSIT SUPPORTIVE LAND USE AND COMMUNITY GOALS
_
2A
Assessment of the transit supportiveness of
land uses served by the proposed alignment
3
1
_
2
26
Assessment of the economic development
potential of land uses served by the proposed
alignment
3
1
2
2C
Community Support
2
1
1
3.
ENVIRONMENTAL RESPONSIBILITY
3A
3B
Amount of additional right -of -way required 1 2 3 _
Environmental Tradeoffs 2 3
4•
TRAVEL BENEFITS, CHOICE AND RELIABILITY
4A
Customer service (travel times between 0 -D
airs)
2
_
1
3
46
Number of daily riders (average weekday
boardin s)
3
1
2
5.
COST EFFECTIVENESS AND FINANCIAL FEASIBILITY
5A
Constructability /ease of construction
1
2
_
3
56
Capital cost
1
2
3
5C
_
Capital cost per route mile
1
2
_
3
5D
Annualized_ operating cost_
3
1
2
5E
Operating cost per passenger
3
1
_
2
_
_
30
_ _
19
33
OVERALL RANKING
2
1
3
*For purposes of comparison to the Streetcar Alternatives, the Annualized Operating Cost for
TSM includes only the SARTC -to- Harbor route.
5.1.1 Design Options Evaluation Results
O &M Facility Site: As described in Section 2.4.1, two sites were considered for the 0 &M
facility. Based on the results of the detailed evaluation of the two sites it was concluded
that Site A was slightly smaller than Site B and irregularly shaped, making the ease of
operations somewhat less than with Site B. Site A was also more expensive than Site B.
However it offered advantages in terms of environmental tradeoffs. It would not result in
the displacement of any residents. Neither site were estimated to create additional noise
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compared to existing conditions and may in fact reduce noise somewhat, and both sites
were consistent with adopted land use plans and policies of the City of Santa Ana. It was
anticipated that the environmental review process and accompanying public comment
would further discern the relative advantages and disadvantages of each of these options
and support the selection of the preferred option.
There was little public comment or discussion about the 0 &M facility sites during public
review of the EA /DEIR. However, size, location and opportunities for future system
expansion and connectivity were considerations in the limited discussion of the two sites.
Based on the evaluation results and public and agency comment, Site B is identified as the
preferred site for the O &M Facility. It is slightly larger and more regularly shaped than Site
A, providing operational benefits, the ability to house the full range of O &M maintenance
functions, and greater opportunity to accommodate system expansion into Garden Grove
or Anaheim in the future. It is estimated to be less expensive than Site A, and the use of
the site as an O &M facility would be consistent with its industrial zoning designation and
compatible with adjacent and surrounding land uses.
4`h Street Parking Scenario: With implementation of the streetcar on 4`h Street, it is
necessary to eliminate the diagonal parking along the south side of 4`h Street because
automobiles backing out of parking spaces would conflict with streetcar operations. As
described in Section 2.4.2, three Design Options were considered to eliminate the diagonal
parking: a) Replace the diagonal parking along the south side of 4m Street between Ross
and French Streets with parallel parking; widen the sidewalk along the south side from 12
feet to 20 feet; b) Eliminate the parking along the south side of 4`h Street between Ross
and French Streets and widen the sidewalks from 12 feet to 28 feet; and c) Eliminate the
parking along both sides of 4`h Street between Ross and French Streets and widen the
sidewalks on both sides of the street from 12 feet to 28 feet.
During the public review period for the EA /DEIR, there was considerable comment and
concern expressed about the impact of the fixed guideway on on- street parking. In
particular, business owners along 4th Street were concerned about the impact to their
businesses if adjacent on- street parking was eliminated.
4`h Street Parking Scenario A is the preferred option to address the diagonal parking along
4m Street. In Option A, the parking along the south side of 4th Street would be
reconfigured to parallel parking spaces along the south side of 4`h Street between Ross and
French Street. Option A results in the least loss of on- street parking, with a loss of
between 26 and 30 spaces. It provides some traffic operational improvement compared to
the diagonal parking, although less than parking removal. It is less expensive than either
Option B or Option C
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The sidewalks along the south side of the street will be widened from their existing 1 2 -foot
width to approximately 20 feet wide. This will enhance the pedestrian experience and
provide greater flexibility for event - related activities and Downtown businesses to utilize
this space.
An EA /DEIR was prepared for the project to meet the requirements of NEPA and CEQA.
The alternatives identified for evaluation in the EA /DEIR were based on public comments as
well as technical analyses, as detailed in the AA Report.
Table 3 -1, presented previously, summarizes the potential adverse effects associated with
the implementation of Streetcar Alternatives 1 and 2. No impacts would occur from the
implementation of the TSM Alternative.
The EA /DEIR identified that Streetcar Alternatives 1 and 2 would result in adverse effects
associated with hazardous materials, operational noise (moderate), safety, and
construction air quality are anticipated to occur prior to incorporation of mitigation
measures (CEQA only). Mitigation measures would eliminate the adverse effects
associated with hazardous materials and safety. Moderate effects associated with
operational noise would remain after the implementation of mitigation, however these
effects would not be considered adverse. In addition, the EA /DEIR identified that
significant construction air quality impacts under CEQA would remain after the
implementation of mitigation; however, it construction - related air quality impacts would be
temporary and not adverse under NEPA after the implementation of mitigation.
No adverse effects were identified for the TSM Alternative.
Following the completion of the AA and EA /DEIR, there was a 45 -day public review period
for the EA /DEIR conducted between May 23, 2014 and July 7, 2014. During this time,
the public was notified and encouraged to review and provide comments on the EA /DEIR in
compliance with NEPA and CEQA requirements; the AA was also made available. The
following summarizes the comments received during the Public Review Period that are
germane to the selection of the Locally Preferred Alternative.
General community support for a streetcar system: While there were differences of
opinion regarding the route, there was general support for the concept of a streetcar
system connecting SARTC with the City of Garden Grove, through the Downtown and
Civic Center area.
Concern about the duration and potential impacts of construction on local Downtown
businesses: There were several comments from local business owners inquiring about the
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methods and duration of construction and the potential disruption to businesses,
particularly along 4t' Street in Santa Ana.
Concern about loss of on- street parking: Although the streetcar alignments do not
generally require the removal of on- street parking, there are a few locations where some
on- street parking will be removed or reconfigured, most notably along the south side of
Santa Ana Boulevard between Raitt Street and Bristol Street, and along 4`h Street between
Ross Street and French Street. The ENDEIR noted that, particularly along 4`" Street,
alternative parking options are provided by parking structures accessible from 3 ", 4`h and
5" Street. However, residents and business owners accustomed to on- street parking
expressed concerns about the impact of its removal.
Opportunities to stimulate economic development along 51" Street in conjunction with the
streetcar: Some residents and business owners felt that 4th Street was currently an active
commercial corridor and that 5" Street might better benefit from the potential economic
development opportunities created by a streetcar system.
4`h Street versus 5" Street: Considerable and varied input was provided regarding the
preferred location for the streetcar. A group of approximately 180 residents and 4`" Street
business owners in coordination with the Santa Ana Community & Business Alliance
expressed their opposition to the 4'" Street alignment. Downtown, Inc. also representing
businesses and merchants along 4" Street and in the Downtown and Artist Village area
expressed strong support for the 4`" Street alignment and expressed concerns that
Streetcar Alternative 2 (along Santa Ana Boulevard, Civic Center Drive and 5 "' Street) took
the streetcar too far north of key commercial opportunities in Downtown. The U.S. General
Services Administration strongly opposed the 5t' Street alignment because of its proximity
to the Ronald Reagan Federal Build & Courthouse and the main entrance to that building's
parking garage. The Santa Ana Historic Preservation Society expressed it preference for
the 4" Street alignment.
r' r c r
There is strong support from the community for a streetcar system connecting SARTC
with the Downtown and Civic Center areas, continuing west to Garden Grove.
Streetcar Alternative 1 was ranked first in the technical evaluation of the alternatives.
Streetcar Alternative 1 and Streetcar Alternative 2 would have only one significant
environmental impact, a temporary air quality impact during construction.
Streetcar Alternative 2 requires slightly more right -of -way than Streetcar Alternative 1 and
impacts one additional business (Downtown Burger King).
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Streetcar Alternative 1 is estimated to have the highest ridership and serve the greatest
number of transit depended households.
Streetcar Alternative 1 costs less than Streetcar Alternative 2 to construct and operate.
The Streetcar Alternative 1 alignment has the most transit supportive existing land use and
development patterns to support a high capacity transit system.
With the provisions of the Transit Zoning Code considerable additional development
opportunity and potential exists along the Streetcar 1 alignment compared to Streetcar
Alternative 2 which has heavily institutional /government uses and parking structures along
its Downtown /Civic Center alignment.
Streetcar Alternative 1 ranked second in Constructability /Ease of Construction. This is due
in part to improvements already completed by the City of Santa Ana along Santa Ana
Boulevard and 4th Street that have addressed some of the potential utility relocation
challenges that exist along 51h Street.
4th Street Parking Scenario A: Replace Parking along South Side with Parallel Parking and
Widen Southern Sidewalk to 20 Feet is recommended.
• Eliminates the fewest on- street parking spaces along 4th Street
• Adequate replacement parking is available at nearby parking structures on 3 r 4th
and 5t° Street.
• Replacing the diagonal parking with parallel parking provides traffic operations and
safety benefits to the streetcar and automobiles traveling eastbound on 4th Street
by eliminating vehicles backing into the traffic stream.
• Parallel parking allows for widening of the southern sidewalks by 8 feet which will
enhance the pedestrian experience and provide for pedestrian- oriented uses and
activities along the south side of 4th Street.
Coordination and communication between the cities of Santa Ana and Garden Grove,
OCTA and affected business and property owners will need to be ongoing as the project
progresses through design, construction and operations.
Of the two operations and maintenance facility sites, Site B located along 5th Street west
of Raitt Street is the Preferred Site for the following reasons:
• Its size, rectangular shape and proximity to the PE ROW make it more efficient for
both development and operations.
• It is estimated to be less expensive than Site A (near SARTC).
• Its location in the western half of the corridor provides greater flexibility to serve
future extensions or connections through Garden Grove to Anaheim.
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• The size of Site B provides advantages in locating a greater range of O &M
functions on the site which provides the opportunity to minimize duplication of
functions as the system expands and /or connects with other streetcar systems in
the future.
U Locally Preferred Alternative
The following describes the physical and operating characteristics of the recommended
LPA, Streetcar Alternative 1 .
5.5.1 Technology (Mode)
It is recommended that transit service be provided by
modern streetcars operating within existing streets in
mixed -flow traffic (the streetcar will share the travel
lane with other vehicles), consistent with the Streetcar
Alternatives analyzed in the EA/DEIR. For planning
purposes, the Siemens S7O short vehicle (see Figure
5 -1) was assumed since it is currently the only vehicle
approved by the California Public Utilities Commission
(CPUC) for streetcar operations in California. The Figure 5 -1: Siemens S7O Vehicle
vehicle is approximately 80 feet long and 8.7 feet wide. It provides seating for 60
passengers and can accommodate a total of 150 passengers seated and standing. For
quick and convenient boarding, the vehicle is approximately 68 percent low -floor with a
low -floor height of 14 inches. Power would be supplied via an overhead electric line.
Other emerging streetcar technologies, including "wireless" and other vehicle options that
may be acceptable to the CPUC will also be considered as they become available during
the project development process.
5.5.2 Alignment (Route)
The recommended alignment (shown in Figure 5 -2) is consistent with Streetcar Alternative
1, with the streetcar traveling westbound from eastern terminus station at SARTC in Santa
Ana, along Santa Ana Boulevard, entering the Pacific Electric Right -of -way (PE ROW) west
of Raitt Street and continuing to the western terminus station in the northwest quadrant of
the intersection of Harbor Boulevard and Westminster Avenue in Garden Grove.
Eastbound, the streetcar will travel along the PE ROW and Santa Ana Boulevard to
approximately Parton Street, where the route will exit Santa Ana Boulevard and continue
along a public easement on the south edge of Sasscer Park. The streetcar will exit Sasscer
Park onto 4`h Street and continue along 4 " Street to Mortimer Street, where it will turn
north and reconnect with Santa Ana Boulevard, continuing east to the eastern terminus
station at SARTC. The route is approximately 4.1 miles in length. Six traction power
substations have been identified along the route to distribute electrical power to the
vehicles.
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55C -81
5.5.3 Operations and Maintenance Facility
The preferred location for the maintenance facility for the streetcar is between the PE ROW
and 51h Street, west of Raitt Street (between Daisy Avenue and English Street)(See Figure
5 -2). This is Site B as examined in the EA /DEIR. The site is rectangular, comprised of
three parcels and slightly larger than 2.4 acres. It is located in an area of industrial and
commercial uses. Vehicular access to the site would be from 5" Street, with the
possibility of future access via roadway improvements within the PE ROW. The site
provides adequate space to accommodate all the needed administrative, and operations
and maintenance functions, with practical car storage space for a fleet of approximately 14
vehicles, allowing for future expansion. There are existing industrial and residential uses
currently on the site.
5.5.4 Roadway Improvements /Modifications
New traffic signals will be installed at two locations along the streetcar route: the
intersection of Santa Ana Boulevard and Lacy Street, and the intersection of 4" Street at
Mortimer Street.
Improvements will be made along Fairview Street between 51h Street and Civic Center
Drive to accommodate the streetcar crossing at Fairview Street. These improvements
include: reconfiguring the northbound left turn lane into the Santa Ana Unified School
District facility, addition of gates at the PE ROW (traffic and pedestrian) and the addition of
a second southbound left turn lane on Fairview Street at Civic Center Drive.
Between SARTC and Raitt Street, the streetcar will operate in the curbside travel lane with
mixed -flow traffic. In most locations where on- street parking is currently provided along a
roadway included in the streetcar route, the parking will remain with implementation of the
streetcar. Exceptions include some intermediate station locations, and along the south side
of Santa Ana Boulevard between Raitt Street and Shelton Street.
Diagonal parking is currently provided along 4th Street between Ross Street and French
Street. It is recommended that, with implementation of the streetcar, the diagonal parking
along the south side of 4th Street be replaced by parallel parking (4th Street Parking
Scenario A), resulting in the loss of approximately 26 to 30 parking spaces along the
roadway segment. The sidewalks along the south side of 4th Street will be widened from
12 feet to 20 feet.
5.5.5 Station Locations and Characteristics
In addition to the two terminus stations at SARTC on the east and Harbor
Boulevard /Westminster Avenue on the west, there will be station stops at 10 other
locations /cross streets along the route:
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1 . Harbor Boulevard and Westminster Avenue
2. Willowick
3. Fairview Street and PE ROW
4. Raitt St. and Santa Ana Boulevard
5. Bristol St. and Santa Ana Boulevard
6. Flower St. and Santa Ana Boulevard
Couplet Section (Eastbound)
7. Sasscer Park
8. Broadway and 4" Street
9. Main St. and 4`" Street
10. French St. and 4`" Street
11. Santa Ana Boulevard and Lacy Street
12. SARTC
Couplet Section (Westbound)
7. Ross Street and Santa Ana Boulevard
8. Broadway and Santa Ana Boulevard
9. Main Street and Santa Ana Boulevard
10. French Street and Santa Ana Boulevard
Each station would include amenities such as shelters, lighting, trash receptacles, and real -
time next train arrival information. Parking will not be provided at the intermediate
stations, however, parking is available for the eastern terminus station at SARTC, and
some limited parking (approximately 50 spaces) will be provided within the station area at
the western terminus station. Figure 5 -3 shows what a typical side - platform station
shelter might look like. The platforms would be constructed to be 14 inches about the
street surface to allow for nearly -level boarding. Automated ticket vending (ATV) machines
will be provided only at three stations along the route: the western terminus, the eastern
terminus and one Downtown Santa Ana location. ATV will be provided on all streetcar
vehicles.
PJl �
Figure 5 -3: Typical Station Shelter
5.5.6 Operating Characteristics of the Streetcar
a
„..
The Santa Ana - Garden Grove Fixed Guideway is proposed to operate seven days a week.
Based on initial operating concepts, the streetcar's hours of operations will be:
• Monday through Thursday — 6:00 a.m. to 11:00 p.m. (17 hours)
• Friday and Saturday — 6:00 a.m. to 1:00 a.m. (19 hours)
• Sundays /Holidays — 7:00 a.m. to 10:00 p.m. (15 hours).
The streetcar will operate every 10 minutes during peak hours (6:00 a.m. to 6:00 p.m.)
and every 15 minutes during off -peak hours (after 6:00 p.m.).
LPA Decision Report
July 2014
55C -83
5 111 Page
Travel speed of the streetcar will vary along the alignment. Within the PE ROW between
station stops, and along the west end of Santa Ana Boulevard travel speeds will approach
35 miles per hour (mph). Through the Civic center and Downtown areas, streetcar travel
speeds will be approximately 20 mph. However, when speed reductions for school zones,
entering and exiting station areas and complying with traffic control are taken into
account, the average speed of the streetcar along the entire length of the alignment will be
approximately 17 mph.
LPA Derision Report
July 2014
55C -84
5.1'2 1 Page
REVISED 8/1/2014
RESOLUTION NO.2014 -xxx
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA SELECTING A LOCALLY PREFERRED
ALTERNATIVE FOR THE SANTA ANA - GARDEN GROVE
FIXED GUIDEWAY PROJECT
WHEREAS, since 2008, the Cities of Santa Ana and Garden Grove have worked
collaboratively with the Orange County Transportation Authority (OCTA) on the Santa
Ana - Garden Grove Fixed Guideway Project; and
WHEREAS, Santa Ana and OCTA have entered into cooperative agreements for
development of the Fixed Guideway Project; and
WHEREAS, the City's consultant team completed an LPA Decision Report; and
WHEREAS, the staff desires that the identified alternative in the LPA Decision
Report be approved by the City Council as the Locally Preferred Alternative (LPA); and
WHEREAS, the LPA identified is the proposed project to be evaluated in a Final
Environmental Assessment (EA) /Environmental Impact Report (EIR) subject to the
requirements of the National Environmental Policy Act (NEPA) and California
Environmental Quality Act (CEQA); and
WHEREAS, the proposed project as defined by the LPA cannot be advanced
prior to the certification of the joint NEPA /CEQA document.
NOW, THEREFORE, 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 LPA Decision Report has been prepared and is enclosed herein.
B. The City Council supports the LPA Decision Report findings in recommending
Streetcar Alternative 1 based on the following factors:
• Strong Community Support for a Streetcar System
• Highest Ridership
• Serves Greatest Number of Transit Dependent Households
• Least Right -of -Way Acquisition
• Lower Cost
• Most Transit Supportive Land Uses
Resolution No.
WG Page 1 of 3
• Larger Economic Development Potential
• Ease of Constructability
C. The City Council supports the LPA Decision Report recommendation of
Parking Scenario "A" where on- street parking remains on Fourth Street along
both sides, with diagonal parking along the south side becoming parallel
parking.
D. The City Council supports the LPA Decision Report recommendation to select
Site B for the operations and maintenance facility along Fifth Street west of
Raitt Street.
E. The City of Santa Ana desires that Streetcar Alternative 1, the Locally
Preferred Alternative, be identified so that the Fixed Guideway Project may be
designed, developed, constructed, delivered, and operated by OCTA.
SECTION 2. The City Council authorizes the City Manager or his designee to
submit all project related documents to OCTA.
ADOPTED this _day of 2014.
Miguel A. Pulido
Mayor
APPROVED AS TO FORM:
0
Sonia R. Carvalho,
City Attorney
AYES: Councilmembers:
NOES: Councilmembers:
ABSTAIN: Councilmembers:
NOT PRESENT: Councilmembers:
Resolution No.
55C -86 Page 2 of 3
CERTIFICATION OF ATTESTATION AND ORIGINALITY
I, MARIA D. HUIZAR, Clerk of Council, do hereby attest to and certify the attached
Resolution No. 2014 - to be the original resolution adopted by the City Council of the
City of Santa Ana on
Date:
Clerk of Council
City of Santa Ana
Resolution No.
55C -87 Page 3 of 3
55C -88