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FULL PACKET_2014-12-02
MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA NOVEMBER 18, 2014 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:08 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tem (5:12 p.m.) ANGELICA AMEZCUA (5:14 p.m.) P. DAVID BENAVIDES ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: MICHELE MARTINEZ 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 5:08 p.m. CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: 1. 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 — Settlement Agreement CITY COUNCIL AGENDA 1 NOVEMBER 18, 2014 1 0A -1 2. Roland Horne v. City of Santa Ana, Orange County Superior Court, Case No. 30- 2014 - 00703906- CU- PO -CJC 3. Kristine Meza v. City of Santa Ana, Orange County Superior Court Case No. 30- 2013- 00660649 4. Donald Sipple v. City of Santa Ana, et al., Los Angeles Superior Court Case No. BC462270 2. LIABILITY CLAIMS pursuant to section 54956.95 of the Government Code: 1. In Re the Claim of Arnie Pike Claim No.2014 -006 CLOSED SESSION REPORT - See Item 19A. for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 5:40 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL AGENDA 2 NOVEMBER 18, 2014 1 0A -2 CALLED TO ORDER REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:45 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ (6:25 p.m. *) 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 BRENDA RODRIGUEZ AND MONICA CABALLERO, 5T" GRADE STUDENTS, WILSON ELEMENTARY DOUG HARDIN, POLICE CHAPLAIN CERTIFICATES OF RECOGNITION presented by MAYOR PRO TEM TINAJERO to The Northeast Santa Ana Little League Jr All Stars and Junior Rangers Teams for winning the 2014 district 30 All -Star Tournament and Tournament of Champions. Manager: Dwayne Angebrandt, Coach: Frank Maldonado; Team: Adria Andrio, Dwayne Angebrandt II, Alexander "Alex" Anzo, Armani Aranda, Jesse Barajas, Raul Bravo, Juve De Santiago Jr., Jose Diaz, James Joslyn, Damien Maldonado, Jonathan "Johnny" Marin, Antonio 'Tony" Munoz Jr. and Alejandro "Alex" Navarrette CITY COUNCIL AGENDA 3 NOVEMBER 18, 2014 1 0A -3 CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER BENAVIDES to the planning team and sponsors of the inaugural Love Santa Ana Initiative service day in the Eastside Neighborhood: Hope Alive Church; Calvary Church of Santa Ana; Templo Calvario Church; Greater Light Missionary Baptist Church; and NewSong Church; Sponsors: C &C Development and Papa Murphy's Pizza CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER BENAVIDES AND COUNCILMEMBER REYNA to the Santa Ana Youth Group and Terry McCall for their contributions to the City of Santa Ana's 4t" of July celebration at Centennial Park. Group: Paula Alvarez, Zabdi Alvarez, Kenia De La Cruz, Andrea Diaz, Ivan Enriquez, David Fuentes, Ricardo Fuentes, Tristan Orellana, Adrian Ramirez, Mario Reyna, Michael Solorio, Zarisbeth Soto, Alfredo Torreblanca, Bethany Urbano and Tsui Vasquez CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER SARMIENTO to the Orange County Veterans Memorial Park Committee for their successful efforts to establish a Veterans Cemetery in Orange County. Committee: Bill Cooke, Chairman, Zeke Hernandez, Vice Chair Alex Diaz, Secretary, Brian Chuchua, Treasurer and Peter Katz, Member CLOSED SESSION REPORT - See Agenda Item 19A for Closed Session Report. AGENDA ITEM TAKEN OUT OF ORDER AGREEMENT 25F. {STRATEGIC PLAN', MOTION: Continue consideration of matter for 30 days at the request of the City Council. MOTION: Reyna SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Martinez (1) CITY COUNCIL AGENDA 4 NOVEMBER 18, 2014 1 0A -4 TELECONFERENCE *Pursuant to Government Code Section 54953(b), Council Member Martinez participated in a portion of the meeting via teleconference from Capitol Hilton, 1001 16th Street NW, Washington DC at 6:25 p.m. The Agenda for said meeting was posted at said location as required by the Brown Act. AGENDA ITEM TAKEN OUT OF ORDER REPORTS 65C. CONSIDERATION OF MEDICAL MARIJUANA DISPENSARIES ENFORCEMENT PLAN {STRATEGIC PLAN NOS. 1, 1F; 1, 1B; 4, 2A; 5, 4E} - Planning and Building Agency David James spoke on the matter; asked that reasonable measures be implemented. Karen Haluza, Interim Executive Director of Planning and Building presented staff report. Background • September 2, 2014 City Council directed staff to prepare an enforcement plan that would provide effective closure of illegal medical marijuana dispensaries, as well as ongoing monitoring of collectives that might be allowed should either Measure BB or Measure CC be adopted by the voters. • November 4, 2014 Measure BB is adopted by the voters. Illegal Dispensaries Rapid Closure Process 1. Issuance of Administrative Citation and Fine to Property Owner and Business Operator 2. Disconnection of Utilities 3. Posting of Property 4. Arrest for Trespassing — as a last resort CITY COUNCIL AGENDA 5 NOVEMBER 18, 2014 1 0A -5 Medical Marijuana : Initiative _ Analysis Map Inftudve f J� • to L 4k i •1 '�+ h Medical Marijuana Inftudve Analysis Map to 4k *alternatives in pink iaa•+ �w z>aywers,mwm,raue.. a-ww..zwsroacsws..e ®a Staffing Requirements and Costs Police Officer 6 $150,000 $900.000 Community 2 $120,000 $240,000 Preservation Inspector PorensicAuditor 1 $175,000 $175,000 Assistant City 1 $185,000 $185,000 Attorney TOTAL 10 $630,000 $1,500,000 Estimated $1,560,396 Revenues The final staffing recommendation may be revised. Staff will be returning to the City Council with a formal request for staffing authorization and budget allocation. Measure BB Mandated Implementation Dates 1. December 9, 2014 — City Council certification of election results. CITY COUNCIL AGENDA 6 NOVEMBER 18, 2014 1 0A -6 2. December 16, 2014 — Adoption of processing fees. 3. December 17, 2014 — Release Medical Marijuana Registration application. 4. January 15, 2015 — Application period ends. 5. January 26, 2015 — Applicants are notified of their registration status and given information on public selection process meeting. 6. February 5, 2015 — Public selection meeting is held (lottery). Council discussion ensued. Mayor Pro Tern Tinajero noted that City prepared competing tax based measure that better regulates medical marijuana; thanked staff for efforts. Councilmember Martinez indicted that measure was overwhelmingly approved by voters. Councilmember Sarmiento noted that City has duty to implement Measure approved by the voters; responsible operators; clarified that Section 6 allows the City Council to adjust the Ordinance in the event that the State or Federal government approves laws that trump the City's in which the City can modify to align regulations; opine that more than one attorney will be needed as much as Assistant Attorney and Paralegal will be required (prosecution needed); noted that 20 additional police officers are forthcoming through this program and the COPS grant; propose amendment to motion to adjust allocation of additional attorney staff. City Manager Cavazos agree with additional allocation and will include in budget allocation. Mayor Pro Tern Tinajero supports amendment. Councilmember Benavides noted that he was initially not in support, but staff has well thought implementation plan; requested application process be described by staff. Haluza explained the application, qualified and eligible location and background screening. Councilmember Amezcua supports compassionate use and staff's implementation plan. Councilmember Reyna supports staffs plan and transparent process. Mayor Pulido noted that previous moratorium did not work because we did not have an enforcement plan; need to utilize existing programs such as turning off utilities and removing from website locating systems; CITY COUNCIL AGENDA 7 NOVEMBER 18, 2014 1 0A -7 MOTION: Adopt Medical Marijuana Enforcement Plan as amended, include additional City Attorney staff. MOTION: Sarmiento SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) ORDINANCES /FIRST READING 50A. CONSIDERATION OF OPTIONS REGARDING A PROPOSED EMERGENCY SHELTER AND MULTI - SERVICE CENTER AT 1217 NORMANDY PLACE - Planning and Building Agency Direction was given to staff by Council at the October 21, 2014 City Council meeting by a vote of 7 -0 to prepare a resolution requesting inter - agency cooperation and community involvement; and a 45 -day emergency moratorium that would include provisions of the City's previously adopted emergency shelter and transitional housing ordinance would be set aside in order for further study to be conducted, thereby prohibiting the establishment of new emergency shelters. Councilmember Sarmiento noted for the record that the Orange County Board of Supervisors tabled consideration of proposed site at their regularly scheduled meeting held earlier in the day. Councilmember Benavides opined that City has lost opportunity to provide dignified shelter and services for the homeless and further promulgate the problem in the Civic Center area. Requested the City Manager to reach out to the County CEO regarding the shelter project and how the City and County can work collaboratively to move the project forward. Also requested memo regarding the possibility of a property storage /check -in center for the homeless. • Mayor Tinajero left the meeting at 7:24 p.m. and did not return. The following speakers addressed the City Council on the matter: CITY COUNCIL AGENDA 8 NOVEMBER 18, 2014 1 0A -8 • Scott Larson, represent HomeAid Orange County, community services available to assist the City; need to consider all options; tap into all resources; • Scott Bernard, encourage the City to review the ordinance; consider density of center • Massimo Marini, representing Civic Center Roundtable; excited that Scott Larson will help find a solution. • Susan Bade Hull, represent Moreno Valley property near site; notice not provided; property owners need to be notified; willing to work with the City. • Paul Gurmon spoke on Agenda Item 50A, 50B and 55A, City will have to deal with homeless issue; concerned with Federal regulations of COPS program; • Alicia Rojas, disappointed that the County tabled the purchase of Normandy; advocate for homeless shelter. • Susana Sandoval, willing and able to work with the City and HomeAid Orange County on selection of site. • Dora Lopez, opined that democracy was in action and community organized in tabling shelter at propose site; • Irma Jauregui, thanked the City Council for unanimous support of the community. • Brizy Mae, representing Civic Center Roundtable, noted that citations continue to be issued; request a permanent shelter and storage location. • Joese Gloria, opined that wanding and over security is over indulgence of public resources; disappointed that the County tabled the matter; also opined that cross walks and better lighted needed to avoid any other pedestrian fatalities. • Michael Klubnikin, commented that way to help homeless is to recognize them; need collaborative effort; churches provided much needed assistance. • Lou Correa, State Senator, need to find solution collaboratively. Table matter indefinitely. PUBLIC COMMENT - None CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 31C as recommended by staff with the following modifications: • Councilmember Martinez pulled Agenda Item 13E, 20E and 25G for separate discussion; and • Councilmember Reyna pulled Agenda Item 20A for separate discussion. CITY COUNCIL AGENDA 9 NOVEMBER 18, 2014 1 0A -9 MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN: ABSENT: MINUTES SECOND: Martinez Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) None (0) None (0) Tinajero (1) ADMINISTRATIVE MATTERS 10A. MINUTES FROM THE REGULAR MEETING OF OCTOBER 21, 2014 {Strategic Plan No. 5, 1) - Clerk of the Council Office MOTION: Approve Minutes. ORDINANCES /SECOND READING In the event a Councilmember recorded an "abstention" before consideration of the following ordinance(s) on first reading, such abstention will also be reflected in the minutes for second reading. 11A. ZONING ORDINANCE AMENDMENT NO. 2014 -01 & AMENDMENT APPLICATION NO. 2014 -01 FOR THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN - {Strategic Plan No. 5, 1) - Planning and Building Agency Placed on first reading at the Oct. 21, 2014 Council meeting and approved by a vote of 7 -0. Published in the Orange County Reporter on November 7, 2014. MOTION: Place ordinance on second reading and adopt. ORDINANCE NO. NS -2871 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC PLAN NO. 2 OF THE SANTA ANA MUNICIPAL CODE (SP -2) AND ADOPTING THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (ZOA 2014 -01) CITY COUNCIL AGENDA 10 1 0A -10 NOVEMBER 18, 2014 ORDINANCE NO. NS -2872 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING CERTAIN PROPERTIES TO THE HARBOR MIXED USE TRANSIT CORRIDOR SPECIFIC PLAN (SP -2) BOUNDARIES; AND, REMOVING CERTAIN PROPERTIES FROM THE SP -2 ZONING DESIGNATION AND CHANGING THE ZONING FOR THOSE REMOVED PROPERTIES (AA NO. 2014 -01) BOARDS / COMMISSIONS / COMMITTEES 13A. CANCELLATION NOTICE FROM THE SEPTEMBER 24, 2014 LEGISLATIVE CITY COUNCIL COMMITTEE {Strategic Plan No. 5, 11- City Manager's Office MOTION: Receive and file. 13B. MINUTES FROM THE JULY 28, 2014 PARKS, RECREATION, EDUCATION AND YOUTH CITY COUNCIL COMMITTEE (PREY) {Strategic Plan No. 5, 11 — Parks, Recreation & Community Services Agency MOTION: Receive and file Minutes. 13C. MINUTES FROM THE JUNE 16, 2014 AND JULY 22, 2014 PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT CITY COUNCIL COMMITTEE {Strategic Plan No. 5, 11 MOTION: Receive and file Minutes. 13D. BOARDS AND COMMISSIONS BIANNUAL ATTENDANCE REPORT - APRIL 2014 THROUGH SEPTEMBER 2014 {Strategic Plan No. 5, 11 - Clerk of the Council Office 13E;'. MOTION: 1. Receive and file Boards and Commissions Biannual Attendance Report (April 2014 through September 2014). 2. Declare two seats on the Workforce Investment Board vacant. 3. Instruct the Clerk of the Council to post notice of the vacancies. CITY COUNCIL AGENDA 11 NOVEMBER 18, 2014 1 0A -11 MOTION: Appoint Gilad A. Salmon to the Environmental & Transportation Advisory Committee (ETAC) (Ward 2 Resident). MOTION: Martinez SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) FINAL TRACT MAP NOTIFICATIONS Pursuant to Section 34 -183 of the Santa Ana Municipal Code, the City Engineer has received this Final Map and is in the process of reviewing the map for final approval. The City Engineer shall approve or disapprove this map within 10 days of the City Council Meeting.. 17A. CERTIFICATION AND APPROVAL BY CITY ENGINEER — FINAL TRACT MAP NO. 17546 (4226 WEST FIFTH STREET) {Strategic Plan No. 3, 2) - Public Works Agency MOTION: Receive and file. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve the following: 1. CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: o AGMT NO. 2014 -277 - 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 — Settlement Agreement approved by 6 -0 vote (Martinez absent) o Roland Horne v. City of Santa Ana, Orange County Superior Court, Case No. 30 -2014- 00703906- CU- PO -CJC — settlement authority approved CITY COUNCIL AGENDA 12 NOVEMBER 18, 2014 1 0A -12 o Kristine Meza v. City of Santa Ana, Orange County Superior Court Case No. 30- 2013 - 00660649 — settlement authority approved o Donald Sipple v. City of Santa Ana, et al., Los Angeles Superior Court Case No. BC462270 — settlement authority approved 2. AGMT NO. 2014 -278 - LIABILITY CLAIMS pursuant to section 54956.95 of the Government Code: In Re the Claim of Arnie Pike Claim No.2014 -006 — Settlement Agreement in the amount of $48,000 approved by 5 -0 vote (Pulido abstained and Martinez absent) 19B. EXCUSED ABSENCES — None 19C. STRATEGIC PLAN MONTHLY REPORT FOR OCTOBER 2014 {Strategic Plan No. 5, 11 - City Manager's Office MOTION: Receive and file the Strategic Plan Monthly Report for October 2014. 19D. QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES JULY 2014 — SEPTEMBER 2014 {Strategic Plan No. 5, 31 - Community Development Agency Community Redevelopment and Housing Commission approved MOTION on October 8, 2014, by a vote of 4 -0 (Sandoval and Verino absent). MOTION: Receive and file. 19E. AMENDMENT TO THE CITIZEN PARTICIPATION PLAN {Strategic Plan No. 5) - Community Development Agency Community Redevelopment and Housing Commission approved MOTION on October 8, 2014, by a vote of 4 -0 (Sandoval and Verino absent). MOTION: Approve the Amendment to the Citizen Participation Plan and authorize the submittal to the U.S. Department of Housing and Urban Development. 19F. QUARTERLY REPORT OF INVESTMENTS AS OF SEPTEMBER 30, 2014 - {Strategic Plan No. 4, 1) - Finance & Management Services MOTION: Receive and file. CITY COUNCIL AGENDA 13 NOVEMBER 18, 2014 1 0A -13 19G. QUARTERLY REPORT OF CONTRACTS UNDER $25,000 ENTERED INTO BY THE CITY MANAGER AS PERMITTED BY CHARTER SECTION 421 {Strategic Plan No. 4, 1) - Finance & Management Services MOTION: Receive and file the Quarterly Report of Contracts entered into between July 1, 2014 to September 30, 2014 valued at $25,000 and less. 19H. AGMT NO. 2014 -279 - INCLUSIONARY HOUSING AGREEMENT BETWEEN THE CITY OF SANTA ANA AND 1901 E. FIRST STREET OWNER, LLC FOR THE PROPERTY LOCATED AT 1901 E. FIRST STREET (Strategic Plan No. 5, 3B) - Community Development Agency MOTION: Receive and file the Inclusionary Housing Agreement with 1901 First Street Owner, LLC. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS Mayor Pulido requested information and analysis of alternative fuel vehicles, including cost per unit; information to be provided to Council and available to the public via City's website. Councilmember Benavides requested comparison of the various alternative fuel technologies, including cost per unit and performance measures; concurred with Mayor Pulido's request for information to the public. Councilmember Reyna requested a cost /benefit analysis for using alternative fuel vehicles and the infrastructure needs. MOTION: Continue consideration of matter for 2 weeks to the December 2, 2014 City Council Meeting. MOTION: Reyna SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) CITY COUNCIL AGENDA 14 NOVEMBER 18, 2014 1 OA -14 NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 20B. AGREEMENT AND APPROPRIATION ADJUSTMENT FOR THE INSTITUTE FOR MUSEUM AND LIBRARY SERVICES NATIONAL LEADERSHIP GRANT TO FUND THE MEMORIES OF MIGRATION PROGRAM {Strategic Plan No. 2, 2A) - Parks, Recreation & Community Services Agency MOTION: 1. AGMT NO. 2014 -280 - Authorize the City Manager and Clerk of the Council to execute an agreement with the Federal Institute in an amount of $495,550 for the term of October 1, 2014 to September 30, 2017, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -093 - Approve an appropriation adjustment recognizing grant revenue in the amount of $495,550 in the IMLS Library Federal Grants Revenue account and appropriating funds to the IMLS Library Federal Grants expenditure accounts. 20C. AGREEMENT AND APPROPRIATION ADJUSTMENT WITH THE BUREAU OF PRISONS TO PROVIDE HOUSING FOR FEDERAL PAROLEES AND INMATES {Strategic Plan No. 1, 4A} - Police Department MOTION: 1. AGMT NO. 2014 -281 - Authorize the City Manager and the Clerk of the Council to execute a new three -year housing agreement with the Bureau of Prisons at the per diem rate of $105 per inmate, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -080- Recognizing $200,000 in Jail Facility Rental revenue in the General Fund revenue account and appropriate same to the Field Operations expenditure account. CITY COUNCIL AGENDA 15 NOVEMBER 18, 2014 1 0A -15 20D. APPROPRIATION ADJUSTMENT AND MEMORANDUM OF UNDERSTANDING (MOU) FOR PUBLIC SAFETY REALIGNMENT AND POSTRELEASE COMMUNITY SUPERVISION COST REIMBURSEMENT {Strategic Plan No. 1, 3B) - Police Department MOTION: 1. AGMT NO. 2014 -282 - Authorize the City Manager and Clerk of the Council to execute the attached one -year MOU, commencing July 1, 2014, with the County of Orange in an amount of $167,558.27, subject to non - substantive changes approved by the City Manager and City Attorney 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -081- Recognize $167,558.27 in reimbursement funds from the County of Orange in revenue account and appropriate same to expenditure account. MOTION: 1. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -088 - Recognize Office of Traffic Safety (OTS) Public Education on Bicycle Safety grant funds in an amount of $150,000 in the OTS -PWA Traffic Safety Grants revenue account and appropriate the same to the OTS- Bicycle Safety PWA expenditure account. 2. AGMT NO. 2014 -283 - Authorize the City Manager and Clerk of the Council to execute a one -year agreement with the State of California Office of Traffic Safety, in an amount not to exceed $150,000, for a one - year period from October 1, 2014, through September 30, 2015, subject to non - substantive changes approved by the City Manager and City Attorney MOTION: Martinez SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) CITY COUNCIL AGENDA 16 NOVEMBER 18, 2014 1 0A -16 ABSTAIN: None (0) ABSENT: Tinajero (1) SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 14 -073 - PREPAID GASOLINE CARDS TO WORKFORCE INVESTMENT ACT (WIA) PARTICIPANTS {Strategic Plan No. 7, 6) - (Community Development Agency) - Finance & Management Services MOTION: Award a contract with SVM, LP for a two -year period, with provision for two one -year renewals, in an annual amount not to exceed $40,000, subject to non - substantive changes approved by the City Manager and City Attorney. 22B. SPEC. NO. 14 -081 - NEW AND REPLACEMENT VEHICLES {Strategic Plan No. 6, 2) - Finance & Management Services MOTION: Award a contract to National Auto Fleet Group for the purchase of a Ford Transit Connect, a Chevrolet Traverse, and Jeep Wrangler and three Ford F550 trucks in an amount not to exceed $440,120, and to Plumbers Depot for the purchase of a Sewer Vactor Combination truck in an amount not to exceed $521,240, subject to non - substantive changes approved by the City Manager and City Attorney. 25A. AGMT NO. 2014 -284 - HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -03 FOR THE PROPERTY LOCATED AT 301 EAST EIGHTH STREET {Strategic Plan No. 5, 2; 5, 3) - Planning and Building Agency Historic Resources Commission approved recommended action on October 2, 2014 by a vote of 8 -0. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Ira Blitz, subject to non - substantive changes approved by the City Manager and City Attorney. 25B. AGMT NO. 2014 -285 - HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -08 FOR THE PROPERTY LOCATED AT 118 WEST FIFTH STREET {Strategic Plan No. 5, 2; 5, 31 - Planning and Building Agency CITY COUNCIL AGENDA 17 NOVEMBER 18, 2014 1 0A -17 Historic Resources Commission approved recommended action on October 2, 2014 by a vote of 8 -0. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Jack Jakosky on behalf of Ramona Building LLC, property owner, subject to non - substantive changes approved by the City Manager and City Attorney. 25C. AGMT NO. 2014 -286 - HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -09 FOR THE PROPERTY LOCATED AT 207 NORTH BROADWAY {STRATEGIC PLAN NOS. 5, 2; 5, 3) - Planning and Building Agency Historic Resources Commission approved recommended action on October 2, 2014 by a vote of 8 -0. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Jack Jakosky on behalf of Santora Building LLC and KET Glenoaks LLC, property owners, subject to non - substantive changes approved by the City Manager and City Attorney. 25D. AGMT NO. 2014 -287 - HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -11 FOR THE PROPERTY LOCATED AT 102 WEST FOURTH STREET (STRATEGIC PLAN NOS. 5,2; 5, 3) - Planning and Building Agency Historic Resources Commission approved recommended action on October 2, 2014 by a vote of 8 -0. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Kimberly Tapfer on behalf of Miller- Burg - DuPont, Inc., property owner, subject to non - substantive changes approved by the City Manager and City Attorney 25E. AGMT NO. 2014 -288 - HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -12 FOR THE PROPERTY LOCATED AT 204 NORTH BROADWAY {STRATEGIC PLAN NOS. 5, 2; 5, 3) - Planning and Building Agency Historic Resources Commission approved recommended action on October 2, 2014 by a vote of 8 -0. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Gilbert and Wanda Marrero, property owners, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL AGENDA 18 NOVEMBER 18, 2014 1 0A -18 25F. AGENDA ITEM TAKEN OUT OF ORDER MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with ThirdWave Corporation based on the terms set forth in the draft agreement for an amount of $155,829, plus a 10% contingency, until completed but not to continue past November 30, 2015, subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 25H. AGMT NO. 2014 -290 - ANNUAL SOFTWARE MAINTENANCE AND SUPPORT - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute a one -year agreement amendment with GeoSpatial Technologies, Inc., commencing August 3, 2014, in an amount not to exceed $20,898, subject to non - substantive changes approved by the City Manager and City Attorney. 251. AGMT NO. 2014 -291 - MANAGED PRINT SERVICES FOR ADDITIONAL MULTI - FUNCTION COPIERS AND SERVICES {STRATEGIC PLAN NO. 1,5;7,5} - Finance & Management Services MOTION: Authorize the City Manager and Clerk of the Council to amend agreement with C3 Office Solutions for an amount of $163,908, subject to non - substantive changes approved by the City Manager and City Attorney. 25J. AGMT NO. 2014 -292 - TEMPORARY STAFFING (PERSONNEL TECHNICIAN AND PERSONNEL SPECIALIST) TO FACILITATE ADDITIONAL POLICE CITY COUNCIL AGENDA 19 NOVEMBER 18, 2014 1 0A -19 PERSONNEL {STRATEGIC PLAN NO. 7, 5) - Personnel Services Agency and Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Government Staffing Services, Inc. (dba MuniTemps Municipal Staffing Solutions), subject to non - substantive changes approved by the City Manager and City Attorney, to provide temporary staffing services for the Personnel Services Department for a one -year period in an amount not to exceed $150,000. The agreement includes a provision for a one -year renewal option exercisable by the City Manager and City Attorney, in an amount not to exceed $150,000, a total of $300,000 for the two -year period. 25K. AGMT NO. 2014 -293 - WATER RESOURCES SUPERVISORY CONTROL AND DATA ACQUISITION (SCADA) NETWORK SUPPORT SERVICES {STRATEGIC PLAN NO. 6, 1, C) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with XV Solutions, Inc., subject to non - Substantive changes approved by the City Manager and City Attorney, for a three -year period in an amount not to exceed $65,000 annually, with the provision for a two - year extension exercisable by the City Manager and City Attorney. 25L. AGMT NO. 2014 -294 - AMENDMENT - PAYMENT OF BALANCE FOR GRANT WRITING ADMINISTRATION SERVICES {STRATEGIC PLAN NOS. 4,1 & 5,21 - Finance & Management Services MOTION: Authorize the City Manager and the Clerk of the Council to execute an amendment to the agreement with Strategic Solutions in an amount not to exceed $6,500, subject to non - substantive changes approved by the City Manager and City Attorney. 25M. AGMT NO. 2014 -295 - FOUNTAIN MAINTENANCE SERVICES {STRATEGIC PLAN NO. 6, 1 B} - Parks, Recreation & Community Services Agency MOTION: - Authorize the City Manager and Clerk of the Council to execute an amendment with Service First Contractors Network dba Service First, increasing the compensation by $19,490 to an amount not -to- exceed $63,480, which includes a 15% contingency, annually, for the period through December 31, 2015, subject to non - substantive changes approved by the City Manager and the City Attorney. 25N. AGMT NO. 2014 -296 - PRESSURE WASHING SERVICES {STRATEGIC PLAN NO. 6, 1 B} - Parks, Recreation & Community Services Agency CITY COUNCIL AGENDA 20 NOVEMBER 18, 2014 1 OA -20 MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with Superior Property Services, increasing the compensation by $30,900 to an amount not -to- exceed $88,850, which includes a contingency of $10,000, annually, for the period through December 31, 2017, subject to non - substantive changes approved by the City Manager and the City Attorney. 250. AGMT NO. 2014 -297 - PROMOTE CARNIVALS AT CITY OWNED PARKS {STRATEGIC PLAN NO. 5, 4131 - Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with Fiesta de Carnival to include Fiesta de Carnival as the promoter for the Cesar Chavez /Campesino Park Carnival for $4,500 payable to the City, subject to non - substantive changes approved by the City Manager and City Attorney. 25P. AGMT NO. 2014 -298 - SOFTWARE MAINTENANCE AND SUPPORT SERVICES FOR THE COMPUTER AIDED DISPATCH SERVICE {STRATEGIC PLAN NO. 1, 3A} - Police Department MOTION: Authorize the City Manager and the Clerk of the Council to execute a one -year agreement, commencing December 1, 2014, with Tiburon, Inc. in an amount not to exceed $47,056, subject to non - substantive changes approved by the City Manager and City Attorney. 25Q. AGMT NO. 2014 -299 - SUPERVISORY CONTROL AND DATA ACQUISITION SYSTEM MAINTENANCE {STRATEGIC PLAN NO. 6, 1, C} - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Kapsch TrafficCom USA, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, in an amount not to exceed $50,000, for the term ending December 31, 2015. LAND USE MATTERS CONDITIONAL USE PERMIT/VARIANCES 31 A. MODIFICATION TO CONDITIONAL USE PERMIT NO. 2000 -10 TO ALLOW AN ADDITION TO AN UNMANNED TELEPHONE EQUIPMENT FACILITY AT 417 CITY COUNCIL AGENDA 21 NOVEMBER 18, 2014 1 OA -21 WEST WARNER AVENUE — AT &T, APPLICANT {STRATEGIC PLAN NO. 3, 21 - Planning and Building Agency Planning Commission approved recommended action on October 27, 2014, by a vote of 6 -0 (Alderete absent). MOTION: Receive and file the staff report approving modifications to Conditional Use Permit No. 2000 -10 as conditioned. 31 B. CONDITIONAL USE PERMIT NO. 2014 -29 TO ALLOW A TYPE 41 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR BLAZE PIZZA RESTAURANT LOCATED AT 2800 NORTH MAIN STREET, UNIT 196B — ALVARO MORALES, APPLICANT {STRATEGIC PLAN NO. 3, 2} - Planning and Building Agency Planning Commission approved recommended action on October 27, 2014, by a vote of 6 -0 (Alderete absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -29. 31 C. CONDITIONAL USE PERMIT NO. 2014 -41 TO ALLOW A 60 -FOOT HIGH WIRELESS FACILITY FOR AT &T AT 2200 EAST MCFADDEN AVENUE - COASTAL BUSINESS GROUP, INC. {STRATEGIC PLAN NO. 3, 21 - Planning and Building Agency Planning Commission approved recommended action on October 27, 2014, by a vote of 6 -0 (Alderete absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -41 as conditioned. * *END OF CONSENT CALENDAR ** BUSINESS CALENDAR ITEMS ORDINANCES /FIRST READING 50A. AGENDA ITEM TAKEN OUT OF ORDER CITY COUNCIL AGENDA 22 NOVEMBER 18, 2014 1 OA -22 50B ADOPT ORDINANCE REPEALING ARTICLE III OF CHAPTER 10 OF THE SANTA ANA MUNICIPAL CODE REGARDING BICYCLE LICENSING AND REGISTRATION {STRATEGIC PLAN NO. 1, 1) - Police Department Direction was given by Council to staff at the September 2, 2014 City Council meeting by a vote of 6 -0 (Amezcua absent) to prepare ordinance to change mandatory bicycle registration to voluntary and support on -line system. MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2873 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING ARTICLE III OF CHAPTER 10 ENTITLED REGARDING BICYCLE LICENSING AND REGISTRATION REQUIREMENTS MOTION: Benavides VOTE: AYES: NOES: ABSTAIN ABSENT: RESOLUTIONS SECOND: Sarmiento Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) None (0) None (0) Tinajero (1) 55A APPROPRIATION ADJUSTMENT, RESOLUTION AND AGREEMENT ACCEPTING COMMUNITY ORIENTED POLICING (COPS) HIRING GRANT FUNDS FOR 10 POLICE OFFICER POSITIONS {STRATEGIC PLAN NO. 1, 3B) - Police Department MOTION: 1. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -079 - Recognizing $1,250,000 in COPS Hiring Grant funds in revenue account and appropriating same to expenditure account. 2. Adopt a resolution. RESOLUTION NO. 2014 -075 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND THE CURRENT ANNUAL CITY COUNCIL AGENDA 23 NOVEMBER 18, 2014 1 OA -23 BUDGET TO ADD TEN FULL TIME POLICE OFFICER POSITIONS IN THE POLICE DEPARTMENT 3. AGMT NO. 2014 -300 - Authorize the City Manager and the Clerk of the Council to execute a three -year agreement with the U.S. Department of Justice, commencing September 1, 2014, for the COPS Hiring Grant in an amount not to exceed $1,250,000, subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Sarmiento SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 55B APPROPRIATION ADJUSTMENT TO RECOGNIZE ADDITIONAL PLANNING AND BUILDING AGENCY REVENUE AND RESOLUTION TO ADD BUILDING SAFETY POSITIONS TO THE FY 14 -15 BUDGET {STRATEGIC PLAN NOS. 3, 3; 5, 3; 4, 21 - Planning and Building Agency MOTION: 1. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -089 - Recognizing $393,000 in additional Planning and Building Agency Revenue. 2. Adopt a resolution. RESOLUTION NO. 2014 -076 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND THE CURRENT ANNUAL BUDGET TO ADD FOUR FULL TIME POSITIONS IN THE PLANNING AND BUILDING AGENCY MOTION: Benavides SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) CITY COUNCIL AGENDA 24 NOVEMBER 18, 2014 1OA -24 ABSTAIN: ABSENT: None (0) Tinajero (1) 55C. RESOLUTION AFFIRMING ADOPTION OF THE MEASURE M2 YEAR -END EXPENDITURE REPORT {STRATEGIC PLAN NO. 6, 1, G) - Public Works Agency MOTION: Adopt a resolution. RESOLUTION NO. 2014 -077 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE FY 2013/14 MEASURE M2 EXPENDITURE REPORT FOR THE CITY OF SANTA ANA MOTION: Martinez SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 55D. RESOLUTION — MEASURE M2 COMPREHENSIVE TRANSPORTATION FUNDING PROGRAM GRANT APPLICATIONS {STRATEGIC PLAN NO. 6, 1, G} - Public Works Agency MOTION: 1. Adopt a resolution. RESOLUTION NO. 2014 -078 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE SUBMITTAL OF IMPROVEMENT PROJECTS TO THE ORANGE COUNTY TRANSPORTATION AUTHORITY FOR FUNDING UNDER THE COMPREHENSIVE TRANSPORTATION PROGRAM 2. Direct staff to amend the Seven -Year Capital Improvement Program to incorporate the Comprehensive Transportation Funding Program projects list. MOTION: Benavides SECOND: Martinez CITY COUNCIL AGENDA 25 NOVEMBER 18, 2014 1 OA -25 55E 55F VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero(1) RESOLUTION - ARTERIAL PAVEMENT MANAGEMENT PROGRAM GRANT APPLICATIONS {STRATEGIC PLAN NO. 6, 1, G) - Public Works Agency MOTION: 1. Adopt a resolution. RESOLUTION NO. 2014 -079 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING APPLICATION FOR FUNDS FOR THE ARTERIAL PAVEMENT MANAGEMENT PROGRAM FUNDED WITH REGIONAL SURFACE TRANSPORTATION PROGRAM FUNDING UNDER THE MOVING AHEAD FOR PROGRESS IN THE 2151 CENTURY FEDERAL TRANSPORTATION ACT FOR THE WARNER AVENUE PAVEMENT MAINTENANCE PROJECT (FROM WEST CITY LIMIT TO GRAND AVENUE), THE FIRST STREET PAVEMENT MAINTENANCE PROJECT (FROM NEWHOPE STREET TO MAIN STREET), AND THE FAIRVIEW STREET PAVEMENT MAINTENANCE PROJECT (FROM SEGERSTROM AVENUE TO NORTH CITY LIMIT) 2. Direct staff to amend the Seven -Year Capital Improvement Program to incorporate the Arterial Pavement Management Program projects list. MOTION: Sarmiento SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) APPROPRIATION ADJUSTMENT RECOGNIZING HOUSING RELATED PARKS PROGRAM GRANT REVENUE AND RESOLUTION UPDATE CITY COUNCIL AGENDA 26 NOVEMBER 18, 2014 1 OA -26 {STRATEGIC PLAN NO. 5, 4A} - Parks, Recreation & Community Services Agency MOTION: 1. Approve appropriation adjustments. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -091 - Recognizing grant revenue in the amount of $316,350 in the Parks /Recreation Capital Grants revenue account and appropriating funds to the State Resources Agency Grant expenditure accounts. APPROPRIATION ADJUSTMENT NO. 2015 -091 - Recognizing District 1 Acquisition and Development funds in the amount of $175,000 in the Residential Development District 1 revenue account and appropriating funds to the Residential Development District 1 expenditure accounts. 2. Adopt a resolution. RESOLUTION NO. 2014 -080 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACKNOWLEDGING THE GRANT AWARD FOR HOUSING - RELATED PARKS PROGRAM GRANT AND AUTHORIZING EXECUTION OF STATE STANDARD AGREEMENT FOR SUCH GRANT AGMT NO. 2014 -301 — Execute a Standard Agreement with the State of California for improvements to Memory Lane /Santa Ana River Park. MOTION: Martinez SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) REPORTS 65A. APPROVE 2015 CALENDAR OF CITY COUNCIL MEETING DATES (STRATEGIC PLAN NO. 5, 1)S - Clerk of the Council Office MOTION: CITY COUNCIL AGENDA 27 NOVEMBER 18, 2014 1 OA -27 1. Approve the 2015 calendar of City Council Meeting dates. 2. Direct the Clerk of the Council to post a Notice of Cancellation for the regularly scheduled City Council meetings scheduled for January 6, 2015 and July 21, 2015; the City Council hereby waives notice of said meetings as required by the government code. MOTION: Amezcua SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 65B. SANTIAGO CREEK FIRE PREVENTION ACTION PLAN {STRATEGIC PLAN NO. 5, 4) - Public Works Agency Councilmember Amezcua, requested staff contact information for the project be provided to the public for those that cannot attend the Saturday meeting. MOTION: Receive and file. MOTION: Amezcua SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero(1) 65C. AGENDA ITEM TAKEN OUT OF ORDER PUBLIC HEARINGS 75A. AGENDA ITEM TAKEN OUT OF ORDER CITY COUNCIL AGENDA 28 NOVEMBER 18, 2014 1 OA -28 75B. PUBLIC HEARING - ZONING ORDINANCE AMENDMENT NO. 2014 -02 TO ADOPT AN ADAPTIVE REUSE ORDINANCE — CITY OF SANTA ANA, APPLICANT (STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved MOTION on October 27, 2014 by a vote of 6 -02 (Alderete absent). Legal Notice published in the Orange County Reporter on November 7, 2014. Interim Executive Director of Planning and Building, Karen Haluza presented staff report. DESCRIPTION • Adopt an Adaptive Reuse Ordinance • Amend the Santa Ana Municipal Code (SAMC) • Identify Incentive Areas for Adaptive Reuse Projects BACKGROUND • The SAMC is silent on provisions for the adaptive reuse of buildings • The new ordinance would allow alternate and compatible uses beyond those currently in place within the standard Zoning Code • The ordinance would encourage preservation and reinvestment • Research efforts examined similar ordinances in Los Angeles, Long Beach, Pasadena and Phoenix Key elements of Proposed code • Establishes project incentive areas. • Creates a criteria for eligible buildings — pre -1974. • Reduces development standards. • Provides flexibility in meeting the building code. M1403RUTLxlV-1:6yIaK s o t Examples of eligible buildings provided Strategic Plan Alignment ■ Goal 3: Economic Development CITY COUNCIL AGENDA 29 NOVEMBER 18, 2014 1 OA -29 • Strategy 2. Create new opportunities for business /job growth through new General Plan and Zoning Ordinance policies. ■ 2b. Update the City's Zoning Ordinance to be consistent with the updated General Plan and include equitable, innovative, business friendly zoning practices. • Strategy 3. Promote a solutions -based customer focus in all efforts to facilitate development and investment in the community. ■ 3c. Explore opportunities to encourage a business friendly environment within the city through the reduction of non - essential regulatory requirements, improved coordination between agencies for development review and addition of monetary incentives (e.g. sales tax sharing, enhancing Small Business Incentive Program, etc.). ■ Strategy 5. Leverage private investment that results in tax base expansion and job creation citywide. ■ 5a. 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). Commission /Committee recommendations & other support • Reviewed by Development and Transportation Committee on 9/5/2013. • Recommended for approval by the Planning Commission on 9/22/2014. • Recommended for approval by the Economic Development Task Force 10/14/2014. • Letter of support from the Orange County Business Council received 11/18/2014. The following speakers addressed the City Council on the matter: • Ana Urzua, concerned with unintended consequences of adaptive reuse, not all building accounted for and request definition of "under- utilization ". • Madeleine Spencer, troubled with high number of vacant properties - over 2,000 including empty lots; encourage CEQA reviews and public notification process. • Mayor Pulido asked that list of lots be provided to staff to verify information. Councilmember Benavides asked about amenities and open space requirements addressed through this ordinance. Interim Director Haluza noted that balconies and rooftop can be considered. Councilmember Benavides, supports recommendation - economic development effort. Councilmember Sarmiento, seconded motion; revitalizes dormant vacant lots; urban core offers amenities other areas do not; .reactivate corridors. Mayor Pulido reluctantly supports motion, unintended consequences; staff to monitor number of conversions and applications processed. CITY COUNCIL AGENDA 30 NOVEMBER 18, 2014 1 OA -30 MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2874 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE TO ALLOW THE ADAPTIVE REUSE OF ELIGIBLE BUILDINGS IN PROJECT INCENTIVE AREAS MOTION: Benavides VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Sarmiento Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento (6) None (0) None (0) Tinajero (1) *Councilmember Martinez ended the teleconference at 8:43 p.m. AGENDA ITEM TAKEN OUT OF ORDER PUBLIC HEARING *Mayor Pulido abstained due to proximity of family owned business, Councilmember Martinez abstained due to proximity of residence and Councilmember Sarmiento abstained due to potential conflict with businesses. 75A. PUBLIC HEARING — 2015 DOWNTOWN BUSINESS IMPROVEMENT DISTRICT (BID) ASSESSMENT {STRATEGIC PLAN NO. 3, 4F) - Community Development Agency Legal Notice published in the Orange County Register on November 7, 2014. Matter continued due to a lack of quorum and eligible members to consider the item. PUBLIC COMMENTS • Zabdi Alvarez, member of SACReD, thanked the City Council for community input on Strategic Plan and Complete Streets; youth internship programs and library grants. CITY COUNCIL AGENDA 31 NOVEMBER 18, 2014 1 OA -31 • Madeleine Spencer, commented on various efforts by staff to improve transparency and community meetings. • Carlos Melendez, congratulated those re- elected and look forward to working with all. • Carolyn Torres, spoke on gang injunction, read press release for the record. • Gabriela Hernandez, provided update on gang injunction, commented that wanding felt like screening at jail; • Gina Moran, representative of Alzheimer's Association in honor of National Awareness Month. • Michael Klobnikin, spoke of victims of the system that need assistance. • Oscar Aguirre, spoke of parking permit request on 19th Street • Mike Carter, will be speaking on same matter at the next City Council meeting. • Joseph Tagaloa, Southwest Little League of Santa Ana, concerned with illegal use of their name by another group that have been given approval to use fields. • Ricardo Cardenas, expressed support for Mr. Tagaloa and the work and effort by the organization; concerned with over security at Council meetings. Hector Mendez, also supports Mr. Tagaloa; interest of the youth is paramount. • Yollie Linan, presented packets on behalf of the Southwest Baseball Santa Ana organization, • Dan Escamilla, concerned with homeless problem in front of his business in the Civic Center area. Ilya Tseglin, spoke on various social services. COUNCIL AGENDA ITEMS Pursuant to Santa Ana Charter Section 411, any member of the City Council may place items on the City Council Agenda to be considered by the City Council. 85A. DIRECT STAFF TO PREPARE RESOLUTION IN SUPPORT OF REPUBLIC OF VIETNAM DAY — ( Councilmember Martinez and Councilmember Sarmiento MOTION: Direct staff to prepare resolution. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: CITY COUNCIL AGENDA SECOND: Sarmiento Amezcua, Benavides, Sarmiento (5) None (0) None (0) Reyna, Tinajero (2) COMMENTS 32 1 OA -32 Martinez, Pulido, NOVEMBER 18, 2014 90A. CITY MANAGER'S COMMENTS - None 90B. CITY COUNCILMEMBER COMMENTS Councilmember Amezcua: • Announced that Code of Conduct and Ethics Committee will be sending letters to Code violators; • Wished all a Happy Thanksgiving; and • Requested staff to evaluate establishing a property storage /check -in center for the homeless. Councilmember Reyna: • Asked all to conserve water; • Recognized veteran and invited all to attend monthly flag raising ceremony at the Main Library; • Thanksgiving is opportunity to reflect and give thanks for blessings; and • Encouraged all to shop in Santa Ana. Councilmember Benavides • Reach out to County and open line of communication and feedback to Council on how to move forward; check -in center for homeless appears practical and will assist homeless; • Much to be grateful; council re- elected to serve the community and look forward in moving City in the right direction; • Memorial Park had ribbon cutting ceremony yesterday ; encouraged staff to look at other opportunities for similar program elsewhere in the City; and • Shop and boost our local economy. Councilmember Sarmiento • Congratulated colleagues on re- election; and • Wished all a Happy Thanksgiving. Mayor Pulido: • Adjourned in Memory of all Jim Steaffens, Burnell Hayes, Lexi Perez and Lexandra Perez, and Andrea Gonzalez. ADJOURNED- 9:32 p.m. The next meeting of the City Council is scheduled for Tuesday, December 2, 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 Jim Steaffens, Burnell Hayes, Lexi Perez and Lexandra Perez, and Andrea Gonzalez CITY COUNCIL AGENDA 33 NOVEMBER 18, 2014 1 OA -33 Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Solar Permit Fee Waiver • Proactive Rental Enforcement Program Renewal • Budget Calendar Adoption • Water and Sewer Rate Update CITY COUNCIL AGENDA 34 NOVEMBER 18, 2014 1 OA -34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: SECOND READING ORDINANCE: ADOPT ORDINANCE REPEALING ARTICLE III OF CHAPTER 10 OF THE SANTA ANA MUNICIPAL CODE REGARDING BICYCLE LICENSING AND REGISTRATION - (STRATEGIC PLAN NO. 5, 1) CITY MANAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 � Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On November 18, 2014, the City Council introduced first reading and authorized publication of title of the following Ordinance by a vote of 6 -0 (Tinajero, absent): ORDINANCE NO. NS -2873 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING ARTICLE III OF CHAPTER 10 ENTITLED REGARDING BICYCLE LICENSING AND REGISTRATION REQUIREMENTS STRATEGIC PLAN Approval of this agreement allows the City to meet Goal #5. Community Health, Livability, Engagement & Sustainability, Priority #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 There is no fiscal impact associated with this action. Marla D. Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS -2873 11 A -1 11 A -2 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING ARTICLE III OF CHAPTER 10 ENTITLED REGARDING BICYCLE LICENSING AND REGISTRATION REQUIREMENTS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City's current mandatory bicycle licensing program is not utilized by a large majority of the City's residents; B. However, the City believes that residents should have a way of voluntarily registering their bicycles to aid law enforcement in returning a bicycle to the rightful owner in the event that the bicycle is misplaced or stolen; and C. To that end, the City will continue to maintain a bicycle registration program which is now voluntary through the Santa Ana Police Department. Section 2. Chapter 10, Article III of the Santa Ana Municipal Code is hereby deleted in its entirety to read as follows: Secs. 10- 196 -10 -204. Reserved. Secs. 10- 206 -10 -209. Reserved. ADOPTED this day of 2014 Miguel A. Pulido Mayor Ordinance No. NS -XXX 11 A -3 Page 1 of 2 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on November 18. 2014, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Ordinance No. NS -XXX Page 2 of 2 Clerk of the Council City of Santa Ana 11 A -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: SECOND READING ORDINANCE: ZONING ORDINANCE AMENDMENT NO. 2014 -02 TO ADOPT AN ADAPTIVE REUSE ORDINANCE - CITY OF SANTA ANA, APPLICANT - {STRATEGIC PLAN NO. 5, 1} CITY MANAC&R RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 � Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER On November 18, 2014, the City Council introduced first reading and authorized publication of title of the following Ordinance by a vote of 6 -0 (Tinajero, absent): ORDINANCE NO. NS -2874 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE TO ALLOW THE ADAPTIVE REUSE OF ELIGIBLE BUILDINGS IN PROJECT INCENTIVE AREAS. STRATEGIC PLAN Approval of this agreement allows the City to meet Goal #5. Community Health, Livability, Engagement & Sustainability, Priority #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 There is no fiscal impact associated with this action. Maria D. Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS -2874 11B-1 11 B -2 ROH 10/27/14 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE TO ALLOW THE ADAPTIVE REUSE OF ELIGIBLE BUILDINGS IN PROJECT INCENTIVE AREAS. THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The Santa Ana Municipal Code does not currently contain standards for the adaptive reuse of vacant and /or obsolete buildings. Such adaptive reuse programs are necessary to ensure that development proposals for older buildings can be reviewed in a comprehensive, thorough manner to ensure compatibility with the site and surrounding land uses. B. Older buildings may have construction methods and site configurations that make them suitable for alternate uses beyond the original use intended. C. The adaptive reuse of structures, including historic and non - historic structures, has been found to support environmental sustainability by encouraging the reuse of built structures for alternate uses. D. The proposed zoning code provisions will not adversely affect the character, livability or appropriate development in the City and that the adaptive reuse ordinance is consistent with the goals, objectives and provisions of the City's General Plan. E. Zoning Ordinance Amendment No. 2014 -02 is to amend Chapter 41, establishing a new Article XVI.II, allowing certain buildings to apply for the adaptive reuse of the building. This Zoning Ordinance Amendment will allow the adaptive reuse of a building to be reviewed by all pertinent Departments of the City and the Orange County Fire Authority (OCFA). F. Zoning Ordinance Amendment No. 2014 -02 supports the General Plan policies of encouraging high- density residential development within the City's District Centers, support projects that contribute to the redevelopment and revitalization of the urban centers, promote rehabilitation of commercial properties and encourage increased levels of capital investment, support development which provides a positive 1 11 B -3 contribution to neighborhood character and identity, encourage the retention and reuse of historical buildings and sites, and encourage development which provides a clean and safe environment for the City's residents, workers and visitors. G. On September 8, 2014, and October 27, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2014 -02 to create Article XVI.II of the Santa Ana Municipal Code to adopt standards of approval for the adaptive reuse of buildings for eligible buildings in project incentive areas. H. Zoning Ordinance Amendment No. 2014 -02 came before the City Council of the City of Santa Ana for a duly noticed public hearing on November 18, 2014, to consider all testimony, written and oral. The City Council adopts as findings all facts presented in the Request for Council Action dated November 18, 2014 accompanying this matter. For these reasons, and each of them, Zoning Ordinance Amendment No. 2014 -02 is hereby found and determined to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. J. The Request for Council Action for this ordinance dated November 18, 2014, shall by this reference be incorporated herein, and together with this ordinance, any amendments or supplements and the oral testimony before the City Council at this meeting, shall additionally constitute the necessary findings for this ordinance. K. All provisions of the Santa Ana Municipal Code which are repeated herein are repeated solely in order to comply with the provisions of Section 418 of the City Charter. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action or decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. Section 2. Pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), which is applicable if it can be seen with certainty that there is no possibility that the project may have a significant effect on the environment. The proposed ordinance will only allow the reuse of vacant and /or obsolete buildings with little or no new construction. As a result, a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Article XVI.II, Section 41 -1650 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: 2 11 B -4 Article XVI.II Adaptive Reuse Sec. 41 -1650. Purpose. The purpose of this Adaptive Reuse Article is to provide alternative building and fire standards for the conversion of Eligible Buildings, or portions thereof, in Project Incentive Areas from Nonresidential Uses to dwelling units, guest rooms or joint living and work quarters. The alternative building standards are designed to provide a reasonable level of safety to the building occupants and are in conformance with the provisions of Section 17958.11 of the California Health and Safety Code, Section 4. Section 41 -1651 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1651. Definitions. a) Adaptive Reuse Project — Any change of use from Nonresidential Use to dwelling units, guest rooms or joint living and work quarters in all or any portion of any Eligible Building. b) Eligible Building — Any building within a Project Incentive Area that was constructed in accordance with building and zoning codes in effect prior to July 1, 1974, or which has been determined to be a Historically Significant Building. c) Historically Significant Building — Any building that is listed on the National Register of Historic Places, the California Register of Historical Resources, or the City of Santa Ana Register of Historical Properties, or is eligible for such listing based on the criteria of each respective listing process. d) Nonresidential Use — Any use other than dwelling units, guest rooms or joint living and work quarters. e) Project Incentive Area — An area of the City eligible for an Adaptive Reuse Project. These areas include properties located in the Midtown Specific Plan Zoning District (SP -3); the Transit Zoning Code District (SD -84); the North Main Street Corridor on both sides of Main Street from Seventeenth Street to the northernmost Main Place Drive; and, the East First Street Corridor on both sides of First Street from Grand Avenue to Elk Lane. Section 5. Section 41 -1652 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: 3 11B-5 Sec. 41 -1652. Applicability. The change of use of an existing, economically obsolete building into a new, more productive use such as apartments, condominiums or live /work units is permitted subject to compliance with the following standards: a) Eligibility. Projects must meet the following criteria to be an eligible Adaptive Reuse Project: 1. Project site shall be located in one of the Project Incentive Areas, as defined in section 41- 1651(e). 2. The building must be an Eligible Building, as defined in section 41- 1651(b). b) Development Standards. Adaptive Reuse Projects shall, at a minimum, be in compliance with the following development standards: 1. The residential units shall be a minimum of 500 square feet in size. 2. The ground floor of a multi -level building with three stories or more containing street frontage shall be used as commercial /retail space. 3. Common area spaces for the building, such as lobbies and recreation rooms, when located on the ground floor, may not exceed 50% of the ground floor square footage. 4. Open space shall be provided at a rate of 10 percent of the building square footage, and may be public or private and shall be disbursed throughout the building. At least 25 percent of the open space shall be in the form of a community /recreation room(s). The remaining open space may consist of private balconies (50 square feet minimum), pool and spa areas, and public courtyards. Public courtyards shall include seating areas, enhanced landscaping, barbeque areas and other amenities as determined by the Planning Division. 5. Historically Significant Buildings shall comply with chapter 30 of this Santa Ana Municipal Code, fagade easements and any other related historic guidelines, including the Secretary of the Interior Standards for any necessary exterior modifications. c) Project Incentives. Adaptive Reuse Projects that comply with the Development Standards are eligible for the following project incentives: 4 11 B -6 1. The project can exceed the maximum general plan density for the site provided the Adaptive Reuse Project is in compliance with the development standards. 2. Existing building setbacks may remain and shall be considered legal nonconforming, but no further encroachments shall be permitted into any nonconforming setback. 3. The height of the structure, if it exceeds the maximum height of the zoning district, may remain and shall be considered legal nonconforming, and any rooftop construction shall be included within the height exemption. 4. A new loading zone shall not be required if the existing building does not have an existing loading zone. 5. New parking spaces shall not be required for any converted use within the building, but any new square footage that includes any new units shall require additional parking at a minimum rate of 2 spaces per unit. d) Housing Opportunity Ordinance. Projects must comply with the following to be an eligible Adaptive Reuse Project: 1. Project shall comply with Article XVIII.I of the Santa Ana Municipal Code (Sections 41 -1900 through 41- 1910), otherwise known as the Housing Opportunity Ordinance. Section 6. Section 41 -1653 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41- 1653. Zoning Residential uses shall be allowed in the Project Incentive Areas irrespective of the underlying zoning as part of an approved Adaptive Reuse Project. Section 7. Section 41 -1654 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1654. Alternative Building Standards for Adaptive Reuse Projects a) The alternative building regulations adopted pursuant to this section shall be applicable in Project Incentive Areas. The alternative building regulations need not impose the same requirements as regulations adopted pursuant to California Health and Safety Code Section 17922, but 5 11 B -7 in permitting repairs, alterations, and additions necessary to accommodate Adaptive Reuse Projects, the alternative building regulations shall impose such requirements as will, in the determination of the Building Official, protect the public health, safety, and welfare. b) Alternate Material, Design, or Method of Construction. The property owner must submit an application for an alternate material, design, or method of construction in accordance with Chapter 8 of the Santa Ana Municipal Code. Upon receipt of such application, the Building Official shall have the authority to review and grant approval when the proposed design is found satisfactory and complies with the intent of the provisions of current building codes in effect, and that the material, method or work offered is justified by current accepted performance based engineering and analysis in assessing quality, strength, effectiveness, fire resistance, durability, and safety. c) The Building Official shall review Adaptive Reuse Project proposals on a case -by -case basis, and may require pre - submittal meetings at his or her discretion. d) Nothing in this section shall be construed to allow the reduction of the seismic or fire and life safety elements of an Eligible Building where such elements provide a greater level of protection than the minimum requirements established by this section. Section 8. Section 41 -1655 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1655. Alternative Fire Standards for Adaptive Reuse Projects a) Subject to the approval of OCFA, the use or occupancy of an Eligible Building shall be allowed to be changed as part of an Adaptive Reuse Project, and the Eligible Building is allowed to be occupied for purposes in other groups without conforming to all of the requirements of the California Fire Code (and the California Building Code when applicable) for those groups, provided the new or proposed use is less hazardous, based on life and fire risk, than the existing use. The provisions of the California Fire Code (and the California Building Code when applicable) are not intended to prevent the installation of any material or to prohibit any method of construction not specifically prescribed by the California Fire Code, provided that any such alternative has been approved. b) Alternative Materials and Methods (AM &M). The property owner must submit an AM &M application for any Adaptive Reuse Project to the Orange County Fire Authority (OCFA). OCFA is authorized to approve an AM &M for construction where OCFA finds that the proposed design is 6 11 B -8 satisfactory and complies with the intent of the provisions of the California Fire Code, and that the material, method or work offered is, for the purpose intended, at least equivalent of that prescribed in the California Fire Code in quality, strength, effectiveness, fire resistance, durability and safety. c) Fire Life Safety (FLS) Report. A feasibility study or FLS report is required to be provided by the property owner to assist OCFA to identify the status of subject Adaptive Reuse Project. The FLS report is intended to identify the Eligible Building's existing features and evaluate it against the current code requirements. OCFA will review the FLS report and evaluate the proposal for final recommendations. d) OCFA shall review Adaptive Reuse Project proposals on a case -by -case basis, and may require pre - submittal meetings at its discretion. e) Modifications. Whenever there are practical difficulties involved in carrying out the provisions of the California Fire Code, OCFA shall have the authority to grant modifications for individual cases, provided OCFA shall first find that special individual reasons make the strict letter of the California Fire Code impractical and the modification is in compliance with the intent and purpose of the California Fire Code and that such modification does not lessen health, life and fire safety requirements. Section 9. Section 41 -1656 of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: Sec. 41 -1656. Alternate Public Works Agency Standards for Adaptive Reuse Projects a) The Public Works Agency may adopt alternate standards for projects within Project Incentive Areas. The Public Works Agency need not impose the same requirements as regulations permitting repairs, alterations, and additions necessary to accommodate Adaptive Reuse Projects, but shall impose such requirements as will, in the determination of the Executive Director, protect the public health, safety, and welfare. b) The Executive Director shall review Adaptive Reuse Project proposals on a case -by -case basis, and may require pre - submittal meetings at his or her discretion. Section 10. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase 7 11 B -9 or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 2014 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan 0. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 11B-10 MINUTES OF THE SPECIAL MEETING OF THE CODE OF CONDUCT AND ETHICS COUNCIL COMMITTEE FEBRUARY 27, 2014 Meeting Convened at Santa Ana City Hall, 2nd Floor Conference Room, Santa Ana, CA at 4:12 p.m. In attendance were Committee Members Sal Tinajero and Angelica Amezcua, Chair and Staff members Sonia Carvalho, City Attorney and Maria D. Huizar, Clerk of the Council. PUBLIC COMMENTS — None AGENDA ITEMS 1. ANNUAL REVIEW OF CODE OF CONDUCT AND ETHICS Committee Member Tinajero, spoke of need to receive information from the City Attorney on Code violations, specifically as they relate to recent claim of a Brown Act violation and disclosure confidential information. CODE OF CONDUCT AND ETHICS SECTION III. CORE VALUES — RESPONSIBILITY / PROTECTIVE THE PUBLIC'S INTEREST • 1 refrain from disclosing confidential information concerning litigation, personnel, property, or other affairs of the City, without proper legal authority, nor use such information to advance my financial or other personal interests. City Attorney Carvalho, noted that review and enforcement of claims have been consistent; communication sent to all members of the City Council on expectations and provisions of the law protecting information; policy is to bring allegations to the attention of the City Council, but individuals responsible for own actions unless allegation affect public's business. Committee Member Tinajero, recapped recent complaint against a member of the City Council; noted that individual may be held accountable for personal actions. Request that in the future, such violations be brought to the Committee for consideration; also, concerned that City's Code is value based (aspirations) with no penalties incorporated. Unanimous consent to adhere to the Code of Conduct by the committee members. 13A -1 There was no further discussion and Committee did not propose any changes to Code of Conduct and Ethics. 2. DISCUSS CITY COUNCIL POLICY AS IT RELATES TO BROWN ACT VIOLATIONS AND SANCTIONS City Attorney Carvalho, indicated that item agendized by the Committee as result of recent incident in which no policy or sanctions have been approved (by the City Council). Noted that guidelines for reporting violations vary by agency. Sample policy provided for consideration, as well as list of current provisions for reporting, including City of Santa Ana Charter, member of the public may report violations to the Orange County District Attorney's office, Grand Jury and /or the Attorney General's Office. City Attorney Calvalho mentioned that members of the public may also request injunctive relief through the courts; elected officials may be in contempt of court if violate an order. Also, stated that Committee may present resolution and /or policy for City Council consideration. Committee Member Tinajero, stated that committee will review material and re- agendize for further deliberation. 3. COMMITTEE MEMBER COMMENTS Chair Amezcua, asked for clarification on allegations of wrong doing by two councilmembers on campaign contributions. City Attorney reported that complaint reviewed and found that independent expenditure campaign committee funds not in violation of City's campaign contribution limit. Scheduled Special Meeting on May 22, 2014. ADJOURNED — 4:39 P.M. Maria D. Huizar Clerk of the Council 13A -2 MINUTES OF THE SPECIAL MEETING OF THE CODE OF CONDUCT AND ETHICS COUNCIL COMMITTEE SEPTEMBER 25, 2014 Meeting Convened at City Hall, Ross Annex, 20 Civic Center Plaza Santa Ana, CA at 5:03 p.m. In attendance were Committee Members Sal Tinajero and Angelica Amezcua, Chair and Staff members Sonia Carvalho, City Attorney and Maria D. Huizar, Clerk of the Council. PUBLIC COMMENTS — None AGENDA ITEMS 1. APPROVE MINUTES FROM THE FEBRUARY 27, 2014 SPECIAL MEETING. Motion by Tinajero, Seconded by Amezcua to approve Minutes. Motion carried. 2. DISCUSSION AND RECOMMENDATION ON CITY COUNCIL POLICY AS IT RELATES TO BROWN ACT VIOLATIONS AND SANCTIONS (MATTER CONTINUED FROM THE FEBRUARY 27, 2014 MEETING) Chair Amezcua noted that current policy is value based and self - policed; proposed sanctions should include removal from appointed and regional boards. Committee Member Tinajero included right to remove from positions and /or suspend. City Attorney Carvalho noted that City of Ontario has policy in place with sanctions, that may be good model. Committee Member Tinajero proposed following sanctions: 1. Formal warning from City Council that behavior is inappropriate; 2. Agendize for removal from regional boards and /or not allow to make presentation of certificates and proclamations; and 3. Agendize additional sanctions to be considered by the City Council. Minutes of the Code of Conduct and Ethics Committee Page 1 September 25, 2014 13A-3 DISCUSSION AND POLICY DIRECTION RE: VIOLATION OF PLANNING COMMISSION BYLAWS City. Attorney Carvalho noted that violation of due process occurs when disclosure of evidence not provided and explained formation of Disclosure Form as approved by the Planning Commission. Disclosures across the board and all other member have fully complied. Committee Member Tinajero directed staff to prepare letter to commissioner notifying him that Disclosure Forms must be received by October 2, 2014 or Committee would agendize recommendation of removal from the Commission. Sean Mill, Planning Commission Vice - Chair, noted that forms provided to staff prior to meeting but copies not available for examination; suggest that Forms be submitted by Thursday and copies made available to the public prior to the meeting. Committee Member Tinajero request that letter demand that disclosure forms be provided from March, 2014 to the present. Vince Fregoso, Principal Planner, noted that all commissioners have made verbal disclosures at the Planning Commission. COMMITTEE MEMBER COMMENTS Committee Member Tinajero asked about the process for verifying residency of council candidate. Clerk of the Council Huizar explained process and noted that any complaint received would be reviewed accordingly. Chair Amezcua reminded all that conduct by all elected and appointed officials important; need to promote ethical environment. ADJOURNED — 5:30 p.m. d �;.n /v l 'f'Mdt '_'D • /iii✓"' Maria D. Huizar Clerk of the Council Minutes of the Code of Conduct and Ethics Committee Page 2 September 25, 2014 13A -4 CITY COUNCIL COMMITTEE ON DEVELOPMENT AND TRANSPORTATION Meeting Minutes September 4, 2014 CALL TO ORDER The meeting was called to order at 5:10 p.m. in Room 1600 of the City Hall Ross Annex. ATTENDANCE The following Committee Members were present: Vincent Sarmiento, David Benavaides Absent: Michele Martinez Staff present were: Karen Haluza, Interim Executive Director /Planning & Building Agency; William Galvez, Interim Exec. Director /Public Works Agency; Ryan Hodge, Assistant City Attorney; Scott Kutner, District Manager; Alma Flores, Senior Management Assistant; Nabil Saba, Water Resources Manager; Taig Higgins, Acting City Engineer; Gerald Caraig, Building Safety Manager; Vince Fregoso, Acting Planning Manager; Alvaro Nunez, Community Preservation Coordinator; and Rosa Barela, PBA Executive Secretary. PUBLIC COMMENTS Gilad Salmon noted concern on the impact on Fourth Street business and events with the Streetcar Project and requested mitigation of any potential impacts, and requested to make this project bikeable. Chris Garrett, attorney for Latham & Watkins LLP, representing TelePacific Communications, noted concern on the possible conversions of industrially designated land to residential use and urged Council to consider compatibility and spoke on the proposal of residential at their site. AGENDA ITEMS 1. APPROVAL OF MINUTES — June 30, 2014 Special Meeting Motion by Committee member Benavides and seconded by Chairman Sarmiento to approve the June 30, 2014 Special Meeting minutes and approved unanimously by a vote of 2:0 (Martinez absent). Taken out of Agenda Order 8. UPDATE ON YMCA {Strategic Plan No. 3, 5A} Scott Kutner provided an update on the reuse of the YMCA Building noting Council voted to authorize staff to enter into discussions with St. Joseph Health and Taller San Jose development team; will bring to the Council for their consideration at their 13B -1 September 16, 2014 meeting the approval of an Exclusive Negotiation Agreement, authorization of a Reimbursement Agreement and agreement for security enhancements and physical improvements to the exterior of the building; and noted the completion of a lead and asbestos survey to assess the air quality which provided recommendations for entry into the building. 4. NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM (NPDES)/ CLEAN WATER EFFORTS PRESENTATION {Strategic Plan Nos. 6, 1 B; 6, 1 G} Taig Higgins provided a brief overview on the National Pollutant Discharge Elimination System (NPDES) Program to improve quality and reducing quantity of urban stormwater runoff with the goal to keep pollutants out of the receiving waters; discussed the Clean Water Act regulatory requirement which requires all agencies to secure a permit before discharging water in which Santa Ana and other cities are all under one permit with the County of Orange; discussed permit requirements, the three main approaches to improving stormwater quality which include private land development and capital improvement projects, discussed the improving water quality inspection programs and municipal maintenance activities, noted staff also provides education which consists of community awareness programs, events, presentations and outreach, and includes rigorous staff training. 5. LEVEL 1 WATER SHORTAGE DECLARATION — IMPLEMENTATION OF THE CITY'S STAGE 1 WATER SHORTAGE CONTINGENCY PLAN IN COMPLIANCE WITH THE SWRCB DROUGHT REGULATIONS {Strategic Plan No. 5, 6F} William Galvez provided an overview on the Drought State of Emergency proclaimed by Governor Brown in January 2014 which called for a voluntary 20% reduction and in July the California State Water Resources Control Board ( SWRCB) passed a resolution adopting emergency drought regulations which apply to all cities and imposed mandatory outdoor irrigation restrictions, noted in 2009 the city adopted a water conservation ordinance that include four levels of water conservation which include: Permanent Measures, Level 1 Water Shortage, Level 2 Water Shortage and Level 3 Water Shortage Emergency Condition; noted the city is currently in permanent water conservation level and in compliance with most of the State requirements; in order to reach full compliance to the State the city must declare a Level 1 Water Shortage which imposes restrictions to irrigating, plumbing leaks and breaks must be repaired within 72 hours, and a mandatory reduction (2.5% or 5 %) in consumption compared to the previous year. Mr. Galvez noted the first violation will result in a notice of violation, the second is a 15% penalty fee, and third and subsequent violations will result in the installation of a water flow restrictor; spoke on the notification and outreach to resident users, and comparisons to the city's permanent measures and the new State law. Committee member Benavides inquired on users who already take serious measures to conserve water and might not be able to make reduction. Mr. Galvez noted residents who receives a notice can appeal and would take on a case by case basis. Development & Transp. Council Committee Minutes September 4, 2014 Mr. Galvez noted Santa Ana daily water consumption is very low in comparison to other large cities; discussed water production /use trends; noted the average residential bi- monthly use and anticipated reduction per household, discussed the fiscal impacts on the water production, water sales, penalty fee & customer notification; discussed the water bill revisions; spoke on the increase water conservation messaging and contact for water wasting complaints; and asked for the Committee's input on the amount of mandatory reduction of 2.5% or 5 %. Resident noted concern for those who have reduced water consumption and meet reduction and asked that Community Preservation not issue citations for those who remove lawn and plant native gardens with drought resistant plants. Resident commented that a household with a history of wasting water over the years would not be affected by cutback and still waste water and show a reduction. Peter Katz noted concern indicating statistics show 80% of water consumption is agriculture and 20% by residents and commercial combined and questioned how to control the number of people in a household. Chairman Sarmiento supported a 2.5% or 3% mandatory reduction and requested that when the item goes to Council on September 16 to include a breakdown of what other cities have imposed. Committee member Benavides noted 3% seemed reasonable for mandatory reduction and asked when the item goes to Council to add an analysis of what an average home would pay with the different fee options. 2. STREETCAR PROJECT UPDATE {Strategic Plan Nos. 6, 1 G; 3,2C} Mr. Galvez provided a brief update on the environmental assessment and the remaining steps for the Streetcar Project indicating the responses to questions and comments that were received during the public review period has been completed and incorporated into the public record, the document is now known as Final Environmental Impact Report (FEIR) and was sent by OCTA to the Federal Transit Administration (FTA), and will then be certified by the City Council, with the final action of filing a Finding of No Significant Impact (FONSI) by the FTA. Mr. Galvez then provided a timeline of the project noting OCTA will take over the project and procure preliminary engineering design. Committee member Benavides noted the importance of keeping the City of Garden Grove informed and engaged in discussions. 3. CONVERSION OF NON - RESIDENTIALLY ZONED LAND — PRESENTATION AND DISCUSSION OF THE CITY'S POLICIES REGARDING THE CONVERSION (RE- ZONING) OF NON - RESIDENTIAL LAND TO RESIDENTIAL USES {Strategic Plan Nos. 3, 1C; 3, 5A; 5, 3A; 5, 4B} Written communication received from Christopher Garrett of Lastham & Walkins LLP representing TelePacific, who has a data center at 2001 East Dyer Road, noted Development & Transp. Council Committee Minutes 13ts-3 September 4, 2014 opposition to The Heritage Project which proposes to convert the site from light industrial into an apartment complex with associated retail. Karen Haluza noted staff has received applications as well as serious inquiries regarding rezoning of property that is not zoned for residential development to allow for residential or mixed -use development; briefed committee on how staff evaluates these requests and what criteria, standards and policy that is used to make analysis and recommendations; noted adjacent cities have completed major re -zones to accommodate residential development in previously industrial, office or commercial areas; discussed the city's re -zone activity and projects in site plan review, plan check or completed in the last 18 months; discussed the evaluation criteria which include the Housing Element and the Land Use Element; noted U.S. Bureau of Labor Statistics identifies the LA/Long Beach /SA area is one of the largest states in manufacturing; discussed overarching considerations; noted residential land uses are one of the most enduring, residential populations are always deemed to be "sensitive receptor" for CEQA purposes, residential development patterns form the primary back -bone for overall land use and resource allocation; and residential uses tend to consume more in services than they generate in revenue. Chairman Sarmiento requested the item be brought as a study session item at a future Council meeting and requested staff revisit the western boundary of the Metro East Mixed Use Overlay Zone to possibly extend from the 1 -5 Freeway on First Street to Grand Avenue to help improve the residential conditions and public safety. Ms. Haluza noted the corridor is identified in the Housing Element and may use revenue generated from the Housing Opportunity Ordinance for acquisition and rehabilitation in the area. 6. BUILDING INSPECTION STAFF LEVEL IMPROVEMENTS — PRESENTATION ON CURRENT BUILDING INSPECTION STAFFING LEVELS AND THEIR IMPACT ON INSPECTION TURN - AROUND TIME AND RECOMMENDATIONS FOR SERVICE IMPROVEMENTS {Strategic Plan No. 3, 3C} Ms. Haluza introduced Gerald Caraig, Building Safety Manager. Mr. Caraig discussed the 11 parts to the California Code of Regulations Title 24 that building inspectors are required to enforce, noted the inspection turnaround time is over one week, and invited committee members on a ride along. Ms. Haluza commented on the rise in development projects submitted this last fiscal year and the valuation of permits issued indicates larger complex projects submitted; discussed the building inspection staffing reductions, number of days until inspection, building inspection comparisons to other cities, tied item to the Strategic Plan Goal No. 3C becoming a more business friendly environment, noted in order to reach the Gold Standard of providing next -day inspection is the addition of one Senior Combination Building Inspector, three Combination Building Inspectors and one Permit Processor which would be funded with increased revenues received in excess of projected budgeted revenue of approximately $772,000; noted future revenue projection rates are stable for the foreseeable future, noted they brought item to the Economic Development Task Force on August 12, 2014, requested to reallocate excess revenue back to budget for staffing costs, and will go to the Council for approval on September 16. Development & Transp. Council Committee Minutes -4 September 4, 2014 Committee member Benavides thanked staff for the great report and working with and receiving feedback from the Chamber of Commerce to improve the process, and asked that staff send out a press release to the public and business community. Chairman Sarmiento echoed comments and noted to revisit if there is an excess of revenues and possibly get back to what those numbers were and continue improving. COMMUNITY ENGAGEMENT PLAN REQUEST FOR QUALIFICATIONS REVIEW OF DRAFT RFQ FOR THE PREPARATION OF A COMMUNITY ENGAGEMENT PLAN AS THE FIRST STEP IN THE PREPARATION TO THE VISIONING PLAN, GENERAL PLAN UPDATE AND ZONING CODE UPDATE {Strategic Plan No. 5, 1A} Ms. Haluza noted authorization coming before the Council at the September 16, 2014 meeting is two requests to release the Request for Qualifications (RFQ) for both the Community Engagement Plan and Third & Broadway Development Project. Ms. Haluza provided copies of the plan to Committee members for their review and feedback. 9. UPDATE ON THIRD AND BROADWAY PROJECT {Strategic Plan No. 3, 5A} Chairman Sarmiento suggested for the Third and Broadway RFQ to include that input was received from the Urban Land Institute (ULI) and inquired if there were height restrictions. Ms. Haluza noted there is no height restriction, adding there are renderings from John Kaliski that illustrate two development scenarios and represent an actual building with real uses with the first being a lower intensify version of 4 -5 stories and another model slightly lower than the Ronald Reagan Federal Courthouse. Chairman Sarmiento thanked staff for their work on the new and improved RFQ. Committee member Benavides noted to also add in RFQ that staff collaborated with Larry Kosmont of Kosmont Associates and John Kaliski of John Kaliski Architects, COMMITTEE MEMBER COMMENTS - None FUTURE AGENDA ITEMS - None ADJOURNED 6:59 P.M. - The next meeting is scheduled for Thursday, November 6, 2014 at 5:00 p.m. Z- 1 7 -� Karen Haluza Interim Executive Director Planning & Building Agency RB &COundl CammlDevel& Trenep CC \09 -04-14 Devel& Trensp CC Minutes Development & Transp. Council Committee Minutes 1313-5 September 4, 2014 13B -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: DESTRUCTION OF OBSOLETE CITY RECORDS (STRATEGIC PLAN NO. 5, 1) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: nUNIZISIVIa.; ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the requests for the destruction of obsolete records from City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. DISCUSSION On April 1, 2013, the City Council approved a Resolution outlining the records retention schedule for the agencies, departments, and offices of the City. City records are governed by the Public Records Act which provides the period in which records need to be retained. The Citywide Records Team compiled the Citywide Records Retention Schedule which sets forth the retention period for a particular record. The Municipal Code requires that the destruction of a City record be approved by the City Attorney. In accordance with Section 5B of the Citywide Records Retention Schedule Resolution, the City Attorney has approved the list of records proposed for destruction from the departments as outlined in the attached documents. The Citywide Records Retention Schedule has specific retention periods for many City documents. The Schedule is modeled after the California Secretary of State's sample for local government and incorporates other statutory periods applicable to Santa Ana. These are minimum retention periods. Each department makes discretionary decisions on whether to retain records past the minimum requirements. 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 play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this item. Attachment 19C -1 19C -2 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CLERK OF THE COUNCIL OFFICE 2014 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES RETENTION — PERIOD BOARDS AND Applications Applicants not selected 2008 -2011 2 years COMMISSIONS CLERK- Miscellaneous Includes both incoming and outgoing 2009 -2012 2 years ADMINISTRATION Correspondence general correspondence, including letters and e-mail along with citizen feedback; Various files, not related to specific cases and not otherwise specifically covered by — the retention schedule. COUNCIL Agendas Original Meeting Agendas: City Council, 2012 Hardcopy - 2 MEETINGS Redevelopment Agency, Successor years; Imaging Agency, Santa Ana Financing Authority, Copy- Special Meetings, Commissions — agendas Permanent (2004 and packets can be imaged immediately for to present) permanent retention, if desired. A paper copy can be maintained for one year, if desired. Agenda Notices Notices — Public Meetings including Special 2012 2 years Meetings. Agenda Publications Affidavits of Publication I Posting - Proof of 2012 2 years publication or posting of legal notices — examples of legal notices: Notice of Public Hearing, Notice of Lien, etc. Agenda Packets Council Meeting, Successor Agency, Santa 2012 Hardcopy - 2 Ana Financing Authority, Commissions years, Imaging - agenda packet materials, e.g., Requests for Permanent Council Action (RFCA's) and backup (available from information on Council Agenda items - 2004 to present Originals can be imaged immediately for only) permanent retention, if desired. The imaged record can serve as the permanent record, if desired. ELECTIONS Assessment District Public Business Improvement District 2008 6 months after Ballots, Prop 218 "PBID" AKA Community Management election Dsirtict "CMD" Payroll Leave of Absence Requests and copy of 2007 -2012 2 years Departmental Payroll Reports 19C -3 RECORD RECORD SERIES RECORD DESCRIPTION RECORD DATES RETENTION CATEGORY PERIOD FINANCE Clerk of the Council Copies of Direct Payment Vouchers 2006 -2012 2 Years (Financial Operating Budget, (DPV's), Materials Releases (MR's), Documents) Purchasing, Purchase Orders (PO's), Cash Revenue Requisitions, Purchase Receipts and other Clerk expenditure Orders records MISC. LOGS Alcoholic Beverage Control (ABC) 2011 3 Years PUBLIC RECORDS Public Records Requests from the public for documents 2011 2 Years REQUESTS Requests retained by the City PREPARED BY: Norma Mitre Date Sr. Deputy Clerk of the Council RECORDS DESTROYED: CONSENT BY: Maria D. Huizar Date Clerk of the Council APPROVED BY: Number of Boxes Sonia R. Carvalho Date City Attorney 19C -4 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE COMMUNITY DEVELOPMENT AGENCY 2014 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES ADMIN SERVICES CDBG /ESG / HPRP • Box 173 ESG /CDBG Applications 5 YEARS FROM FY DATE • Box 174 CDBG Applications Destroy 2009 Code of Civil • Box 174 CDBG Applications Destroy 2010 Procedures Sec. 337 GC 34090 • Box 175 OC Crazies — SMEDA 02/03 CDBG Applications • Box 176 CDBG 02/03 Applications (Non - Social Programs) • Box 177 ESG Applications Destroy 2009 • Box 178 ESG /CDBG Applications Destroy 2009 • Box 179 CDBG Applications Destroy 2010 •Rex l Ql GDRr_ AppliGatiORS Destroy 201^ • Box 182 CDBG Applications Destroy 2010 • Box 183 CDBG Applications Destroy 2010 • Box 184 CDBG Applications Destroy 2010 • Box 185 ESG /CDBG Applications Destroy 2010 • Box 188 CDBG Applications Destroy 2009 • Box 194 CDBG Applications Destroy 2009 • Box 196 CDBG Applications Destroy 2008 • Box 196 CDBG Applications Destroy 2008 • Box 197 CDBG Applications Destroy 2009 • Box 198 CDBG Applications Destroy 2011 • Box 199 CDBG Applications Destroy 2011 • Box 200 CDBG Applications Destroy 2011 • Box 201 CDBG Applications Destroy 2011 19C -5 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES • Box 202 CDBG Applications Destroy 2011 • Box 203 CDBG Applications Destroy 2011 • Box 204 ESG Applications Destroy 2011 • Box 205 ESG Applications Destroy 2011 • Box 208 CDBG Applications Destroy 2011 • Box 256 ESG /CDBG Applications Destroy 2012 �- -Ee�c- 860 -EDBG�pTslication— Destroy -30�- `�/ ork- G-'enterOf ient-Priferrwmatie�•r- -�00�° ADMIN SERVICES PROJECT FILES 3 years Destroy 2010 Code of Civil Procedures Sec. -- 6rar�ts awd Cat3tatRr• ®jeets —Lh�q- Parks & Recreation and Misc. - destroy 2012 337 GC 34090 PREPARED BY: � � L/ L t /3, "A,> / I Maria D. Huizar Date Clerk of the Council RECORDS DESTROYED: 33 Number of Boxes 19C -6 CONSENT BY: l t ( 11IavitN Execut' erector Date Department Name APPROVED BY: .- Sonia R. Carvalho Da e! City Attorney CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE COMMUNITY DEVELOPMENT AGENCY 2014 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES ADMIN Workforce Investment Act (WIA) & Federal Paperwork, YR10 -50, SERVICES Empowerment Zone FEZ Destroy 2008 2001 -2002 Workforce Investment Act (WIA) & Federal Paperwork, YR10 -52, Empowerment Zone (FEZ) Destroy 2012 2002 -2006 Workforce Investment Act (WIA) /Federal A -R 201, YR10 -11, Empowerment Zone FEZ Destroy 2009 2002 -2003 Workforce Investment Act (WIA) /Federal M -T 501, YR10 -26, Empowerment Zone FEZ Destroy 2013 2006 -2007 Workforce Investment Act (WIA) /Federal H -N 501, YR10 -20, Empowerment Zone FEZ Destroy 2012 2005 -2006 Workforce Investment Act (WIA) /Federal A -G 501, YR10 -19, Empowerment Zone FEZ Destroy 2012 2005 -2006 Workforce Investment Act (W IA) /Federal H -N 501, YR10 -23, Empowerment Zone FEZ Destroy 2011 2004 -2005 Workforce Investment Act (W IA)/Federal P -Y 501,YR10 -21, 2005 -2006 Em owerment Zone FEZ Destroy 2012 Workforce Investment Act (W IA) /Federal A -H 501, YR10 -22, Empowerment Zone (FEZ) Destroy 2011 2004 -2005 Workforce Investment Act (W IA) /Federal C -R 543, YR10 -13, Empowerment Zone FEZ Destroy 2010 2003 -2004 JPPA YR10 -08, Destroy 2008 1998 -1999 Budget YR10 -44, Destroy 2010 1998 -2004 Federal Empowerment Zone (FEZ) YR10 -78, Destroy 2013 2006 -2007 Workforce Investment Act (WIA) PY # 1 of 2, YR10 -34, 2006 -2007 Destroy 2013 Rapid Response YR10 -67, Destroy 2006 1997 -2000 Admin - DPV's YR10 -69, Destroy 2011 2003 -2005 Federal Empowerment Zone (FEZ) YR10 -76, Destroy 2013 2006 -2007 Workforce Investment Act (WIA /Federal M -V 501, YR10 -18, 2003 -2004 Empowerment Zone (FE) Destroy 2010 Workforce Investment Act (WIA / Federal A -T 201, YR10 -09 2001 -2002 Empowerment Zone (FE )? Destroy 2008 Federal Empowerment Zone (FEZ) YR10 -73, Destroy 2013 2006 -2007 WTW YR 10 -57 Destroy 2003 1997 501, YR10 -12 2009 Destroy 2002 -2003 Workforce Investment Act (WIA) YR10 -59 Destroy 2012 2004 -2006 Workforce Investment Act (WIA) YR10 -75 Destroy 2009 1999 -2003 Federal Empowerment Zone (FEZ) YR10 -77 Destroy 2013 2006 -2007 W EY YR10 -79 Destroy 2013 2006 -2007 A -G 201, YR 10 -14 Destroy 2010 2003 -2004 Monitoring Files YR10 -47 Destroy 2012 2003 -2006 C -L 501, YR10 -17 Destroy 2010 2003 -2004 H -N 201, YR10 -15 Destroy 2010 2003 -2004 Ul►- RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES WTW YR10 -60 Destroy 2003 1997 Youth Work Force Development Program YR10 -64 Destroy2010 2004 Federal Empowerment Zone (FEZ) YR10 -65 Destroy 2013 2006 -2007 Paper Work Reports YR10 -53 Destroy 2012 Workforce Investment Board (WIB) Lydia Admin YR 10 -66 Destroy 2012 2004 -2006 Federal Empowerment Zone (FEZ) YR10 -70 Destroy 2013 2006 -2007 Youth Council YR11 -128 Destroy 2013 2003 -2007 YSPN Files A -Z YR11 -145 Destroy 2012 2005 -2006 Delhi Center YR12 -147 Juan: Manufacture 15% Grants YR12 -151 Destroy 2013 FY04- 12/2007 Catholic Charities of OC YR 12 -146 Destroy 2010 Juan: Manufacture 15% Grants YR 12 -153 Destroy 2013 FY04 -12 -2007 Juan: Manufacture 15% Grants YR 12 -152 Destroy 2013 FY04 -12 -2007 YSPN- SBIN, TSJT YR 11 -123 2011 Destroy YETP SOEN- VEGA 08 -04 Destroy 2010 IAAP Destroy 2007 ADMIN Files YR11 -11 Destroy 20012 B -L 5801, YR10 -25 Destroy 2013 2006 -2007 YWDP Worksite Files Box #99 Destroy 2013 2007 ADMIN Files YR10 -82 Destroy 2010 2004 Vocational Assessment YR 10 -91 Destroy 2013 Workforce Investment Act (WIA) Youth Me -Z YR10 Destroy 2013 -990 Workforce Investment Act (WIA) Youth A -Ma YR10 -89 Destroy 2012 Workforce Investment Act (WIA) Youth M -Z YR -10 -87 Destroy 2011 2005 -2006 Workforce Investment Board (WIB) MTG Files YR 10 -80 Destroy 2012 2003 -2006 WES /Workforce Investment Act (WIA) YR10 -85 Destroy 2010 WES /Workforce Investment Act (WIA) YR10 -86 Destroy 2011 Workforce Investment Board (WIB) Packets YR10 -81 Destroy 2009 99 -04 YR10 -83 Destroy 2010 WES /Workforce Investment Act (WIA) YR10 -88 Destroy 2012 Claim Vouchers Destroy 2006 -2008 11/2000 -12/21 /2000 Claim Vouchers Destroy 2006 -2008 2/16/2001 AP70(0 2-031 1 Destroy 05- 06/2001 19C -8 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES Bank Records Destroy 2010 FY2009 ADMIN SVCS Box #258 Destroy 2012 ADMIN SVCS Box #259 Destroy 2012 ADMIN SVCS Box #255 Destroy 2012 ADMIN SVCS Box #257 Destroy 2012 YSPN -CDBG A -M Box #3 Destroy 2010 2001 -2004 YSPN -OCCC A -R Box #11 Destroy 2008 2001 -2004 YSPN -CPBG A -T Box #8 Destroy 2001 YSPN- Keys A -M Box #2 Destroy 2008 2000 -2003 YSPN -CDBG M -V Box #6 2009 Destroy 2002 -2003 YEIP Files Cadena — Esparza Destroy 2010 2004 Mar EOM Reports Destroy 2009 2006 YETP Binders Destroy 2007 2002 YETP Files Aguero- Bustamante Destroy 2010 2004 YWDP Administr2013 Destroy 2007 YWDP Camp Success Box #26 Destroy 2010 2004 YWDP Admin Box #2 Destroy 2013 2007 YWDP pppp Incomplete e013s 2007 YWDP files Box #20 Destroy 2010 YWDP Admin Box #30 Destroy 2010 2 004 YWDP Youth Files R -Z Destroy 2013 2007 YSPN -CPBG M -R Box #4 Destroy 2010 2001 -2005 YSPN -SBING Box #10 Destroy 2010 2000 -2004 YSPN -CDBG A -M Destroy 2009 2002 -2003 YSPN -CDBG L -Z Destroy 2010 2000 -2004 YWPD Admin Bg20Destroy 2004 YETP Montalvo Files Destroy 2010 2004 YWDP Youth Files A -G Destroy 2013 Timecards Destroy 2013 2006 -2007 YETP Perez -Roman Files Destroy 2010 2004 Earmark Youth Program Destroy 2013 2006 -2007 YWDP Youth Files G -M Destroy 2013 2007 YWDP Youth Files M -R Destroy 2013 2007 19C -9 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES YSPN La Familia A -M Destroy 2008 2003 -2004 YETP Romero - Silvas Destroy 2010 Files 2004 Workforce Investment Act (W IA) DPVs Destroy 2012 YETP Esteva -In Files Destroy 2010 2004 YETP Isa -Me Files Destroy 2010 2004 YSPN Keg, TSJT CDBG DDestroy 2010 2000 -2004 Earmark Youth Program Files Destroy 2013 2006 -2007 Earmark Youth Program A -N Files Destroy 2012 2006 -2007 YWDP Clerical and Pay Destroy 2010 YWDP CSP Files Destroy 2010 2 004 YWDP Admin Files Destroy 2010 2004 YSPN CPBG A -L Destroy 2010 2003 -2005 WTW Destroy 2004 1997 -1998 Contacts /Invoices Destroy 2004 1996 -2003 501 Destroy 2008 2001 -2002 A -L, 201 Destroy 2012 2005 -2006 M -V, 201 Destroy 2012 2005 -2006 Workforce Investment Board (WIB) RFC's Destroy 2012 2005 -2006 L -V, 201 Destroy 2011 2004 -2005 A -L, 201 Destroy 2011 2004 -2005 N -W, 501 Destroy 2011 2004 -2005 LOA Destroy 2009 2002 -2003 Workforce Investment Act (WIA) P /Ys Destroy 2011 2002 -2005 O -W, 201 Destroy 2010 2003 -2004 Workforce Investment Act (WIA) 501 Destroy 2012 2005 -2006 Grants Invoices, Contracts bestroy 2013 Youth Program Coordinator Files Destroy 2010 2004 Quarterly Reports Destroy 2013 2004 -2007 Youth Program Coordinator Files Destroy 2010 2004 Accounting Destroy 7/1/06 Weed & Seed Box 212 Destroy 11/1/09 Weed & Seed Box 213 Destroy 11/1/09 Weed & Seed Box 214 Destroy 11/1/09 19C -10 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES Weed & Seed Box 215 Destroy 11/1/09 Weed & Seed Box 216 Destroy 11/1/09 Weed & Seed Box 217 Destroy 11/1/09 Federal Empowerment Zone (FEZ) Box 251 Destroy 7/2009 Federal Empowerment Zone (FEZ) Box 252 Destroy 7/2009 Federal Empowerment Zone (FEZ) Box 253 Destroy 7/2009 Federal Empowerment Zone (FEZ) Box 254 Destroy 7/2009 Federal Empowerment Zone (FEZ) Box 287 Destroy 11/2009 Federal Empowerment Zone (FEZ) Box 288 Destroy 11/2009 Federal Empowerment Zone (FEZ) Box 289 11/2009 Destroy Federal Empowerment Zone (FEZ) Box 290 Destroy 11/2009 Federal Empowerment Zone (FEZ) Box 291 Destroy 11/2009 Federal Empowerment Zone (FEZ) Box 292 Destroy 11/2009 Federal Empowerment Zone (FEZ) Box 286 Destroy 11/2009 PREPARED BY: � 0• 7 io /-Vfw Maria D. Huizar Date Clerk of the Council RECORDS DESTROYED: 143 Number of Boxes 19C -11 CONSENT BY: ag I(/ 1i gully Execufl'V41e D rectdl Date Depar Int Name - •� -fie, 1(1Zy 11q Sonia R. Carvalho Date City Attorney 19C -12 MEMORANDUM Lisa Storck To: Assistant City Attorney Terri Eggers From: Sr. Community Development Analyst 2014 NOY 17 Pl! 2: 20 CITY OF SANTA ANA CLERK OF COUP, CH, Date: November 6, 2014 Subject: REQUEST FOR DESTRUCTION OF RECORDS The Community Development Agency requests your consent to destroy the city records identified on the attached listing in accordance with the retention schedule outlined in City Council Resolution 2006 -045. Thank you, J Terri Eggers 19C -13 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE Community Development Agency 2014 Record Record Category Series Record Description Record Dates ADMIN SVCS Loan Files Documents pertaining to the Jan 1985 -Dec commercial rehab loans 1988 ADMIN SVCS Loan Files Documents pertaining to the Jan 1985 -Dec commercial rehab loans 1988 ADMIN SVCS Employee Reference for current and /or Jan 2003 -Dec Kardex File separated full /part time employee 2008 Cards information. ADMIN SVCS Action Items RFCAs and staff reports to Jan 1997 -Dec commissions Aciency and other 2008 PREPARED BY: 44 Terri Eggers Date Senior Community evelopment Analyst Community Development Agency RECORDS DESTROYED: 10 boxes Number of boxes CONSENT BY: I� ifltV IL1 < II Reender. Date E ecutive Director Community Development Agency APPROVED BY: w ,r Sonia R. Carvalho Date r j /j Z / /e,( City Attorney l 19C -14 ca= CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE FINANCE AND MANAGEMENT SERVICES 2014 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION RETENTION MUNICIPAL Deposit Reports • Daily Cash Deposits — 2005 CU +3 UTILITY GC34090 ACCOUNTS • Daily Cash Deposits — 2004 • Daily Cash Deposits — 2002 • Daily Cash Deposits — 2006 • Daily Cash Receipts 1996 -1997 MAINTENANCE Service Request Building Maintenance Work Completed — 1989 2 years Report PURCHASING Vendor Payment Box 21 Purchasing — Vendor Information Current Year +3 DOCUMENTS Documents 14563 -16394 2007 -2008 . Box 22 Purchasing — Vendor Information 16411 -17490 2007 -2008 . Box 23 Purchasing —Vendor Information 17493 -18746 2007 -2008 • Box 25 Purchasing — Vendor Information 20091 -20859 2007 -2008 • Box 27 Purchasing — Vendor Information 21388 -22744 2007 -2008 • Box 28 Purchasing — Vendor Information 22744 -24567 2007 -2008 . Box 29 Purchasing — Vendor Information 24585 -26797 2007 -2008 • Box 30 Purchasing — Vendor Information 26827 -27559 2007 -2008 • Box 32 Purchasing — Vendor Information 29448 -31492 2007 -2008 • Box 34 Purchasing — Vendor Information 33211 -34195 2007 -2008 • Box 35 Purchasing —Vendor Information 34200 -34854 2007 -2008 • Box 38 Purchasing — Vendor Information Refunds Only 2007 -2008 • Box XX Purchasing — Vendor Information 1 -140 2007 -2008 • Box XX Purchasing — Vendor Information 16102 -19804 2003 • Box XX Purchasing — Vendor Information 320 -320 2007 -2008 19C -15 RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION RETENTION • Box XX Purchasing —Vendor Information 500 -552 2007 -2008 PREPARED BY: Maria D.'Huizar Date Clerk of the Council RECORDS DESTROYED: 22 Number of Boxes 19C -16 CONSENT BY: Executive Director Department Name APPROVED BY: Date Sonia R. Carvalho Date City Attorney CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE FINANCE AND MANAGEMENT AGENCY 2014 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES Vendors #20636- #22077 2006 -2007 Vendors #33851 - #35662 & Various 2006 -2007 Vendors #3675- #5777 2006 -2007 Vendors #118841297 2006 -2007 Vendors #1303 41322 2006 -2007 Vendors #26817- #27742 2006 -2007 Vendors #32530 - #33252 2006 -2007 Vendors #14367- #16394 2006 -2007 Vendors Various & Refunds 2006 -2007 Vendors #164011- #17525 2006 -2007 Vendors #27743- #29646 2006 -2007 Vendors #31380 - #32529 2006 -2007 Vendors #29654- #31379 2006 -2007 Vendors Various #2010 -22 2006 -2007 Vendors #10136- #12618 2006 -2007 Vendors #17538418742 2006 -2007 Vendors #25307 - #26797 2006 -2007 Vendors #19860420635 2006 -2007 Vendors #18748 419849 2006 -2007 Vendors #320 - (2010 -23) 2006 -2007 Vendors #142 - #251 2006 -2007 Vendors #7374 410112 2006 -2007 Vendors #3248- #3675 2006 -2007 Vendors #629- #820 2006 -2007 Vendors #325- #500 2006 -2007 Vendors #29654- #31379 2006 -2007 Vendors #1541- #3235 2006 -2007 Vendors #280- #320 2006 -2007 Vendors #22936- #25294 2006 -2007 Vendors #5785 - #7369 2006 -2007 19C -17 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD' DATES Vendors #22751- #25655 2006 -2007 Vendors 320 Dec. 2006 -320 Mar. 2007 2006 -2007 Vendors #5554649 2006 -2007 Vendors #82241175 2006 -2007 Petty Cash Receipts 01- 097 -02 -053 2006 -2007 Petty Cash Receipts 04- 011 -04 -113 2006 -2007 Petty Cash Receipts 2010 -13 #16 2006 -2007 Daily Cash Reports 7/1- 12/31/1996 Daily Cash Reports 1/1- 6/30/1996 Daily Cash Reports 1/1- 6/30/1997 Daily Cash Reports 1/1- 6/30/1998 Daily Cash Reports 7/1-12/3111998 Daily Cash Reports Jan. 1994 —Sept. 1995 Daily Cash Reports 1/1- 6/30/1995 Daily Cash Reports 7/1- 12/31/1997 Daily Cash Reports 1/1-6/30/1991 Daily Cash Reports 7/1- 12/31/1995 Daily Cash Reports July -Sept 1995 Misc. Receipts 1996 -1997 Loc Nguyen — Thanh Vu S -T -V -W 7/1/04- 6/30/05 PCKS SQ 161 Box #3 DPVs 3 Apartment Job Description 04 -05 25151 -32799 2004 N -Z 2006 A -L 2006 2006- 1 -2 -3 -4 A -W 7/1/2004- 6/30/2005 M -Z PY2006 46200- 46798,34400- 34998 Box 1 2005 33855 - 34399,44004- 46198 Box 2 2005 32802 -40794 Box 2 2004 19C -18 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATES A -L Box 8 2006 6/05 -12/05 Box 4 GHJKL 7/1/04-6/30/05 Box 4 40200 -41699 Box 3 2004 41200 -44480 Box 5 2004 5/6/05 - 10/11/05, 7/8/05- 11/12/05 Box 3 41703 -42800 Box 4 2004 Jan 2006 -406 Box 5 .. =z " Maria D. Huizar Date Clerk of the Council RECORDS DESTROYED: 71 Number of Boxes 19C -19 CONSENT BY: Executive Director Department Name APPROVED BY: Date Sonia R. Carvalho Date City Attorney 19C -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: REQUEST FOR PROPOSALS FOR FEDERAL EMERGENCY SOLUTIONS GRANT FUNDED HOMELESS EMERGENCY ASSISTANCE (STRATEGIC PLAN NO. 5) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1' Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the Community Development Agency to release a Request for Proposals to tax- exempt non - profit corporations that provide services for homeless and at -risk of homelessness that are eligible under the federal Emergency Solutions Grant (ESG) program. DISCUSSION The City receives approximately $450,000 in federal grant funds annually through the United States Housing and Urban Development Emergency Solutions Grant Fund (ESG) for homelessness assistance. These funds are incorporated into our Consolidated Annual Plan along with other federal resources allocated to the City to address priority housing and community needs. They can be used to fund a variety of services including street outreach, homeless shelter services and operations, homeless prevention, rapid re- housing and housing relocation and stabilization services. In the current year, the City allocated $461,626 to 12 organizations operating 15 programs. Staff is requesting authorization to distribute a Request for Proposals (RFP) (Exhibit 1) for eligible projects and activities for Santa Ana individuals and families who are homeless or at risk of homelessness. The Emergency Solutions Grant timeline includes: • December 3, 2014 Release of RFP for Emergency Solutions Grant funding • January 5, 2015 Proposals due back to the City • December 10, 2014 Request for Community Redevelopment and Housing Commission to appoint two representatives to serve on the ESG application review panel • January 2015 Proposals sent to application review panel • February 2015 All day interview of applicants, including a funding recommendation 1901-1 RFP Emergency Solutions December 2, 2014 Page 2 at the end of the day • February 2015 Memo to City Manager and City Council informing of recommendations • March 2015 Notification letter to applicants informing of award recommendation and council award date • AprillMay 2015 City Council to award Emergency Solutions Grant funds • April/May 2015 Award letter to applicants Notices of funding availability will be placed on the City's website, published in a general circulation newspaper, and directly mailed to local nonprofits which have previously shown an interest in homeless services. The selected nonprofit(s) will be required to match dollar -for- dollar the ESG funding provided with funds from other public or private sources. Grant funds will be provided for the fiscal year starting July 1, 2015 through June 30, 2016. Following review of all proposals, the recommendations will be submitted for City Council's final approval. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5: Community Health, Livability, Engagement & Sustainability. The Emergency Solutions Grant program provides funding to assist homeless Santa Ana residents. FISCAL IMPACT There is no fiscal impact associated with this action. i 1 Kelly Reenders CT Executive Director Community Development Agency Exhibit 1: Request for Proposals KR/te 19D-2 City of Santa Ana Emergency Solutions Grant Application Packet for Program Year 2015 -2016 City of Santa Ana Community Development Agency -M25 20 Civic Center Plaza, 6th Floor Santa Ana CA 92701 Exhibit 1 19D-3 INTRODUCTION The City of Santa Ana is requesting applications from tax - exempt non - profit corporations that provide services for the homeless and at -risk of homelessness that are eligible under the federal Emergency Solutions Grant (ESG) program. Grant funds will be provided for the time frame of July 1, 2015 through June 30, 2016. REQUIREMENTS FOR FUNDING Eligible Proiects and Related Activities ESG funds may be used for projects which include: • Street Outreach o Essential Services • Engagement • Case Management • Emergency Health Services • Emergency Mental Health Services • Transportation • Services for Special Populations • Shelter o Essential Services • Case Management • Child Care • Education Services • Employment Assistance and Job Training • Outpatient Health Services • Legal Services • Life Skills Training • Mental Health services • Substance Abuse Treatment Services • Transportation • Services for Special Populations • Shelter Operations • Renovation (The City will not be funding this activity type) Homeless Prevention • Housing Relocation & Stabilization - Financial Assistance • Application Fees • Deposits • Last Month's Rent • Utilities • Moving Costs • Housing Relocation & Stabilization- Services • Housing Search and Placement • Housing Stability Case Management • Mediation • Legal Services • Credit Repair (This does not include payment of debt) o Short- and /or Medium -Term Rental Assistance • Rapid Re- Housing o Housing Relocation & Stabilization - Financial Assistance • Application Fees 1901-4 • Deposits • Last Month's Rent • Utilities ■ Moving Costs • Housing Relocation & Stabilization- Services • Housing Search and Placement • Housing Stability Case Management • Mediation • Legal Services • Credit Repair (This does not include payment of debt) • Short- and /or Medium -Term Rental Assistance • Data Collection (HMIS) • Administration (The City will retain administration funds to administer and monitor the overall ESG program) SPECIAL NOTE: Applicants should be aware that if funds are awarded to organizations performing non - eligible activities, the City may modify the budget submitted. With the exception of Homeless Prevention, which must serve "at risk of homelessness ", the other programs must serve "homeless" Santa Ana residents. HUD has determined specific definitions for each group. Please refer to Title 24 CFR 576.2 for the definition of "at risk of homelessness" and Docket No. FR- 5333 -F -02 for the definition of "homeless ". Links are also provided below. "at risk of homeless" - http: / /ecfr.gpoaccess.gov "homeless" - httD: / /www.hudhre.info /documents /HEARTH HomelessDefinition FinalRule.Ddf Organization Requirement Only nonprofit organizations in good standing with the California Secretary of State and Attorney General will be eligible for ESG funding. All nonprofit applicants must be able to document 501(c)(3) status at the time of application. Applicants whose status is pending at the time of application will not be considered for funding. Non - profit status will be checked by city staff with the following websites. The City recommends that organizations visit these sites to confirm their non - profit status so that any issues can be addressed prior to application submittal. Secretary of State of California Internal Revenue Service http: / /kepler.sos.ca.gov /list.html http: / /www.irs.goy /app /pub -78/ All applicants approved for ESG funding will be required to obtain a minimum of $1,000,000 general liability insurance and Workers' Compensation insurance for all employees throughout the term of the contract. In addition, the City must be listed as additionally insured via an endorsement stating that it is primary and noncontributory. This requirement will also apply to those companies contracted or sub - contracted by the applicant. If funded, organizations will also need to comply with several federal requirements. For more information on these requirements organizations may view the following websites. 2 19D -5 Emergency Solutions Grant Regulations http: / /ecfr.gpoaccess.gov (select Title 24> select 500 - 599 >select 576) HUD ESG Webinars http: / /www.hudhre.info /esg /index.cfm (scroll down to webinars and click on HUD HRE Learning Center. Then select Emergency Solutions Grant (ESG) Program for a list of webinars) Database Requirements Recipients of ESG funds will be required to participate in the local Homeless Management Information System (HMIS). HMIS is a system for tracking the use of homeless programs and producing an unduplicated count of the people using those programs. In addition to participating in HMIS funded organizations, as part of the agreement with the City, will need to allow certain data sharing in HMIS to ensure duplicate services are not being provided. In the course of awarding grants or implementing programs under this title, [HUD] shall instruct any victim service provider that is a recipient or subgrantee not to disclose for purposes of the Homeless Management Information System any personally identifying information about any client. The Secretary may, after public notice and comment, require or ask such recipients and subgrantees to disclose for purposes of the Homeless Management Information System nonpersonally identifying information that has been de- identified, encrypted, or otherwise encoded. Nothing in this section shall be construed to supersede any provision of any Federal, State, or local law that provides greater protection than this subsection for victims of domestic violence, dating violence, sexual assault, or stalking. Additional Requirements The City has the discretion to limit funding of activities beyond those limitations placed by HUD. Organizations may not use ESG funds for the purchase of capital assets or undergo capital improvements. Each sub - grantee must match dollar- for - dollar the ESG funding provided with funds from other public or private sources. ESG funds provided from another source may not be used as matching funds for Santa Ana ESG awards. This application will be available for public display; therefore do not include any information that is subject to state or federal confidentiality regulations, for example, an address to a domestic violence shelter. ESG is a reimbursement grant and reimbursements requests are allowed on a quarterly basis, therefore organizations must have enough working capital to continue services until a reimbursement request can be processed by the City. 19D-6 EMERGENCY SOLUTIONS GRANT PROGRAM CITY OF SANTA ANA, CALIFORNIA APPLICATION FOR SUBRECIPIENT PROPOSALS FY 2015 -2016 PROGRAM DUE DATE: January 5, 2015 Applications (one hard copy) must be returned to the address below NO LATER THAN 4 P.M., JANUARY 5, 2015; ABSOLUTELY NO LATE APPLICATIONS WILL BE ACCEPTED (NO FAXES OR ELECTRONIC VERSIONS). We recommend that applications being mailed be sent as certified mail with a return receipt to document delivery date. Those who deliver the application in person should request a delivery receipt. City of Santa Ana ESG Administration Community Development Agency M -25 20 Civic Center Plaza, 6t" floor Santa Ana, CA 92701 Do not add extra pages or attachments unless instructed to do so. Any supplemental material such as letters of support, press clippings, etc., will not be accepted as part of this application submittal. Limit responses to the space provided — any additional narrative beyond the provided space will not be considered. Submit one complete application for each proposed program. ❑ Application Form ❑ Program Budgets (Funded Personnel, Current Budget, and Prior Budget) (Attachments 1 (a -c)) ❑ IRS Non - profit Designation Letter (Attachment 2) ❑ Form 990 (Attachment 3) ❑ Current/proposed client eligibility intake form (Attachment 4) ❑ Board of Directors, By -laws and Articles of Incorporation (Attachment 5) ❑ Conflict of Interest Questionnaire (Attachment 6) NOTES: Failure to provide all required information will cause this application to become invalid and will not be considered for funding. The City reserves the right to withdraw consideration of this application if evidence of compliance is not provided or if compliance status changes during the application process. The City reserves the right to waive a requirement if it is determined to be in the best interest of the City. 4 19D-7 ESG 2015 -2016 APPLICATION FORM DUE DATE: 4:00 P.m., January 5, 2015 THIS APPLICATION IS FOR: (PLEASE CHECK ONLY ONE) ❑ STREET OUTREACH ❑ SHELTER ❑ HOMELESS PREVENTION ❑ RAPID RE- HOUSING I. ORGANIZATIONAL A. Legal Organizational Name: B. Proposed Program Name: C. Mailing Address: D. Service Address(es): E. Contact Name: Title: Telephone: Fax: E -Mail: F. Name of Representative with Contract Signing Authority Title: G. Federal Tax ID #: H. DUNS #: II. SERVICE AND FUNDING A. How many unduplicated individuals (both Santa Ana residents and Non -Santa Ana residents) will this program plan to serve during 2015 -2016? B. Of the number from II.A. how many will be City of Santa Ana residents? C. Amount of ESG funding requested for FY 15 -16: III. HISTORY Total people served by the proposed program Of III.A, number of Santa Ana residents 2014 -2015 2013 -2014 Total expense of the proposed program Total amount of Santa Ana grants received for this program. How many years has the program been in existence: 19D-8 2012 -2013 V. ADDITIONAL INFORMATION A. Community Involvement - In the space below, list the Santa Ana Neighborhood Associations, local community organizations and /or civic groups your organization participate in and to what extent? max. char. 1000 6 19D-9 VI, PROGRAM DESCRIPTION - DETAIL In the space below, describe the program. List the specific services that will be provided with ESG funds. (max, 19D -10 VIII. OUTCOME MEASUREMENT - STANDARD What is the benchmark for success of clients? What is the success rate? Discuss reasons for non - success. cnar. 8 19D -11 stated as well as comoiv witn 19D -12 (If more lines are needed for additional staff, please create a separate page with the same format to list the remaining personnel. Label it X.A List all individuals working Place an on the proposed program List qualifications to perform these "X' for by Name and Title. List activities that they will perform. activities ,,�,hom will (include both Admin and be ESG Program Staff ) funded El El El ❑ El 10 19D -13 XI. CERTIFICATIONS A. Applicant certifies that it will not discriminate against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex or age, in compliance with Government Code 12900, at seq. Applicant agrees to take affirmative action to insure that applicants are employed, and that employees are treated during employment, without regard to their race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex or age. B. Applicant certifies that it does not discriminate against any person wishing to benefit from their services /program on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex or age. C. Does any officer, employee or board member have an ownership interest, either directly or through a partnership or corporate entity, in any facilities owned, leased, or rented by the applicant organization? This includes leases between an organization and a director, trustee, officer or key employee of the organization or his /her immediate family either directly or through corporations, trusts, or similar arrangements in which they hold a controlling interest. ❑ Yes ❑ No If Yes, please list the individual(s) and /or company(ies) below. Name D. Do your board members receive a salary or other stipend for serving on this board? ❑ Yes ❑ No (If yes, include amount next to each board member's name as part of attachment #5) E. What was the date of the last meeting of your board of directors? XII. SIGNATURE I hereby certify that, to the best of my knowledge, all statements made in this application are true and correct. If funds are granted to our organization, they will be used for a ESG- eligible purpose. I understand that liability and workers compensation insurance will be required for our group, and that our formal agreement with the City will specify other reporting and programmatic provisions. Name Title Signature Date 11 19D -14 ATTACHMENT #1(a -c) PLEASE COMPLETE THE FOLLOWING FORMS REGARDING ESG FUNDED PERSONNEL AND CONTRACTUAL SERVICES (ATTACHMENT 1a) 2015 -2016 PROGRAM BUDGET (ATTACHMENT 1 b) 2014 -2015 PROGRAM BUDGET (ATTACHMENT 1c) IMPORTANT NOTICE: The City asks that you list other secured funding sources on the budget forms, but the City realizes that all other funding sources may not be secured at the time of this application. Organizations may include unsecured resources with the understanding that the City will hold the organization to the same service level indicated in the application whether all the resources listed are actually received or not. The only item that will affect the service level expected by the City will be the responses provided under section II.B. & C. of this application and the amount of funding provided by the City of Santa Ana ESG for the 2015 -2016 grant year. 12 19D -15 2015 -2016 ESG FUNDED PERSONNEL ADMINISTRATIVE STAFF Position Title Annual Salary Annual Benefits Total Compensation ESG Funds Requested % of time in the program serving Santa Ana Residents PRO(' RAM STAFF Position Title Annual Salary Annual Benefits Total Compensation ESG Funds Requested % of time in the program serving Santa Ana Residents CONTRACTUAL/PROFESSIONAL SERVICES Type of Service Contract Amount Total Compensation ESG Funds Requested % of time in the program serving Santa Ana Residents Attachment 1(a) 13 19D -16 PROGRAM YEAR 2015.2016 PROPOSED PROGRAM BUDGET Organization Name: Program Name: EXPENDITURES PROGRAM REVENUE LIST ALL OTHER PROGRAM RESOURCES THAT HAVE BEEN SECURED * ** FOR FY 15 -16 "Funding Source" total must equal `Total Program Budget" listed above. FUNDING SOURCE EXPENDITURES EXPENDITURES TOTAL CATEGORY FUNDED BY FUNDED BY TOTAL PROGRAM ORGANIZATIONAL Federal SANTA ANA ESG OTHER SOURCES BUDGET BUDGET Administrative Staff Salaries & Benefits TOTAL Program Staff Salaries & Benefits Contractual /Professional Services Office Supplies Rent/Lease Communications Utilities Insurance Other (Please Specify) 1. 2. 3. 4. 5. TOTAL PROGRAM REVENUE LIST ALL OTHER PROGRAM RESOURCES THAT HAVE BEEN SECURED * ** FOR FY 15 -16 "Funding Source" total must equal `Total Program Budget" listed above. FUNDING SOURCE AMOUNT Santa Ana ESG City General Funds (Non -Grant Funds) County State Federal Other - Other- TOTAL ** *See note on Attachment #t cover page 14 19D -17 Attachment t(b) Organization Name: Program Name: PROGRAM YEAR 2014 -2015 CURRENT PROGRAM BUDGET EXPENDITURES PROGRAM REVENUE LIST ALL OTHER PROGRAM RESOURCES THAT HAVE BEEN SECURED FOR FY 14 -15 "Fundina Source" total must eaual "Total Proaram Budget" listed above. FUNDING SOURCE EXPENDITURES EXPENDITURES TOTAL CATEGORY FUNDED BY FUNDED BY TOTAL PROGRAM ORGANIZATIONAL Federal SANTA ANA OTHER SOURCES BUDGET BUDGET ESG TOTAL Administrative Staff Salaries & Benefits Program Staff Salaries & Benefits Contractual /Professional Services Office Supplies Rent/Lease Communications Utilities Insurance Other (Please Specify) 1. 2. 3. 4. 5. TOTAL PROGRAM REVENUE LIST ALL OTHER PROGRAM RESOURCES THAT HAVE BEEN SECURED FOR FY 14 -15 "Fundina Source" total must eaual "Total Proaram Budget" listed above. FUNDING SOURCE AMOUNT Santa Ana ESG City General Funds (Non -Grant Funds) County State Federal Other - Other- Other- TOTAL Attachment 1(c) 15 19D -18 ATTACHMENT #2 PLEASE PLACE A COPY OF YOUR ORGANIZATION'S IRS NON - PROFIT DESIGNATION LETTER BEHIND THIS SHEET ATTACHMENT #2 16 19D -19 ATTACHMENT # 3 PLEASE PLACE A COPY OF YOUR ORGANIZATION'S 990 FORM BEHIND THIS SHEET ATTACHMENT #3 17 19D -20 ATTACHMENT #4 PLEASE PLACE A COPY OF YOUR ORGANIZATION'S CURRENT /PROPOSED CLIENT ELIGIBILITY INTAKE FORM BEHIND THIS SHEET ATTACHMENT #4 18 19D -21 ATTACHMENT #5 PLEASE PLACE A COPY OF YOUR ORGANIZATION'S LIST OF BOARD OF DIRECTORS, BY -LAWS AND ARTICLES OF INCORPORATION BEHIND THIS SHEET ATTACHMENT #5 19 19D -22 ATTACHMENT #6 PLEASE PLACE A COPY OF THE CONFLICT OF INTEREST QUESTIONNAIRE BEHIND THIS SHEET ATTACHMENT #6 20 19D -23 CITY OF SANTA ANA meraencv Shelter Grant Federal, state and city law prohibits employees and public officials of the City of Santa Ana from participating in any transaction, on behalf of the City, in which they have a financial interest. In order to assure compliance with this requirement, this questionnaire must be completed and submitted by each applicant for Emergency Shelter Grant (ESG) funding. The purpose of this questionnaire is to determine if your agency staff or Board members perform functions or responsibilities that would be a conflict of interest with respect to the ESG program. If necessary, detailed explanations may be provided on separate sheets of paper. 1. Is /are there any member(s) of your staff, Board of Directors, or other governing body, who is currently, or has /have been within one year of the date of this questionnaire, a City of Santa Ana employee or a member of a City board or commission that has a direct influence on the allocation of ESG funding? ❑ Yes ❑ No If yes, please list the following: Name Position City /Department 2. Will the ESG funds requested by the applicant be used to pay the salaries of any of applicant's staff person(s) who is /are, or has /have been within one year of the date of this questionnaire, employed by the City of Santa Ana? ❑ Yes ❑ No If yes, please list the name(s) below and identify the City Department in which each person is employed: Name City /Department 3. Will the ESG funds requested by the applicant be used to pay the salaries of any of applicant's staff person(s) who is /are currently, or has /have been within one year of the date of this questionnaire, a member of a City of Santa Ana board or commission that has a direct influence on the allocation of ESG funding? ❑ Yes ❑ No If yes, please list the following: Name: Year(s) Name: Year(s) Name: Year(s) Name: Year(s) 4. Will the ESG funds, requested by the applicant, be used to award a contract or subcontract to any individual(s) or business affiliate(s) who is /are currently, or has /have been within one year of the date of this questionnaire, a City of Santa Ana employee or a member of a City board or commission that has a direct influence on the allocation of ESG funding? ❑ Yes ❑ No If yes, please list the name(s): Name: The ESG funds used for reimbursement of rent shall not benefit any employee, agent, consultant, officer, elected official or appointed official of the subrecipient. This prohibition includes leases between an organization and a director, trustee, officer or key employee of the organization or his /her immediate family either directly or through corporations, trusts, or similar arrangements in which they hold a controlling interest. Organization Signature Date 21 19D -24 /AVM - r rTiLa'I zz 19D -25 19D -26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: APPROVE SANTA ANA GRADE SEPARATION PROJECT REPORT EQUIVALENT (PRE) AND RECEIVE AND FILE ENVIRONMENTAL CLEARANCE (STRATEGIC PLAN NO. 5,4,6 and 6,1) CITY MANAG RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve the Santa Ana Grade Separation Project Report Equivalent (PRE). 2. Receive and file the Notice of Exemption (NOE) for this project dated June 23, 2014. DISCUSSION Santa Ana Boulevard is a six -lane east -west principal arterial and carries in excess of 20,000 vehicles per day. Santa Ana Boulevard crosses the OCTA Metrolink Railroad at grade, causing traffic flow interruption when the train is near station, with little to no pedestrian and bicycle safety or protection at the crossing. Due to increasing demand for inter- and intracounty rail services resulting from growth in population and employment in the surrounding areas, a grade separation at Santa Ana Boulevard and the OCTA Metrolink Railroad is needed to alleviate the current and potential traffic impacts and hazards posed by the existing at -grade rail crossing. This project will minimize the potential conflicts between trains and pedestrians, bicyclists, and vehicles while also providing better connectivity, improving air quality, enhancing emergency response time and improving the quality of life of the community. The grade separation would also accommodate a future extension of the streetcar across the railroad should that be needed. Approval of the project's PRE fulfills the city's responsibilities of analyzing the best geometric alignment and developing a corresponding cost estimate, and filing the NOE completes the project's environmental review requirements. Fulfilling these steps qualify the project for design and construction funding. The OCTA Metrolink Railroad is a north - south, two -track railroad. This railroad serves Metrolink, Amtrak, Union Pacific (UP), and Burlington Northern Santa Fe (BNSF), which connects freight and residents of central Orange County with the outlying areas of nearby regions, including Los Angeles, the Inland Empire, San Diego and beyond. Local passenger access to the trains is via the Santa Ana Regional Transportation Center (SARTC). 19E -1 Approve Santa Ana Grade Separation Project Report Equivalent and Receive and File Environmental Clearance December 2, 2014 Page 2 of 3 City staff, in conjunction with OCTA, secured $1,500,000 for the preparation of a Project Report Equivalent (PRE) and Environmental Document (ED) and conceptual engineering for the project. The PRE has now been completed. The PRE analyzed a single build alternative for an underpass. The proposed alignment minimizes impacts to the Logan Neighborhood while minimizing the right of acquisition and relocation of businesses. The underpass lowers Santa Ana Boulevard under the existing railroad tracks and minimizes the visual impacts. The underpass also provides two new pedestrian bridges on the east and west sides of the railroad bridge which enhances connectivity from SARTC (Santa Ana Regional Transportation Center) to the Logan neighborhood and industrial properties east of the railroad tracks and north of Santa Ana Boulevard. Additional landscaping would be provided in the retaining /slope areas on both sides of Santa Ana Boulevard. The roadway typical section accommodates a Class I Bike Lane, pedestrian plaza, and Fixed Guideway extension (Exhibit 1). Though not required as part of the ED, several community meetings were held to determine the public's concerns related to this priority project. The following meetings were held: • A Logan Neighborhood meeting (October 5, 2009), • A Stakeholder Working Group Meeting for the Fixed Guideway Project (June 3, 2010), and • A Public Information Meeting (December 18, 2013). The input received was instrumental in providing project features that minimized the impact to the community, including the pedestrian bridges, landscaping and final alignment. City Council action to approve the PRE will position this project for funding. Staff recommends its approval and will continue to work with OCTA to fund this priority infrastructure project. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5: Community Health, Livability, Engagement and Sustainability (Objectives 4 and 6) by adding transportation connectivity for all, and Goal #6: Community Facilities & Infrastructure (Objective 1) by providing enhanced rail, transit, bicycling, walking and roadway infrastructure. This project also provides for the City's streetcar project that will service the City's historic downtown, courthouses, businesses, the Artist's Village and several colleges. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from future review. A Statutory Exemption has been filed for the project. In addition, a Certification of Categorical Exemption and a Statutory Worksheet have been prepared in accordance with the National Environmental Policy Act. 19E -2 Approve Santa Ana Grade Separation Project Report Equivalent and Receive and File Environmental Clearance December 2, 2014 Page 3 of 3 FISCAL IMPACT There is no fiscal impact associated with this item. X ous ,� avipour Executive Director Public Works Agency FM /EWG /MS Exhibits: 1. Project Map 2. Project Report Equivalent (CD) 3. Statutory Exemption 19E -3 19E -4 J� SANTA ANA CITY u DECEMBER 02, 2014 PUBLIC WORKS AGENCY -A BAIN'A ANA L A F G i m LEGEND: PRo wrUwm EXHIBIT 1 PROJECT MAP SANTA ANA GRADE SEPARATION 19E -5 8 19E -6 Santa Ana Boulevard Grade Separation 12- Ora -Local OCTA Project No. xxxx Federal Project Number: STPL 5063(136) PROJECT REPORT EQUIVALENT For Project Approval of the Santa Ana Boulevard Grade Separations Project REVIEWED and RECOMMENDED: APPROVED: Jason Gabriel, PE Date Project Manager, City of Santa Ana xxxx Date xxxx Exhibit 2 19E -7 Santa Ana Blvd. Grade Separation Catalina 4: 1 I G Q � O � R 2 1St S � �i 20th I rl iaen %4_ -� XBII tBM �\ 1 � 17th ill 1 `m ,8th ,r = 15th Fa1MI y 14th u / a - 9 R g u' I nS wasntnpwn i J 12'n'— ra Project Location ' l }1M �a1H\ Lnga LL Qq¢e a Pas 8 S[aflo d v tmn arN ea i 0 1 BM 9q &h— \ L d —E a 1 a 5th I a 5th +— 4th I 3m m 5 Hardly Palm o, V i 1st a a 4 � $ — Ch. MUt n A I ��Nlela re. 0 250 Sm ® Camps Fall 0 Source:ESRIStmetMap North America (20W& $ Bishop Wenan _ FF I I II Vicinity Map PROJECT REPORT EQUIVALENT 19E-8 Santa Ana Blvd. Grade Separation This Project Report Equivalent (PRE) has been prepared under the direction of the following registered civil engineer. The registered civil engineer attests to the technical information contained herein and the engineering data upon which recommendations, conclusions, and decisions are based. Chuanche Ting, P.E. Project Manager PROJECT REPORT EQUIVALENT 19E -9 08/14/14 DATE Santa Ana Blvd. Grade Separation Table of Contents 1 INTRODUCTION ..................................................................................... ..............................3 2 RECOMMENDATION ............................................................................. ..............................3 3 BACKGROUND ...................................................................................... ..............................3 3.1 Project History ................................................................................ ..............................3 3.2 Community Interaction .................................................................... ..............................4 3.3 Existing Facility ............................................................................... ..............................4 4 PURPOSE AND NEED ........................................................................... ..............................4 4.1 Need .............................................................................................. ..............................4 4.2 Purpose .......................................................................................... ..............................5 4.3 Deficiencies .................................................................................... ..............................5 4.4 Regional and System Planning ....................................................... ..............................5 4.5 Traffic ............................................................................................. ..............................5 5 ALTERNATIVES ..................................................................................... ..............................7 5.1 Alternative Description .................................................................... ..............................8 5.2 Structure ......................................................................................... ..............................9 5.3 Pedestrian Bridge ........................................................................... ..............................9 5.4 Stage Construction ......................................................................... ..............................9 5.5 Right of Way ................................................................................... ..............................9 5.6 Drainage ........................................................................................ .............................10 5.7 Utilities ........................................................................................... .............................10 5.8 Cost Estimate ................................................................................ .............................12 6 ENVIRONMENTAL DETERMINATION .................................................. .............................13 6.1 Noise Study Report ( NSR) :............................................................ .............................13 6.2 Air Quality Assessment Report: .................................................................................. 14 6.3 Initial Site Assessment ( ISA) :........................................................ .............................15 6.4 Water Quality Memorandum .......................................................... .............................16 6.5 Natural Environmental Study- Minimum Impact ( NES/ MI) ............... .............................17 6.6 Visual Impact Assessment ............................................................. .............................19 6.7 Relocation Impact Memo ............................................................... .............................20 6.8 Historical Properties Survey Report ( HPSR) .................................. .............................20 6.9 Archaeological Survey Report ( ASR) ............................................. .............................20 6.10 Historic Resources Evaluation Report ( HRER) .............................. .............................21 6.11 Community Impact Assessment (CIA) ........................................... .............................21 7 RAILROAD INVOLVEMENT .................................................................. .............................22 8 FUNDING ............................................................................................... .............................22 9 SCHEDULE ........................................................................................... .............................22 10 OTHER CONSIDERATIONS AS APPROPRIATE .................................. .............................23 10.1 Permits .......................................................................................... .............................23 10.2 Involvement with a Navigable Waterway ....................................... .............................23 10.3 Graffiti Control ............................................................................... .............................23 10.4 Geotechnical Investigation ............................................................. .............................23 11 PROJECT PERSONNEL ........................................................................ .............................24 12 ATTACHMENTS .................................................................................... .............................25 Attachment A: Highway -Rail Crossing Accident/Incident Reports .... ............................... A Attachment B: Project Layout, Typical Section, and Profile .............. ............................... B Attachment C: Bridge General Plan ................................................. ............................... C Attachment D: Pedestrian Bridge Typical Section ............................ ............................... D PROJECT REPORT EQUIVALENT 19E -10 1 Santa Ana Blvd. Grade Separation Attachment E: Staging and Traffic Handling ..................................... ............................... E AttachmentF: Shoofly ..................................................................... ............................... F Attachment G: Right -of -Way Acquisition Map ................................... ............................... G Attachment H: Existing & Proposed Utilities ..................................... ............................... H Attachment I: Cost Estimate .............................................................. ..............................I Attachment J: Preliminary Environmental Study ( PES) ...................... ..............................J Attachment K: Categorical Exemption /Categorical Exclusion Determination Form.......... K Attachment L: Environmental Commitment Record ........................... ..............................L Attachment M: Project Schedule ........................................................ ..............................M Attachment N: Geotechnical Technical Memorandum ...................... ............................... N List of Tables Table 1 - Summary of Accident Data from the CPUC ...................... ............................... 5 Table 2 - Rail- Highway Grade Crossing Delay Analysis ................... ............................... 6 Table 3 - Intersection LOS ............................................................... ............................... 7 Table4 - Cost Breakdown .............................................................. ............................... 13 Table 5 - Environmental Concerns ................................................. ............................... 16 Table 6 - Project Milestone Preliminary Dates ............................... ............................... 23 PROJECT REPORT EQUIVALENT 19E -11 ii Santa Ana Blvd. Grade Separation 1 INTRODUCTION The City of Santa Ana (City) and Orange County Transportation Authority (OCTA), in cooperation with Caltrans and the Federal Highway Administration (FHWA), propose to grade separate the current at -grade crossing of Santa Ana Boulevard with the Southern California Regional Rail Authority ( SCRRA) double tracks. The project objective is to eliminate the at -grade crossing of the railroad traffic and the vehicular traffic; improve safety at the crossing for pedestrians, bicyclists and motorists; provide unimpeded access for emergency responders; and, enhance traffic operations and reduce existing traffic congestion and delay. Both an overhead alternative and an underpass alternative were considered. The overhead alternative was deemed non - viable because of concerns and opposition expressed by members of an adjacent neighborhood. A No -Build Alternative was not considered, with the exception of within the traffic studies discussed later in this report, as it does not meet the project objective. The preferred alternative will construct a railroad underpass structure to carry SCRRA trains over Santa Ana Boulevard, depressing the current grade of the roadway and maintaining the railroad profile. Project cost for the preferred alternative has been estimated to be approximately $71.2 million, which includes $43.3 million for construction, $15.6 million for right -of -way acquisition and utility work, and $12.3 million for administration support. Tentatively, the project will be funded by a combination of federal, state, and local funds. 2 RECOMMENDATION It is recommended that the project be approved using the Preferred Alternative (underpass structure) and that the project proceed to the design phase. Local agency concurrence for the project has been obtained as the local agency (City of Santa Ana) is the lead agency. 3 BACKGROUND 3.1 Project History This highway -rail at -grade crossing is located along the Los Angeles to San Diego ( LOSSAN) Corridor, which is the primary north /south rail corridor connecting the cities of Los Angeles and San Diego, as well as cities in between including some within Orange County. The LOSSAN Corridor is owned by OCTA, with Metrolink commuter rail service maintained and operated by the SCRRA. The Burlington Northern Santa Fe (BNSF) Railway, the Union Pacific Railroad (UPRR), and Amtrak all have been granted user rights by OCTA. Because it is the primary north /south rail corridor, the LOSSAN Corridor is becoming increasingly burdened due to the demand of commuter rail and freight rail, operations. OCTA recently completed construction of a project for the purpose of increasing the capacity of the corridor, the Metrolink Service Expansion Project (MSEP). The MSEP will increase capacity to accommodate OCTA's planned expansion of commuter rail operations, targeting a 30 minute headway resulting in rail service at each station within the corridor every 30 minutes for commuter rail service within the next couple of years. In addition, due to the increase in train movements resulting from the expansion of the Ports of Los Angeles and Long Beach, freight service has also increased. Finally, increased development, and accompanying traffic has increased delay at the existing highway -rail crossing. OCTA has embarked on an ambitious program, which began in 2009 to grade separate 13 at -grade highway -rail crossings within Orange County. The first group of those, three are PROJECT REPORT EQUIVALENT 19E -12 3 Santa Ana Blvd. Grade Separation currently under construction and four others are scheduled to go to construction by 2014. This project is part of the next group of projects to advance. The City nominated this project with the California Public Utilities Commission (PUC) for the 2012 -2013 Grade Separation Priority List and received a ranking of xxx. 3.2 Community Interaction A Project Development Team (PDT) was identified to foster collaborative communications among the stakeholders which includes representatives from OCTA, Caltrans, and City. The representatives have actively participated in the engineering and environmental studies leading up to the development of this Project Report Equivalent A public informational meeting was held on December 18, 2013, in the City of Santa Ana. The preferred alternative and technical studies were presented to approximately 33 attendees representing the local community. Representatives from OCTA, Caltrans, City of Santa Ana, AECOM, and ICF International were present to address questions from the general public. In general, the public expressed supportfor the project. 3.3 Existing Facility Santa Ana Boulevard is listed in the City's General Plan as a 6 -Lane Primary Arterial, which is defined as a roadway with 100 feet of right -of -way width and includes 3 traffic lanes for a total of 35 feet of traveled way in each direction, a 14 -foot median, and 8 -foot parkways. Currently, Santa Ana Boulevard is a six -lane street with left turn pockets located in each direction at the intersections with Santiago Street and the I -5 southbound on and off ramps. The right of way along Santa Ana Boulevard is 104 feet in width. The railroad right -of -way is owned by OCTA and the tracks are maintained by SCRRA. In addition, Amtrack commuter trains as well as freight rail service provided by BNSF have licenses with OCTA for use of the tracks. The land use surrounding the project site varies and includes industrial uses in the northerly quadrant; various industrial uses, including parts of the Orange County maintenance yard and a junkyard in the easterly quadrant; the Santa Ana Regional Transportation Center (SARTC) in the southerly quadrant; and, single - family dwellings in the westerly quadrant. 4 PURPOSE AND NEED 4.1 Need Increased traffic on Santa Ana Boulevard and increased train movements on the LOSSAN line have resulted in the increase of delays at the existing highway -rail crossing of Santa Ana Boulevard and the SCRRA double- track. These delays have not only affected the traveling public, but also have impacted access by emergency vehicles. This is compounded by the fact that there is currently only one other grade separation located at 1't Street, within the city limits, increasing the importance to the City's traffic circulation as the project will provide another unimpeded access across the railroad. Also, safety at the crossing is a major concern. Since 1977, there have been four separate accidents at this crossing, averaging about one every eight years. These four accidents are classified as follows: one involved an Atchison Topeka Santa Fe (ATSF) train striking a vehicle stopped on the tracks; two others involved a motorist driving around the gates and being struck by an ATSF train; and one involved an AMTRAK train hitting a pedestrian walking on the tracks. Please see Section 4.3.1, Accident Analysis - Vehicle /Train, of this PROJECT REPORT EQUIVALENT 19E -13 4 Santa Ana Blvd. Grade Separation report, and Attachment A for copies of the Highway -Rail Crossing Accident/Incident Reports for additional details. 4.2 Purpose The primary project objective is to minimize potential conflicts between trains, vehicles, and pedestrians. The project also aims to alleviate traffic congestion and delayb and provide better connectivity by constructing a grade separation structure with the railroad and retiring the existing at -grade crossing. The proposed project is deemed required and necessary, and is supported by various public agencies. 4.3 Deficiencies Safety at the crossing is a major concern to OCTA and the City. Accident/Incident Reports were obtained from the CPUC website. These reports, included as Attachment A, range from December 1977 to January 2000, and document four accident/incidents, described in Table 1. Table 1 - Summary of Accident Data from the CPUC Location Number of Accidents I Primary Collision Factor Fatal Injury Non-Injuryl Total Pedestrian 1 Stopped on Crossing 1 Drove Around/Through Gate 2 Santa Ana Boulevard Highway- Rail Crossing 1 0 3 4 Did Not Stop 0 Stopped and Then Proceeded 0 Other 0 This table shows there was a fatality, as one person was killed while walking on the tracks. 4.4 Regional and System Planning The project has been programmed in the Federal Transportation Improvement Program (FTIP) as Federal Project Number ORA082610, and in the Regional Transportation Plan (RTP) as project number 2TR0704. 4.5 Traffic A Traffic Study was prepared and received technical approval from Caltrans on August 28, 2012. The study evaluated rail - highway grade crossing delay in the existing condition (2011), opening year (2016) and future year (2035). In addition, the study focused on locations that could be directly affected by the proposed grade separation project. Level of service (LOS) was conducted at these intersections in the existing condition (2011), opening year (2016) and future year (2035) with and without the project. Detailed methodologies and analysis results can be referenced in the traffic study. One of the project's needs is to eliminate delays at the current at -grade crossing. Since the project eliminates the at -grade crossing, this analysis is not performed under "with project" conditions. The delays are summarized in Table 2. PROJECT REPORT EQUIVALENT 19E -14 Santa Ana Blvd. Grade Separation Table 2 - Rail- Highway Grade Crossing Delay Analysis without Project Table 3 summarizes the intersection LOS with and without the project in the existing condition (2011), project opening (2016) and future condition (2035). Existing traffic volumes were collected at the study intersections. Opening year volume is composed of existing count data, background growth, and the traffic that is anticipated to occur based on known development projects within the vicinity of the study area. The future year condition accounts for major plans within the study area, including the Santa Ana Fixed Guideway (Streetcar), Santa Ana Regional Transportation Center (SARTC) Expansion, and Transit Zoning Code Environmental Impact Report. As shown in Table 3, all study area intersections are forecast to operate at acceptable LOS with the project except for that of Fuller Street/Santa Ana Boulevard. It should be noted that this location experiences significant delays on the minor street approach (Fuller Street) due to the high volume on Santa Ana Boulevard that is not required to stop. Utilizing the Federal Highway Administration's (FHWA) Manual on Uniform Traffic Control Devices (MUTCD) Signal Warrant 3 (Peak Hour Warrant), this location does not warrant a signal under existing, project opening, and future conditions. In addition, this location will operate at LOS F without the project; as such, the additional delay (less than the 1% threshold of significance) with the project would not constitute a significant impact. At all other locations, the project will result in minimal changes to the intersection capacity utilization (ICU) values (none greater than the 0.010 ICU threshold) or the average delays (less than 1 %) per vehicle. Overall, the project and associated improvements can be implemented without significantly impacting any of the study area intersections or roadway segments. The proposed project will provide a net benefit by reducing the congestion along Santa Ana Boulevard caused by daily train crossings by removing the existing at -grade conflict between vehicular traffic and rail traffic. PROJECT REPORT EQUIVALENT 19E -15 Train Frequency Daily Delay AM Peak Delay PM Peak Delay Study Year (trains per day) (minutes/vehicle) (minutes/vehicle) (minutes/vehicle) 66 0.10 Existing 2011 8110 (AM /PM) trains per hour 0.28 0.32 Project 71 0.13 Opening 8110 (AM /PM) 2016 trains per hour 0.34 0.41 Future 105 0.20 2035 8110 (AM /PM) trains per hour 0.43 0.48 Table 3 summarizes the intersection LOS with and without the project in the existing condition (2011), project opening (2016) and future condition (2035). Existing traffic volumes were collected at the study intersections. Opening year volume is composed of existing count data, background growth, and the traffic that is anticipated to occur based on known development projects within the vicinity of the study area. The future year condition accounts for major plans within the study area, including the Santa Ana Fixed Guideway (Streetcar), Santa Ana Regional Transportation Center (SARTC) Expansion, and Transit Zoning Code Environmental Impact Report. As shown in Table 3, all study area intersections are forecast to operate at acceptable LOS with the project except for that of Fuller Street/Santa Ana Boulevard. It should be noted that this location experiences significant delays on the minor street approach (Fuller Street) due to the high volume on Santa Ana Boulevard that is not required to stop. Utilizing the Federal Highway Administration's (FHWA) Manual on Uniform Traffic Control Devices (MUTCD) Signal Warrant 3 (Peak Hour Warrant), this location does not warrant a signal under existing, project opening, and future conditions. In addition, this location will operate at LOS F without the project; as such, the additional delay (less than the 1% threshold of significance) with the project would not constitute a significant impact. At all other locations, the project will result in minimal changes to the intersection capacity utilization (ICU) values (none greater than the 0.010 ICU threshold) or the average delays (less than 1 %) per vehicle. Overall, the project and associated improvements can be implemented without significantly impacting any of the study area intersections or roadway segments. The proposed project will provide a net benefit by reducing the congestion along Santa Ana Boulevard caused by daily train crossings by removing the existing at -grade conflict between vehicular traffic and rail traffic. PROJECT REPORT EQUIVALENT 19E -15 Santa Ana Blvd. Grade Separation Table 3 - Intersection LOS Notes: AWSC - all -way stop controlled intersection; TWSC - two -way stop controlled intersection; Delay expressed in terms of seconds Bold denotes unacceptable LOS ' ICU reported for all signalized locations, except Caltrans facilities. Delay (reported in seconds per vehicle) is reported for all unsignalized intersections and Caltrans facilities. For AWSC, the average delay is calculated whereas for TWSC, the delay of the worst approach is calculated. 5 ALTERNATIVES The Project Development Team (PDT) explored various alternatives to address the need and purpose of this project, taking into account the constraints presented by the project area and the City's desired traffic operations. Both an overhead alternative and an underpass alternative were discussed among the PDT members. However, the overcrossing alternative was deemed non- viable because of concerns and opposition expressed by members of an adjacent neighborhood. A No -Build Alternative was not considered, with the exception of within the traffic studies PROJECT REPORT EQUIVALENT 19E -16 Intersection Traffic Control Without Project With Project AM Peak Hour PM Peak Hour AM Peak Hour PM Peak Hour ICU LOS ICU LOS ICU LOS ICU LOS Santiago St/Santa Ana Blvd Signal 0.479 A 0.538 A 0.532 A 0.588 A Delay LOS Delay LOS Delay LOS Delay LOS c Grand Ave /Santa Ana Blvd Signal 28.1 C 25.7 C 28.1 C 25.7 C Santiago St/Civic Center Dr AWSC 11.4 B 12.3 B 11.6 B 12.4 B F. Logan St/Santa Ana Blvd TWSC 11.2 B 9.7 B n 1a2 n 1a2 H W SARTC Dwy /Santa Ana Blvd TWSC 9.7 A 11.8 8 9.7 A 11.8 8 Fuller St/Santa Ana Blvd TWSC >50 F >50 F >50 F >50 F 1 -5 SB Ramps /Santa Ana Blvd Signal 25.5 C 26.4 C 25.6 C 26.4 C ICU LOS ICU LOS ICU LOS ICU LOS m Santiago St/Santa Ana Blvd Signal 0.521 A 0.598 A 0.587 A 0.662 B N Delay LOS Delay LOS Delay LOS Delay LOS a Grand Ave /Santa Ana Blvd Signal 28.8 C 26.4 C 29.4 C 26.7 C Santiago St/Civic Center Dr AWSC 12.3 B 13.3 B 12.8 B 13.9 B = Logan St/Santa Ana Blvd TWSC 11.6 B 9.8 A n 1a2 n /a2 n /a2 n /a2 a SARTC Dwy /Santa Ana Blvd TWSC 9.9 A 12.5 B 10.0 A 12.7 B O Fuller St/Santa Ana Blvd TWSC >50 F >50 F >50 F >50 F 1 -5 SB Ramps /Santa Ana Blvd Signal 26.0 C 26.6 C 1 26.3 C 26.8 C ICU LOS ICU LOS ICU LOS ICU LOS 1 Santiago St/Santa Ana Blvd Signal 0.771 C 0.774 C 0.771 C 0.773 C H Santiago SUCivic Center Dr Signal 0.559 A 0.610 8 0.565 A 0.619 8 .N Delay LOS Delay LOS Delay LOS Delay LOS Grand Ave /Santa Ana Blvd Signal 32.1 C 37.8 D 32.1 C 37.8 D Logan St/Santa Ana Blvd TWSC 12.9 B 10.7 B n 1a2 n 1a2 n 1a2 n 1a2 7 SARTC Dwy /Santa Ana Blvd TWSC 9.7 A 14.7 B 9.7 A 14.7 B Fuller St/Santa Ana Blvd TWSC >50 F >50 F >50 F >50 F 1 -5 SB Ramps /Santa Ana Blvd Signal 31.7 1 C 1 30.7 1 C 31.8 C 30.7 C Notes: AWSC - all -way stop controlled intersection; TWSC - two -way stop controlled intersection; Delay expressed in terms of seconds Bold denotes unacceptable LOS ' ICU reported for all signalized locations, except Caltrans facilities. Delay (reported in seconds per vehicle) is reported for all unsignalized intersections and Caltrans facilities. For AWSC, the average delay is calculated whereas for TWSC, the delay of the worst approach is calculated. 5 ALTERNATIVES The Project Development Team (PDT) explored various alternatives to address the need and purpose of this project, taking into account the constraints presented by the project area and the City's desired traffic operations. Both an overhead alternative and an underpass alternative were discussed among the PDT members. However, the overcrossing alternative was deemed non- viable because of concerns and opposition expressed by members of an adjacent neighborhood. A No -Build Alternative was not considered, with the exception of within the traffic studies PROJECT REPORT EQUIVALENT 19E -16 Santa Ana Blvd. Grade Separation discussed later in this report, as it does not meet the project objective. With this, the PDT members elected to study the underpass alternative as the single -build alternative and it was selected as the locally recommended alternative. Refer to Attachment B for the proposed layout, typical section and profile of the locally recommended alternative. 5.1 Alternative Description 5.1.1 Design Parameters The governing standards for the horizontal and vertical roadway alignment alignments are Caltrans and American Association of State Highway and Transportation Officials (AASHTO) standards and practices. Caltrans Highway Design Manual (HDM) was used to determine the minimum inside radius for the horizontal curves and AASHTO's Policy on Geometric Design of Highways and Streets was used for to determine minimum curve length for crest and sag vertical curves. Selected specific design parameters include the following: Design Speed: 45 mph Vertical Clearance: 16' -6" Cross - Section: 100' right -of -way width (minimum) 5.1.2 Horizontal Layout The horizontal alignment of this alternative is based on the standards listed above. The alignment features a slight shift of the roadway centerline to the south to accommodate a utility corridor and a landscaped- retaining -slope area along the northerly right -of -way. The utility corridor will allow the relocation of the water and sewer line and preserves an existing underground electric transmission line. The landscaped- retaining -slope area would reduce the impact of the proposed retaining wall and provide an additional buffer adjacent to the residential properties. Shifting the alignment southward also eliminates the need to acquire right -of -way from residential properties to the north, given there is space available to the south at the City owned SARTC parking area. 5.1.3 Profile This alternative will depress the roadway profile to allow for an underpass bridge that carries the railroad tracks over Santa Ana Boulevard. The proposed profile will join the existing grade at the Santiago Street intersection to the west and the 1 -5 southbound off -ramp to the east. The new Santa Ana Boulevard profile is designed to provide a minimum of 16.5 feet clearance to the soffit of the underpass structure utilizing 6% grades for the approaches. 5.1.4 Cross - Section Santa Ana Boulevard is designed as a six -lane primary arterial with three traffic lanes and a total of 35 feet of traveled way in each direction, plus a 15 -foot median. The northerly parkway will be widened to accommodate the utility corridor and the landscape- retaining- slope area. The southerly parkway will remain at the standard width of eight feet. Landscaping will not be proposed within the southerly parkway. However, a 50 -foot landscaped embankment will be incorporated to the south to eliminate the need for a retaining structure against the SARTC. The 50 -foot buffer will also accommodate future developments including a street car corridor and the SARTC Master Plan. 5.1.5 Adjacent Streets Access from Logan Street to Santa Ana Boulevard will be terminated with a cul -de -sac on Logan Street. The intersection of Fuller Street and Santa Ana Boulevard will be reconfigured PROJECT REPORT EQUIVALENT 19E-17 Santa Ana Blvd. Grade Separation on the south side of Santa Ana Boulevard into a T- intersection that will allow full access to Santa Ana Boulevard from the south. The north leg will be terminated with a cul -de -sac and connectivity with Santa Ana Boulevard will be reestablished with a new access road. Due to the proximity to the southern leg of Fuller Street, access will be limited to right -in /right -out. 5.2 Structure The proposed underpass structure will match the current horizontal and vertical alignment of the two existing Metrolink tracks and span Santa Ana Boulevard which will be depressed under the tracks at this location. In addition, the underpass structure is also designed to meet the needs of the City's SARTC Master Plan, which entails new station areas, additional parking, and improved pedestrian and bicycle access as well as a future street car corridor, resulting in a four -span, simply- supported structure. The proposed underpass superstructure is a steel girder bridge since this is the SCRRA preferred bridge type for span length between 15 feet to 72 feet. Refer to Attachment C for the Bridge General Plans. 5.3 Pedestrian Bridge Two pedestrian bridges are proposed to flank both sides of the proposed railroad underpass structure. The proposed pedestrian bridges will provide connectivity between the residential neighborhood west of the railroad and potential mix -use developments east of the railroad bridge at the SARTC. The exact bridge type and configuration will be determined during the next phase of the project. Refer to Attachment D for a typical section of the proposed pedestrian bridge. 5.4 Stage Construction Stage construction is a critical component of this project as it affects right -of -way acquisition and access to the local businesses and properties. A detailed analysis and design for staging should be completed during the next phase of the project. However, several critical components have been identified and incorporated into the overall design during this phase. The following is a summary of construction staging. Attachment E contains plans of the concept. The first phase of construction involves constructing the shoofly and shifting Santa Ana Boulevard south of its current alignment onto a detour road. The shoofly is needed to maintain railroad operations. The shoofly is designed to maintain existing design speeds. A copy of the shoofly layout is included in Attachment F. The detour road will provide two travel lanes in each direction for the duration of the stage for approximately 12 months. Reducing the number of travel lanes will still allow Santa Ana Boulevard to operate at LOS A. The second phase of the construction will require complete closure of the eastbound direction on Santa Ana Boulevard, detouring eastbound traffic to Fruit utilizing the detour road. Westbound traffic will be maintained on the newly constructed roadway. The staging concept allows the railroad to remain fully operational during construction, although minor closures will be needed to allow switching over to the shoofly. The placement of the shoofly will allow the continued use of the easterly platforms at SARTC, greatly reducing the need for temporary platforms. It is noted that on June 3, 2014, Amtrak representatives agreed to a temporary platform length of 800 feet. 5.5 Right of Way Right -of -way needs are driven by the staging concept. Additional right -of -way is needed to construct a temporary detour road south of existing Santa Ana Boulevard and temporary PROJECT REPORT EQUIVALENT 19E -1$ 9 Santa Ana Blvd. Grade Separation shoofly tracks east of existing railroad tracks. Nine parcels will require full acquisition, three parcels will require partial acquisition, and ten parcels will require temporary construction easements. Due the preliminary nature of this study, individual property owners were not consulted to determine the extent of the impacts to their properties. Full acquisition of a parcel is assumed where the proposed shoofly or detour road will impact an existing building, otherwise, temporary construction easements are assumed. Refer to Attachment G for a breakdown of the right -of -way requirements. 5.6 Drainage The drainage designs for the preferred alternative of the project follows the current Orange County Hydrology Manual (1986) and City of Santa Ana engineering design standards. Generally, 100 -year and 25 -year storm water discharges will be studied for sump conditions and gravity /flow -by conditions respectively. The project site currently receives surface flows generally from northeast to southwest by means of street flow. There is an existing storm drain system consisting of a 24 -inch reinforced concrete pipe (RCP) and catch basins at Santa Ana Boulevard near the existing railroad at -grade crossing that receives surface flow from the project site and offsite flows from north of Santa Ana Boulevard. The project site runoff then drains to Santa Ana Delhi Channel and eventually discharges to Upper Newport Bay and Lower Newport Bay. In the proposed condition, a pump station and new catch basins are proposed to collect runoff in the newly created sump along Santa Ana Boulevard. The outflow from the pump station will be discharged to the existing 24 -inch drainage system along Santa Ana Boulevard west of the project limit. A portion of the existing 24 -inch RCP conflicting with the proposed improvements will be removed and a drainage system will be reestablished between the existing drainage system and the pump station. It is noted that the exact location and configuration of the pump station will be determined in the next phase of the project as details of the SARTC Master Plan and Street Car Corridor become available. Tentatively, the pump station is located next to the Fuller Street cul -de -sac since this is the area least impact by future SARTC expansion. The drainage pattern at Santiago Street near the project is not anticipated to be changed; however, additional catch basins should be considered at the northeast corner of the Santa Ana Boulevard / Santiago Street intersection to reduce surface flow traveling toward the proposed sump. The street flow along Logan Street and Lincoln Avenue north of Santa Ana Boulevard will be captured by an at grade swale before the underpass. 5.7 Utilities Refer to Attachment H for exhibits showing existing and proposed utilities. There are numerous existing utilities within the project footprint. Based on field investigation, as -built plan research, and coordination with various utilities owners, the existing utilities are summarized below. City of Santa Ana: 12" waterlines: A 12" waterline runs east -west along the Santa Ana Boulevard. It ties into a 16" waterline to near the intersection of the Santa Ana Boulevard and Santiago Street and tees into a 20" waterline running north -south direction along the Fuller Street to the east. A 20" waterline continues to the east under Santa Ana Boulevard until it connects to the 16" waterline along Grand Avenue. PROJECT REPORT EQUIVALENT 19E-19 10 Santa Ana Blvd. Grade Separation 8" water lines: Two 8" waterlines are identified within the proposed project area. Both are fed from the 12" waterline along the Santa Ana Boulevard. The first waterline flows northerly along Logan Street north of the Santa Ana Boulevard, the second one runs southerly along Fuller Street from the 20" waterline in Santa Ana Boulevard until it ties into the 8" waterline on Fruit Street. 6" waterline: A 6" waterlines have been identified in the north -south direction just west of the railroad. The waterline is also connected to the waterline underneath Santa Ana Boulevard. The waterline continues to the north underneath Lincoln Avenue. 20" waterline: A 20" waterline is located under Fuller Street that extends north from Santa Ana Boulevard. Sewer: City of Santa Ana sewers are generally running in the north -south direction and are connected to the Orange County Sanitation District (OCSD) sewer main underneath Fruit Street. They are summarized as follows: Santiago Street 8" Logan Street 6" Lincoln Avenue /Railroad 6" Fuller Street 6 "78" Oranae Countv Sanitation District (OCSD 18" sewer trunk main: The 18" sewer runs in the east -west direction underneath Fruit Street. The sewer line continues to the east passing under the SARTC parking area and under Santa Ana Boulevard east of Santiago Street. Southern California Gas (SCG): With the exception of a short segment between Santiago Street and Logan Street, all SCG gas lines are limited to side streets. The locations of existing gas lines are summarized as follows: Santa Ana Boulevard 4" (between Santiago Street and Logan Street) Logan Street 2" Lincoln Avenue /Railroad 2" Fuller Street 2" (north of Santa Ana Boulevard) Fruit Street 3" Southern California Edison (SCE): Underground cables: Underground cables are identified along the south side of Santa Ana Boulevard, west side of Lincoln Avenue, and west side of Fuller Street within the project area. Some underground SCE facilities can also be found on the north side of the Santa Ana Boulevard between Santiago Street and Fuller Street. Aerial Facilities: Power poles and aerial wires are found along the east side of Fuller and north side of Santa Ana Boulevard. PROJECT REPORT EQUIVALENT 19E -20 11 Santa Ana Blvd. Grade Separation AT &T AT &T's facilities are located along Santiago Street, Logan Street, Fuller Street, and Fruit Street. A short segment is also located under the SARTC parking area south of Santa Ana Boulevard. Verizon Verizon overhead lines are located along Lincoln Avenue, Fuller Street and Fruit Street. Metrolink Metrolink's telecommunication and signal control cables are located within the railroad right of way and along the railroad tracks. Impacts to existing utilities are mainly as a result of depressing Santa Ana Boulevard roadway profile limiting the ability of utilities along side streets to continue across Santa Ana Boulevard. To that end, the following strategies are proposed: City of Santa Ana: Water: The 12" waterline under Santa Ana Boulevard will be relocated to a proposed parallel utility corridor north of Sana Ana Boulevard. This will allow the waterline to maintain existing ground profile as the utility corridor will not be depressed. Minor waterlines along the side streets to the north will also be able to retain their connectivity to the 12" waterline. East of Fuller Street, the 20" waterline will be relocated behind the northerly retaining wall. Additional study is needed to determine if the 8" waterline under Fuller Street south of Santa Ana Boulevard can be removed. Sewer: Although the existing OCSD trunk main can remain in place underneath the SARTC parking area, connectivity to sewer service lines from Logan Street, Lincoln Avenue, and Fuller Street will be disrupted by the depressed Santa Ana Boulevard roadway profile. As a result, a 12" sewer is proposed to be placed in the same utility corridor to collect service lines from the north and reconnect to the OCSD trunk line near Santiago Street. It is noted that since the proposed 12" line will be at a higher elevation at Lincoln Avenue /Railroad crossing, the existing sewer service line along Lincoln Avenue /Railroad will need to be reconstructed at a higher elevation as well. Dry Utilities (Eletric, Telephone, and Gas): Due to a general lack of dry utilities located within Santa Ana Boulevard, existing dry utilities can be generally protected in place. It is noted that the utility corridor will allow for the protection of existing SCE underground line paralleling Santa Ana Boulevard. Additional coordination efforts are need in the next phase of the project. 5.8 Cost Estimate A detailed cost breakdown for the preferred alternative is included as Attachment I. The following table summarizes the cost for the construction and support components. PROJECT REPORT EQUIVALENT 19E -21 12 Santa Ana Blvd. Grade Separation Table 4 - Cost Breakdown Construction Cost $43.3M Roadway $33.1M Structures $10.2M Right -of -Way $15.6M Total Project Capital Outlay $59.9M Support (PS &E, Right -of -Way, Construction, Program Management) $12.3M Total Project Cost $71.2M 6 ENVIRONMENTAL DETERMINATION Caltrans is the National Environmental Policy Act (NEPA) Lead Agency for this project. Initially, Caltrans determined that the appropriate environmental documentation for NEPA compliance is an Environmental Assessment (EA). Refer to Attachment J for the Preliminary Environment Study (PES). However, upon the completion of the required technical studies and public meeting, it was determined that the project is Categorically Excluded (CE). The Categorical Exemption / Categorical Exclusion Determination Form is included as Attachment K. The project is also Statutorily Exempt (SE) from the California Environmental Quality Act (CEQA) per Section 15282(g). City has filed the Notice of Exemption (NOE) as the lead agency on June 23, 2014. The PES recommended the following technical studies to support these documents: Traffic Study; Noise Study Report; Air Quality Assessment Report; Initial Site Assessment; Water Quality Memorandum; Natural Environmental Study- Minimum Impact; Visual Impact Assessment; Relocation Impact Memorandum; Historical Property Survey Report; Archaeological Survey Report, Historic Resources Evaluation Report, and Community Impact Assessment. The Environmental Commitment Record listing various mitigation measures is included as Attachment L. The result of the Traffic Study is included in Section 4.5 and the results of the remaining studies are included as follows: 6.1 Noise Study Report (NSR): The NSR determined that six of the 16 modeled receivers (representative of six residences or noise - sensitive receptors) would approach or exceed the FHWA/Caltrans noise abatement criteria (NAC) for Activity Category B and C land uses with the implementation of the project. Noise abatement in the form of soundwalls was considered. Two soundwalls were found to be acoustically feasible and the estimated cost to construct was compared with the reasonable allowance. NB -2 was determined to be reasonable to construct at heights of 12 to 16 feet. During construction of the proposed project, noise from construction activities would intermittently dominate the noise environment in the immediate area of construction. Conventional construction equipment is expected to generate maximum noise levels ranging from 75 to 99 decibels (dB) at a distance of 50 feet, while noise from pile driving, if necessary, would generate maximum noise levels of approximately 101 dB at a distance of 50 feet. Noise produced by construction equipment would diminish over distance at a rate of about 6 dB per doubling of distance. No adverse noise impacts from construction are anticipated because construction would be conducted in accordance with the Department's PROJECT REPORT EQUIVALENT 19E -22 13 Santa Ana Blvd. Grade Separation provisions in Section 14 -8.02, "Noise Control" of the Draft 2010 Standard Specifications and Special Provisions (SSP S5 -310), and applicable local noise standards. The closest residences to the project site are within 50 feet from the project construction areas. Therefore, these residences may be subject to short -term noise reaching 95 dBA maximum sound level (L max) or higher generated by project construction activities. Proposed avoidance and /or minimization measures include: N -1 Comply with the construction hours specified in the City of Santa Ana Municipal Code, Noise Section 18 -314. N -2 Noise control will conform to the provisions in Section 14 -8.02 and Standard Special Provision S5 -310. The noise level from the contractor's operations between the hours of 9:00 p.m. and 6:00 a.m. will not exceed 86 dBA L eq (h) at a distance of 50 feet. This requirement in no way relieves the contractor from responsibility for complying with local ordinances regulating noise levels. The contractor should use an alternative warning method instead of a sound signal unless required by safety laws. In addition, the contractor will equip all internal combustion engines with the manufacturer - recommended mufflers and will not operate any internal combustion engine on the job site without the appropriate muffler. N -3 The sound barriers that are determined to be reasonable and feasible shall be coordinated with the affected property owners. All benefited residents and property owners will be notified should a change in placement or removal of any soundwall occur during the design phase. Additionally, all residents /property owners will be notified of final soundwall locations prior to 100% PS &E. N -4 The contractor will implement appropriate additional noise mitigation measures, including changing the location of stationary construction equipment, turning off idling equipment, rescheduling construction activity, notifying adjacent residents in advance of construction work, and installing acoustic barriers around stationary construction noise sources. 6.2 Air Quality Assessment Report: The Air Quality Assessment Report determined that the project would have no adverse impacts under National Environmental Policy Act (NEPA). The determination is based on the following: • during project construction, the implementation of exhaust and fugitive dust emission control measures would avoid and /or minimize impacts to air quality; the project is included in the Southern California Association of Government's (SCAG) 2008 Regional Transportation Plan (RTP) and SCAG 2011 Federal Transportation Improvement Program (FTIP) (Project ID ORA082610), which implies that project's operational emissions (which include the ozone precursors reactive organic gases (ROG) and oxides of nitrogen (NOX) meet the transportation conformity requirements imposed by EPA and the South Coast Air Quality Management District (SCAQMD). As such, the project would not exceed the motor vehicle emissions budget for the region; PROJECT REPORT EQUIVALENT 19E -23 14 Santa Ana Blvd. Grade Separation • Caltrans' Carbon Monoxide (CO) protocol screening procedure demonstrated that the project would not have a material effect on localized CO concentrations; • the proposed project is not considered a project of air quality concern, as defined by 40 CFR 93.123(b)(1), and as such, a qualitative PM2.5 /PM10 (particulate matter 2.5 and 10 microns or less in diameter) hot -spot evaluation is not required. It is unlikely that the proposed project would generate new air quality violations, worsen existing violations, or delay attainment of National Ambient Air Quality Standards (NAAQS) for PM2.5 or PM10; and • the proposed project was found to have no potential for significant mobile- source air toxics (MSAT) emissions (using FHWA guidance) and is not linked with any special MSAT concern. Proposed avoidance and /or minimization measures include: AQ -1 The project would conform to Caltrans' construction requirements, as specified in the Caltrans' Standard Specifications, Section 7-1.01F (Air Pollution Control): "The Contractor shall comply with all air pollution control ordinances and statutes which apply to any work performed pursuant to the contract, including any air pollution control rules, regulations, ordinances and statutes, specified in Section 11017 of the Government Code." AQ -2 The proposed project, although not a large operation under the Rule's definition would be required to implement measures for each source of PM10 emissions, as specified in SCAQMD Rule 403 (Fugitive Dust) Implementation Handbook. 6.3 Initial Site Assessment (ISA): Table 5 lists identified or potential environmental concerns based on site reconnaissance and review of historical information sources regarding the acquisition and temporary construction easement parcels (BOLD = Recognized Environmental Condition): Follow up Phase I Environmental Site Assessments were conducted on the area along Fuller Street north of Fruit Street, the County maintenance facility and the industrial buildings at the south end of the acquisition area, south of Sixth Street. Additional Phase 11 Environmental Site Assessment was also performed on 1111 and 1143 Fruit Street (A -9). The result of the Phase 11 Site Assessment did not indicate significant soil impacts that would require remediation. However, access to the remaining properties has limited further analysis. As a result, the following recommendations were made to be completed at a later date: HAZ -1 A Phase II Environmental Site Assessment is recommended during the final design phase for parts of the study area as follows: parcel A -1 (1024 Fuller): currently the auto repair shop: sampling if indicated (interior inspection required); parcel A -2 (1022 Fuller): former machine shop with degreaser, auto wrecking and auto repair shop; parcel A -4 (1020 Fuller): former paint manufacturer, former auto body shop, former metals recovery facility; parcel A -5 (1016 Fuller): former machine shop; parcel A -6 (1012 Fuller): former paint spray booth, former paint manufacturer ( Jasco Chemical); parcel A -7 (1008 Fuller): Jasco Chemical. The Phase II ESA would include soil sampling for petroleum hydrocarbons, volatile organic compounds, heavy metals and /or those chemicals formerly stored on site by Jasco Chemical, as appropriate for each individual location. PROJECT REPORT EQUIVALENT 19E -24 15 Santa Ana Blvd. Grade Separation HAZ -2 Perform a comprehensive survey for asbestos - containing materials, lead -based paint, PCBs and mercury switches during the final design phase at the buildings proposed for acquisition. HAZ -3 Subsurface investigations are deemed to be unnecessary on Temporary Construction Easement parcels. However, in view of the former usage of Parcel T -9 for battery manufacturing, and the current presence of an automotive junkyard on the site, soil sampling for lead, cadmium and petroleum hydrocarbons should performed if any ground disturbance is contemplated in order to ensure worker and public safety during construction. HAZ -4 The hazardous waste storage area and possible waste oil tank at J &H Drilling should be inspected for possible releases of waste oil or other environmental concerns. HAZ -5 Removal of the three closed -in -place USTs at the former Jasco Chemical plant should be considered. HAZ -6 Inspection and sampling for asbestos, lead -based paint, PCBs and mercury switches in the building in the acquisition area. Table 5 - Environmental Concerns Area Parcel Numbers Current Concerns Historical Concerns Fuller Street A -1 through A -8 Industrial buildings Chemical plant with (and T -1) removed and closed - in -place USTs (closed LUST case 2000) County yard A -9 Repair /service facilities Former petroleum storage facility South Warehouses A -11 Possible hazardous materials Former warehouses, usage light- industrial buildings and auto repair shops East of Fuller Street T -4 Known low -level soil impacts Agriculture by heavy metals County Yard T -8 Gas station, known low -level impacts by PCE and TCEy to soil vapor, repair /service facilities Auto Wrecking Yard T -9 Auto wrecking yard Battery manufacturer 6.4 Water Quality Memorandum The following avoidance and minimization measures were included in the Water Quality Memorandum: WQ -1 The project shall comply with the provisions of the National Pollutant Discharge Elimination System (NPDES) General Permit, Waste Discharge Requirements for Discharges of Storm Water Runoff Associated with Construction Activities (Order Number 2009 - 0009 -DWQ, NPDES Number CAS000002) and any subsequent permit in effect at the time of construction. Prior to construction, Permit Registration Documents (PRDs), which includes permit application fee, a Notice of Intent (NOI), a Storm Water Pollution Prevention Plan (SWPPP) PROJECT REPORT EQUIVALENT 19E -25 16 Santa Ana Blvd. Grade Separation and other compliance related documents required by the permit, shall be mailed to the State Water Quality Control Board. The project SWPPP shall be prepared by a Qualified SWPPP Practitioner (QSP) or a Qualified SWPPP Developers (QSD) to address all construction related activities, equipment, and materials that have the potential to impact the water quality. The SWPPP shall identify the sources of pollutants that may affect the quality of storm water and include construction site BMPs to control pollutants and sediments. The SWPPP shall include erosion control, sediment control, wind erosion control, tracking control, and all other applicable non - stormwater management and material management BMPs. All construction site BMPs shall follow the latest edition of the CASQA Stormwater Best Management Practice Handbook for Construction. In addition, the project water quality risk level shall be identified. Rain Event Action Plan, Field Monitoring, and Reporting Guidance shall be prepared for effluent monitoring and receiving water monitoring. The General Permit requires that permittees prepare, certify, and electronically submit an Annual Report no later than September 1st of each year. Reporting requirements are identified in Section XVI of the General Permit. WQ -2 Treatment BMPs shall be implemented to the maximum extent practicable (MEP), consistent with the requirements of the Orange County MS4 Permit, Order R8- 2009 -0030 (amended by Order R8 -2010 -0062, NPDES No. CAS 618030). Biofiltration systems or catch basin filter inserts are proposed as the potential treatment BMPs for the project. Detailed design of the BMP and the location will be determined in the final engineering phase. Removal of existing vegetation will be minimized to the greatest extent possible and any mature trees to be saved would be identified on final plans. The final siting and design of treatment BMPs will be designed in compliance with the 2010 OC Model Water Quality Management Plan (WQMP), the Technical Guidance Document (TGD) and the 2003 OC Drainage Area Management Plan (DAMP). WQ -3 Design pollution prevention BMPs shall be implemented in accordance with Green Streets Municipal Handbook (EPA- 833 -F -08 -009; 2008), such as preservation of existing vegetation, slope /surface protection systems (permanent soil stabilization), concentrated flow conveyance systems such as ditches, berms, dikes, and swales, overside drains, flared end sections, and outlet protection /velocity dissipation devices. 6.5 Natural Environmental Study- Minimum Impact (NES /MI) The NES - Minimal Impacts (NES /MI) found no natural vegetation communities occurring within the Biological Study Area (BSA). In addition, no impact to jurisdictional waters and wetlands would occur as these resources are not present within the BSA. The following measures are avoidance and /or minimization measures to reduce impacts to species. BIO -1 Preconstruction Nesting Bird Survey. If project - related site disturbances are scheduled to occur during the core nesting period (February 15 through September 1), a qualified biologist will perform preconstruction nesting bird surveys. The survey will be completed within seven days prior to any project - related disturbances. If native birds are nesting on or within 100 feet (as accessible) of the LOD, a 100 -foot buffer (or an alternative width, as determined by a qualified ornithologist) should be flagged around the nest, and no PROJECT REPORT EQUIVALENT 19E -26 17 Santa Ana Blvd. Grade Separation project - related construction activities within the buffer will occur until it has been determined that all young have fledged or the nest is no longer active. 13I0-2 Preconstruction Nesting Raptor Survey. If project - related site disturbances are scheduled to occur during the core nesting period (February 15 through September 1), a qualified biologist will perform preconstruction nesting raptor surveys. The survey will be completed within seven days prior to any project - related disturbances. If raptors are nesting on or within 500 feet (as accessible) of the limits of disturbance (LOD), a 500 -foot buffer (or an alternative width, as determined by a qualified ornithologist) should be flagged around the nest, and no project - related construction activities within the buffer will occur until it has been determined that all young have fledged or the nest is no longer active. 13I0-3 Preconstruction Bat Survey. To prevent impacts on daytime bat roosts and maternity roosts, a qualified biologist will be retained to conduct bat and bat roosting site surveys prior to commencement of building demolition or mature tree removal activities. This pre- construction survey will be conducted at any abandoned buildings, as well as any mature tree proposed for removal and within 100 feet of the LOD. If no roosting sites or bats are found, a report confirming their absence will be sent to the California Department of Fish and Wildlife (CDFW) and no further mitigation will be required. If the pre- construction survey finds bats to be roosting, and building demolition /mature tree removal is scheduled to occur between October 1 and March 30 (outside of the maternity season of April 1st through September 30), the bats shall be evicted by the following methods. Eviction of bats shall be conducted using bat exclusion techniques, developed by Bat Conservation International (BCI) and in consultation with CDFW. These techniques allow the bats to exit the roosting site but prevent re -entry to the site. This process will include, but not be limited to, the installation of one -way exclusion devices on buildings and a two -step cutting process for trees. Sealing buildings at the time of abandonment may prevent the need for the exclusion process. Where exclusionary devices would be installed on buildings, the devices shall remain in place for seven days, and then the exclusion points and any other potential entrances shall be sealed. A visual inspection of each building would be required prior to demolition to verify that all bats have been successfully excluded. Where the two -step cutting process would be applicable for tree roosts, surrounding branches, not housing bats, would be removed during step one. This would alter the condition of the roost tree, causing bats to abandon the roost. The tree can then be fully removed, as step two. A visual inspection of the roost tree would be required prior to removal to verify that all bats have been successfully excluded. This work shall be completed by a bat exclusion professional. If the pre- construction survey finds bats to be roosting and building demolition /mature tree removal is scheduled to occur during the maternity season (April 1 through September 30), a qualified biologist will monitor the roost to determine if the roost site is a maternal roost. This may be determined by either visual inspection of the roost for bat pups, if possible, or monitoring the roost after the adults leave for the night to listen for bat pups. If the roost is determined to not be a maternal roost, then the bats shall be evicted as described above. If the roost is determined to be a maternal roost, eviction of a maternal roost cannot occur during the nursery season, as bat pups cannot leave the roost until they have reached maturity. In this case, a 250 - foot -wide buffer zone (or an alternative width, as determined in consultation with CDFW) shall be established around the roosting site, within which no construction - related impacts shall occur until the bat pups are mature enough to permanently leave the roost. PROJECT REPORT EQUIVALENT 19E-27 18 Santa Ana Blvd. Grade Separation 13I0-4 Standard Best Management Practices. Applicable Best Management Practices shall be implemented. These include but are not limited to: • Water pollution and erosion control plans shall be developed and implemented in accordance with Regional Water Quality Control Board (RWQCB) requirements. • Equipment storage, fueling, and staging areas shall be located at sites with minimal risks of direct drainage into surface waters. Project related spills of hazardous materials shall be reported to appropriate entities, including but not limited to the City and /or RWQCB, and shall be cleaned up immediately and contaminated soils removed to approved disposal areas. • Exotic species removed during construction will be properly handled to prevent sprouting or regrowth. • Trucks with loads carrying vegetation will be covered, and vegetation materials removed from the site will be disposed of in accordance with applicable laws and regulations. • Construction equipment will be cleaned of mud or other debris that may contain invasive plants and /or seeds and inspected to reduce the potential of spreading noxious weeds before mobilizing to the site and before leaving the site during the course of construction. • To avoid attracting wildlife to the project site, the construction shall be kept as clean of debris as possible. All food related trash items shall be enclosed in sealed containers and regularly removed from the site(s). 6.6 Visual Impact Assessment The report concluded that the proposed project will not result in substantial adverse effects on visual resources under the NEPA. Since the project's grade separation features are essentially at or below existing grade levels, they will not substantially affect either east or west - facing views along Santa Ana Boulevard. As motorist or pedestrians enter the underpass while travelling eastward on Santa Ana Boulevard, they will experience only the briefest interruptions in views of the Lomas Ridge and the more distant Santa Ana Mountains ridgelines. Hence, no significant changes to key views will occur. Residential viewers also will continue to have key east - facing views of the mountain ridgelines available to them. The loss of mature trees will reduce visual quality over a period of five or more years; however, because comparable replacement landscaping will be installed per City and Caltrans' best management practice, no adverse effects would occur under NEPA.. Caltrans and FHWA mandate that a qualitative aesthetic approach be taken to mitigate for visual quality loss in the project area. The proposed project fulfills these requirements because it is expected that it will address the actual loss of visual quality that will occur in the project viewshed within five to ten years of when the project is implemented by installing comparable replacement trees for those proposed for removal, where feasible, and groundcover where full right -of -way takes would necessitate demolition and /or where right - of -way design constraints will preclude installation of replacement trees. The project will be implemented in adherence to the guidance found in Caltrans' Highway Design Manual and other Caltrans memoranda regarding landscape design policy, which mandates consideration of the local design context in which the work is proposed and obtaining the input of local governmental agencies. In addition, the project will be designed and PROJECT REPORT EQUIVALENT 19E -28 19 Santa Ana Blvd. Grade Separation implemented with the concurrence of the District Landscape Architect. In summary, substantial adverse effects under NEPA are not anticipated. The following avoidance and minimization measures shall be implemented: VIS -1 The project will be implemented in adherence to the guidance found in Caltrans' Highway Design Manual and other Caltrans memoranda regarding landscape design policy, which mandates consideration of the local design context in which the work is proposed and obtaining the input of local governmental agencies. In addition, the project will be designed and implemented with the concurrence of the District Landscape Architect. 6.7 Relocation Impact Memo The project would affect 16 distinct nonresidential properties. Of these, seven nonresidential properties (composed of nine parcels) would be fully acquired and would result in displacement requiring relocation. An additional two nonresidential properties would be partially acquired (sliver takes) and would require some property reconfiguration but would not result in displacement. Nine properties, including portions of two of the partially acquired properties mentioned previously, would require a temporary construction easement. Based on real estate listings and the professional opinions of two local commercial real estate agents, there appear to be a sufficient supply of adequate sites to relocate all of the displacees within the immediate vicinity of the City of Santa Ana. Given the availability of suitable properties in the immediate vicinity of the project, displacement and relocation of businesses would not result in substantial hardship. Relocation assistance benefits or entitlements would be provided to displacees in accordance with the Uniform Relocation Assistance and Real Property Act of 1970, as amended. Any person (individual, family, corporation, partnership, or association) who moves from real property or moves personal property from real property as a result of the acquisition of the real property, or required to relocate as a result of a written notice from the City of Santa Ana from the real property required for a transportation project is eligible for "Relocation Assistance." All activities will be conducted in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended. Relocation resources shall be available to all displacees, in compliance with Title VI, free of discrimination. 6.8 Historical Properties Survey Report (HPSR) The HSPR determined a finding of No Historic Properties Affected. Concurrence on this determination was received from the State Historic Prservation Officer on February 2, 2012. 6.9 Archaeological Survey Report (ASR) No archaeological resources have been previously recorded within the project area of potential effect (APE), and no new cultural resources were observed within the project APE for the proposed project during the field survey. Given the geologic setting and the level of previous disturbance within the project APE, the potential to encounter buried prehistoric resources or historic - period archaeological resources within the project APE is considered to be low. The following avoidance and minimization measure which is standard on all Caltrans' project will be implemented: CR -1 It is the Department's policy to avoid cultural resources whenever possible. Further investigations may be needed if unanticipated cultural sites are encountered that cannot be PROJECT REPORT EQUIVALENT 19E'29 20 Santa Ana Blvd. Grade Separation avoided by the project. If cultural materials are discovered during construction, all earth - moving activity within and around the immediate discovery area will be diverted until a qualified archaeologist can assess the nature and significance of the find. If changes are made to the proposed project, an additional archaeological survey would be required to include areas not previously surveyed. 6.10 Historic Resources Evaluation Report (HRER) Thirty -four built environment properties were evaluated in the HRER. The Burlington Northern Santa Fe Railroad was determined ineligible for the National Register and the California Register in 2007, as was 1102 East Fruit Street in 2004. 917 Logan Street was surveyed in 1980 and was determined to be a 5D2. Due to a lack of supporting documentation of that finding and because it was assessed more than 20 years ago, it has been re- evaluated and determined individually ineligible for the National Register and California Register. The Orange County Maintenance Yard was previously determined eligible for the National Register by State Historic Preservation Officier (SHPO) on December 27, 2004. A re- assessment of the determination and supporting documentation for 1102 East Fruit Street concluded that the finding in 2004 was in error and the Orange County Road Department Maintenance Yard is ineligible for the National Register and the California Register. All of the evaluated properties have been found to be ineligible for the National Register and the California Register and are not considered historical resources for the purposes of CEQA. All other properties within the APE meet the criteria for Section 106 PA Attachment 4 (Properties Exempt from Evaluation). No impacts were identified and no avoidance, minimization and /or mitigation measures were needed. 6.11 Community Impact Assessment (CIA) The Community Impact Assessment considers how the proposed project would affect the people, neighborhoods, communities, businesses, and larger social and economic systems. The findings of the CIA concludes that the proposed project would not introduce an incompatible use in the area, the pattern and rate of population and housing growth would be consistent with those contemplated in existing regional and local plans for the area, and the proposed project would have beneficial effect on community. Cumulative impacts are not expected to be cumulatively considerable. The following avoidance and minimization measures shall be implemented: TRF -1 Prepare and implement a Traffic Management Plan (TMP). The TMP will be provided to emergency service providers and school officials with construction plans prior to commencement of construction. The following shall be included in the TMP or carried out in coordination with the TMP: • Implement a construction management program that maintains access to and from the project area community through signage, detours, flagmen, etc. • Coordinate with emergency services providers to ensure that alternative response routes to and from the project area community are in place during construction of the proposed project. • Provide access to all fire hydrants along all access routes and provide and maintain fire department vehicle access roads along project site. • Consult with local school officials to indentify safe vehicular routes and pedestrian crossing for student traveling to and from schools in the project area community during construction of the proposed project. • Coordinate with the utility providers for relocation of ut9ility lines and inform the utility users in advance about the date and timings of service disruptions. PROJECT REPORT EQUIVALENT 19E -30 21 Santa Ana Blvd. Grade Separation Prepare temporary detour plans during the Plans, Specifications, and Estimate (PS &E) phase. Provide notification to be sent to emergency service providers, local school officials, and any residents that may be substantially affected by any street closure (including partial and /or full closures) or traffic diversions at least two weeks in advance of the planned closure or diversion. RELOC -1 In accordance with the federal Uniform Relocation Assistance and Property Acquisition Act of 1970 as amended (42 USC Secs. 4601- 4655), provide compensation to eligible recipients for property acquisitions. UT -1 The City will coordinate all utility relocation work with the affected utility companies to ensure minimum disruption to customers in the service areas during construction. 7 RAILROAD INVOLVEMENT There are two SCRRA mainline tracks located within the project. DICTA owns the railroad right of way, while SCRRA maintains and operates the Metrolink service. SCRRA is an important stakeholder of the project. The PDT initially met with SCRRA on August 31, 2011. Additional meetings between February and August of 2014 were held to discuss structure type and shoofly alignment. In these meetings, SCRRA approved the proposed steel girder bridge in concept. SCRRA also rejected a staging concept that would eliminate the need for a shoofly. It was also determined that SCRRA will be responsible for all work related to shoofly installation, temporary at -grade crossing with the detour road, and removal of existing at -grade crossing. Further coordination effort will be needed during the PS &E phase of the project to obtain design approval and finalizaton of the Construction and Maintenance Agreement. 8 FUNDING It will be a priority of DICTA to securing funds for this project. Funding may be Federal, State, or Local or a combination of each.. 9 SCHEDULE A preliminary schedule for the entire project is included as Attachment M. It is important to know that this schedule is preliminary and subject to change as the project evolves. The following table provides a summary of the project milestones. PROJECT REPORT EQUIVALENT 19E -31 22 Santa Ana Blvd. Grade Separation Table 6 - Project Milestone Preliminary Dates Begin PSRE June 2011 Complete PSRE February 2012 Begin Preliminary Engineering /Environmental Document June 2012 Complete Preliminary Engineering /Environmental Document August 2014 Begin Final Design and Right of Way Acquisition December 2014 Complete Final Design and Right of Way Acquisition December 2016 Begin Construction September 2016 Complete Construction June 2018 Complete Project Close -out December 2018 10 OTHER CONSIDERATIONS AS APPROPRIATE 10.1 Permits The potential permits are: Orange County General NPDES Permit (SWPPP) A Regional Water Quality Control Board (RWQCB) Permit. Cooperative Agreements and Other Agreements: SCRRA Construction and Maintenance Agreement. CPUC Construction Agreement. 10.2 Involvement with a Navigable Waterway There is no involvement with a Navigable Waterway within the limits of this project. 10.3 Graffiti Control The bridge and retaining wall design will include a fractured -rib finish treatment for the abutments, retaining walls, and other vertical surfaces, and this shall be constructed from the finish surface to six (6) feet above the finish surface. In addition, the columns shall be sprayed with graffiti protection, in accordance with Caltrans specifications. 10.4 Geotechnical Investigation A Geotechnical Technical Memorandum is included within this report as Attachment N, which provides preliminary information and recommendations for the improvements. During the next phase of the project, geotechnical investigation, testing, and preparation of the Final Geotechnical Report will occur. PROJECT REPORT EQUIVALENT 19E -32 23 Santa Ana Blvd. Grade Separation 11 PROJECT PERSONNEL Jason Lee ......................................................................... ............................... (714) 560 -5883 DICTA Project Manager /Rail Charles Baker ................................................................... ............................... (949) 724 -2252 Caltrans District 12 Local Assistance Brian Liu ........................................................................... ............................... (949) 724 -2014 Caltrans District 12 Local Assistance Jason Gabriel, P. E ........................................................... ............................... (714) 647 -5664 City of Santa Ana Project Manager Chuanche Ting, P. E .......................................................... ............................... (714) 567 -2527 AECOM Technical Services, Inc Project Manager Robert Matthews, P. E ....................................................... ............................... (714) 567 -2754 AECOM Technical Services, Inc Structural Design Leader Michael Arizabal ............................................................... ............................... (714) 567 -2427 AECOM Technical Services, Inc Traffic Design Leader Brian Calvert ..................................................................... ............................... (949) 333 -6618 ICF International Environmental Project Manager PROJECT REPORT EQUIVALENT 19E -33 24 Santa Ana Blvd. Grade Separation 12 ATTACHMENTS AttachmentA — Attachment B — Attachment C — Attachment D — Attachment E — Attachment F — Highway -Rail Crossing Accident/Incident Reports Project Layout, Typical Section, and Profile Bridge General Plan Pedestrian Bridge Typical Section Staging and Traffic Handling Shoofly Attachment G — Right -of -Way Acquisition Map Attachment H — Existing & Proposed Utilities Attachment I — Cost Estimate Attachment J — Preliminary Environmental Study (PES) Attachment K — Categorical Exemption /Categorical Exclusion Determination Form Attachment L — Environmental Commitment Record Attachment M — Project Schedule Attachment N — Geotechnical Technical Memorandum PROJECT REPORT EQUIVALENT 19E -34 25 Santa Ana Blvd. Grade Separation Attachment A: Highway -Rail Crossing Accident /Incident Reports PROJECT REPORT EQUIVALENT 19E -35 A HIGHWAY -RAIL GRADE CROSSING DEPARTMENT OF TRANSPORTATION ACCIDENT /INCI DENT REPORT FEDERAL RAILROAD ADMINISTRATION (FRA) OMB Approval No 2130 -0500 Name Of Alphabetic Code RR AccidenVlncident No 1. Reporting Railroad Amtrak ATK 1a. AUK 1b. 060057 2. Other Railroad Involved in Train Accident /Incident 2a. 2b. 3. Railroad Responsible for Track Maintenance Southern California Regional Rail Authority 3a. SCAX 3b. XXX 4. U.S. DOT -AAR Grade Crossing ID No 026702V 15 . Date of Accident/ lncident 01/25/00 6. Time of AccidenVlncident 06:22 PM 7. Nearest Railroad Station 8. Division 9. County 10. State Code SANTA ANA WSD ORANGE Abbr. 06 CA 11. City (if in a city) SANTA ANA 12. Highway Name or No SANTA ANA BLVD ❑✓ Public �Pnvete Highway User Involved Rail Equipment Involved 13. Type C Truck - trailer F. Bus J. Other Motor Vehicle Code 17. Equipment 4. Car(s) (moving) 8. Other (specify) Code 1. Train (unitspulling) 5. Car(s) (standing) A. Train pulling- RCL A. Auto D. Pick -up truck G. School Bus K. Pedestrian 2. Train (unitspushing) 6. Light loco(s) (moving) B. Train pushing- RCL K 2 B. Truck E. Van H. Motorcycle M. Other (specify) 3. Train (standing) 7. Light loco(s) (standing) C. Train standing- RCL 14. Vehicle Speed 15. Direction (geographical) Code 18. Position of Car Unit in Train (est mph at impact) 0 1. North 2. South 3. East 4. West I 1 1 16. Position 1. Stalled on crossing 3. Moving over crossing Code 19. Circumstance 1. Rail equipment struck highway user Code 2. Stopped on Crossing 4. Trapped 1 2 2. Rail equipment struck by highway user 1 20a. Was the highway user and /or rail equipment involved Code 20b. Was there a hazardous materials release by Code in the impact transporting hazardous materials? 4 1. Highway User 2. Rail Equipment 3. Both 4. Neither 4 1. Highway User 2. Rail Equipment 3. Both 4. Neither 20c. State the name and quantity of the hazardous materials released, if any 21. Temperature 22. Visibility (single entry) Code 23. Weather (single entry) Code (specify ifminus) 50 'F 1. Dawn 2. Day 3. Dusk 4. Dark 1 4 1. Clear 2. Cloudy 3. Rain 4. Fog 5. Sleet 6. Snow 3 24. Type of Equipment A. Spec. MoW Equip 25. Track Type Used by Rail Code 26. Track Number or Name Consist 1. Freight train 4. Work train 7. Yard /Switching Equipment Involved (single entry) 2. Passenger train 5. Single car 8. Light loco(s) Code 3. Commuter train 6. Cut of cars 9. Main /inspect car 1 2 1. Main 2. Yard 3. Siding 4. Industry 1 MAIN TWO 27. FRA Track 28. Number of 29. Number of 30. Consist Speed (Recorded if available) Code 31. Time Table Direction Code Class Locomotive Cars R. Recorded 5 Units 1 5 E. Estimated 39 mph R 1. North 2. South 3. East 4. West 3 32. Type of 1. Gates 4. Wig wags 7 Crossbucks 10. Flagged by crew 33. Signaled Crossing 34. Whistle Ban Code Crossing 2. Cantilever FLS 5. Hwy traffic signals 8. Stop signs 11. Other (specify) Warning 1. Yes Warning 3. Standard FLS 6. Audible 9. Watchman 12. None 20 sec warn min (1); 2. No 3. Unknown 2 Code(s) 1 01 03 1 06 07 35. Location of Warning Code 36. Crossing Warning Interconnected Code 37. Crossing Illuminated by Street Code 1. Both Sides with Highway Signals Lights or Special Lights 2. Side of Vehicle Approach I 3 1 3. O osite Side of Vehicle A roach 1. Yes 2. No 3. Unknown 1. Yes 2. No 3. Unknown 38. Driver's 39. Driver's Code 40. Driver Drove Behind or in Front of Train Code 41. Driver Code Age Gender and Struck or was Struck by Second Train 1. Drove around or thru the gate 4. Stopped on crossing 1. Male 1. Yes 2. No 3. Unknown 2. Stopped and then proceeded 5. Other (specify) 48 2 1 2. Female 3. Did not stop 42. Driver Passed Standing Code 43. View of Track Obscured by (primary obstruction) Code Highway Vehicle 1. Permanent Structure 3. Passing Train 5. Vegetation 7. Other (specify) 1. Yes 2. No 3. Unknown 2. Standing railroad equipment 4. Topography 6. Highway Vehicles 8. Not Obstructed 8 44. Driver was Code 45. Was Driver in the Vehicle? Code Casualties to Killed Injured 1. Killed 2. Injured 3. Uninjured 1. Yes 2. No 47. Highway Vehicle Property Damage 48. Total Number of Highway -Rail Crossing Users 46. Highway -Rail Crossing Users 1 0 (est dollar damage) $0 (include driver) 1 49. Railroad Employees 0 0 50. Total Number of People on Train (include passengers and crew) 51. Is a Rail Equipment Accident / Incident Report Being Filed Code 52. Passengers on Train 0 0 98 1. Yes 2. No 2 53a. Special Study Block 53b. Special Study Block 54. Narrative Description TRAIN 782 STRUCK A PEDESTRIAN WALKING ON TRACK GUAGE AT SANTA ANA BLVD. CROSSING IN SANTA ANA, CA. 55. Typed Name and Title 56. Signature 57. Date FORM FRA F 6180.57 * NOTE THAT ALL CASUALTIES MUST BE REPORTED ON FORM FRA F 6180.55A 19E -36 HIGHWAY -RAIL GRADE CROSSING DEPARTMENT OF TRANSPORTATION ACCIDENT /INCI DENT REPORT FEDERAL RAILROAD ADMINISTRATION (FRA) OMB Approval No 2130 -0500 Name Of Alphabetic Code RR AccidenVlncident No 1. Reporting Railroad Amtrak ATK 1a. ATK 1b. 112881A 2. Other Railroad Involved in Train Accident/incident Atchison Topeka & Santa Fe Rvvy Co. ATSE 2a ATSE 2b. 311151204 3. Railroad Responsible for Track Maintenance Atchison Topeka & Santa Fe Rwy Co. ATSE 3a. ATSE 3b. 311151204 4. U.S. DOT -AAR Grade Crossing ID No 026702V 15 . Date of Accident/ lncident 11/28/81 6. Time of AccidenVlncident 02:20 PM 7. Nearest Railroad Station 8. Division 9. County 10. State Code SANTA ANA ORANGE Abbr. 06 CA 11. City (if in a city) SANTA ANA 12. Highway Name or No SANTA ANA BLVD ❑✓ Public �Pnvete Highway User Involved Rail Equipment Involved 13. Type C Truck - trailer F. Bus J. Other Motor Vehicle Code 17. Equipment 4. Car(s) (moving) 8. Other (specify) Code 1. Train (unitspulling) 5. Car(s) (standing) A. Train pulling- RCL A. Auto D. Pick -up truck G. School Bus K. Pedestrian 2. Train (unitspushing) 6. Light loco(s) (moving) B. Train pushing- RCL A 1 B. Truck E. Van H. Motorcycle M. Other (specify) 3. Train (standing) 7. Light loco(s) (standing) C Train standing- RCL 14. Vehicle Speed 15. Direction (geographical) Code 18. Position of Car Unit in Train (est mph at impact) 30 1. North 2. South 3. East 4. West 1 1 2 16. Position 1. Stalled on crossing 3. Moving over crossing Code 19. Circumstance 1. Rail equipment struck highway user Code 2. Stopped on Crossing 4. Trapped 1 3 2. Rail equipment struck by highway user 2 20a. Was the highway user and /or rail equipment involved Code 20b. Was there a hazardous materials release by Code in the impact transporting hazardous materials? 1. Highway User 2. Rail Equipment 3. Both 4. Neither 4 1. Highway User 2. Rail Equipment 3. Both 4. Neither 20c. State the name and quantity of the hazardous materials released, if any 21. Temperature 22. Visibility (single entry) Code 23. Weather (single entry) Code (specify ifminus) 50 'F 1. Dawn 2. Day 3. Dusk 4. Dark 1 2 1. Clear 2. Cloudy 3. Rain 4. Fog 5. Sleet 6. Snow 1 24. Type of Equipment A. Spec. MoW Equip 25. Track Type Used by Rail Code 26. Track Number or Name Consist 1. Freight train 4. Work train 7. Yard /Switching Equipment Involved (single entry) 2. Passenger train 5. Single car 8. Light loco(s) Code 3. Commuter train 6. Cut of cars 9. Main /inspect car 1 2 1. Main 2. Yard 3. Siding 4. Industry 1 MAIN 27. FRA Track 28. Number of 29. Number of 30. Consist Speed (Recorded if available) Code 31. Time Table Direction Code Class Locomotive Cars R. Recorded 3 Units 1 5 E. Estimated 30 mph R 1. North 2. South 3. East 4. West 3 32. Type of 1. Gates 4. Wig wags 7 Crossbucks 10. Flagged by crew 33. Signaled Crossing 34. Whistle Ban Code Crossing 2. Cantilever FLS 5. Hwy traffic signals 8. Stop signs 11. Other (specify) Warning 1. Yes Warning 3. Standard FLS 6. Audible 9. Watchman 12. None 20 see warn min (1); 2. No 3. Unknown Code(s) 1 01 03 35. Location of Warning Code 36. Crossing Warning Interconnected Code 37. Crossing Illuminated by Street Code 1. Both Sides with Highway Signals Lights or Special Lights 2. Side of Vehicle Approach 1 2 2 3. O osite Side of Vehicle A roach 1. Yes 2. No 3. Unknown 1. Yes 2. No 3. Unknown 38. Driver's 39. Driver's Code 40. Driver Drove Behind or in Front of Train Code 41. Driver Code Age Gender and Struck or was Struck by Second Train 1. Drove around or thru the gate 4. Stopped on crossing 1. Male 1. Yes 2. No 3. Unknown 2. Stopped and then proceeded 5. Other (specify) 1 2 1 1 2. Female 3. Did not stop 42. Driver Passed Standing Code 43. View of Track Obscured by (primary obstruction) Code Highway Vehicle 1. Permanent Structure 3. Passing Train 5. Vegetation 7. Other (specify) 1. Yes 2. No 3. Unknown 2 2. Standing railroad equipment 4. Topography 6. Highway Vehicles 8. Not Obstructed 8 44. Driver was Code 45. Was Driver in the Vehicle? Code Casualties to Killed Injured 1. Killed 2. Injured 3. Uninjured 3 1. Yes 2. No 1 47. Highway Vehicle Property Damage 48. Total Number of Highway -Rail Crossing Users 46. Highway -Rail Crossing Users 0 0 (est dollar damage) $2300 (include driver) 0 49. Railroad Employees 0 0 50. Total Number of People on Train (include passengers and crew) 51. Is a Rail Equipment Accident / Incident Report Being Filed Code 52. Passengers on Train 0 0 1. Yes 2. No 2 53a. Special Study Block 53b. Special Study Block 54. Narrative Description 55. Typed Name and Title 56. Signature 57. Date FORM FRA F 6180.57 * NOTE THAT ALL CASUALTIES MUST BE REPORTED ON FORM FRA F 6180.55A 19E -37 HIGHWAY -RAIL GRADE CROSSING DEPARTMENT OF TRANSPORTATION ACCIDENT /INCI DENT REPORT FEDERAL RAILROAD ADMINISTRATION (FRA) OMB Approval No 2130 -0500 Name Of Alphabetic Code RR AccidenVlncident No 1. Reporting Railroad Atchison Topeka &Santa Fe Rwy Co. ATSE 1a. ATSE 1b. 311151204 2. Other Railroad Involved in Train Accident /Incident Amtrak ATK I 2a ATK 2b. 112881A 3. Railroad Responsible for Track Maintenance Atchison Topeka & Santa Fe Rwy Co. ATSE 3a. ATSE 3b. 311151204 4. U.S. DOT -AAR Grade Crossing ID No 026702V 15 . Date of Accident/ lncident 11/28/81 6. Time of AccidenVlncident 02:20 PM 7. Nearest Railroad Station 8. Division 9. County 10. State Code SANTA ANA ORANGE Abbr. 06 CA 11. City (if in a city) SANTA ANA 12. Highway Name or No SANTA ANA BLVD ❑✓ Public �Pnvete Highway User Involved Rail Equipment Involved 13. Type C Truck - trailer F. Bus J. Other Motor Vehicle Code 17. Equipment 4. Car(s) (moving) 8. Other (specify) Code 1. Train (unitspulling) 5. Car(s) (standing) A. Train pulling- RCL A. Auto D. Pick -up truck G. School Bus K. Pedestrian 2. Train (unitspushing) 6. Light loco(s) (moving) B. Train pushing- RCL A 1 B. Truck E. Van H. Motorcycle M. Other (specify) 3. Train (standing) 7. Light loco(s) (standing) C Train standing- RCL 14. Vehicle Speed 15. Direction (geographical) Code 18. Position of Car Unit in Train (est mph at impact) 35 1. North 2. South 3. East 4. West 1 1 2 16. Position 1. Stalled on crossing 3. Moving over crossing Code 19. Circumstance 1. Rail equipment struck highway user Code 2. Stopped on Crossing 4. Trapped 1 3 2. Rail equipment struck by highway user 2 20a. Was the highway user and /or rail equipment involved Code 20b. Was there a hazardous materials release by Code in the impact transporting hazardous materials? 1. Highway User 2. Rail Equipment 3. Both 4. Neither 4 1. Highway User 2. Rail Equipment 3. Both 4. Neither 20c. State the name and quantity of the hazardous materials released, if any 21. Temperature 22. Visibility (single entry) Code 23. Weather (single entry) Code (specify ifminus) 50 'F 1. Dawn 2. Day 3. Dusk 4. Dark 1 2 1. Clear 2. Cloudy 3. Rain 4. Fog 5. Sleet 6. Snow 1 24. Type of Equipment A. Spec. MoW Equip 25. Track Type Used by Rail Code 26. Track Number or Name Consist 1. Freight train 4. Work train 7. Yard /Switching Equipment Involved (single entry) 2. Passenger train 5. Single car 8. Light loco(s) Code 3. Commuter train 6. Cut of cars 9. Main /inspect car 1 2 1. Main 2. Yard 3. Siding 4. Industry 1 MAIN 27. FRA Track 28. Number of 29. Number of 30. Consist Speed (Recorded if available) Code 31. Time Table Direction Code Class Locomotive Cars R. Recorded 3 Units 1 5 E. Estimated 30 mph R 1. North 2. South 3. East 4. West 3 32. Type of 1. Gates 4. Wig wags 7 Crossbucks 10. Flagged by crew 33. Signaled Crossing 34. Whistle Ban Code Crossing 2. Cantilever FLS 5. Hwy traffic signals 8. Stop signs 11. Other (specify) Warning 1. Yes Warning 3. Standard FLS 6. Audible 9. Watchman 12. None 20 see warn min (1); 2. No 3. Unknown Code(s) 1 01 03 35. Location of Warning Code 36. Crossing Warning Interconnected Code 37. Crossing Illuminated by Street Code 1. Both Sides with Highway Signals Lights or Special Lights 2. Side of Vehicle Approach 1 2 2 3. O osite Side of Vehicle A roach 1. Yes 2. No 3. Unknown 1. Yes 2. No 3. Unknown 38. Driver's 39. Driver's Code 40. Driver Drove Behind or in Front of Train Code 41. Driver Code Age Gender and Struck or was Struck by Second Train 1. Drove around or thru the gate 4. Stopped on crossing 1. Male 1. Yes 2. No 3. Unknown 2. Stopped and then proceeded 5. Other (specify) 1 2 1 1 2. Female 3. Did not stop 42. Driver Passed Standing Code 43. View of Track Obscured by (primary obstruction) Code Highway Vehicle 1. Permanent Structure 3. Passing Train 5. Vegetation 7. Other (specify) 1. Yes 2. No 3. Unknown 2 2. Standing railroad equipment 4. Topography 6. Highway Vehicles 8. Not Obstructed 8 44. Driver was Code 45. Was Driver in the Vehicle? Code Casualties to Killed Injured 1. Killed 2. Injured 3. Uninjured 3 1. Yes 2. No 1 47. Highway Vehicle Property Damage 48. Total Number of Highway -Rail Crossing Users 46. Highway -Rail Crossing Users 0 0 (est dollar damage) $2300 (include driver) 1 49. Railroad Employees 0 0 50. Total Number of People on Train (include passengers and crew) 51. Is a Rail Equipment Accident / Incident Report Being Filed Code 52. Passengers on Train 0 0 1. Yes 2. No 2 53a. Special Study Block 53b. Special Study Block 54. Narrative Description 55. Typed Name and Title 56. Signature 57. Date FORM FRA F 6180.57 * NOTE THAT ALL CASUALTIES MUST BE REPORTED ON FORM FRA F 6180.55A 19E -38 HIGHWAY -RAIL GRADE CROSSING DEPARTMENT OF TRANSPORTATION ACCIDENT /INCI DENT REPORT FEDERAL RAILROAD ADMINISTRATION (FRA) OMB Approval No 2130 -0500 Name Of Alphabetic Code RR AccidenVlncident No 1. Reporting Railroad Atchison Topeka &Santa Fe Rwy Co. ATSE 1a. ATSE 1b. 31019102 2. Other Railroad Involved in Train Accident /Incident Amtrak ATK I 2a ATK 2b. 010579A 3. Railroad Responsible for Track Maintenance Atchison Topeka & Santa Fe Rwy Co. ATSE 3a. ATSE 3b. 31019102 4. U.S. DOT -AAR Grade Crossing ID No 026702V 15 . Date of Accident/ lncident 01/05/79 6. Time of AccidenVlncident 09:15 AM 7. Nearest Railroad Station 8. Division 9. County 10. State Code SANTA ANA ORANGE Abbr. 06 CA 11. City (if in a city) SANTA ANA 12. Highway Name or No SANTA ANA BLVD ❑✓ Public �Pnvete Highway User Involved Rail Equipment Involved 13. Type C Truck - trailer F. Bus J. Other Motor Vehicle Code 17. Equipment 4. Car(s) (moving) 8. Other (specify) Code 1. Train (unitspulling) 5. Car(s) (standing) A. Train pulling- RCL A. Auto D. Pick -up truck G. School Bus K. Pedestrian 2. Train (unitspushing) 6. Light loco(s) (moving) B. Train pushing- RCL A 1 B. Truck E. Van H. Motorcycle M. Other (specify) 3. Train (standing) 7. Light loco(s) (standing) C Train standing- RCL 14. Vehicle Speed 15. Direction (geographical) Code 18. Position of Car Unit in Train (est mph at impact) 25 1. North 2. South 3. East 4. West 1 1 2 16. Position 1. Stalled on crossing 3. Moving over crossing Code 19. Circumstance 1. Rail equipment struck highway user Code 2. Stopped on Crossing 4. Trapped 1 3 2. Rail equipment struck by highway user 2 20a. Was the highway user and /or rail equipment involved Code 20b. Was there a hazardous materials release by Code in the impact transporting hazardous materials? 1. Highway User 2. Rail Equipment 3. Both 4. Neither 4 1. Highway User 2. Rail Equipment 3. Both 4. Neither 20c. State the name and quantity of the hazardous materials released, if any 21. Temperature 22. Visibility (single entry) Code 23. Weather (single entry) Code (specify ifminus) 49 of 1. Dawn 2. Day 3. Dusk 4. Dark 1 2 1. Clear 2. Cloudy 3. Rain 4. Fog 5. Sleet 6. Snow 2 24. Type of Equipment A. Spec. MoW Equip 25. Track Type Used by Rail Code 26. Track Number or Name Consist 1. Freight train 4. Work train 7. Yard /Switching Equipment Involved (single entry) 2. Passenger train 5. Single car 8. Light loco(s) Code 3. Commuter train 6. Cut of cars 9. Main /inspect car 1 2 1. Main 2. Yard 3. Siding 4. Industry 1 MAIN TRACK 27. FRA Track 28. Number of 29. Number of 30. Consist Speed (Recorded if available) Code 31. Time Table Direction Code Class Locomotive Cars R. Recorded 2 Units 1 4 E. Estimated 40 mph E 1. North 2. South 3. East 4. West 3 32. Type of 1. Gates 4. Wig wags 7 Crossbucks 10. Flagged by crew 33. Signaled Crossing 34. Whistle Ban Code Crossing 2. Cantilever FLS 5. Hwy traffic signals 8. Stop signs 11. Other (specify) Warning 1. Yes Warning 3. Standard FLS 6. Audible 9. Watchman 12. None 20 see warn min (1); 2. No 3. Unknown Code(s) 1 01 1 35. Location of Warning Code 36. Crossing Warning Interconnected Code 37. Crossing Illuminated by Street Code 1. Both Sides with Highway Signals Lights or Special Lights 2. Side of Vehicle Approach 1 2 2 3. O osite Side of Vehicle A roach 1. Yes 2. No 3. Unknown 1. Yes 2. No 3. Unknown 38. Driver's 39. Driver's Code 40. Driver Drove Behind or in Front of Train Code 41. Driver Code Age Gender and Struck or was Struck by Second Train 1. Drove around or thru the gate 4. Stopped on crossing 1. Male 1. Yes 2. No 3. Unknown 2. Stopped and then proceeded 5. Other (specify) 1 2 1 1 2. Female 3. Did not stop 42. Driver Passed Standing Code 43. View of Track Obscured by (primary obstruction) Code Highway Vehicle 1. Permanent Structure 3. Passing Train 5. Vegetation 7. Other (specify) 1. Yes 2. No 3. Unknown 2 2. Standing railroad equipment 4. Topography 6. Highway Vehicles 8. Not Obstructed 8 44. Driver was Code 45. Was Driver in the Vehicle? Code Casualties to Killed Injured 1. Killed 2. Injured 3. Uninjured 1. Yes 2. No 3 1 47. Highway Vehicle Property Damage 48. Total Number of Highway -Rail Crossing Users 46. Highway -Rail Crossing Users 0 0 (est dollar damage) $900 (include driver) 1 49. Railroad Employees 0 0 50. Total Number of People on Train (include passengers and crew) 51. Is a Rail Equipment Accident / Incident Report Being Filed Code 52. Passengers on Train 0 0 1. Yes 2. No 1 53a. Special Study Block 53b. Special Study Block 54. Narrative Description 55. Typed Name and Title 56. Signature 57. Date FORM FRA F 6180.57 * NOTE THAT ALL CASUALTIES MUST BE REPORTED ON FORM FRA F 6180.55A 19E -39 HIGHWAY -RAIL GRADE CROSSING DEPARTMENT OF TRANSPORTATION ACCIDENT /INCI DENT REPORT FEDERAL RAILROAD ADMINISTRATION (FRA) OMB Approval No 2130 -0500 Name Of Alphabetic Code RR AccidenVlncident No 1. Reporting Railroad Amtrak ATK 1a. ATK 1b. 010579A 2. Other Railroad Involved in Train Accident/incident Atchison Topeka & Santa Fe Rvvy Co. ATSE 2a ATSE 2b. 31019102 3. Railroad Responsible for Track Maintenance Atchison Topeka & Santa Fe Rwy Co. ATSE 3a. ATSE 3b. 31019102 4. U.S. DOT -AAR Grade Crossing ID No 026702V 15 . Date of Accident/ lncident 01/05/79 6. Time of AccidenVlncident 09:15 AM 7. Nearest Railroad Station 8. Division 9. County 10. State Code SANTA ANNA ORANGE Abbr. 06 CA 11. City (if in a city) SANTA ANNA 12. Highway Name or No SANTA ANNA BLVD ❑✓ Public �Pnvete Highway User Involved Rail Equipment Involved 13. Type C Truck - trailer F. Bus J. Other Motor Vehicle Code 17. Equipment 4. Car(s) (moving) 8. Other (specify) Code 1. Train (unitspulling) 5. Car(s) (standing) A. Train pulling- RCL A. Auto D. Pick -up truck G. School Bus K. Pedestrian 2. Train (unitspushing) 6. Light loco(s) (moving) B. Train pushing- RCL A 1 B. Truck E. Van H. Motorcycle M. Other (specify) 3. Train (standing) 7. Light loco(s) (standing) C Train standing- RCL 14. Vehicle Speed 15. Direction (geographical) Code 18. Position of Car Unit in Train (est mph at impact) 25 1. North 2. South 3. East 4. West 1 1 2 16. Position 1. Stalled on crossing 3. Moving over crossing Code 19. Circumstance 1. Rail equipment struck highway user Code 2. Stopped on Crossing 4. Trapped 1 3 2. Rail equipment struck by highway user 2 20a. Was the highway user and /or rail equipment involved Code 20b. Was there a hazardous materials release by Code in the impact transporting hazardous materials? 1. Highway User 2. Rail Equipment 3. Both 4. Neither 4 1. Highway User 2. Rail Equipment 3. Both 4. Neither 20c. State the name and quantity of the hazardous materials released, if any 21. Temperature 22. Visibility (single entry) Code 23. Weather (single entry) Code (specify ifminus) 49 'F 1. Dawn 2. Day 3. Dusk 4. Dark 1 2 1. Clear 2. Cloudy 3. Rain 4. Fog 5. Sleet 6. Snow 2 24. Type of Equipment A. Spec. MoW Equip 25. Track Type Used by Rail Code 26. Track Number or Name Consist 1. Freight train 4. Work train 7. Yard /Switching Equipment Involved (single entry) 2. Passenger train 5. Single car 8. Light loco(s) Code 3. Commuter train 6. Cut of cars 9. Main /inspect car 1 2 1. Main 2. Yard 3. Siding 4. Industry 1 MAIN 27. FRA Track 28. Number of 29. Number of 30. Consist Speed (Recorded if available) Code 31. Time Table Direction Code Class Locomotive Cars R. Recorded 2 Units 1 4 E. Estimated 40 mph E 1. North 2. South 3. East 4. West 3 32. Type of 1. Gates 4. Wig wags 7 Crossbucks 10. Flagged by crew 33. Signaled Crossing 34. Whistle Ban Code Crossing 2. Cantilever FLS 5. Hwy traffic signals 8. Stop signs 11. Other (specify) Warning 1. Yes Warning 3. Standard FLS 6. Audible 9. Watchman 12. None 20 see warn min (1); 2. No 3. Unknown Code(s) 1 01 1 35. Location of Warning Code 36. Crossing Warning Interconnected Code 37. Crossing Illuminated by Street Code 1. Both Sides with Highway Signals Lights or Special Lights 2. Side of Vehicle Approach 1 2 2 3. O osite Side of Vehicle A roach 1. Yes 2. No 3. Unknown 1. Yes 2. No 3. Unknown 38. Driver's 39. Driver's Code 40. Driver Drove Behind or in Front of Train Code 41. Driver Code Age Gender and Struck or was Struck by Second Train 1. Drove around or thru the gate 4. Stopped on crossing 1. Male 1. Yes 2. No 3. Unknown 2. Stopped and then proceeded 5. Other (specify) 1 2 1 1 2. Female 3. Did not stop 42. Driver Passed Standing Code 43. View of Track Obscured by (primary obstruction) Code Highway Vehicle 1. Permanent Structure 3. Passing Train 5. Vegetation 7. Other (specify) 1. Yes 2. No 3. Unknown 2 2. Standing railroad equipment 4. Topography 6. Highway Vehicles 8. Not Obstructed 8 44. Driver was Code 45. Was Driver in the Vehicle? Code Casualties to Killed Injured 1. Killed 2. Injured 3. Uninjured 1. Yes 2. No 3 1 47. Highway Vehicle Property Damage 48. Total Number of Highway -Rail Crossing Users 46. Highway -Rail Crossing Users 0 0 (est dollar damage) $900 (include driver) 1 49. Railroad Employees 0 0 50. Total Number of People on Train (include passengers and crew) 51. Is a Rail Equipment Accident / Incident Report Being Filed Code 52. Passengers on Train 0 0 1. Yes 2. No 1 53a. Special Study Block 53b. Special Study Block 54. Narrative Description 55. Typed Name and Title 56. Signature 57. Date FORM FRA F 6180.57 * NOTE THAT ALL CASUALTIES MUST BE REPORTED ON FORM FRA F 6180.55A 19E -40 HIGHWAY -RAIL GRADE CROSSING DEPARTMENT OF TRANSPORTATION ACCIDENT /INCI DENT REPORT FEDERAL RAILROAD ADMINISTRATION (FRA) OMB Approval No 2130 -0500 Name Of Alphabetic Code RR AccidenVlncident No 1. Reporting Railroad Atchison Topeka &Santa Fe Rwy Co. ATSE 1a. ATSE 1b. 31127101 2. Other Railroad Involved in Train Accident /Incident 2a. 2b. 3. Railroad Responsible for Track Maintenance Atchison Topeka & Santa Fe Rwy Co. ATSE 3a. ATSE 3b. 31127101 4. U.S. DOT -AAR Grade Crossing ID No 026702V 15 . Date of Accident/ lncident 12/15/77 6. Time of Accident/ Incident 10:10 PM 7. Nearest Railroad Station 8. Division 9. County 10. State Code SANTA ANA LOS ANGELES Abbr. 06 CA 11. City (if in a city) SANTA ANA 12. Highway Name or No SANTA ANA BLVD ❑✓ Public �Pnvete Highway User Involved Rail Equipment Involved 13. Type C Truck - trailer F. Bus J. Other Motor Vehicle Code 17. Equipment 4. Car(s) (moving) 8. Other (specify) Code 1. Train (unitspulling) 5. Car(s) (standing) A. Train pulling- RCL A. Auto D. Pick -up truck G. School Bus K. Pedestrian 2. Train (unitspushing) 6. Light loco(s) (moving) B. Train pushing- RCL A 1 B. Truck E. Van H. Motorcycle M. Other (specify) 3. Train (standing) 7. Light loco(s) (standing) C Train standing- RCL 14. Vehicle Speed 15. Direction (geographical) Code 18. Position of Car Unit in Train (est mph at impact) 0 1. North 2. South 3. East 4. West 4 1 16. Position 1. Stalled on crossing 3. Moving over crossing Code 19. Circumstance 1. Rail equipment struck highway user Code 2. Stopped on Crossing 4. Trapped 2 2. Rail equipment struck by highway user 1 20a. Was the highway user and /or rail equipment involved Code 20b. Was there a hazardous materials release by Code in the impact transporting hazardous materials? 1. Highway User 2. Rail Equipment 3. Both 4. Neither 4 1. Highway User 2. Rail Equipment 3. Both 4. Neither 20c. State the name and quantity of the hazardous materials released, if any 21. Temperature 22. Visibility (single entry) Code 23. Weather (single entry) Code (specify ifminus) 52 of 1. Dawn 2. Day 3. Dusk 4. Dark 1 4 1. Clear 2. Cloudy 3. Rain 4. Fog 5. Sleet 6. Snow 1 24. Type of Equipment A. Spec. MoW Equip 25. Track Type Used by Rail Code 26. Track Number or Name Consist 1. Freight train 4. Work train 7. Yard /Switching Equipment Involved (single entry) 2. Passenger train 5. Single car 8. Light loco(s) Code 3. Commuter train 6. Cut of cars 9. Main /inspect car I 1 1. Main 2. Yard 3. Siding 4. Industry 1 MAIN TRACK 27. FRA Track 28. Number of 29. Number of 30. Consist Speed (Recorded if available) Code 31. Time Table Direction Code Class Locomotive Cars R. Recorded 4 Units 4 83 E. Estimated 20 mph E 1. North 2. South 3. East 4. West 3 32. Type of 1. Gates 4. Wig wags 7 Crossbucks 10. Flagged by crew 33. Signaled Crossing 34. Whistle Ban Code Crossing 2. Cantilever FLS 5. Hwy traffic signals 8. Stop signs 11. Other (specify) Warning 1. Yes Warning 3. Standard FLS 6. Audible 9. Watchman 12. None 20 see warn min (1); 2. No 3. Unknown Code(s) 1 01 03 35. Location of Warning Code 36. Crossing Warning Interconnected Code 37. Crossing Illuminated by Street Code 1. Both Sides with Highway Signals Lights or Special Lights 2. Side of Vehicle Approach 1 2 1 3. O osite Side of Vehicle A roach 1. Yes 2. No 3. Unknown 1. Yes 2. No 3. Unknown 38. Driver's 39. Driver's Code 40. Driver Drove Behind or in Front of Train Code 41. Driver Code Age Gender and Struck or was Struck by Second Train 1. Drove around or thru the gate 4. Stopped on crossing 1. Male 1. Yes 2. No 3. Unknown 2. Stopped and then proceeded 5. Other (specify) 1 2 1 4 2. Female 3. Did not stop 42. Driver Passed Standing Code 43. View of Track Obscured by (primary obstruction) Code Highway Vehicle 1. Permanent Structure 3. Passing Train 5. Vegetation 7. Other (specify) 1. Yes 2. No 3. Unknown 2 2. Standing railroad equipment 4. Topography 6. Highway Vehicles 8. Not Obstructed 8 44. Driver was Code 45. Was Driver in the Vehicle? Code Casualties to Killed Injured 1. Killed 2. Injured 3. Uninjured 3 1. Yes 2. No 2 47. Highway Vehicle Property Damage 48. Total Number of Highway -Rail Crossing Users 46. Highway -Rail Crossing Users 0 0 (est dollar damage) $6,000 (include driver) 0 49. Railroad Employees 0 0 50. Total Number of People on Train (include passengers and crew) 51. Is a Rail Equipment Accident / Incident Report Being Filed Code 52. Passengers on Train 0 0 1. Yes 2. No 1 53a. Special Study Block 53b. Special Study Block 54. Narrative Description 55. Typed Name and Title 56. Signature 57. Date FORM FRA F 6180.57 * NOTE THAT ALL CASUALTIES MUST BE REPORTED ON FORM FRA F 6180.55A 19E -41 Santa Ana Blvd. Grade Separation Attachment B: Project Layout, Typical Section, and Profile PROJECT REPORT EQUIVALENT 19E -42 H�= Y ii�l f IIIIIIIIIII 9 o°° mm r � wa r, ra wP ° x N Uli c / / +Ix a w 6 o o €o Z .,xe l u w as c B1 'oe.ee lY�tyy a A 00 oo � ,n6 6 w Santa Ana Blvd. Grade Separation Attachment C: M= - - . . PROJECT REPORT EQUIVALENT 19E -45 ti _ I I I I I -— o I I _ a 0 Z 0 u w° N - U a - Z Sips � ti EiH`°0 I m a a� >' ;aa � a o I oo I I I I T °I I I�1 I 1 I I I m I d Vll0 I z,09 I 19E -4� s us m w OOOON�} it Ala I I �� / - o - i 5 Z Sips � ti EiH`°0 I m a a� >' ;aa � a o I oo I I I I T °I I I�1 I 1 I I I m I d Vll0 I z,09 I 19E -4� Santa Ana Blvd. Grade Separation Attachment D: Pedestrian Bridge Typical Section PROJECT REPORT EQUIVALENT 19E-47 a a R 2 aa Z o > W � o Z 02 V 2 Oa W a m LL N N W aN J LL Z 6 O ap V Y a< r F at Y N L O _ L I � I I —I � H W _ U J U n I — I a I r _ — _— _— _— _— _ —_ —_- I E del 1aeA NIN L Da m _ d11 tlll IHIA NIW .9 -AZ L 19E -48 Santa Ana Blvd. Grade Separation Attachment E: .� I m a Is Is PROJECT REPORT EQUIVALENT 19E -49 Santa Ana Blvd. Grade Separation Attachment F: Shoofly PROJECT REPORT EQUIVALENT 19E -51 Santa Ana Blvd. Grade Separation Attachment G: Right -of -Way Acquisition Map PROJECT REPORT EQUIVALENT 19E -53 Santa Ana Blvd. Grade Separation Attachment H: Existing & Proposed Utilities PROJECT REPORT EQUIVALENT 19E -55 ��'� i ; o w Y� w f f a� ® Z < M F 00 6 D z� z o < o F eC x / me rr i o ya+ww am 2 C7 W H Oq /��,IY��%�'I� • i aal� YrV7 ✓¢1fiVmAU)vf� ' �Y JGl a „,"h xu�w �'h`/"flIIVIHi � !a p ✓Ih ' �%/ % J /,A od r Y �'r /f °'''` ' /�/ `� _ 7n i� i f `/ �� %Yy / / � /r � A T� e i � e i � I m �✓ l mlk 4 I it�v F/ qtr s / / b �` s�/ didYii�ldiY� nrin rA)fil IHARlnir rxAYYV rf a o_ � �FR,'' mW v J / pN ✓I .Mr < �ry Jr[j 19E -56 Santa Ana Blvd. Grade Separation Attachment I: Cost Estimate PROJECT REPORT EQUIVALENT 19E -58 City of Santa Ana 8 18i 2014 Santa Ana Boulevard Grade Separation Project Preliminary Engineering Estimate No. Item Description Unit of Measure Unit Cost Quantity Item Total 1 Mobilization (10 %) LS $ 3,149,000 1 $ 3,149,000 2 Clearing and Grubbing LS $ 200,000 1 $ 200,000 3 Demolition LS $ 1,500,000 1 $ 1,500,000 4 Roadway Excavation CY $ 13 98,000 $ 1,274,000 5 Hot Mix Asphalt (HMA) TON $ 85 9,100 $ 773,500 6 Class 2 Aggregate Base CY $ 40 7,300 $ 292,000 7 PCC Curb & Gutter LF $ 25 6,100 $ 152,500 8 PCC Sidewalk SF $ 5 34,600 $ 173,000 9 Retaining Wall SF $ 70 26,500 $ 1,855,000 10 Retaining Wall (Raised Sidewalk) SF $ 70 3,470 $ 242,900 11 Underpass Structural LS $ 7,451,415 1 $ 7,451,415 12 Pedestrian Bridge SF $ 190 5,040 $ 957,600 13 Storm Drain System LS $ 200,000 1 $ 200,000 14 Pump Station LS $ 1,500,000 1 $ 1,500,000 15 Utility Relocation LS $ 2,000,000 1 $ 2,000,000 16 Street Lighting LS $ 300,000 1 $ 300,000 17 Railroad Shoofly TF $ 450 5,850 $ 2,632,500 18 Railroad Grade Crossing Work LS $ 1,600,000 1 $ 1,600,000 19 Temporary Railroad Station LS $ 2,688,000 1 $ 2,688,000 20 Permanent Railroad Station LS $ 640,000 1 $ 640,000 21 Rail Road Signal & Communication LS $ 2,500,000 1 $ 2,500,000 22 PTC LS $ 1,000,000 1 $ 1,000,000 23 Signing & Striping LS $ 50,000 1 $ 50,000 24 Detour Road & Traffic Control LS $ 1,000,000 1 $ 1,000,000 25 Signal Modification EA $ 100,000 1 $ 100,000 26 Landscape LS $ 150,000 1 $ 150,000 27 Irrigation LS $ 150,000 1 $ 150,000 28 SWPPP and Implementation LS $ 100,000 1 $ 100,000 Subtotal: $ 34,632,000 25 % Contingency: $ 8,658,000 Construction Total: $ 43,290,000 19E -59 City of Santa Ana 8 18i 2014 Santa Ana Boulevard Grade Separation Project Preliminary Engineering Estimate No. Item Description Unit of Measure Unit Cost Quantity Item Total Engineering: 29 Final PS &E Design (10 %) LS $ 4,329,000 1 $ 4,329,000 30 Construction Engineering (15 %) LS $ 6,493,500 1 $ 6,493,500 Engineering Total: $ 10,822,500 Right of Way: 31 Right of Way Acquisition LS $ 12,460,486 1 $ 12,460,486 Subtotal: $ 12,460,486 25 % Contingency: $ 3,115,122 Right of Way Total: $ 15,575,608 32 Right of Way Consultant Support LS $ 1,500,000 1 1 $ 1,500,000 Total Project Cost (not including PA/ED): $ 71,188,108 19E -60 Santa Ana Blvd. Grade Separation Attachment I Preliminary Environmental Study (PES) PROJECT REPORT EQUIVALENT 19E -61 Local Assistance Procedures Manual Exhibit 6 -A Preliminary Environmental Study (PES) Form Exhibit 6 -A Preliminary Environmental Study (PES) Form Federal Project No.: STPL 5063(136) Final Design: December 2012 (Federal Program Prefcz- Project No., Agreement No) (Expected Start Date) To: Jim Kaufman, Chief, Office of Local Programs From: City of Santa Ana (District Local Assistance Engineer) (Local Agency) District 12 Jason Gabriel — (714) 647 -5664 (District) (Project Manager's Name and Telephone No) 3347 Michelson Dr., Suite 100 Itvine, California 92612-8894 (Address) 20 Civic Center Plaza, M -36 Santa Ana, California 92701 (Address) Jim.Kaufman(a?dotca.gov JGabriel(a?santa- ana.org (E -mail Address) (E -mail Address) Is this Project "ON" the ❑ Yes IF YES, STOP HERE and contact the District Local Assistance Engineer State Highway System? M No regarding the completion of other environmental documentation. Federal State Transportation Improvement Program (FSTIP) httpl /www. dot. ca.gov /hq /transprog/fedpgm.htm: 2011 21 (Currently A dopted Plan Date) (PageNo. attach to this form) Programming Preliminary Engineering Right of Way Construction for FSTIP: Prior $ 1.5M N/A $ N/A N/A $ N/A (Fiscal Year) (Dollars) (Fiscal Year) (Dollars) (Fiscal Year) (Dollars) Project Description as Shown in RTP and FSTIP: FTIP No. ORA082610: Santa Ana Blvd Grade Separation -Near the Expansion of the Santa Ana Regional Transportation Center (SARTIC). Initial planning and conceptual engineering phase. Related to ORA81621. Detailed Project Description: (Describe the folloxang, as applicable: purpose and need, project location and limits, required rigbtofivay acquisition, proposed facilities, staging areas, disposal and borrow sites, construction activities, and construction access.) Project Name: Santa Ana Boulevard Grade Separation Project The City of Santa Ana, in coordination with the California Department of Transportation (Department), is proposing to grade separate the existing Santa Ana Boulevard/Orange County Transportation Authority (OCTA) Metrolink at -grade railroad crossing in the City of Santa Ana, Orange County, California. The purpose of the proposed project is to improve safety, as it will remove the existing at -grade conflict between vehicular traffic and rail traffic. In addition, the proposed project would reduce the congestion and inconvenience caused by this existing at -grade facility. See page 1 for complete. Project Description. (Continue description on ''Notes "sheet, lastpage of this Exhibit, if necessary) Preliminary Design Information: Does the project involve any of the following? Please check the appropriate boxes and delineate on an attached map, plan, or layout including any additional pertinent information. Yes No Yes No Yes No M ❑ Widen existing roadway M ❑ Ground disturbance M ❑ Easements ❑ M Increase number of through lanes M ❑ Road cut /fill M ❑ Equipment staging ❑ M New alignment M ❑ Excavation: anticipated M ❑ Temporary access road/detour ❑ M Capacity increasing —other maximum depth 25 feet M ❑ Utility relocation (e.g., channelization) M ❑ Right of way acquisition M ❑ Drainage/culverts (if yes, attach map with APN) M ❑ Realignment ❑ M Flooding protection ❑ M Ramp or street closure ❑ M Stream channel work M ❑ Disposal/borrow sites M ❑ Bridge work M ❑ Pile driving ❑ M Part of larger adjacent project M ❑ Vegetation removal M ❑ Tree removal M ❑ Demolition M ❑ Railroad Required Attachments: M Regional map M Project location map M Project footprint map (existing/proposed right of way) ❑ Engineering drawings (existing and proposed cross sections), if available ❑ Borrow /disposal site location map, if applicable (Note: all maps (eeceptproject location map and regional maps) should be consistent- with the project description (minimum scale: 1 "= 200).) M Notes to support the conclusions of this checklist/project description continuation page (attached) Page 6 -69 EPP 08 -02 19E-62 May 30, 2008 Exhibit 6 -A Local Assistance Procedures Manual Preliminary Environmental Study (PES) Form Examine the project for potential effects on the environment, direct or indirect and answer the following questions. The "construction area," as specified below, includes all areas of ground disturbance associated with the project, including staging and stockpiling areas and temporary access roads. Each answer must be briefly documented on the "Notes" pages at the end of the PES Form. A. Potential Environmental Effects Yes To Be No Determined General 1. Will the project require future construction to fully utilize the design capabilities included in the ❑ ❑ M proposed project? 2. Will the project generate public controversy? ❑ ❑ M Noise 3. Is the project a Type I project as defined in 23 CFR 772.5(h); "construction on new location or the M El El physical alteration of an existing highway, which significantly changes either the horizontal or vertical alignment or increases the number of through - traffic lanes "? 4. Does the project have the potential for adverse construction - related noise impact ❑ M ❑ (such as related to pile driving)? Air Quality 5. Is the project in a NAAQS non - attainment or maintenance area? M ❑ ❑ 6. Is the project exempt from the requirement that a conformity determination be made? (If "Yes," state M ❑ ❑ which conformity exemption in 40 CFR 93.126, Table 2 applies): railroad/hiehwav crossing 7. Is the project exempt from regional conformity? (If "Yes," state which conformity exemption in 40 ❑ ❑ ❑ CFR 93.127, Table 3 applies): S. If project is not exempt from regional conformity, (If "No" on Question #7) Is project in a metropolitan non- attainment/mintenance area? ❑ ❑ ❑ Is project in an isolated rural non - attainment area? ❑ ❑ ❑ Is project in a CO, PMIO and/or PM2.5 non- attainment/mintenance area? ❑ ❑ ❑ Hazardous Materials /Hazardous Waste 9. Is there potential for hazardous materials (including underground or aboveground tanks, etc.) and/or ❑ M ❑ hazardous waste (including oil/water separators, waste oil, asbestos - containing material, lead -based paint, ADL, etc.) within or immediately adjacent to the construction area? Water Quality /Resources 10. Does the project have the potential to impact water resources (rivers, streams, bays, inlets, lakes, ❑ M ❑ drainage sloughs) within or immediately adjacent to the project area? 11. Is the project within a designated sole -source aquifer? ❑ ❑ M Coastal Zone 12. Is the project within the State Coastal Zone, San Francisco Bay, or Suisun Marsh? ❑ ❑ M Floodplain 13. Is the construction area located within a regulatory floodway or within the base floodplain (100 -year) ❑ ❑ M elevation of a watercourse or lake? Wild and Scenic Rivers 14. Is the project within or immediately adjacent to a Wild and Scenic River System? ❑ ❑ M Biological Resources 15. Is there a potential for federally listed threatened or endangered species, or their critical habitat or ❑ M ❑ essential fish habitat to occur within or adjacent to the construction area? 16. Does the project have the potential to directly or indirectly affect migratory birds, or their nests or ❑ M ❑ eggs (such as vegetation removal, box culvert replacement/repair, bridge work, etc.)? 17. Is there a potential for wetlands to occur within or adjacent to the construction area? ❑ ❑ M Page 6 -70 May 30, 2008 19E-63 EPP 08 -02 Local Assistance Procedures Manual Exhibit 6 -A Preliminary Environmental Study (PES) Form 18. Is there a potential for agricultural wetlands to occur within or adjacent to the construction area? ❑ ❑ M 19. Is there a potential for the introduction or spread of invasive plant species? ® ❑ ❑ Sections 4(f) and 6(f) 20. Are there any historic sites or publicly owned public parks, recreation areas, wildlife or waterfowl ❑ ❑ M refuges (Section 4[t]) within or immediately adjacent to the construction area? 21. Does the project have the potential to affect properties acquired or improved with Land and Water ❑ ❑ N Conservation Fund Act (Section 6[t]) funds? Visual Resources 22. Does the project have the potential to affect any visual or scenic resources? ❑ M ❑ Relocation Impacts 23. Will the project require the relocation of residential or business properties? M ❑ ❑ Land Use, Community, and Farmland Impacts 24. Will the project require any right of way, including partial or full takes? Consider construction N ❑ ❑ easements and utility relocations. 25. Is the project inconsistent with plans and goals adopted by the community? ❑ ❑ N 26. Does the project have the potential to divide or disrupt neighborhoods/communities? ❑ ❑ N 27. Does the project have the potential to disproportionately affect low- income and minority ❑ M ❑ populations? 28. Will the project require the relocation of public utilities? M ❑ ❑ 29. Will the project affect access to properties or roadways? N ❑ ❑ 30. Will the project involve changes in access control to the State Highway System (SHS)? ❑ ❑ M 31. Will the project involve the use of a temporary road, detour, or ramp closure? M ❑ ❑ 32. Will the project reduce available parking? N ❑ ❑ 33. Will the project construction encroach on state or federal lands? ❑ ❑ M 34. Will the project convert any farmland to a different use or impact any farmlands? ❑ ❑ N Cultural Resources 35. Is there National Register listed, or potentially eligible historic properties, or archaeological ❑ ❑ ❑ resources within or immediately adjacent to the construction area? (Note: Caltrwis PQS ansmvers question #35) 36. Is the project adjacent to, or would it encroach on Tribal land? ❑ ❑ N Page 6 -71 EPP 08 -02 19E-64 May 30, 2008 Exhibit 6 -A Local Assistance Procedures Manual Preliminary Environmental Study (PES) Form For Sections B, C, and D, check appropriate box to indicate required technical studies, coordination, permits, or approvals. B. Required Technical Studies C. Coordination D. Anticipated and Analyses Actions /Permits /Approvals ® Traff ic Check one: ® Traffic Study ® Caltrans ® Approval ❑ Technical Memorandum ❑ Caltrans ❑ Approval ❑ Discussion in ED Only ❑ Caltrans ❑ Approval ® Noise Check as applicable: ® Traffic Related ® Construction Related Check one: ® Noise Study Report ® Caltrans ® Approval ❑ NADR ❑ Caltrans ❑ Approval ❑ Technical Memorandum ❑ Caltrans ❑ Approval ❑ Discussion in ED Only ❑ Caltrans ❑ Approval ® Air Quality Check as applicable: ® Traffic Related ® Construction Related Check one: ® Air Quality Report ® Caltrans ® Approval ❑ Technical Memorandum ❑ Caltrans ❑ Approval ❑ Discussion in ED Only ❑ Caltrans ❑ Approval ❑ FHWA ❑ Conformity Finding (6005 CEs, EAs, EISs) ❑ Caltrans ❑ Conformity Finding (6004 CEs) ❑ Regional Agency ❑ PM10 /PM2.5 Interagency Consultation ® Hazardous Materials/ Hazardous Waste Check as applicable: ® Initial Site Assessment ® Caltrans ® Approval (Phase 1) ❑ Preliminary Site Assessment ❑ Caltrans ❑ Approval (Phase 2) ❑ Discussion in ED Only ❑ Caltrans ❑ Approval ® Cal EPA DISC ® Review Database ® Local Agency ® Review Database ® Water Quality /Resources Check as applicable: ❑ Water Quality Assess. Report ❑ Caltrans ❑ Approval ® Technical Memorandum ® Caltrans ® Approval ❑ Discussion in ED Only ❑ Caltrans ❑ Approval ❑ Sole- Source Aquifer (Districts 5, 6 and 11) ❑ EPA (S.F. Regional Office) ❑ Approval of Analysis in ED ❑ Coastal Zone ❑ CCC ❑ Coastal Zone Consistency Determination Page 6 -72 May 30, 2008 19E-65 EPP 08 -02 Exhibit 6 -A Assistance Procedures Manual Preliminary Environmental Study (PES) Form B. Required Technical Studies C. Coordination D. Anticipated and Analyses Actions /Permits /Approvals ❑ Floodplain Check as applicable: ❑ Location Hydraulic Study ❑ Caltrans ❑ Approval ❑ Floodplain Evaluafion Report ❑ Caltrans ❑ Approval ❑ Summary Floodplain ❑ Caltrans ❑ Approval Encroachment Report ❑ Caltrans ❑ Only Practicable Alternative Finding ❑ FHWA ❑ Approves significant encroachments and concurs in Only Practicable Alternative Findings ❑ Wild and Scenic Rivers ❑ River Managing Agency ❑ Wild and Scenic Rivers Determination ® Biological Resources Check as applicable: ® NE S, Minimal Impact ® Caltrans ® Approval ❑ NES ❑ BA ❑ Caltrans ❑ Approves for Consultation ❑ USFWS ❑ Section 7 Informal/Formal Consultation ❑ NOAA Fisheries ❑ EFH Evaluation ❑ NOAA Fisheries ❑ MSA Consultation ❑ Bio- Acoustic Evaluation ❑ NOAA Fisheries ❑ Approval ❑ Technical Memorandum ❑ Caltrans ❑ Approval ❑ Wetlands Check as applicable: ❑ WD and Assessment ❑ Caltrans ❑ Approval ❑ ACOE ❑ Weiland Verification ❑ NRCS ❑ Agricultural Weiland Verification ❑ Caltrans ❑ Wetlands Only Practicable Alternative Finding ® Invasive Plants ® Discussion in ED Only (NE S) ® Caltrans ® Approval ❑ Section 4(f) Check as applicable: ❑ Caltrans ❑ Determine Temporary Occupancy ❑ De minimis ❑ Caltrans ❑ De minimis finding ❑ Programmatic 4(t) Evaluation ❑ Caltrans ❑ Approval Type: ❑ Individual 4(t) Evaluation ❑ Caltrans ❑ Approval ❑ Agency with Jurisdiction ❑ SHPO ❑ DOI ❑ HUD ❑ USDA Page 6 -73 LPP 07 -07 19E-66 November 20, 2007 Exhibit 6 -A Local Assistance Procedures Manual Preliminary Environmental Study (PES) Form B. Required Technical Studies C. Coordination D. Anticipated and Analyses Actions /Permits /Approvals ❑ Section 6(f) ❑ Agency with Jurisdiction ❑ NPS ❑ Determines Consistency with Long -Term Management Plan ❑ NPS ❑ Approves Conversion M Visual Resources Check one: M Visual Impact Assessment M Caltrans ® Approval ❑ Technical Memorandum ❑ Caltrans ❑ Approval ❑ Discussion in ED Only ❑ Caltrans ❑ Approval M Relocation Impacts Check one: ❑ Relocation Impact Memo ❑ Caltrans ❑ Approval M Relocation Impact Study M Caltrans M Approval ❑ Relocation Impact Report ❑ Caltrans ❑ Approval M Land Use and Community Impacts Check one: M CIA M Caltrans M Approval ❑ Technical Memorandum ❑ Caltrans ❑ Approval ❑ Discussion in ED Only ❑ Caltrans ❑ Approval ❑ Construction /Encroachment on State Lands Check as applicable: ❑ SLC Jurisdiction ❑ SLC ❑ SLC Lease ❑ Caltrans Jurisdiction ❑ Caltrans ❑ Encroachment Permit ❑ SP Jurisdiction ❑ SP ❑ Encroachment Permit ❑ Construction /Encroachment on Federal Lands ❑ Federal Agency with ❑ Encroachment Permit Jurisdiction ❑ Construction /Encroachment ❑ Bureau of Indian Affairs ❑ Right of Way Permit On Indian Trust Lands ❑ Farmlands Check one: ❑ CIA ❑ Caltrans ❑ Approval ❑ Technical Memorandum ❑ Caltrans ❑ Approval ❑ Discussion in ED Only ❑ Caltrans ❑ Approval Check as applicable: ❑ Form AD 1006 ❑ NRCS ❑ Approves Conversion ❑ CDOC ❑ Approves Conversion ❑ Conversion to Non -Agri Use ❑ ACOE Page 6 -74 May 30, 2008 19E-67 EPP 08 -02 Exhibit 6 -A Assistance Procedures Manual Preliminary Environmental Study (PES) Form B. Required Technical Studies C. Coordination D. Anticipated Actions /Permits/ and Analyses Approvals ® Cultural Resources (PQS completes this section) Check as applicable: ❑ Caltrans PQS ❑ Screened Undertaking ® APE Map ® Caltrans PQS and DEAL ® Approves APE Map ❑ Local Preservation Groups ❑ Provides Comments Regarding Concerns and/or Native American with Project Tribes ® HPSR ® Caltrans ® Approves for Consultation ® ASR ® FIRER ® Finding of Effect Report ® Caltrans ® Concurs on No Effect, No Adverse Effect with Standard Conditions ® SHPO ® Letter of Concurrence on Eligibility, No Adverse Effect without Standard ❑ MOA ❑ Caltrans ❑ Approves MOA ❑ SHPO ❑ Approves MOA ❑ ACHP (if requested) ❑ Approves MOA ❑ Permits Copies of permits and a list of ❑ ACOE ❑ Section 404 Nationwide Permit mitigation commitments are ❑ ACOE ❑ Section 404 Individual Permit mandatory submittals following ❑ Caltrans/ACOE/EPA ❑ NEPA/404 Integration MOU NEPA approval. ❑ USFWS ❑ NOAA Fisheries ❑ ACOE ❑ Rivers and Harbors Act Section 10 Permit ❑ USCG ❑ USCG Bridge Permit ❑ RWQCB ❑ Section 401 Water Quality Certification ❑ CDFG ❑ Section 1602 Streambed Alteration Agreement ® RWQCB ® NPDES Permit ❑ CCC ❑ Coastal Zone Permit ❑ Local Agency ❑ BCDC ❑ BCDCPeriit Notes: Additional studies may be required for other federal agencies. Page 6 -75 LPP 07 -07 19E-68 November 20, 2007 Exhibit 6 -A Local Assistance Procedures Manual Preliminary Environmental Study (PES) Form ACHP = Advisory Council on Historic Preservation FIRER = Historical Resources Evaluation Report ACOE = U.S. Army Corps of Engineers HUD = U.S. Housing and Urban Development ADL = Aerially Deposited Lead MOA = Memorandum of Agreement APE = Area of Potential Effect MSA = Magnuson - Stevens Fishery Conservation and APN = Assessor Parcel Number Management Act ASR = Archaeological Survey Report NEPA = National Environmental Policy Act BA = Biological Assessment NADR = Noise Abatement Decision Report BCDC = Bay Conservation and Development Commission NES = Natural Environment Study BE = Biological Evaluation NHPA = National Historic Preservation Act BO = Biological Opinion NOAA = National Oceanic and Atmospheric Administration Cal EPA = California Environmental Protection Agency NMFS National Marine Fisheries Service CCC = California Coastal Commission NPDES = National Pollutant Discharge Elimination System CDFG = California Department of Fish and Game NPS = National Park Service CDOC = California Department of Conservation NRCS = Natural Resources Conservation Service CE = Categorical Exclusion PMI O = Particulate Matter 10 Microns in Diameter or Less CIA = Community Impact Assessment PM2.5 = Particulate Matter 2.5 Microns in Diameter or Less CWA = Clean Water Act PMP = Project Management Plan DEAL = District Local Assistance Engineer PQS = Professionally Qualified Staff DOI = U.S. Department of Interior ROD = Record of Decision DTSC = Department of Toxic Substances Control RTIP = Regional Transportation Improvement Program EA = Environmental Assessment RTP = Regional Transportation Plan ED = Environmental Document RWQCB = Regional Water Quality Control Board EFH = Essential Fish Habitat SER = Standard Environmental Reference EIS = Environmental Impact Statement SEP = Senior Environmental Planner EPA = U.S. Environmental Protection Agency SHPO = State Historic Preservation Officer FEMA = Federal Emergency Management Agency SEC = State Lands Commission FHWA = Federal Highway Administration SP = State Parks FONSI = Finding of No Significant Impacted TIP = Transportation Improvement Program FTIP = Federal Transportation Improvement Program USCG = U.S. Coast Guard HPSR = Historic Property Survey Report USDA = U.S. Department of Agriculture USFWS = U.S. Fish and Wildlife Service WD = Wetland Delineation Page 6 -76 May 30, 2008 19E-69 EPP 08 -02 Exhibit 6 -A Assistance Procedures Manual Preliminary Environmental Study (PES) Form E. Preliminary Environmental Document Classification (NEPA) Based on the evaluation of the project, the environmental document to be developed should be: Check one: ❑ Environmental Impact Statement (Note: Engageinent with participating agencies in accordance with SAFETEA -LU Section 6002 required) ❑ Compliance with SAFETEA -LU Section 6002 regarding Participating Agencies required ❑ Complex Environmental Assessment ® Routine Environmental Assessment ❑ Categorical Exclusion without required technical studies. ❑ Categorical Exclusion with required technical studies (if Categorical Exclusion is selected, check one of the fallowing): ❑ Section 6004 ❑ 23 CFR 771 activity (c)(� ❑ 23 CFR 771 activity (d) (1) ❑ Activity listed in the Section 6004 MOU ❑ Section 6005 F. Public Availability and Public Hearing Check as applicable: ❑ Not Required ® Notice of Availability of Environmental Document ® Public Meeting ❑ Notice of Opportunity for a Public Hearing ❑ Public Hearing Required G. Signatures Local Agency Staff ndloorr Consultant Signature June 17, 2011 (949) 333 -6618 (Signanire of Preparer) (Dale) (Telephone No.) Brian Calvert (Name) Local Agency Project Engineer Signature This document was prepared under my supervision, in accordance with the Local Assistance Procedures Manual, Exhibit 6 -B, "Instructions for Completing the Preliminary Environmental Study Form." >* 13;( June 27, 2011 (714) 647 -5664 (Signanire of Local Agency) (Dale) (Telephone No.) Page 6 -77 LPP 07 -07 19E-70 November 20, 2007 Exhibit 6 -A Local Assistance Procedures Manual Preliminary Environmental Study (PES) Form Caltrans District Professionally Qualified Staff (PQS) Signature ❑ Project does not meet definition of an "undertaking "; no further review is necessary under Section 106 ( "No" Section A, #35). ❑ Project is limited to the type of activity listed in Attachment 2 of the Section 106 PA and based on the information provided in the PES Form, the project does not have die potential to affect historic properties ( "No" Section A, #35). ❑ Project is limited to the type of activity listed in Attachment 2 of the Section 106 PA, but the following additional procedures or information is needed to determine the potential for effect ( "To Be Determined" Section A, #35): ❑ Records Search ❑ ❑ ❑ ❑ Project meets the definition of an "undertaking "; all properties in the project area are exempt from evaluation per 4 of the Section 106 PA (` No" Section A, #35). <ttachment he proposed undertak ng is considered to have the potent al to affect histor c properties; further studies for ] 06 mpliance are indicated in Sections B, C, and D of this PES Form ( "Yes" Section A, #35). ZS gnature of Professionally Qualified SYaQ) (Dale) (Te1e.)rhoue No.) The following signatures are required for all CEs, routine and complex EAs, and EISs: Caltrans District Senior Environmental Planner (or Designee) and DLAE Signatures I have reviewed this Preliminary Environmental Study (PES) Form and determined that the submittal is complete and sufficient. 1 concur with the studies to be performed and the recommended NEPA Class of Action. 21 (Signamr<qf3enior &nTonmcntal Planner or Designee) (Dale) Telephone No.) GG, � r I1-f 9 a //g,r (Name) (Signalurc ofDisn'ici Local. sislonee Engineer or Designee) (Date) ) Jl� DEA Environmental Coordinator concurrence tJ �� E-mail concurrence attached. (/ (dale Page 19E-71 May 300, , 2 008 2UP 08 -02 Preliminary Environment PROJECT DESCRIPTION The City of Santa Ana, in coordination with the California Department of Transportation (Department), is proposing to grade separate the existing Santa Ana Boulevard /Orange County Transportation Authority (OCTA) Metrolink at -grade railroad crossing in the City of Santa Ana, Orange County, California (see Figures 1 and 2). Currently, 66 trains cross Santa Ana Boulevard at this location on weekdays. The purpose of the proposed project is to eliminate the at -grade crossing of Santa Ana Boulevard and the Orange County Transportation Authority (OCTA) Metrolink tracks by creating a grade separation, including depressing the profile of Santa Ana Boulevard under the adjacent Metrolink tracks to enhance traffic operations, improve pedestrian and bicycle user safety, improve emergency response times, and reduce existing traffic congestion along Santa Ana Boulevard. "The proposed project improvements extend along Santa Ana Boulevard from approximately Santiago Street at the west end to the west side of the Interstate 5 (1 -5) southbound off -ramp intersection with Santa Ana Boulevard. "As part of the grade separation the proposed project includes: minor improvements to the Santa Ana Boulevard /Santiago Street intersection, terminating Logan Street north of Santa Ana Boulevard by constructing a cul -de -sac, and improvements to Fuller Street, both north and south of Santa Ana Boulevard (see Figure 3). The project proposes to relocate Santa Ana Boulevard approximately 30 feet south of its existing alignment, to construct a utility corridor on the north side of the roadway, and to maintain the existing lane configuration of three (3) lanes in each direction for the entire length of the project. The proposed project will include the construction of an underpass bridge (i.e., roadway going under the railroad tracks) and retaining walls, installation of paving, curbs, gutters, medians, sidewalks, streetlights, landscape and irrigation features, drainage facilities, and the relocation of utilities. During construction the project proposes to construct a temporary two track shoofly railroad alignment for the purpose of constructing the underpass structure while maintaining railroad service, which is to be constructed beginning just south of the existing Metrolink crossing of 1 -5 and terminating south of the Santa Ana Transportation Center near 4t" Street. This shoofly alignment would be located east of the existing railroad alignment. The project also proposes to construct a two -lane detour road south of Santa Ana Boulevard, which would be used by traffic during the construction of the underpass bridge and its approaches. The project also proposes to use Fruit Street as a detour route during the final phase of construction. New right -of -way, including both permanent acquisition and temporary easements, will be needed for the construction of the shoofly and detour road. Construction staging areas for the proposed project would potentially be located on the following properties: APNs 398 - 093 -13, 398 - 092 -12, and 398 - 207 -01. The disposal site for the proposed project, if needed, will be selected by the contractor. Any environmental clearances related to the disposal site will be obtained by the contractor prior to construction. The proposed project is included in the 2008 Regional Transportation Plan (RTP) and 2011 cost - constrained Federal Transportation Improvement Program (FTIP) (federal approval date of December 14, 2010) as project ID ORA082610. The project as proposed is consistent with the 2011 FTIP description. 1 19E -72 PRELIMINARY ENVIRONMENTAL STUDY FORM RESPONSES General Will the project require future construction to fully utilize the design capabilities included in the proposed project? The proposed project, as designed, would provide a number of potential traffic- related, environmental, and safety - related benefits, without future construction: • Elimination of traffic delays related to the existing Orange County Transportation Authority (OCTA) Metrolink at -grade crossing at Santa Ana Boulevard, • assist in vehicle emissions reduction (along Santa Ana Boulevard) related to motorists waiting for trains to traverse the existing at -grade crossing, • decrease in delays and improved travel time along Santa Ana Boulevard, which in turn reduces travel cost, • decrease in emergency response times related to existing at -grade crossing traffic delays, and • Reduction or elimination of rear -end collisions, and elimination of potential broadside collisions with trains, along Santa Ana Boulevard at the OCTA Metrolink tracks. The proposed project would be able to function independently, and would not require future construction to fully utilize the design capabilities included in the proposed project. 2. Will the project generate public controversy? No known public controversy exists regarding the proposed project. There is no reason to expect substantial public interest in the project from a community standpoint based on potential environmental effects. The proposed project is expected to provide a number of potential traffic - related, environmental, and safety - related benefits to the community. It is anticipated that any local interest in the environmental impacts of the project would be primarily related to typical concerns related to grade separation projects such as property acquisition and visual and noise impacts for residents located immediately adjacent to the project alignment. This will be further evaluated in the Community Impact Assessment that is prepared and during the public information meeting that is held for the project. Noise 3. Is the project a Type I project as defined in 23 CFR 772.5(h); "construction on new location or the physical alteration of an existing highway, which significantly changes either the horizontal or vertical alignment or increases the number of through- traffic lanes "? According to 23 CFR 772.5(h), a Type I project involves "construction on new location or the physical alteration of an existing highway which significantly changes either the horizontal or vertical alignment or increases the number of through- traffic lanes." The proposed project involves the grade separation of an existing road /railroad crossing, which would involve the construction of an undercrossing (roadway passing under the railroad tracks). This would alter the vertical alignment of the roadway, thus the proposed project is a Type I project. 4. Does the project have the potential for adverse construction - related noise impact (such as related to pile driving)? The proposed project will likely involve pile driving during construction. This type of work would be limited in duration, however, this will be further evaluated and addressed in the Noise Study. Air Quality 5. Is the project in a National Ambient Air Quality Standards non - attainment or maintenance area? The proposed project is located in the South Coast Air Basin (SCAB). As shown below, the State of California has designated the SCAB as being a nonattainment area for ozone (03) and 19E -73 Preliminary Environment particulate matter (PM10). At the federal level, EPA has also designated this area as being a nonattainment area for 03 (8 -hour standard), PM1o, and PM2.5 Selected Criteria Pollutants: Attainment Status for the South Coast Air Basin (SCAB) Status Pollutants Federal State 03 (one -hour standard) 03 (eight -hour standard) PMio PMz s CO NO2 S02 Nonattainment, Severe -17 Serious Nonattainment Nonattainment Attainment Unclassified /Attainment Attainment Extreme Nonattainment Nonattainment Nonattainment Attainment Attainment Attainment 6. Is the project exempt from the requirement that a conformity determination be made? (If "Yes," state which conformity exemption in 40 CFR 93.126, Table 2 applies). Yes, the proposed project is exempt from the requirement to determine conformity under the Safety heading in 40 CFR 93.126 (railroad /highway crossing). However, an Air Quality Report will be prepared to address any potential operational or construction period impacts. Is the project exempt from regional conformity? (If "Yes," state which conformity exemption in 40 CFR 93.127, Table 3 applies). Not applicable based on response to Question 6. 8. If project is not exempt from regional conformity? (If "No" on Question #7). Not applicable based on response to Question 6. Hazardous Materials /Hazardous Waste 9. Is there potential for hazardous materials (including underground or aboveground tanks, etc.) and /or hazardous waste (including oil /water separators, waste oil, asbestos - containing material, lead -based paint, ADL, etc.) within or immediately adjacent to the construction area? Based on a review of readily available database information, it is not anticipated that any hazardous materials or waste sites would be impacted by the proposed project as no known sites were identified within limits of disturbance for the proposed project and it is not anticipated that the project would impact groundwater. A review of the California Department of Toxic Substances' EnviroStor database revealed that the nearest site that utilizes hazardous waste and substances on site is the Orange County Register (located at 625 N. Grand Avenue). This site is located approximately 800 feet south of the east end of the project site. However, although not identified in the database search, a field review of the project site indicated that several industrial and warehouse type uses are present and these have a high potential for using or storing hazardous materials. In particular, the County Maintenance Yard located at 1102 Fruit Street has gas pumps and above ground tanks on site, and a hazardous materials placard was identified on the Orange County Public Works property located at 1143 Fruit Street. The Initial Site Assessment (ISA) that is prepared for the proposed project will further evaluate the potential for hazardous materials /waste concerns related to the proposed project. Water Quality 10. Does the project have the potential to impact water resources (rivers, streams, bays, inlets, lakes, drainage sloughs) within or immediately adjacent to the project area? There are no rivers, streams, bays, inlets, lakes, or drainage sloughs located within or immediately adjacent to the proposed project based on an initial field review of the project site. While the project is not located near any rivers, streams, bays, inlets, lakes, or drainage sloughs, the project areas drainage system 3 19E -74 will ultimately discharge into waters of the United States and the State of California, making the project subject to the requirements of a National Pollution Discharge Elimination System (NPDES) permit. Additionally, other impacts could potentially occur related to groundwater, dewatering during construction, and the potential need for a pump system to remove storm water from the lower elevations of the project area. This will be further evaluated in the Water Quality Memorandum that is prepared for the proposed project. 11. Is the project within a designated sole- source aquifer? The designated sole- source aquifers in California are located in the counties of Fresno, Santa Cruz, Butte, and Imperial. The proposed project is located in Orange County and not near any of California's designated sole- source aquifers. Coastal Zone 12. Is the project within the State Coastal Zone, San Francisco Bay, or Suisun Marsh? The State Coastal Zone is designated as the coastal area that is generally located within one mile of the Pacific Coast. The project area is considerably further from the coast and not within an area regulated by the State Coastal Zone Management Agency (SCZMA). Floodplain 13. Is the construction area located within a regulatory floodway or within the base floodplain (100 -year) elevation of a watercourse or lake? As identified on the Federal Emergency Management Agency (FEMA) Flood Insurance Rate Map (FIRM) number 06059C0163J, dated December 3, 2009, for Orange County, California and Incorporated Areas the proposed project is not located with a 1- percent annual chance (100 -year) floodplain or a regulatory floodway. The proposed project is located in unshaded Zone X, which is defined as areas determined to be outside the 0.2% annual chance (500 -year) floodplain. Wild and Scenic Rivers 14. Is the project within or immediately adjacent to a Wild and Scenic River System? There are no wild and scenic rivers located in or adjacent to the study area according to the Wild and Scenic River System list that is maintained by the National Park Service. Biological Resources 15. Is there a potential for federally listed threatened or endangered species, or their critical habitat or essential fish habitat to occur within or adjacent to the construction area? A review of the California Natural Diversity Database and California Nation Plant Society database was performed. In addition a preliminary review of the project site was conducted. The project site includes a few heavily disturbed lots with ruderal vegetation. Based on these reviews, no federally listed or threatened or endangered species occur, or have the potential to occur, on or adjacent to the project site. In addition, no critical habitat for any federally listed threatened or endangered species is present. This will be further documented in the Natural Environment Study (Minimal Impact) (NES [MI]) that is prepared. 16. Does the project have the potential to directly or indirectly affect migratory birds, or their nests or eggs (such as vegetation removal, box culvert replacement/repair, bridge work, etc.)? The Migratory Bird Treaty Act (MBTA) makes it unlawful at any time, by any means or in any manner, to pursue, hunt, take, capture, or kill migratory birds. The law applies to the removal of nests as well as the abandonment of nests occupied by migratory birds during the breeding season. Due to the presence of vegetation and trees within and adjacent to the identified limits of disturbance for the proposed project there is the potential for impacts to migratory and nesting birds during construction activities. This will be further evaluated and addressed in the NES (MI) that is prepared for the proposed project. It is anticipated that tree removal associated with project would occur outside of the bird breeding season. If tree removal would occur during the bird breeding season (February 15 through August 15), a pre- construction nesting bird survey shall be conducted prior to any ground disturbance or vegetation removal. 4 19E -75 Preliminary Environment 17. Is there a potential for wetlands to occur within or adjacent to the construction area? Based on a preliminary review of the project site no surface waters are present. Per the National Wetland Inventory (NWI) maps, available through the Natural Resource Conservation Service (NRCS) field office, and the Wetlands Online Mapper (U.S. Fish and Wildlife Service, Wetlands Online Mapper, http: //www.fws.gov/wetlands /Data /Mapper.html), which is based on the U.S. Fish and Wildlife Service (USFWS) National Wetlands Inventory database, there are no wetlands on, immediately adjacent to, or in the vicinity of the proposed project. The potential for wetlands to occur within or adjacent to the project, and the potential for the project to affect wetlands, if any, will be confirmed during the detailed field evaluation performed as part of the NES (MI). Based on a preliminary review of the project site wetlands are not anticipated to be encountered within or adjacent to the identified limits of disturbance. 18. Is there a potential for agricultural wetlands to occur within or adjacent to the construction area? According to the Wetlands Online Mapper (U.S. Fish and Wildlife Service, Wetlands Online Mapper, http: / /www.fws.gov /wetlands /Data /Mapper.html), which is based on the U.S. Fish and Wildlife Service National Wetlands Inventory database, there are no wetlands on, immediately adjacent to, or in the vicinity of the proposed project. The potential for agricultural wetlands to occur within or adjacent to the project, and the potential for the project to affect agricultural wetlands, if any, will be confirmed during the field evaluation performed as part of the NES (MI). Based on a preliminary review of the project site wetlands, including agricultural wetlands, are not anticipated to be encountered within or adjacent to the identified limits of disturbance. 19. Is there a potential for the introduction or spread of invasive plant species? During construction there would be the potential for the spread of invasive species through introduction from construction equipment and other outside sources. Standard Department construction best management practices (BMPs) would be implemented during construction to limit the potential for the introduction or spread of invasive species. This will be addressed in the NES (MI) that is prepared. Sections 4(f) and 6(f) 20. Are there any historic sites or publicly owned public parks, recreation areas, wildlife or waterfowl refuges (Section 4[f]) within or immediately adjacent to the construction area? It is not anticipated that any Section 4(f) resources would be impacted by the proposed project as no publicly owned parks or recreation areas, wildlife or waterfowl refuges, or known historic sites are located within or immediately adjacent to the proposed project site. One site, the Orange County Highway Department (now Road Department) industrial /maintenance yard located at 1102 East Fruit Street (buildings number 3 through 9) was previously identified as being eligible for listing on the National Register of Historic Places. However, this finding does not appear to be appropriate for this site and will be addressed in the Historic Property Survey Report/Historical Resources Evaluation Report that is prepared for the project. Is anticipated that this site will be determined to not be eligible for listing on the NRHP and therefore would not be a Section 4(f) resource. 21. Does the project have the potential to affect properties acquired or improved with Land and Water Conservation Fund Act (Section 6[f]) funds? No parks are located within or adjacent to the proposed project site. No properties acquired with Land and Water Conservation Fund (Section 6(f)) funds would be impacted by the proposed project. Visual Resources 22. Does the project have the potential to affect any visual or scenic resources? The project vicinity consists of primarily light industrial and warehouse uses to the east of Lincoln Avenue. In the northwest quadrant of the Santa Ana Boulevard /OCTA Metrolink at -grade crossing are predominantly single - family uses, while the southwest quadrant is the Santa Ana Regional Transportation Center. To the west of Santiago Street to the north and south of Santa Ana Boulevard multi - family residential units are present. The Visual Impact Assessment Guide was completed for the proposed project. Based on a preliminary review of the project site and the information known about the project area the proposed project received a scope of 17. Based on these results an abbreviated Visual Impact 5 19E -76 Assessment is anticipated for the proposed project. Where feasible the project would include landscaping and would provide architectural elements on the new structure. This will be further addressed in the Visual Impact Assessment that is prepared. Relocation Imuacts 23. Will the project require the relocation of residential or business properties? The proposed project would not require the relocation of any residences. A total of sixteen commercial parcels would be acquired, which would require the relocation of approximately eleven businesses and three County buildings /operations. Two acquisition parcels do not currently have tenants. This will be further evaluated in the Relocation Impact Study and Community Impact Assessment that are prepared. Land Use. Communitv. and Farmlands Imuacts 24. Will the project require any right of way, including partial or full takes? Consider construction easements and utility relocations. The proposed project would require the full acquisition of sixteen properties, which all contain commercial /industrial /maintenance facility uses and are presented below. As shown below, partial acquisition and temporary construction easements (TCEs) would be required on two properties and TCEs only would be required on three properties. This will be further evaluated in the Relocation Impact Study and Community Impact Assessment that are prepared. Acauisitions Parcel No. Full Acquisition Partial Acquisition Temporary Construction Easement Status 398 - 101 -15 No Yes Yes Active 398 - 101 -16 No Yes Yes Active 398 - 208 -01 Yes No No Active 398 - 207 -01 Yes No No Active 398 - 361 -07 Yes No No Active 398 - 361 -12 Yes No No Active 931 - 104 -67 Yes No No Active 931 - 104 -68 Yes No No Active 398 - 362 -01 Yes No No Active 398 - 093 -13 Yes No No Vacant 398 - 093 -08 Yes No No Active 398 - 093 -07 Yes No No Active 398 - 093 -06 Yes No No Active 398 - 093 -05 Yes No No Active 398 - 093 -04 Yes No No Active 398 - 093 -03 Yes No No Active 398 - 093 -01 Yes No No Active 398 - 092 -02 Yes No No Vacant 398 - 092 -13 No No Yes Active 398 - 092 -14 No No Yes Active 25. Is the project inconsistent with plans and goals adopted by the community? The City of Santa Ana General Plan Circulation Element (Adopted February 2, 1998 and reformatted January 2010) 6 19E -77 Preliminary Environment identifies Santa Ana as a primarily arterial, which is defined as a four- or six -lane divided arterial, which is consistent with the proposed project design. The proposed project would be consistent with plans and goals adopted by the community. The proposed project is consistent with the goals that are included in the City of Santa Ana General Plan Circulation Element. Specifically it meets the following goals. • Goal 1, "Provide and maintain a comprehensive circulation system that facilitates the efficient movement of people and goods throughout the City, and enhances its economic viability" This is achieved by meeting Policy 1.10, which is to "Provide barrier -free accessibility throughout the circulation system" • Goal 2, "Provide design and construction that facilitates safe utilization of the City's transportation system." This is achieved by meeting Policy 2.7, which is to "Continue design practices which facilitate the safe use of circulation systems. Consistency with plans adopted by the community will be further evaluated further in the Community Impact Assessment that is prepared for the proposed project. 26. Does the project have the potential to divide or disrupt neighborhoods /communities? The proposed project would be constructed along an existing roadway and would not divide a neighborhood /community. The proposed project includes a sidewalk along both sides of the overcrossing which will provide an enhanced connection across the railroad tracks, pedestrians currently have to cross the railroad tracks at- grade. The pedestrian crossing at the intersection of Santa Ana Boulevard and Santiago Street, which is the primary pedestrian access across Santa Ana Boulevard, would remain as part of the proposed project. The proposed project would result in the full and partial acquisition of several parcels (businesses), see Items 23 and 24 above, and would also involve construction adjacent to single - family residences, which could cause temporary disruptions within the affected neighborhood. This will be evaluated further in the Community Impact Assessment that is prepared for the proposed project. 27. Does the project have the potential to disproportionately affect low- income and minority populations? All projects involving a federal action (funding, permit, or land) must comply with Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low - Income Populations, signed by President Bill Clinton on February 11, 1994. This Executive Order directs federal agencies to take the appropriate and necessary steps to identify and address disproportionately high and adverse effects of federal projects on the health or environment of minority and low- income populations to the greatest extent practicable and permitted by law. The proposed project is located within Census Tract 744.05, Block Groups 1, 2, and 3 (located along the north side of Santa Ana Boulevard) and Census Tract 744.06, Block Groups 1 and 3 (located along the south side of Santa Ana Boulevard). As shown in the following table, the project area (defined as Census Tract 744.05, Block Groups 1, 2, and 3, and Census Tract 744.06 Block Groups 1 and 3) has a lower percentage of individuals identified as White than Orange County (County) and the City of Santa Ana (City), however, the difference between the project area and the City is much less than between the project area and Orange County. The percentage of individuals identified as Latino /Hispanic is greater for the project area than for Orange County and the City with the difference between the project area and the County being much greater than between the project area and the City. For all other groups (African- American, American Indian /Alaskan Native, Pacific Islander /Native Hawaiian, and Other races /Ethnicities) the percentage within the project area is less than the percentages identified for the County and the City. 7 19E -78 Pooulation and Ethnic Distribution * For Census Tract level, data classified as "Some other race alone" applied ** Includes Census Tract 744.05 Block Groups 1, 2, and 2 and Census Tract 744.06 Block Groups 1 and 3 As shown in the following table the median household income for the Census tracts where the project is located (i.e., Census tracts Census Tract 744.05, Block Groups 1, 2, and 3, and Census Tract 744.06 Block Groups 1 and 3) is below that reflected for Orange County and the City of Santa Ana. Low income is defined based on the Department of Health and Human Services (DHHS) poverty guidelines. For 1999 (commensurate with available income data), this was $16,700 for a family of four, and for 2011 (current), it is $22,350. Therefore, although the project area has a lower median household income than for the County and the City, the project area is not considered a low income area as it is above the DHHS poverty guidelines. Median Household Income Census Tract/City 1999 Median Household Income Orange County $58,820 City of Santa Ana Latino/ Project Area" $28,947 American Pacific Hispanic Indian/ Islander/ (of any African- Alaskan Native Other 2000 White race) American Asian Native Hawaiian races/ Area Population M M M M M M Ethnicities* Orange 2,846,289 51.26 30.76 1.50 13.48 0.30 0.30 0.16 County City of Santa A A na 337,977 12.42 76.07 1.27 8.70 0.26 0.26 0.08 Project 8,843 7.24 89.96 0.70 1.27 0.21 0.21 0.06 Area ** * For Census Tract level, data classified as "Some other race alone" applied ** Includes Census Tract 744.05 Block Groups 1, 2, and 2 and Census Tract 744.06 Block Groups 1 and 3 As shown in the following table the median household income for the Census tracts where the project is located (i.e., Census tracts Census Tract 744.05, Block Groups 1, 2, and 3, and Census Tract 744.06 Block Groups 1 and 3) is below that reflected for Orange County and the City of Santa Ana. Low income is defined based on the Department of Health and Human Services (DHHS) poverty guidelines. For 1999 (commensurate with available income data), this was $16,700 for a family of four, and for 2011 (current), it is $22,350. Therefore, although the project area has a lower median household income than for the County and the City, the project area is not considered a low income area as it is above the DHHS poverty guidelines. Median Household Income Census Tract/City 1999 Median Household Income Orange County $58,820 City of Santa Ana $43,412 Project Area" $28,947 ** Includes Census Tract 744.05 Block Groups 1, 2, and 2 and Census Tract 744.06 Block Groups 1 and 3 Based on a comparative analysis of demographic (i.e. race and ethnicity) and income characteristics of the study area with that of the City or County populations, the study area population is characterized as having a higher proportion of minority groups (i.e., Latino /Hispanic); and as having a lower income (though not defined as low income). However, the difference between the project area and the City percentages are not grossly different. Based on the above discussion the project could have impacts per Executive Order 12898 regarding environmental justice. However, no residential acquisitions would occur as part of the proposed project, and in addition, all residences located east of Santiago Street are located along the north side of Santa Ana Boulevard. As part of the project Santa Ana Boulevard would be shifted to the south and away from these residences. Therefore, it is not anticipated that the proposed project would cause disproportionately high and adverse effects on any minority or low- income populations as per Executive Order 12898 regarding environmental justice. In addition the proposed project would comply with Title VI of the Civil Rights Act of 1964 and related statutes. This will be further addressed in the Community Impact Assessment that is prepared for the proposed project. 28. Will the project require the relocation of public utilities? The proposed project would require the relocation of the following utilities. • Southern California Gas — two -, three -, and four -inch gas lines • Southern California Edison — 66 kilovolt (kV) and 12 kV electric lines • City of Santa Ana — 8 -, 12 -, and 20 -inch water lines and 6 -, 8 -, and 18 -inch sewer lines • AT &T — transmission fiber optic and distribution fiber optic 8 19E -79 Preliminary Environment • Time Warner— fiber optic cable • Metrolink — signal and communication fiber optic The affected utilities shall be relocated in accordance with State law and regulations and County and City policies. There shall be ongoing coordination between the City of Santa Ana, the affected agencies, and the utility companies in order to minimize potential disruption of utility service. No adverse effects to public services are anticipated. 29. Will the project affect access to properties or roadways? Access would be modified at the following APNs. • 398 - 092 -11 (temporary and permanent impact) — driveway approach would be reconstructed within the public right -of -way • 398 - 101 -16 (temporary and permanent impact) — access would be relocated from Fuller Street to Fruit Street • 398 - 202 -09 (temporary impact) — driveway approach would be reconstructed within the public right -of -way • 398 - 205 -05 (temporary impact) - driveway approach would be reconstructed within the public right -of -way • 398 - 361 -01 (temporary impact) — access along Terminal Street may be temporarily impacted during construction • 398 - 204 -04 (Santa Ana Transportation Center) (temporary and permanent impact) — reconstruction of the access and circulation would occur to ensure that access and circulation remains suitable within the Santa Ana Transportation Center With regard to roadways, the connection of Logan Street to Santa Ana Boulevard will be permanently eliminated and a cul -de -sac will be constructed at the end of Logan Street. Impacts to property and roadway access will be evaluated further in the Community Impact Assessment that is prepared. 30. Will the project involve changes in access control to the State Highway System (SHS)? The proposed project would not result in a change in access control. Some construction activity will occur to the west of the intersection of Santa Ana Boulevard and the Interstate 5 off- and on- ramps, however, this would not result in a change in access control. 31. Will the project involve the use of a temporary road, detour, or ramp closure? During construction the project proposes to construct a temporary two track shoofly (temporary) railroad alignment for the purpose of constructing the underpass structure while maintaining railroad service, which is to be constructed beginning just south of the existing Metrolink crossing of 1 -5 and terminating south of the Santa Ana Transportation Center near 4" Street. This shoofly alignment would be located east of the existing railroad alignment. The project also proposes to construct a two - lane detour road south of Santa Ana Boulevard, which would be used by traffic during the construction of the underpass bridge and its approaches. The project also proposes to use Fruit Street as a detour route during the final phase of construction. New right -of -way, including both permanent acquisition and temporary easements, will be needed for the construction of the shoofly and detour road. 32. Will the project reduce available parking? As shown under Item 24, there would be sixteen full acquisition parcels as part of the proposed project. The parking at all of these locations would be removed, however, this parking is for the property where the use would be removed and therefore the parking would no longer be required. This situation is present for all but one of the sixteen full acquisition parcels. At APN 398 - 208 -01 there are approximately 13 parking spaces. These spaces are used by APN 398 - 101 -16. The project shall require a portion of the existing building located on parcel 398 - 101 -016 to be removed. This potential decrease in building square footage may result in a decrease of the required parking spaces, offsetting the required spaces needing replacement. In 9 19E -80 addition, APN 398 - 101 -16 would lose an additional approximately 15 parking spaces that are currently fronting Santa Ana Boulevard. A review of City standards for parking at this location will be conducted to determine whether replacement of this parking is necessary during the preparation of the Community Impact Assessment (CIA). At the Santa Ana Transportation Center approximately 150 parking spaces would be removed. A parking structure has been constructed at the Santa Ana Transportation Center, which is greatly underutilized; it is assumed that this loss of parking can be accommodated by the parking structure. A review of the capacity and utilization of the parking structure will be included in the CIA. 33. Will the project construction encroach on state or federal lands? The proposed project would not involve any encroachment on state or federal lands. 34. Will the project convert any farmland to a different use or impact any farmlands? Through mapping maintained by the Natural Resources Conservation Service /California Department of Conservation, it has been determined that the project area, which is located in an urbanized area (Santa Ana Boulevard), does not meet the definition of farmland as defined in 7 CFR 658. The entire project area is defined as Urban and Built -up Land. Therefore, the provisions of the Farmland Protection Policy Act of 1984 do not apply to this project. Cultural Resources 35. Is there National Register listed, or potentially eligible historic properties, or archaeological resources within or immediately adjacent to the construction area? (Note: Caltrans PQS answers question #35) To be addressed by Caltrans POS. 36. Is the project adjacent to, or would it encroach on Tribal land? No Tribal Land has been identified on or adjacent to the proposed project site and no impacts to Tribal Lands are anticipated. 10 19E -81 ar` EuJHerlon Placentia k „/ 72� ,u ; 90 d §. 91 .n M1µ 1111. ,1,111 r.. 1111.. Anfli @II n"1 h r - i i i a .............. 11,1,1 1� `, v,..,.....:m ...... ,, ... , Villa Park 1111111111111---l- .............. h,) .m.d Orange 11 .. .......... 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O o a U r K b m �Iw U m LLIK U O j N Q N,, O p,, N,, N U m E m Q 0 N Cc W w Z N LL O O N, Z E U O o O J C m r ¢ N N Q J � N N o,, Z m C W W � U Z O U C p, � a Q O � W U E J O o In In O a z O Z � mu M 0 OJ O O a lY i m a y m m � Q c U L a` _ c a $ h y � h Z,o n m O O I U I I � Z m r ¢ H z O °O 0 I Q z o w LL o I � j w f K w U O N O a M m N co a O a` yfrrn�„ y W CV J s u ui a W iae g m= L LU uj ,£ U Q k O M uj NC 9 N O u� a a o a ca o EW AIN 11 J X17; :! YM] lC Y.Y a �EO� Z r�o'wU� ♦♦ W S I 9 Sc U) U) Y 4 V � a .n' G b: 1>I 14'1P5 [ V nys�� L .., ... . . . .. .0. 77777777 .. 0 yfrrn�„ y W CV J s Visual Impact Assessment Guide — Santa Ana Boulevard Grade Separation Project Change to the Visual Environment 1. Will the project result in a noticeable change in the physical characteristics of the existing environment? (Consider all project components and construction impacts - both permanent and temporary, including landform changes, structures, noise barriers, vegetation removal, railing, signage, and contractor activities) High level of change (3) Moderate level of change (2) Low level of change (1) 2. Will the project complement or contrast with the visual character desired by the community? (Evaluate the scale and extent of the project features compared to the surrounding scale of the community. Is the project likely to give an urban appearance to an existing rural or suburban community? Is the change viewed as positive or negative? Research planning documents, or talk with local planners and community representatives to get a rough idea of what type of visual environment local residents envision for their community.) Highly incompatible (3) Somewhat incompatible (2) Somewhat compatible (1) 3. What types of project features and construction impacts are proposed? Are bridge structures, large excavations, sound barriers, or median planting removal proposed? (Certain project improvements can be of special local interest, causing a heightened level of public concern, and requiring a more focused visual analysis.) High concern (3) Moderate concern (2) Low concern (1) 4. Will the project changes likely be mitigated by normal means such as landscaping and architectural enhancement or will avoidance measures be necessary to minimize adverse change? (Consider the type of changes caused by the project, i.e., can undesirable views be screened or will desirable views be permanently obscured ?) Project alternative may be needed (3) Extensive mitigation likely (2) Normal mitigation (1) 5. Will this project, when seen collectively with other projects, result in an aggregate adverse change in overall visual quality or character? (Identification of contributing projects should include any projects (both departmental and local) in the area that have been constructed within the last couple of years and those currently envisioned or planned for future construction. The window of time and the extent of area applicable to possible cumulative impacts should be based on a reasonable anticipation of the viewing public's perception.) Impacts likely in 0 -5 years (3) Impacts likely in 6 -10 years (2) Cumulative Impacts unlikely (1) Viewer Sensitivity 1. What is the potential that the project proposal may be controversial within the community, or opposed by any organized group? (This can be researched initially by talking with Departmental and local agency management and staff familiar with the affected community's sentiments as evidenced by past projects and /or current information. Factor in your own judgment as well.) High Potential (3) Moderate Potential (2) Low Potential (1) 2. How sensitive are potential viewer - groups likely to be regarding visible changes proposed by the project? (Consider among other factors the number of viewers within the group, probable viewer expectations, activities, viewing duration, and orientation. The expected viewer sensitivity level may be scoped by applying 19E -87 professional judgment, and by soliciting information from other Caltrans staff, local agencies and community representatives familiar with the affected community's sentiments and demonstrated concerns.) High Sensitivity (3) Moderate Sensitivity (2) Low Sensitivity (1) 3. To what degree does the project appear to be consistent with applicable laws, ordinances, regulations, policies or standards? (Although the State is often not obligated to adhere to local planning ordinances, these documents are critical in understanding the importance the local communities place on aesthetic issues. The Caltrans Environmental Planning branch may have copies of the planning documents that pertain to the project. If not, this information can be obtained by contacting the local planning department. Many local and state planning documents can be found online at the California Land Use Planning Network). Incompatible (3) Moderately compatible (2) Largely compatible (1) 4. Are any permits going to be required by outside regulatory agencies (i.e., Federal, State, or local) that will necessitate a particular level of Visual Impact Assessment? (Anticipated permits, as well as specific permit requirements -which are defined by the permitter, may be determined by talking with the project Environmental Planner and Project Engineer. Note: coordinate with the Caltrans representative responsible for obtaining the permit prior to communicating directly with any permitting agency.) Yes (3) Maybe (2) No (1) 5. Will the Project Development Team or public benefit from a more detailed visual analysis in order to help reach consensus on a course of action? (Consider the proposed project features, possible environmental impacts, and probable mitigation recommendations.) Yes (3) Ma be 2 No (1) Determining the Type of Visual Impact Assessment Required The total score will indicate the general level of Visual Impact Assessment that should be performed for the project. Once the level of recommended assessment is identified, the user should double -check the results by comparing each of the ten question -areas to the total score in order to confirm that the level of document appears sufficient and reasonable in each case. Score 25 -30 — Prior to preparing a VIA, a formal visual scoping study that meets or exceeds FHWA requirements is recommended to alert the Project Development Team to potential highly adverse impacts and to develop new project alternatives to avoid those impacts. Score 20 -24 — A fully developed VIA, that meets or exceeds FHWA requirements, is recommended. This technical study will likely receive extensive public review. Score 15 -19 —An abbreviated VIA would be appropriate in this case. The assessment would describe project features, impacts and mitigation requirements. Visual simulations would be optional. Score 10 -14 — A brief Visual assessment in memo form would likely be sufficient 19E -88 rITt". Initial Site Assessment (ISA) Checklist Project Information District 12 County ORA Route Post Mile BA Fed Prot No. (CML -5956 (1881) Description The City of Santa Ana, in coordination with the California Department of Transportation (Department), is proposing to grade separate the existing Santa Ana Boulevard /Orange Countv Transportation Authority (OCTA) Metrolink at- grade railroad crossing in the City of Santa Ana, Orange County, California. The purpose of the proposed oroiect is to improve safety, as it will remove the existing at -made conflict between vehicular traffic and rail traffic. In addition, the proposed protect would reduce the congestion and inconvenience caused by this existing at -grade facility. Is the project on the HW Study Minimal -Risk Projects List (HW I)? No Project Manager Jason Gabriel phone # (714) 647 -5400 Project Screening Attach the project location map to this checklist to show location of all known and /or potential HW sites identified. 1. Project Features: New R/W? Yes Excavation? Yes Raih-oad Involvement? Yes Structure demolition/modification? Yes Subsurface utility relocation? Yes 2. Project Setting Heavilv developed. Adjoining properties include cormnercial/industrial sites. Countv maintenance facilities, single- and multi - familv dwellings, and Metrolink tracks. Rural or Urban Urban Current land uses Roadway, raih-oad, commercial/industrial Adjacent land uses Commercial/industrial, single- and multi - family dwellings, Metrolink tracks (industrial, light industry, commercial, agricultural, residential, etc.) 3. Check federal, State, and local environmental and health regulatory agency records as necessary, to see if any known hazardous waste site is in or near the project area. If a known site is identified, show its location on the attached map and attach additional sheets, as needed, to provide pertinent information for the proposed project. 4. Conduct Field Inspection. Date 06/13/2011 Use the attached map to locate potential or known HW sites. STORAGE STRUCTURES / PIPELINES: Underground tanks Sumps Drums Yes None observed None observed Surface tanks Yes Ponds Basins None observed None observed Transformers Yes Landfill None observed Other Several industrial sites noted, these include the Countv Maintenance Yard located at 1102 Fruit Street, which has ag s pumps and above ground tanks on site, and a hazardous materials placard was identified on the Orange County Public Works propertv located 1143 Fruit Street. Project Development Procedures Manual ik /969 DD -I Appendixes Project Development Forms and Letters plus Policy and Procedures Documents Initial Site Assessment (ISA) Checklist (continued) CONTANIFJATION: (spills, leaks, illegal dumping, etc.) Surface staining Typical pavement stains Oil sheen None observed Odors None observed Vegetation damage None observed Other None HAZARDOUS MATERIALS. (asbestos, lead, etc.) Buildings Potential Spray -on fireproofing n/a Pipe wrap n/a Friable tile Acoustical plaster n/a Serpentine Paint Potential Other 5. Additional record search, as necessary, of subsequent land uses that could have resulted in a hazardous waste site. Use the attached map to show the location of potential hazardous waste sites. 6. Other comments and /or observations: A review of the California Department of Toxic Substances' EnviroStor database revealed that the nearest site that utilizes hazardous waste and substances onsite is the Orange Countv Register (located at 625 N. Grand Avenue). This site is located approximately 800 feet south of the east end of the project site. ISA Determination Does the project have potential hazardous waste involvement? Yes If there is known or potential hazardous waste involvement, is additional ISA work needed before task orders can be prepared for the Investigation? Yes If "YES," explain; then give an estimate of additional tine required: An Initial Site Assessment will be prepared for the proposed project. It is anticipated to be completed in A brief memo should be prepared to transmit the ISA conclusions to the Project Manager and Project Engineer. ISA Conducted by Brian Calvert Date June 16, 2011 DD -2 i6ff J6 0 Pro, ect Development Procedures Manual Santa Ana Blvd. Grade Separation Attachment K: Categorical Exemption /Categorical Exclusion Determination Form PROJECT REPORT EQUIVALENT 19E -91 CATEGORICAL EXEMPTION /CATEGORICAL EXCLUSION DETERMINATION FORM 12 -ORA -Santa Ana N/A N/A STPL 5063 (136) Dist. -Co. -Rte. or Local Agency) P, M./P.M. E.A/Project No. Federal -Aid Project No. (Local Pro ect)/Pro ect No. PROJECT DESCRIPTION: (Briefly describe project including need, purpose, location, limits, right -of -way requirements, and activities involved in this box. Use Continuation Sheet, if necessary) The City of Santa Ana, in coordination with the California Department of Transportation (Caltrans), is proposing to separate the existing Santa Ana Boulevard /Orange County Transportation Authority (OCTA) Metrolink at -grade railroad crossing in the City of Santa Ana, Orange County, California. The purpose of the proposed project is to eliminate the at- grade crossing of Santa Ana Boulevard and the OCTA Metrolink tracks by creating a grade separation to enhance traffic operations, improve pedestrian and bicycle user safety; improve emergency response times; and reduce existing trarlic congestion along Santa Ana Boulevard. See continuation page... CEQA COMPLIANCE (for State Projects only) Based on an examination of this proposal and supporting information, the following statements are true and exceptions do not apply (See 14 CCR 15300 et seq.): • If this project falls within exempt class 3, 4, 5, 6 or 11, it does not impact an environmental resource of hazardous or critical concern where designated, precisely mapped and officially adopted pursuant to law. • There will not be a significant cumulative effect by this project and successive projects of the same type in the same place, over time. • There is not a reasonable possibility that the project will have a significant effect on the environment due to unusual circumstances. • This project does not damage a scenic resource within an officially designated state scenic highway. • This project is not located on a site included on any list compiled pursuant to Govt. Code 4 65962.5 ( "Cortese List "). • This project does not cause a substantial adverse change in the significance of a historical resource. CALTRANS CEQA DETERMINATION (Check one) ❑ Exempt by Statute. (PRC 21080[b]; 14 CCR 15260 et seq.) Based on an examination of this proposal, supporting information, and the above statements, the project is: ❑ Categorically Exempt. Class . (PRC 21084; 14 CCR 15300 of seq.) ❑ Categorically Exempt. General Rule exemption. [This project does not fall within an exempt class, but it can be seen with certainty that there is no possibility that the activity may have a significant effect on the environment (CCR 15061[b][3].) N/A Print Name: Environmental Branch Chief Print Name: Project Manager /DLA Engineer Signature Date Signature Date NEPA COMPLIANCE In accordance with 23 CFR 771.117, and based on an examination of this proposal and supporting information, the State has determined that this project: • does not individually or cumulatively have a significant impact on the environment as defined by NEPA and is excluded from the requirements to prepare an Environmental Assessment (EA) or Environmental Impact Statement (EIS), and • has considered unusual circumstances pursuant to 23 CFR 771.117(b), CALTRANS NEPA DETERMINATION (Check one) ❑ 23 USC 326: The State has determined that this project has no significant impacts on the environment as defined by NEPA, and that there are no unusual circumstances as described in 23 CFR 771 A17(b). As such, the project is categorically excluded from the requirements to prepare an environmental assessment or environmental impact statement under the National Environmental Policy Act. The State has been assigned, and hereby certifies that it has carried out the responsibility to make this determination pursuant to Chapter 3 of Title 23, United States Code, Section 326 and a Memorandum of Understanding dated June 07, 2013, executed between the FHWA and the State. The State has determined that the project is a Categorical Exclusion under: ❑ 23 CFR 771.117(c): activity (c)(_) ❑ 23 CFR 771.117(d): activity (d)(_) ❑ Activity _ listed in Appendix A of the MOU between FHWA and the State ® 23 USC 327: Based on an examination of this proposal and supporting information, the State has determined that the project is a CE under el USC 327. ✓ {o-Y / 4% ;n, y xti N"\ Signature mer)ia{ rpnch Chief Date,I lntuafn�-ca.Engineer ..,D / (// 9 g `gh e Date of Categorical Exclusion Checklist completion: 718/14 Date of ECR or equivalent: 7 /8/14 Briefly list environmental commitments on continuation sheet. Reference additional information, as appropriate (e.g., CE checklist, additional studies and design conditions). February 12, 2014 19 WU CATEGORICAL EXEMPTION /CATEGORICAL EXCLUSION DETERMINATION FORM Continuation Sheet Ana N/A inued from page 1: existing at -grade crossing is used by several passenger rail lines including Metrolink Orange County and Inland ,ire /Orange County lines and the Amtrak Pacific Surfliner line. For Metrolink lines, the existing service schedule ides the following: Orange County (OC) Line: Two trains per hour per direction in both the weekday AM and PM peak hours and 22 trains per day in each direction. peak hours and 20 trains per day in each direction. Amtrak Pacific Surfliner operates with one train per day in the peak hour each way and 13 to 14 trains per day each direction. The Burlington Northern Santa Fe (BNSF) freight rail traffic also uses this crossing with approximately 10 freight trains per day during off -peak hours, resulting in a total of 66 train crossings during a typical weekday. Proposed project improvements extend along Santa Ana Boulevard from approximately Santiago Street at the west end to the west side of the Interstate 5 (1 -5) southbound off -ramp intersection with Santa Ana Boulevard. As part of the grade separation the proposed project includes: minor improvements to the Santa Ana Boulevard /Santiago Street intersection; terminating Logan Street north of Santa Ana Boulevard by constructing a cul -de -sac, and improvements to Fuller Street, both north and south of Santa Ana Boulevard. Construction of the underpass bridge (i.e., roadway going under the railroad tracks) includes; retaining walls; two pedestrian bridges (one on each side of the railroad bridge, installation of paving, curbs, gutters, medians, sidewalks, streetlights, landscape and irrigation features, and drainage facilities, and the relocation of utilities. The proposed pedestrian bridges would allow connectivity of the residential neighborhood west of the railroad and potential mixed -use developments east of the railroad bridge with SARTC. The exact bridge type and configuration will be determined during the final design phase of the project. During construction the project proposes to construct a temporary two track shoofly railroad alignment for the purpose of constructing the underpass structure while maintaining railroad service, which is to be constructed beginning just south of the existing Metrolink crossing of 1 -5 and terminating south of SARTC near 4th Street. This shoofly alignment would be located east of the existing railroad alignment. The project also proposes to construct a four -lane detour road south of Santa Ana Boulevard, which would be used by traffic during the construction of the underpass bridge and its approaches. The project also proposes to use Fruit Street as a detour route during the final phase of construction. New right -of -way, including both permanent acquisition and temporary easements, would be required for the construction of the shoofly and detour road. No significant environmental consequences are anticipated with the proposed project. However, please find the attached Environmental Commitments Record (ECR), which lists all the commitments that must be met and documented throughout the project. February 12, 201.1 Santa Ana Blvd. Grade Separation Attachment L: Environmental Commitment Record PROJECT REPORT EQUIVALENT 19E -94 lo \ \ }\ o 0 )[�) o /t {0 \ \ 0fie) {} {{ � k\ � 0 'm U0 §i$ / 0 /M : ` $| \� \ : o _ _ \ \ }\ \ \\ /} �� \ /U :: 2 2 :2} / d7721:2( d d { /{\ LU ,o / ( /\S ^\ }/ k § % / \\\ /\\ / / - _ - S :� /) \\ 2 {/77 }E : - -} / / / \ \\ / \ /\\ /_ /_\ § LU §\_\ �0 /_\ ) _ °_- \K - :_:� : :: \ > =K - -\ - -,- _ o o o o o o o 'm o / \ \ / \2 \ \ \\ / \ \/ / \ /\/ / /\\\ / d / / d\ o o \� \2 \ /\/ \2o / \ /\0 22\/ o / / \od / 2m- d Q\ o 1 0 0 0 0 E E o o o o o o o u go o lo o lo o 2 U, o o 2 U, o o o ffj Im ffj o u o u o u o u o u o u 0 0 0 o o m o > -o m 'm lo T o m ol T T=o-a��U-.UTT TT -=T m T > =o o =m go =o o o = 2 -oE u m > T m T m T I , m m = = - T mm -8 ff > 8 , K > s m = u =o =0 lo m T oE � 3 -= � - mT m T E T m m T =o - ; T 2 t T m - o o o o = o =m TE T T m T m - = E ,o m m' = 2 o , TjB T - o t L!� m T oE E T TE m T m E =0 o o m So =o o m =o t 'T =o 2 o � o , = < mT E E T 0 o -o m ml E ' t = o m > o m . �E , m , m m m = > E- o E o o = . o o m m o �O =o go o o 2 o o'. m m > o o u 2 Z m. = , I m o > E� o o -.2 o o m o o m > E mo 0 o , 2 1; 'o E m > m E o L E m E f E� E -2 o o �o mo o E E m 0 E > > 2-- m m E o m o EE m 2 m o o =m m� m o , 2 E E 2 m o o =m o 2 =o o ml m. L = o o o o M M M . go o, o o m E m m = o u m I Z o I m . = m q mo m. o -m o =o m mm ml > m� m m o- E o 2 > =o U E V m 2-1 2 o 2 > I m E m E o� o o =o =o E o m m E 2 o m 8 E - - =m = m =o , m u v m 2 m m 1 2 2 mm o > > E m , . . m > 2 > o, o > o E 0 =m E > m o o o E m m - m o o m T u m o o m 2 o E > u a; m m o o D E o E o I o m o U E o o E m � = m E 2 2 o 8 m. m -o E o o o 2- go 82 I =o o E o 2 > E m ' 2 =m I E E > m o m E o . . . o m =o 8 o E u = . > E E Im 2 m m 'o m m -2 2- m E -> I m o o E o E 2 2 o E m m > o E o 2 Z M o m o m m Z I o < m m > Z E m m Nm =o o o o o lo o o o o o o o o o o Q / / § / })\ b / / d\)} \4/ \ } \)/ / { / } /\ \ / \j/ 19E-99 Pa Is \� {/ \ out \ \ \\/ \§ 19E-99 Santa Ana Blvd. Grade Separation Attachment M: Project Schedule PROJECT REPORT EQUIVALENT 19E -100 M Santa Ana Blvd. Grade Separation Attachment N: Geotechnical Technical Memorandum PROJECT REPORT EQUIVALENT 19E -101 Earth Mechanics, Inc. xWolmum awming TECHNICAL MEMORANDUM EMI PROJECT NO: 11 -123 DATE: September 13, 2011 PREPARED FOR: Mohan Char, Ph.D., P.B. / ABCOM PREPARED BY: Ranjan Gunaranjan and Lino Cheang / Barth Mechanics, Inc. (EMI) SUBJECT: Santa Ana Boulevard Grade Separation City of Santa Ana, Orange County, California Structure Preliminary Geotechnical Report (SPGR) Introduction This memorandum has been prepared to provide the necessary geotechnical information to assist the structural designers in the type selection process for the Santa Ana Boulevard Grade Separation (GS) at Santa Ana Boulevard and Metrolink Railroad intersection. The content of this memorandum follows Caltrans Foundation Report Preparation for Bridge Foundations (Caltrans, 2009). It includes preliminary geotechnical, seismic, and foundation recommendations for the subject GS and the adjoining retaining walls. The recommendations provided in this memorandum are based on subsurface information contained on the as -built Log -of -Test- Borings (LOTB) of three nearby structures: Grand Avenue Undercrossing (Bridge No. 55- 671L), Lincoln Avenue Underpass (Bridge No. 55 -672), and Lincoln Avenue Overcrossing (Bridge No. 55 -675). These nearby bridges are located less than 0.3 mile from the proposed GS. An additional geotechnical investigation will need to be performed during the PS &E phase; therefore, the following recommendations may change when additional information becomes available. Project Description As presented in the preliminary plan provided by the designers, the existing Santa Ana Boulevard, which intersects at -grade with the existing Metrolink railroad tracks, will be lowered under the railroad tracks to have a minimum vertical clearance of about 16.5 feet. The horizontal alignment of Santa Ana Boulevard will also be shifted about 30 feet to the south due to the presence of a utility corridor. Retaining walls will be constructed on the north side of the Santa Ana Boulevard in -line with the bridge abutment (Abutment 5). A portion of the retaining wall located at the depressed roadway is proposed to be a Type SW retaining wall and the remaining portion is proposed to be Caltrans Standard Type 1 retaining wall. Based on the information provided by the structural designers, Type SW retaining wall is a U -shape cantilever wall that will support the sidewalk in the middle of the "U ". 17800 Newhope Street, Suite B, Fountain Valley i ia�220 Tel: (714) 751 -3826, Fax: (714) 751 -3928 Santa Ana Boulevard Grade Separation September 13, 2011 Page 2 General Subsurface Conditions According to the attached As -Built LOTB sheets for the nearby structures, a total of twelve auger borings were drilled between March and May, 1989. The deepest boring was advanced to about elevation +50 feet. Existing grade at the borehole locations at the time of the investigation ranged between elevations +130 feet and +168 feet. The existing grade at the subject site is about elevation +145 feet. At the nearby bridge site, the surficial material is embankment till consisting predominantly of medium dense to dense silty sand with few interbedded very stiff to hard sandy silt. Thickness of this embankment till varies from 10 to 25 feet. The embankment till is underlain by about 40 feet of native deposits composed predominantly of loose to very dense silty sand and medium stiff to hard sandy silt with occasional silty clay and clayey silt interbeds. Below about elevation +105 feet, the stratigraphy included very dense silty sand, sand with gravel and cobbles, sandy gravel, and clayey gravel with some interbedded loose to medium dense silty sand and sand layers down to about elevation +80 feet. Very dense silty sand, sand with gravel and cobbles, sandy gravel, and clayey gravel layers were encountered below about elevation +80 feet down to the depth explored. Groundwater was not encountered in any of the borings that were drilled down to the deepest elevation of about +50 feet. Preliminary Seismic Recommendations It is our understanding that the Santa Ana Boulevard GS will be constructed using the American Railway Engineering and Maintenance -of -Way Association ( AREMA) guidelines ( AREMA, 2009). We performed a site - specific probabilistic ground motion analysis using FRISKSP (Blake, 2004 & 2000) computer program for the bridge site. The probabilistic analysis was performed using four attenuation equations published by Abrahamson and Silva (1997), Boore, et al. (1997), Campbell (1997), and Sadigh et al. (1997). These peak horizontal ground acceleration (PGA) values were obtained by averaging the results of the above- referenced attenuation equations and are provided in Table 1. Table 1. Seismic Design Parameters Ground Motion Level (Frequency) Return Period PGA Site (g) Coefficient, S 1 (occasional) 100 Years 0.214 2 (rare) 500 Years 0.351 1.5 3 (very rare) 2,400 Years 0.524 The structural engineer can use the data provided in Table 1 to develop the site - specific response spectrum following the procedure outlined in Section 1.4 of Chapter 9 of AREMA (2009). =Y . oics Inc. -- - G Mee U4ae119,1aanf1g Santa Ana Boulevard Grade Separation September 13, 2011 Page 3 Liquefaction Potential and Seismic Settlement Evaluation The subject site is anticipated to have a low liquefaction potential due to the absence of groundwater. Since the liquefaction potential at the bridge site is anticipated to be low, seismic settlement of onsite soils is also anticipated to be low. A more detailed liquefaction assessment will be conducted during the PS &E phase using site - specific soil boring data. Scour Evaluation The proposed structure does not cross a channel that conveys water; therefore, scour potential is not anticipated to be a design issue. Corrosion Evaluation There is no corrosion test result included with the as -built plans. Site- specific soil corrosivity will be investigated during the PS &E phase in accordance with Caltrans requirements. Foundation Data of Nearby Bridges The proposed GS is a new structure and therefore, no as -built foundation data specific to this structure is available. However, the as -built plans for the nearby three structures (Bridge Numbers 55 -671L, 55 -672, and 55 -675) that are located less than 0.3 mile from the proposed railroad bridge were reviewed as part of this project. All of these structures are supported on driven concrete piles with a service demand of 45, 70, or 100 tons. Preliminary Bridge Foundation Recommendations Bridge Configuration: The preliminary plan provided by the structural engineers indicates that the Santa Ana Boulevard GS is a four -span steel plate girder bridge with a total bridge length of about 247 feet and a total bridge width of about 40 feet. Foundation Type: Due to the presence of weak near - surface site soils, deep foundation is recommended for the proposed structure. The preliminary plans provided by the structural engineers show that large - diameter Cast -In- Drilled -Hole (CIDH) pile extensions will be used at the bents and driven steel HP piles will be used at the abutments. Based on the information provided by the structural designers, the abutments are supported by 100 -ton steel HP piles (HP 14x89). For each 6 -foot diameter CIDH pile, a service load of 960 kips is provided by the structural designers. Based on these axial demands, the preliminary pile lengths are 70 feet and 55 feet at the abutments and the bents, respectively, for cost estimating purposes. As mentioned earlier, as -built foundation type for the three nearby Caltrans bridges is driven precast - prestressed concrete (PCC) piles. We will evaluate the feasibility of using driven PCC piles instead of the HP -piles during the PS &E phase when site- specific soil boring data become available. =Y e . 4 tics Inc. -- - G Me aeII9,IaanfIg Santa Ana Boulevard Grade Separation September 13, 2011 Page 4 Preliminary Retaining Wall Recommendations Barth retaining structures are proposed for the Santa Ana Boulevard Grade Separation Project. The retaining walls consist of Caltrans Standard Type 1 cantilevered retaining wall and Type SW cantilevered retaining wall. Lateral Barth Pressure: A static active lateral earth pressure of 36 psf per foot of depth is recommended for a free draining, level and compacted backflll. Materials placed behind the retaining wall should be Caltrans Structure Backflll. If applicable, a uniform lateral pressure due to vehicular traffic loading, equivalent to a vertical pressure produced by at least 2 feet of earth with a soil unit weight of 1201b/ft3, should be added to the above lateral earth pressure. Using an active earth pressure of 0.3, the recommended uniform lateral earth pressure due to traffic loading is 72 psf. In addition to the above loadings, the two railroad tracks will induce additional surcharge on the adjacent retaining wall located within the horizontal zone of influence. The uniform lateral earth pressure due to railroad surcharge and the extent of horizontal zone of influence will be determined during the PS &B phase using additional project information. Lateral Resistance: Resistance to lateral loads may be developed by a combination of friction acting at the base of the wall and passive earth pressure. A maximum passive equivalent fluid pressure of 370 psf per foot and a frictional coefficient of 0.4 between the soil - concrete interface can be used for preliminary design. We recommend 100% of the base friction for static loading. For seismic loading, we recommend combining 100% of the passive resistance and 100% of the base friction. Shallow Foundation Design: Using a maximum overexcavation depth (below the footing bottom) of three feet or less and some assumed footing bottom elevations, our calculations show that the allowable bearing capacity is about 3 kips per square foot (kst). Using the 2006 Caltrans Standard Plan Sheets for Type -1 walls, this implies that Type -1 wall with a height of 12 feet or less can be supported on a spread footing. For Type -1 wall heights greater than 12 feet and Type - SW walls with bearing pressures greater than 3 ksf, we recommend using deep foundations. Foundation type for the retaining walls will be re- visited when site specific soil boring data become available during the PS &B phase. The horizontal limits of the overexcavation should begin one foot from each edge of the footing bottom and extending downward at a 45- degree imaginary plane until the plane intersects the overexcavation depth. Prior to backfllling, the excavation bottom should be proof- rolled and after that the excavation bottom should be inspected by a qualified geotechnical engineer or technician to confirm the presence of an unyielding and competent surface. Onsite soils may or may not be suitable for use as backflll; if not, Caltrans Structure Backflll is recommended. Backflll should be compacted to a minimum relative compaction of 95% of maximum density as determined by Caltrans Test Method 216. Minimum footing embedment and offset (from a slope face) for retaining wall should be based on Section 4.4.5.1 of Caltrans Bridge Design Specifications (Caltrans, 2003). =Y . oics Inc. -- - G Mee ae119,1aanf1g Santa Ana Boulevard Grade Separation September 13, 2011 Page 5 Deep Foundation Design: To facilitate fabrication and cost estimate, we recommend using the same pile type as the bridge abutment. However, the axial pile demand should be 45 tons for retaining wall and the corresponding HP pile section is HP 10x42. Using a 45 -ton service demand, a preliminary pile length of 50 feet is recommended. Construction Considerations Groundwater was not encountered in any of the as -built borings down to about elevation +50 feet. Therefore, groundwater is not anticipated to be encountered during pile construction and footing construction at the supports and walls. However, groundwater level can fluctuate due to seasonal rainfall amount, local irrigation and groundwater recharge program, and other man- made conditions. If groundwater is encountered during footing construction, it should be controlled in accordance with Section 19 -3.03D of the Caltrans Standard Specifications (Caltrans, 2010). If groundwater is encountered during CIDH pile construction, contractor should be prepared to use a "wet' method of construction for the CIDH piles. As a standard Caltrans practice for "wet' construction, PVC tubings should be installed within the reinforcement cage for gamma -ray testing. Based on the As -Built LOTB sheets of the nearby structures, the onsite soils are generally loose to very dense coarse grained materials and these materials are susceptible to caving. If caving occurs, a temporary casing can be used. The casing should have an inside diameter larger than or equal to the pile diameter and should be placed tight in the hole. Vibratory hammers or oversized drilling are not allowed for casing installation. In the event that any boring becomes bell- shaped and cannot be advanced due to severe caving, all loose material should be removed from the bottom of the boring and the caved region filled with a low strength sand - cement slurry. Drilling may continue when the slurry has reached its initial set. Based on the As -Built LOTB sheets of the nearby structures, gravel and cobbles were recovered during drilling operations in multiple borings and are expected to be encountered during CIDH pile construction. While there could be a trace amount of cobbles between 6 inches and 1 foot diameter, the largest rocks of significance that will be encountered would likely be small cobbles, in the 3- to 6 -inch diameter range. While the oversized material will likely create difficult drilling conditions, large - diameter augers typically have flights with wide spacing and a shallow pitch allowing rock pieces, cobbles and boulders to be extracted from the drilled hole. Rock augers and clean -out buckets can also be used to extract oversized material where a high concentration of gravel and cobbles are encountered. References Abrahamson, N. A., and Silva, W., 1997, `Empirical Response Spectral Attenuation Relations for Shallow Crustal Earthquakes," Seismological Research Letters, Vol. 68, No. 1, January/February. AREMA, 2009, "Manual for Railway Engineering," American Railway Engineering Association, Chapters 8, 9, 15. =Y tics Inc. -- - G Mee ae�9,1aan�g Santa Ana Boulevard Grade Separation September 13, 2011 Page 6 Blake, Thomas F., 2004, New 2002 Fault Model Files: New Fault -Data Files for Use with BQFAULT and FRISKSP Derived from CGS Data, September. Blake, Thomas F., 2000, `ERISKSP User's Manual - 4.00 Update, Documentation," April. Boore, David M., William B. Joyner, and Thomas E. Fumal, 1997, `Equations for Estimating Horizontal Response Spectra and Peak Acceleration from Western North American Earthquakes: A Summary of Recent Work," Seismological Research Letters, Vol. 68, No. 1, pp. 128 -153, January/February. Caltrans, 2010, Standard Specifications. Caltrans, 2009, Guideline for Structures Foundation Reports, Version 2.0, Updated, December. Caltrans, 2006, Standard Plans Caltrans, 2003, BDS, Section 4, November. Campbell, K. W., 1997, `Empirical near - source attenuation relationships for horizontal and vertical components of peak ground acceleration, peak ground velocity, and pseudo - absolute acceleration response spectra," Seismological Research Letters, Vol. 68, No. 1, pp.154 -179. Sadigh, K., Chang K. -Y., Egan, J.A., Makdisi, F., and Youngs, R.R., 1997, "Attenuation Relationships for Shallow Crustal Earthquakes Based on California Strong Motion Data," Seismological Research Letters, Vol. 68, No. 1, January/February. =Y oics Inc. G iM A E ake Engines nng ATTACHMENT 1 As -Built LOTB sheets of the nearby Structures (Grand Avenue Undercrossing (Bridge No. 55- 671L), Lincoln Avenue Underpass (Bridge No. 55 -672), and Lincoln Avenue Overcrossing (Bridge No. 55 -675), 19E -108 19E -109 � LL .a 3�'mA Y G °c m _ 3ffm � 9m I OLL�_ 11IIIIII Y :y f QA6\ tz j _ s 's a a NMgmtl T ' zze ryl vwo,yp gygoe � ox_ sr.o • :v19Me3 —O� i.ou v�vivya • s 2t � nv —p©O v +m°r'°iwvv uv. a v—vG ' oaw 19E -109 19E -110 _ _ Ov a y Q G g3 Q N W y d• �3 z„_ E� °z° � a S3s w_ � �� ru !�I z Q o U ji L4 a a a ♦ V s, al a� gym' .e. z y� s - >d 1 ° l fie`l�� _ O v erc.e�e ne 1,116 iE '....�.© "n"5uu' "m anwvmxu.e,oniec3i 19E -110 •. a1 if 210; >S il P 'vim 5 S a 60 a,? j '�vfiy @sie F 0 n aEla t. 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LL z„ wS 6 �i � I O e a I Y 11 ¢ m ® El ® E-1 El 19E -114 0 3 � 0 Z W U 'a o � I— J O J ae3 g. �a i WO ® TV 17n I s o —< g a aW� �w o ' a < � _•.— Uzi' ll % o n a f� �3 @te. g Z•. c tt ,� s, 3 k t R � c y y a - = 3 yP 2z�Yv"n SN b5 19E -115 19E -116 CEQAnet - Santa Ana Bca levazd Grade Separation Page 1 of 1 California Hollle_ Troony, duly 22, 2014 Santa Ana Boulevard Grade Separation SC" Number: 2014OW326 Cacumeet Type: NCE- Noticeaf Exemption Project Lead Agency: Santo Ane,Cllyof coolant oesorlpdmt Grade sepamflon ofthe wa ing Smith Ans aNdfGmnge County Transpiration AuNarlfy(CCTA) N.ratch stamps mllroad shall The purpose is W. eohance lard. apemtiona; Impravc peuporeso cad hil user eatery{ Improve emergency, meanings times', and reduce connotation along Santo Ana Blvd. Contact Information Pdmany Canlacf: Joaon Coal My of Sands Ana 714- 84£5864( 20 Cil4C Center N.G. Santa.Ana, CA 92701 Project Local Call Chal City: Santa Ana Race.: Crass Streets: LattidmLOngllude: Parcel Na: Township: Range: Section Belie: COrer Location hil Exempt Status Nlniaterial aeaand Emergency Emergency Pro)cpt r Calegancal Exnmptlan fx. SlakaIV Exemptionn, . Type, Secion or Case Number S:21080.13',45282 Reaam. for Esemptioa CA Code of Regulators, Title 14, Chapter 3, Arocle 18, §15202(9) aYeWtopry exempts any mllmad grade sepand on pmlect which eliminate. an axiatng grade ancerl as set muh in Section 2108093 of the CA Public Resaumes Code. Seetlon 21000.13 fudhen alslao that CEGA shall not apply as any mibaed ead.a rRdi0n pmjeatwhich, eliminates on extabna gentle cmaaing. gate Received: 512312014 http://w�vw,ccqanct,ca.gov/NOEdescriplioi2.asp?DoePK=692127 SANTA ANA CITY u P VV A AGENDA DECEMBER 02, DATE: 1 014 PUBLIC WORKS AGENCY EXHIBIT 3 STATUTORY EXEMPTION SANTA ANA GRADE SEPARATION 19E -117 7/22/2014 19E -118 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: RECOGNITION AND APPROPRIATION OF 2014 -2015 REVENUE AND EXPENDITURES FOR CITY EVENTS, THE CIVIC CENTER AND THE SENIOR MOBILITY PROGRAM (STRATEGIC PLAN NO. 5, 46) CITY MAOAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve an appropriation adjustment recognizing anticipated city event revenue from fiscal year 2014 -2015 in the amount of $375,000 in the Parks, Recreation and Community Services City Events revenue account (no. 01113002 53331) and appropriate funds to the Parks, Recreation and Community Services Agency expenditure accounts (no. 01113230 various). 2. Approve an appropriation adjustment recognizing revenue from fiscal year 2014 -2015 in the amount of $104,890 in the Civic Center revenue accounts (no. 07413002 various) and appropriate funds to the Civic Center expenditure accounts (no. 07413250 62320 and 07413260 66220). 3. Approve an appropriation adjustment recognizing anticipated revenue from fiscal year 2014 -2015 in the amount of $5,952 in the Parks, Recreation and Community Service - OCTA- Transport revenue account (no. 16913002 52040) and appropriate funds to the Parks, Recreation and Community Services Agency - OCTA -VNCOC Senior Mobility Program expenditure account (no. 16913201 62300). DISCUSSION Several events occur within the City of Santa Ana during the year. Events like Cinco de Mayo and Fiestas Santa Ana were produced by a promoter company, which is no longer in existence. In recognizing the great value of these events, the Parks, Recreation, and Community Services Agency (PRCSA) recommended that the City act as the Event Manager and include additional events during the year. The Event Manager is responsible for providing all the necessary equipment, stages, electricity, carnival rides, vendor booths, and insurance for an event. The decision to not retain a promoter company to promote the events and accomplish this undertaking with City Staff was finalized in fiscal year 2013 -2014. 20A -1 Recognition and Appropriation of 14115 Revenue and Expenditures December 2, 2014 Page 2 In December 2013, starting with Plaza Navidena, the PRCSA began producing a number of events, listed below. Several of these events were new, such as the four Plaza Santa Ana events while some have a long- running history like Cinco de Mayo and Fiestas Santa Ana. 2014 -2015 Events 1. Fourth of July 2. Shakespeare in the Park 3. Plaza Wellness- Summer 4. Fiestas Santa Ana 5. SOMOS 6. Plaza Founders -Fall 7. Plaza Navidena- Winter 8. Plaza Primavera - Spring 9. Dia del Nino 10.Cinco de Mayo As part of managing the event, city staff is requesting appropriations be made from anticipated revenue to be generated from these events to fund contractual costs. Anticipated city event revenue for the fiscal year 2014 -2015 is estimated at $375,000. The Parks, Recreation and Community Services Agency maintains the Civic Center Authority account. For the fiscal year 2014 -2015 budget, County representatives and City staff met to discuss increased maintenance and improvements in the Civic Center area. City staff is requesting an appropriation adjustment to recognize $104,890 in Civic Center Maintenance Revenue and appropriate the same for maintenance and improvements in the area. This is revenue that will be received from the County upon submittal of a reimbursement request. Lastly, PRCSA receives funding from OCTA to operate a senior mobility program in Santa Ana. Through an agreement between the City, OCTA and Vietnamese Community of Orange County ( VNCOC), a local non - profit, a portion of the program is operated VNCOC. Each year OCTA submits a check to the City in which the city then provides VNCOC funding in the same amount for their portion of the program. For FY 2014 -2015, the City appropriated $80,329 that is to be provided to VNCOC, but received $86,281 from OCTA. Therefore to provide the entire amount to VNCOC, as per the agreement, city staff is requesting an appropriation adjustment to recognize $5,952 in OCTA revenue and appropriating the same to the Parks, Recreation and Community Services Agency - OCTA - VNCOC Senior Mobility Program expenditure account. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4, Support neighborhood vitality and livability, Strategy b, Improve neighborhood quality by locating or providing access to complementary services and public facilities, including access to healthy food options (community gardens, farmers' markets, corner markets, etc.) in neighborhoods. 20A -2 Recognition and Appropriation of 14115 Revenue and Expenditures December 2, 2014 Page 3 FISCAL IMPACT The appropriation adjustments will recognize fiscal year 2014 -2015 anticipated city event revenue in the amount of $375,000 in the Parks, Recreation and Community Services City Events revenue account (no. 01113002 53331) and appropriate funds to the Parks, Recreation and Community Services Agency expenditure accounts (no. 01113230 various), anticipated Civic Center revenue in the amount of $104,890 in the Civic Center revenue accounts (no. 07413002 various) and appropriate funds to the Civic Center expenditure accounts (no. 07413250 62320 and 07413260 66220), and anticipated OCTA revenue in the amount of $5,952 in the Parks, Recreation and Community Service -OCTA- Transport revenue account (no. 16913002 52040) and appropriate funds to the Parks, Recreation and Community Services Agency - OCTA -VNCOC Senior Mobility Program expenditure account (no. 16913201 62300). Gerardo Mou C, Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez, Executive Director Finance and Management Services Agency 20A -3 20A -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE AGREEMENTS TO INSTALL LED POST TOP STREETLIGHTS AND LED PARKING STRUCTURE LIGHTS USING SOUTHERN CALIFORNIA EDISON ON -BILL FINANCING PROGRAM FUNDING {STRATEGIC NQ. 5,2) CITY MA ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 10 Reading ❑ Ordinance on 2n0 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Direct the City Attorney to prepare and the City Manager and Clerk of the Council to execute the following agreements, subject to non - substantive changes approved by the City Manager and City Attorney: a) Powerlux Corporation to provide LED Double- Fixture Type Post Top Streetlights for an amount not to exceed $160,290. b) South Coast Lighting to provide LED Single- Fixture Type Post Top Streetlights for an amount not to exceed $120,800. c) Amiran Construction to provide and install LED parking structure lights for an amount not to exceed $84,680. d) Southern California Edison to provide no -cost funding through On -Bill Financing for the LED streetlights. 2. Approve an appropriation adjustment recognizing $418,664 in funding from Southern California Edison into the Energy Conservation revenue account and appropriating the same amount to the Energy Conservation expenditure account for the installation of LED light fixtures. DISCUSSION The City has had success with several energy efficiency LED street lighting projects. In August 2011, the City Council awarded a pilot contract to install 253 LED streetlights on Main Street and Edinger Avenue which resulted in energy savings of 60% over the existing high - pressure sodium lights (HPS). Since then, the City Council has awarded additional projects involving the replacement of over 1,765 streetlights with LED lamps throughout the City. Staff has identified another project to replace aging, inefficient, post top streetlights at several locations, as well as replacing HPS light fixtures in the Santa Ana Regional Transportation Center (SARTC) parking structure. The Southern California Edison (SCE) On -Bill Financing Program 20B -1 Agreements to Install Post Top LED Streetlights December 2, 2014 Page 2 of 3 (OBF), which provides zero - percent - interest financing for approved energy- reduction projects, will be used to cover the project costs. The funds are repaid using energy bill savings over a short payback period. This financing mechanism has been used successfully on all of the previous LED streetlight projects. A Request for Proposals (RFP) was issued seeking qualified contractors and vendors for four types of LED fixtures under a "provide and install' and "provide only' options. Firms were permitted to propose on either or both of the options. On September 18, 2014, the RFP was posted on the City's website and produced the following results: 7 Proposals received 0 Proposals received from Santa Ana businesses* * LED streetlights are a specialized industry. There are no qualified firths in Santa Ana producing or installing LED streetlights. Six proposals met the eligibility criteria for OBF, with one of the seven proposals deemed nonresponsive. The proposal evaluations were based on three factors: (1) the capacity of proposed fixtures to perform as specified; (2) the proposer's experience, ability to perform, and past performance on similar projects; and (3) the proposal base price. Upon review of the proposals, staff determined that the best value for the City was to select the "provide only" option for the LED streetlights (with installation by City staff) and the 'provide and install' option for the SARTC parking structure. Exhibit 1 shows a single and a double post top fixture streetlights. The rankings are as follows: Post Top Double Style Fixture Provide Only) Rank Proposer Location 1 PowerLux Vista, CA 2 Gra bar Walnut, CA 3 South Coast Lighting San Clemente, CA 4 VT Electric Ontario, CA 5 S Ivania Lighting Services Danvers, MA Post Top Single Style Fixture Provide Only) Rank Proposer Location 1 South Coast Lighting San Clemente, CA 2 Gra bar Walnut, CA 3 PowerLux Vista, CA 4 VT Electric Ontario 5 Sylvania Lighting Services Danvers, MA 20B -2 Agreements to Install Post Top LED Streetlights December 2, 2014 Page 3 of 3 SARTC Parking Structure Provide & Install Rank Proposer Location 1 Amiran Construction Tustin, CA 2 Sylvania Lighting Services Danvers, MA 3 VT Electric Ontario, CA Based on the applications submitted to SCE for the three projects, the City is eligible for $78,167 in energy efficiency incentives and $340,297 in financing through the OBF Program (Exhibit 2). The payback period varies from five to eight years, depending on the lighting fixture. Completion of these LED projects will reduce the City's annual energy costs by approximately $41,000. The proposed LED fixtures have an average energy savings of 67% compared to the existing HPS lamps. In addition, LED lighting provides more illumination and visible light than conventional lighting and has an expected useful life of over 15 years. The energy savings from the project will reduce the City's carbon footprint by 336 metric tons of CO2 annually, which is the equivalent of removing 71 passenger cars from the road. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability; Objective #2 (expand opportunities for conservation and environmental sustainability). ENVIRONMENTAL IMPACT A Categorical Exemption has been filed for this project. FISCAL IMPACT Utility expenditures do not increase during the OBF payback period; therefore, this action will not impact the General Fund. Loan Proceeds will be deposited in the Energy Conservation revenue account (16217002- 57384) and appropriated into the Energy Conservation expenditure account (16217630- 62300). Funds for loan repayments are available in the Public Works Streetlight Maintenance - Utilities account (01117630- 62000). trek! / JL� Mousavipour Executive Director Public Works Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Photo - Single and Double Post Top Streetlights 2. Savings and Incentives Summary 411W - r�- Post Top Streetlight Photos Single Fixture Type Double Fixture Type 20- xWibit 1 rI- Savings & Incentives Summary Total Estimated Annual Energy Savings (I(Wh) 482,969 Total Estimated SCE Energy Savings Incentives $78,167 Total Amount Approved by SCE to be Financed with On -Bill Financing (OBF) $340,297 Total Project Cost Approved by SCE $418,464 SCE Application Title SCE Project# Billing Type Ana LED Downtown* 353 -13- 0500454306 Metered Lights Downtown /Fourth St. & Bristol Manor (portion) Number of fixtures kWh Saved OBF Amount Approved by SCE Estimated SCE Incentive Project Cost Approved by SCE Square tber of fixtures Saved Amount Approved by SCE nated SCE Incentive ect Cost Approved by SCE *Santa Ana Regional Transportation Center Parking Structure umber of fixtures Nh Saved BF Amount Approved by SCE stimated SCE Incentive roject Cost Approved by SCE Exhibit 2 20B -7 646 354,913 $230,160 $290,495 353 -13- 0500453401 Metered Lights 201 62,434 $45,400 $56,014 193 -12- 0500243074 Metered Lights 123 65,622 $64,737 $71,955 ri- AGREEMENT FOR PROVISION OF ELECTRICAL CONTRACTING SERVICES THIS AGREEMENT ( "Agreement "), made and entered into this 2nd day of December, 2014, by Powerlux Corporation, a California corporation (hereinafter "Contractor "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). A. The City desires to retain a Contractor having special skill and knowledge in the field of LED streetlight manufacturing. B. Contractor represents that it 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 contractor 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 install new LED fixtures (hereinafter "Project "), as set forth in Request for Proposals and Contractor's Proposal, attached hereto and incorporated herein, as Exhibit A. Contractor shall perform all work items required by this Agreement within a period of ten (10) weeks from the date of the commencement of this Agreement. 2. COMPENSATION a. The Contractor agrees to accept as total payment for its services, a fixed price not to exceed $160,290 during the term of this Agreement. b. Payment to Contractor for the City paid portion of the contract shall be made after completion and City acceptance of the Project. Contractor shall submit a detailed report of work performed and materials used in the Project. Within sixty (60) days after receipt of such report, City shall pay Contractor, 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. rl- • 3. TERM This Agreement shall commence on the date first written above and terminate on May 5, 2015 unless terminated earlier in accordance with Section 13, 4. OWNERSHIP OF REPORTS AND DOCUMENTS The originals of all maps, drawings, plans, graphs, letters, documents, reports and other products and data produced under this Agreement shall be delivered to, and become the property of City. Copies may be made for Contractor's records but shall not be furnished to others without written authorization from City. Such deliverables shall be deemed works made for hire and all rights in copyright therein shall be retained by City. 5. 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 or a joint venture relationship; 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than One Million Dollars ($1,000,000,00) per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Workers 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 Workers 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 One Million Dollars ($1,000,000.00) 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 One Million Dollars ($1,000,000.00) per claim. section: e. The following requirements apply to the insurance to be provided by Contractor pursuant to this r��, (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 cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f 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 temvnation shall not affect Contractor's right to be paid for its time and materials expanded 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. 7. HOLD IIARNILESS /INDEMNIFICATION To the fullest extent permitted by law, Contractor 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, snits, losses, judgments, fines, penalties, liabilities, costs and expenses (including without limitation, attorney's fees, disbursements and court casts) 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 tinder this contract (including, without limitation defects in workmanship and/or materials) or contractor's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and /or omissions of contractor, 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 contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terns of this contract. 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 Contractor. The Contractor further agrees to indemnify, hold harmless, and pay all cost for the defense of the City, including reasonable fees and costs for special counsel to he selected by the City, regarding any action by a third party. City may make all reasonable decisions with respect to its representative in any legal proceeding. 8. 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 nonuse and nondisclosure shall not apply to any information that 1) has been disclosed in publicly available sources; 2) is, through no fault of the Contractor, disclosed in a publicly available source; 3) is in rightful possession of the Contractor without an obligation of confidentially; 4) is required to be disclosed by operation of law; or S) is independently developed by the Contractor without reference to information disclosed by the City. 20BA 1 9. 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 if services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by 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 P.O. Box 1988 M -30 Santa Ana, CA 92702 -1988 Fax: 714- 647-6956 Copies to: Executive Director, Public Works Agency City of Santa Ana P.O. Box 1988 M -21 Santa Ana, CA 92702 Fax: 714 -647 -5069 City Attorney City of Santa Ana P.O. Box 1988 M -29 Santa Ana, CA 92702 Fax: 714- 647 -6515 Contractor: Powerlux Corporation ATTN: lien Lau 1260 Liberty Way Suite E Vista, CA 92081 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. I£ sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above, For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other 20B -12 instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate neither Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 12. 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 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 the City personnel or by other Contractor retained by City, Notwithstanding the above, Contractor may transfer and assign its rights, or delegate its duties or obligations without the prior written consent of The City of Santa Ana in the event of a merger, integration, reorganization, corporate restructuring or the sale of all or substantially all its assets, In case of such transfer or assignment, Contractor shall take care that the transferee, assignee or successor will comply with the terns and conditions of this Agreement. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. For a termination for convenience, the termination shall be effective upon Contractor's receipt of City's written notice of such termination. For a termination for cause, the termination shall be effective thirty (30) days after Contractor's receipt of City's written notice thereof and Contractor's failure during that period to cure the cause or default which is at issue and the reason for the notice of termination, or reasonably initiate a cure during such time. In such event, Contractor shall be entitled to receive, and the City shall pay Contractor within sixty (60) days compensation for all services performed by Contractor 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 Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be property of the City unless prohibited by law, and Contractor 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 perfornmance specified in the Recitals of this Agreement. 14. DISCRIMINATION Contractor shall not discritr nate 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 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. 20B-13 16. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of services hereunder and required by the laws and regulations of the United Sates, 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/real or tangible property that occur as a result of the fault or negligence of said Contractor or its subcontractors, agents, employees, or other persons acting on their behalf in comicotion with the performance of this Agreement. 18. FAILURE TO PERFORM SATISFACTORILY a. Contractor aclmowledges and agrees that subject to the notice provisions in Article 10 and except in cases of force maj eure, if the Contractor fails to perform the work as specified herein, the Director, 1) will pay only for the amount of service received as determined by the Director with an appropriate downward adjustment in contract price; or 2) may have such required work done by City forces or otherwise, and charge the cost thereof to the Contractor. Such adjustments will be the estimated cost for performance by City forces plus City overhead and wilt include overtime pay as required to complete work. b. If Contractor performs the work in such a manner that the amount of payment withheld due to substandard performance, nonperformance and/or forfeiture for non - completion per schedule totals five percent (5%) of the total contract price, the City shalt notify the Contractor of such noncompliance. If the Contractor continues to perform the work in such a manner that the amount of payment withheld due to substandard performance, nonperformance and/or forfeiture for non - completion per schedule totals ten percent (10 %) of the total contract price, this Agreement may be terminated at the City's option. In the event of termination for unsatisfactory performance, the original Contractor shall reimburse the City for damage accrued due to changing contractors. 19. SAFETY REQUIREMENTS All work performed under this contract shall be performed in such a manner as to provide required maximum safety to the public and where applicable, comply with all safety standards required by CAL- OSIIA. The Director reserves the right to issue restraint or cease and desist orders to the Contractor when unsafe or harmful acts are observed or reported relative to the performance of the work under this contract. 20. HAZARDOUS CONDITIONS The Contractor shall maintain all work sites free of hazards to persons and/or property resulting from its operations. Any hazardous condition noted by the Contractor, which is not a result of its operations, shall be immediately reported to the Public Works Agency, 21. ACCESS TO PRIVATE PROPERTY Prior to the commencement of any work that will restrict access to private property the Contractor shall notify each affected property owner or responsible person, informing him or her of the nature of and the approximate duration of the restriction. 20B44 22. PROTECTION AND RESTORATION OF EXISTING IMPROVEMENTS The Contractor shall be responsible for the protection of all improvements adjacent to the work, such as sprinkler systems, drain pipes, lawns, brick work, plantings, masonry work, fences, wall, sidewalks, street paving, etc,, located on either public or private property. If any improvements are damaged they shall be replaced in kind at the Contractor's expense. 23. TRAFFIC CONTROL The Contractor shall conduct all work in a manner that will insure continuous traffic flow on the street at all times. In situations where it is necessary to restrict traffic flow per WATCH, the Contractor will contact the Director for approval. 24. MISCELLANEOUS TRAFFIC DEVICES Contractor shall provide all traffic control and miscellaneous traffic devices which may be required for routine and /or extraordinary maintenance pursuant to this Agreement. Signs used for handling traffic during the course of this contract shall be in accordance with the WATCH published by Building News, Inc., and made a part of these special provisions. The method in which signs, barriers and other miscellaneous traffic devices are used during construction and /or repair shall be in accordance with the publication mentioned. A copy of said publication is on file in the Santa Ana Public Works Agency— Construction Engineering Division. All signs shall be illuminated or reflectorized when they are used during hours of darkness. All cones, pylons, barricades, or posts used in the diversion of traffic shall be provided with flashers, or other satisfactory illumination if in place during hours of darkness. All traffic control devices shall be maintained in a like new condition at all times. 25. WORK BY CITY FORCES BECAUSE OF NONCONFORMANCE TO CONTRACT Should the Contractor fail to correct deficiencies or public nuisances that have been created because of its operation, then such deficiency or public nuisance will be considered to be of an emergency nature and cause the City to make corrective work. Such work will be done on a force account basis with an additional callout charge of Two Hundred Dollars ($200.00) for each callout. 26. APPRENTICESHIP STANDARDS Where required under law, Contractor shall assume full responsibility for compliance with apprenticeship standards as established by Section 1777.5 of the California State Labor Code, 27, SUBCONTRACTORS The Contractor shall not, without the written consent of the City: a. Substitute any person or firm as subcontractor in place of the subcontractor designated in'the original proposal. b. Permit any subcontract to be assigned or transferred or allow it to be performed by anyone other than the original subcontractor listed in the proposal. 20B -1'5 c. Subcontract any portion of the work after bid is submitted if the cost thereof exceeds one -half (1 /2) of one (1) percent of the total proposal and a subcontractor was not designated for the work in the original proposal. 28. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the 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 fully set forth in the body of this Agreement. (Signatures on following page) 20B -16 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: Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Director, Public Works Agency CITY OF SANTA ANA David Cavazos City Manager POWERLUX CORPORATION Ken Lau President Tax ID# 20B217 ri- AGREEMENT FOR PROVISION OF ELECTRICAL CONTRACTING SERVICES THIS AGREEMENT ( "Agreement "), made and entered into this 2 "d day of December, 2014, by South Coast Lighting and Design, 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 "). A. The City desires to retain a Contractor having special skill and knowledge in the field of LED streetlight manufacturing. B. Contractor represents that it 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 contractor 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 install new LED fixtures (hereinafter "Project "), as set forth in Request for Proposals and Contractor's Proposal, attached hereto and incorporated herein as Exhibit A. Contractor shall perform all work items required by this Agreement within a period of ten (10) weeks from the date of the commencement of this Agreement. 2. COMPENSATION a. The Contractor agrees to accept as total payment for its services, a fixed price of $105,059. The City has allocated an additional $15,741 contingency amount, to be expended only at the written direction of the Executive Director of Public Works or his designee for additional services required due to unforeseen circumstances. The total sum to be expended under this Agreement shall not exceed $120,800 during the term of this Agreement. b. Payment to Contractor for the City paid portion of the contract shall be made after completion and City acceptance of the Project. Contractor shall submit a detailed report of work performed and materials used in the Project. Within sixty (60) days after receipt of such report, City shall pay Contractor, 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. 20B -19 3. TERM This Agreement shall commence on the date first written above and terminate on May 5, 2015 unless terminated earlier in accordance with Section 13, 4, OWNERSHIP OF REPORTS AND DOCUMENTS The originals of all maps, drawings, plans, graphs, letters, documents, reports and other products and. data produced under this Agreement shall be delivered to, and become the property of City, Copies may be made for Contractor's records but shall not be furnished to others without written authorization from City. Such deliverables shall be deemed works made for hire and all rights in copyright therein shall be retained by City. 5. 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 or a joint venture relationship; however, the services to be provided by Contractor shall be provided in a maser 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. & INSURANCE Prior to undertaking performance of work under this Agreement, contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured($); (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 One Million Dollars ($1,000,000.00) per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Workers 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 Workers 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 One Million Dollars ($1,000,000.00) 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 One Million Dollars ($1,000,000.00) per claim. section: e. The following requirements apply to the insurance to be provided by Contractor pursuant to this 20B-20 (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 cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. 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 expanded 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. HOLD HARMLFSS/INDFMNIFICATION To the fullest extent permitted by law, Contractor 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 contract (including, without limitation defects in workmanship and/or materials) or contractor's presence or activities conducted perforating the work (including the negligent and/or willful acts, errors and/or omissions of contractor, 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 contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terns of this contract. 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 Contractor. The Contractor further agrees to indemnify, hold harmless, and pay all cost for the defense of the City, including reasonable fees and costs for special counsel to be selected by the City, regarding any action by a third party. City may make all reasonable decisions with respect to its representative in any legal proceeding. 8. 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 panty is covered by this Agreement. The foregoing obligations of nonuse and nondisclosure shall not apply to any information that 1) has been disclosed in publicly available sources; 2) is, through no fault of the Contractor, disclosed in a publicly available source; 3) is in rightful possession of the Contractor without an obligation of confidentially; 4) is required to be disclosed by operation of law; or 5) is independently developed by the Contractor without reference to information disclosed by the City. 20B-21 9. 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 if services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other' communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile 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 P.O. Sox 1988 M -30 Santa Ana, CA 92702 -1988 Fax: 714- 647 -6956 Copies to: Executive Director, Public Works Agency City of Santa Ana P.O. Box 1988 M -21 Santa Ana, CA 92702 Fax: 714 -647 -5069 City Attorney City of Santa Ana P.O. Box 1988 M -29 Santa Ana, CA 92702 Fax: 714- 647 -6515 Contractor: South Coast Lighting and Design, Inc Attn: Jon -Eric Samanello 1391 Calle Avanzado San Clemente, CA 92673 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered, or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other 20B-22 instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate neither Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein, 12. 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 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 the City personnel or by other Contractor retained by City, Notwithstanding the above, Contractor may transfer and assign its rights, or delegate its duties or obligations without the prior written consent of The City of Santa Ana in the event of a merger, integration, reorganization, corporate restructuring or the sale of all or substantially all its assets, In case of such transfer or assignment, Contractor shall take care that the transferee, assignee or successor will comply with the terms and conditions of this Agreement. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. For a termination for convenience, the termination shall be effective upon Contractor's receipt of City's written notice of such termination. For a termination for cause, the termination shall be effective thirty (30) days after Contractor's receipt of City's written notice thereof and Contractor's failure during that period to cure the cause or default which is at issue and the reason for the notice of termination, or reasonably initiate a cure during such time. In such event, Contractor shall be entitled to receive, and the City shall pay Contractor within sixty (60) days compensation for all services performed by Contractor 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 Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be property of the City unless prohibited by law, and Contractor 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. 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 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. 20B -23 16. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of services hereunder and required by the laws and regulations of the United Sates, 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, RESPONSIBILPPY FOR DAMAGES The Contractor shall be responsible for all damages to persons and/real or tangible property that occur as a result of the fault or negligence of said Contractor or its subcontractors, agents, employees, or other persons acting on their behalf in connection with the performance of this Agreement. 18. FAILURE TO PERFORM SATISFACTORILY a. Contractor acknowledges and agrees that subject to the notice provisions in Article 10 and except in cases of force majeure, if the Contractor fails to perform the work as specified herein, the Director, I) will pay only for the amount of service received as determined by the Director with an appropriate downward adjustment in contract price, or 2) may have such required work done by City forces or otherwise, and charge the cost thereof to the Contractor. Such adjustments will be the estimated cost for performance by City forces plus City overhead and will include overtime pay as required to complete work. b. If Contractor performs the work in such a manner that the amount of payment withheld due to substandard performance, nonperformance and/or forfeiture for non - completion per schedule totals five percent (5 %) of the total contract price, the City shall notify the Contractor of such noncompliance. If the Contractor continues to perform the work in such a manner that the amount of payment withheld due to substandard performance, nonperformance and/or forfeiture for non- completion per schedule totals ten percent (t0 %) of the total contract price, this Agreement may be terminated at the City's option In the event of termination for unsatisfactory performance, the original Contractor shall reimburse the City for damage accrued due to changing contractors. 19. SAFETY REQUIREMENTS All work performed under this contract shall be performed in such a manner as to provide required maximum safety to the public and where applicable, comply with all safety standards required by CAL- OSI-IA. The Director reserves the tight to issue restraint or cease and desist orders to the Contractor when unsafe or harmful acts are observed or reported relative to the performance of the work tinder this contract. 20. HAZARDOUS CONDITIONS The Contractor shall maintain all work sites free of hazards to persons and /or property resulting from its operations. Any hazardous condition noted by the Contractor, which is not a result of its operations, shall be immediately reported to the Public Works Agency. 21. ACCESS TO PRIVATE PROPERTY Prior to the commencement of any work that will restrict access to private property the Contractor shall notify each affected property owner or responsible person, informing him or her of the nature of and the approximate duration of the restriction. 22. PROTECTION AND RESTORATION OF EXISTING IMPROVEMENTS The Contractor shall be, responsible for the protection of all improvements adjacent to the work, such as sprinkler systems, drain pipes, lawns, brick work, plantings, masonry work, fences, wall, sidewalks, street paving, etc, located on either public or private property. If any improvements are damaged they shall be replaced in kind at the Contractor's expense. 23. TRAFFIC CONTROL The Contractor shall conduct all work in a manner that will insure continuous traffic flow on the street at all times. In situations where it is necessary to restrict traffic flow per WATCH, the Contractor will contact the Director for approval. 24. MISCELLANEOUS TRAFFIC DEVICES Contractor shall provide all traffic control and miscellaneous traffic devices which may be required for routine and /or extraordinary maintenance pursuant to this Agreement. Signs used for handling traffic during the course of this contract shall be in accordance with the WATCH published by Building News, Inc., and made a part of these special provisions. The method in which signs, barriers and other miscellaneous traffic devices are used during construction and /or repair shall be in accordance with the publication mentioned. A copy of said publication is on file in the Santa Ana Public Works Agency — Constriction Engineering Division. All signs shall be illuminated or reflectorized when they are used during hours of darkness. All cones, pylons, barricades, or posts used in the diversion of traffic shalt be provided with flashers, or other satisfactory illumination if in place during hours of darkness. All traffic control devices shall be maintained in a like new condition at all times. 25. WORD BY CITY FORCES BECAUSE OF NONCONFORMANCE TO CONTRACT Should the Contractor fail to correct deficiencies or public nuisances that have been created because of its operation, then such deficiency or public nuisance will be considered to be of an emergency nature and cause the City to make corrective work. Such work will be done on a force account basis with an additional callout charge of Two Hundred Dollars ($200.00) for each callout. 26. APPRENTICESHIP STANDARDS Where required under law, Contractor shall assume full responsibility for compliance with apprenticeship standards as established by Section 1777.5 of the California State Labor Code. 27. SUBCONTRACTORS The Contractor shall not, without the written consent of the City: a. Substitute any person or firm as subcontractor in place of the subcontractor designated in the original proposal. b, Permit any subcontract to be assigned or transferred or allow it to be performed by anyone other than the original subcontractor listed in the proposal, 20B -2'5 c. Subcontract any portion of the work after bid is submitted if the cost thereof exceeds one -half (1/2) of one (1) percent of the total proposal and a subcontractor was not designated for the work in the original proposal. 28. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on following page) r�- IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Cleric of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour, Executive Director Public Works Agency CITY OF SANTA ANA David Cavazos City Manager SOUTH COAST LIGHTING Jon -Eric Santanello Vice President Tax ID# r�- AGREEMENT FOR PROVISION OF ELECTRICAL CONTRACTING SERVICES THIS AGREEMENT ( "Agreement "), made and entered into this 2 " day of December, 2014, by Amiran Construction Company, 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"). A. The City desires to retain a Contractor having special skill and knowledge in the field of outdoor light repair and installation. B. Contractor represents that it 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 contractor in the field. NOW THEREFORE, inconsideration 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 remove and dispose of the existing flush mount and pole mount lighting in the Santa Ana Regional Transportation Center Parking Structure and replace with new LED fixtures (hereinafter "Project "), as set forth in Request for Proposals and Contractor's Proposal, attached hereto and incorporated herein as Exhibit A. Contractor shall perform all work items required by this Agreement within a period of ten. (10) weeks from date of the commencement of this Agreement. 2. COMPENSATION a. The Contractor agrees to accept as total payment for its services, a fixed price of $76,985.00. The City has allocated an additional $7,699 contingency amount; to be expended only at the written direction of the Executive Director of Public Works or his designee for additional services required due to unforeseen circumstances. The total sum to be expended under this Agreement shall not exceed $84,680 during the terns of this Agreement. b. Payment to Contractor for the City paid portion of the contract shall be made after completion and City acceptance of the Project, Contractor shall submit detailed report of work performed and materials used in the Project. Within sixty (60) days after receipt of such report, City shall pay Contractor, 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. 20B -29 3. TERM This Agreement shall commence on the date first written above and terminate an May 5, 2015 unless terminated earlier in accordance with Section 13. 4. OWNERSHIP OF REPORTS AND DOCUMENTS The originals of all maps, drawings, plans, graphs, letters, documents, reports and other products and data produced under this Agreement shall be delivered to, and become the property of City. Copies may be made for Contractor's records but shall not be famished to others without written authorization from City. Such deliverables shall be deemed works made for hire and all rights in copyright therein shall be retained by City. S. 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 or a joint venture relationship; 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement. The amounts of insurance shall be not less than the following; single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than One Million Dollars ($1,000,000.00) per occurrence. Such insurance shall include coverage for owned, hired and non - owned automobiles. c. Workers 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 Workers 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 One Million Dollars ($1,000,000.00) 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 One Million Dollars ($1,000,000.00) per claim. section: e. The following requirements apply to the insurance to be provided by Contractor pursuant to this 20B -30 (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 cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. 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 expanded 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. 7. HOLD HARIIILESSJNDEMNIFICATION To the fullest extent permitted by law, Contractor 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 contract (including, without limitation defects in workmanship and/or materials) or contractor's presence or activities conducted perforrning the work (including the negligent and /or willful acts, errors and/or omissions of contractor, 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 contractor to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of this contract. 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 Contractor. The Contractor further agrees to indemnify, hold harmless, and 'pay all cost for the defense of the City, including reasonable fees and costs for special counsel to be selected by the City, regarding any action by a third party. City may make all reasonable decisions with respect to its representative in any legal proceeding. 8. 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 nonuse and nondisclosure shall not apply to any information that 1) has been disclosed in publicly available sources; 2) is, through no fault of the Contractor, disclosed in a publicly available source; 3) is in rightful possession of the Contractor without an obligation of confidentially; 4) is required to be disclosed by operation of law; or 5) is independently developed by the Contractor without reference to information disclosed by the City. 20B -31 9. 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 if services specified cinder this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by 'first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic connnunication in the manner provided in this section, to the following persons: To City: Cleric of the City Council City of Santa Ana P.O. Box 1988 M -30 Santa Ana, CA 92702 -1988 Fax: 714- 647 -6956 Copies to: Executive Director, Public Works Agency City of Santa Ana P.O. Box 1988 M -21 Santa Ana, CA 92702 Fax: 714 -647 -5069 City Attorney City of Santa Ana P.O. Box 1988 M -29 Santa Ana, CA 92702 Fax: 714- 647 -6515 Contractor: Amlran Construction Attu: FrankMidahangir 15145 Woodlawn Ave. Suite 200 Tustin, CA 92780 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other 20B -32 instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate neither Contractor nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 12. 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 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 the City personnel or by other Contractor retained by City. Notwithstanding the above, Contractor may transfer and assign its rights, or delegate its duties or obligations without the prior written consent of The City of Santa Ana in the event of a merger, integration, reorganization, corporate restructuring or the sale of all or substantially all its assets. In case of such transfer or assignment, Contractor shall take care that the transferee, assignee or successor will comply with the terms and conditions of this Agreement. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. For a ternination for convenience, the termination shall be effective upon Contractor's receipt of City's written notice of such termination. For a termination for cause, the termination shall be effective thirty (30) days after Contractor's receipt of City's written notice thereof and Contractor's failure during that period to cure the cause or default which is at issue and the reason for the notice of termination, or reasonably initiate a cure during such time. In such event, Contractor shall be entitled to receive, and the City shall pay Contractor within sixty (60) days compensation for all services performed by Contractor 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 Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be property of the City unless prohibited by law; and Contractor 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. 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 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, 20B -33 16, PROFESSIONAL LICENSES Contractor shall, throughout the tern of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of services hereunder and required by the laws and regulations of the United Sates, 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. RESPONStBILITY FOR DAMAGES The Contractor shall be responsible for all damages to persons and /real or tangible property that occur as a result of the fault or negligence of said Contractor or its subcontractors, agents, employees, or other persons acting on their behalf in connection with the performance of this Agreement. 18. FAILURE TO PERFORM SATISFACTORILY a. Contractor acknowledges and agrees that subject to the notice provisions in Article 10 and except in cases of force majeure, if the Contractor fails to perform the work as specified herein, the Director, 1) will pay only for the amount of service received as determined by the Director with an appropriate downward adjustment in contract price, or 2) may have such required work done by City forces or otherwise, and charge the cost thereof to the Contractor. Such adjustments will be the estimated cost for performance by City forces plus City overhead and will include overtime pay as required to complete work. b. If Contractor performs the work in such a manner that the amount of payment withheld due to substandard performance, nonperformance and /or forfeiture for non - completion per schedule totals five percent (5 %) of the total contract price, the City shall notify the Contractor of such noncompliance. If the Contractor continues to perform the work in such a manner that the amount of payment withheld due to substandard performance, nonperformance and /or forfeiture for non - completion per schedule totals ten percent (10 %) of the total contract price, this Agreement may be terminated at the City's option, In the event of termination for unsatisfactory performance, the original Contractor shall reimburse the City for damage accrued due to changing contractors. 19. SAFETY REQUIREMENTS All work performed under this contract shall be performed in such a manner as to provide required maximum safety to the public and where applicable, comply with all safety standards required by CAL -OSHA. The Director reserves the right to issue restraint or cease and desist orders to the Contractor when unsafe or harmful acts are observed or reported relative to the performance of the work under this contract. 20. HAZARDOUS CONDITIONS The Contractor shall maintain all work sites free of hazards to persons and /or property resulting from its operations. Any hazardous condition noted by the Contractor, which is not a result of its operations, shall be immediately reported to the Public Works Agency. 21. ACCESS TO PRIVATE PROPERTY Prior to the commencement of any work that will restrict access to private property the Contractor shall notify each affected property owner or responsible person, informing him or her of the nature of and the approximate duration of the restriction. 20B-34 22. PROTECTION AND RESTORATION OF EXISTING IMPROVEMENTS The Contractor shall be responsible for the protection of all improvements adjacent to the work, such as sprinkler systems, drain pipes, lawns, brick work, plantings; masonry work, fences, wall, sidewalks, street paving, etc., located on either public or private property. If any improvements are damaged they shall be replaced in kind at the Contractor's expense. 23. TRAFFIC CONTROL The Contractor shall conduct all work in a manner that will insure continuous traffic flow on the street at all times. In situations where it is necessary to restrict traffic flow per WATCH, the Contractor will contact the Director for approval 24. MISCELLANEOUS TRAFFIC DEVICES Contractor shall provide all traffic control and nscellaneous traffic devices which may be required for routine and/or extraordinary maintenance pursuant to this Agreement. Signs used for handling traffic during the course of this contract shall be in accordance with the WATCH published by Building News, Inc., and made a part of these special provisions. The method in which signs, barriers and other miscellaneous traffic devices are used during constriction and/or repair shall be in accordance with the publication mentioned. A copy of said publication is on file in the Santa Ana Public Works Agency — Construction Engineering Division. All signs shall be illuminated or reflectorized when they are used during hours of darkness. All cones, pylons, barricades, or posts used in the diversion of traffic shall be provided with flashers, or other satisfactory illumination if in place during hours of darkness. All traffic control devices shall be maintained in a like new condition at all times. 25. WORK BY CITY FORCES BECAUSE OF NONCONFORMANCE TO CONTRACT Should the Contractor fail to correct deficiencies or public nuisances that have been created because of its operation, then such deficiency or public nuisance will be considered to be of an emergency nature and cause the City to make corrective work. Such work will be done on a force account basis with an additional catlout charge of Two Hundred Dollars ($200.00) for each eallout. 26. APPRENTICESHIP STANDARDS Where required under law, Contractor shall assume full responsibility for compliance with apprenticeship standards as established by Section 1777.5 of the California State Labor Code. 27, SUBCONTRACTORS The Contractor shall not, without the written consent of the City: a. Substitute any person or firm as subcontractor in place of the subcontractor designated in the original proposal. b. Permit any subcontract to be assigned or transferred or allow it to be performed by anyone other than the original subcontractor listed in the proposal. 20B -35 e, Subcontract any portion of the work after bid is submitted if the cost thereof exceeds one -half (1/2) of one (1) percent of the total proposal and a subcontractor was not designated for the work in the original proposal. 28. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature; herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on following page) 20B -36 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' ` C Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour, Executive Director Public Works Agency CITY OF SANTA ANA David Cavazos City Manager Amiran Construction Company, a California corporation Frank Midahangir 9 20B -37 V rl- On -Bill Financing Agreement This On -Bill Financing Agreement ( "OBF Agreement ") is entered into on 20_, (the "Effective Date ") by and between the undersigned customer ( "Customer ") and Southern California Edison Company ( "SCE ") (each a "Party," collectively the "Parties") Recitals 1. Customer and SCE entered into the Energy Management Solutions Incentives Application for Business Customers on or about 20_ and If applicable, the Customized Solutions Agreement (individually or collective)y referred to as "EMS Agreement "), which is /are attached hereto and incorporated herein by reference. 2. Customer owns, leases or rents the propert y listed in the EMS Agreement as the Site and maintains a service account(s) with SCE for electric service. Customer has completed installation of eligible energy efficient equipment ( "Equipment ") at the Site as set forth In the EMS Agreement and has accepted the equipment as being operational and in good working order. 3. In Decision 09 -09 -047, the California Public Utilities Commission authorized SCE to provide zero - percent interest financing for the installation of certain energy efficient equipment, which is to be repaid over a specified period through the Customer's electric utility bill(s) ( "On -Bill Financing "), 4. Customer desires to enter into this OBF Agreement in order to participate in SCE's On -Bill Financing program and Customer agrees to repay SCE the Amount Financed (as defined under "Loan Terms ", below) through the Customer's SCE utility bill(s) pursuant to the terms and conditions of this OBF Agreement. NOW, THEREFORE, in consideration of the mutual promises and covenants contained herein, the Parties agree as follows: Terms and Conditions Defined Terms: Except as the context otherwise requires, capitalized terms used in this OBF Agreement without definition shall have the same meanings as are set forth in the EMS Agreement. Amount Financed: Within thirty (30) days after the Effective Date, SCE will provide a payment for the Amount Financed to Customer or to a third -party pa as designated by Customer under the Loan Terms, below. Customer's designation of a third party payee may not be changed or revoked. Loan Terms: Amount Financed ( "Amount Financed" ) : .00 interest Rate: 0% Fees: Months to Pay: "Fi"rsi` (56t Payment Remaining Monthly Payments: Service Account to be Billed: Designated Third-Party Payee if an Address of Designated Third - Part Payee: If more than one Service Account will be billed, information regarding the Service Account number and monthly payment is included in Schedule A attached. Form 14 -792 05/2012 20B -39 Promise to Pay: Customer promises to pay SCE the Amount Financed in equal monthly installments as set forth in the section above and /or Schedule A (Customer's "Loan Obligation "). The first Monthly Payment of Customers Loan Obligation will appear within sixty (60) days from the Effective Date on Customer's SCE utility bill(s) for the Service Account(s) listed above. Manner of Payment: Customer's Monthly Payment amount will appear as a line item labeled "EE/OBF Installment Charge" on the monthly SCE utility bill(s) for Customer's Service Account($), Customer may pay the Loan Obligation in the monthly installments or pre -pay the Loan Obligation in one lump sum without penalty, but pre - payments for less than the remaining balance will not be allowed. Customer's Loan Obligation will appear on Customer's monthly SCE utility bill(s) for the number of months set forth above, or until the Loan Obligation is paid in full by Customer, whichever occurs first. Customer shall make payments to SCE as directed in the SCE utility bill(s). Partial Payments: If Customer is unable to make a full payment of the Loan Obligation in any given month, payment arrangements may be made at SCE's sole discretion. Any partial payments will be applied In equal proportion to the energy charges and the Loan Obligation, and Customer will be considered to be delinquent and in default of both the energy bill and the Loan Obligation. Late Payments: No late payment charges or interest will be assessed for delinquent payments on the Loan Obligation. However, SCE may assess late payment charges for delinquent payments of energy charges pursuant to SCE's Rule 9 which is incorporated herein by reference. Returned Payments: SCE may require payment of a $10.00 Returned Check Charge for any check returned from Customer's financial institution unpaid. The Returned Check Charge will also apply to any forms of payment that are subsequently dishonored. Discontinuance of Service: Amounts due under this OBF Agreement will be amounts deemed due under each SCE utility bill to the Customer's Service Account(s), and a default under this OBF Agreement will be treated as a default under the Customer's Service Account(s). Customer's Loan Obligation is subject to the discontinuance provisions of SCE's Rule 11, Discontinuance and Restoration of Service, Section B, Nonpayment of Bills or Summary Bills which is incorporated herein by reference. Breach and Acceleration: Any breach by Customer under the EMS Agreement or this OBF Agreement shall constitute a breach under all of the above referenced agreements. For purposes herein, SCE may determine the OBF Agreement to be breached and Customer to be in default if Customer: (1) sells, assigns or otherwise transfers ownership, possession or title of the Site or the Equipment, (2) fails to pay the Monthly Payment amount when due, (3) closes, discontinues or otherwise causes the termination of the Service Account(s), or (4) otherwise breaches this OBF Agreement and/or the EMS Agreement, and the breach is not cured as specified therein. Notwithstanding anything to the contrary in the EMS Agreement, a breach and default as set forth in this section shall not be subject to any additional cure period. Following a breach as set forth in this section, SCE shall have the right to declare the entire unpaid balance of the Loan Obligation immediately due and payable. Purchase Money Security Interest: Customer hereby agrees that SCE may, but is not obligated to, file a UCC -1 ( "Financing Statement ") against the Equipment to secure Customer's obligation to repay the Amount Financed. Customer agrees to execute any and all documents in connection with the Financing Statement in order for SCE to perfect its security interest in the Equipment. Customer agrees that SCE is not waiving any of its rights of recovery as against the Customer should SCE elect to file a Financing Statement. Farm 14 -792 2 05/2012 r1- -1 Confession of Judgment; Customer irrevocably authorizes and empowers SCE and SCE's attorneys, upon breach and default by Customer as described in the preceding section, to appear in any state or federal court in Los Angeles County, California, as Customer's attorney -in -fact and confess judgment against Customer by entry of a confession of judgment pursuant to Code of Civil Procedure § 1132 et. seq., or by any other appropriate means, for the full amount due plus all costs of collection, including without limitation court costs and reasonable attorneys' fees. No single exercise of the foregoing power to confess judgment will be deemed to exhaust the power, whether or not any such exercise shall be held by any court to be invalid, voidable, or void; but the power will continue undiminished and may be exercised from time to time as SCE may elect until all amounts owing under this OBF Agreement have been paid in full. Modification: Any change to this OBF Agreement must be in writing and signed by Customer and SCE; except that during any given month, if Customer is unable to make full payment on the Loan Obligation, payment arrangements may be made at SCE's sole discretion without modifying this OBF Agreement in writing. Any written modification or amendment will not be effective unless and until signed by SCE or such condition is waived by SCE in its sole and absolute discretion. Term and Termination: It is the Parties intent that the term of this OBF Agreement and the EMS Agreement run concurrently. Therefore, the OBF Agreement shall continue in effect until the Loan Obligation is paid in full Assignment; Notwithstanding anything to the contrary in this OBF Agreement, Customer may not assign its rights or delegate its duties under the Agreement. Additional Representations: Each person signing this OBF Agreement represents and warrants that he or she Is duly authorized and has the legal capacity to execute and deliver this OBF Agreement on behalf of Customer, and to perform their obligations under this OBF Agreement. Customer further represents and warrants that if it Is a legal entity, it is in good standing in its state of formation. Miscellaneous: Except as otherwise specifically provided herein, all terms, provisions, covenants, representations, warranties, agreements and conditions of the EMS Agreement shall remain unchanged and in full force and effect. Should a conflict exist between this OBF Agreement, the EMS Agreement and the documents incorporated by reference, this OBF Agreement shall control. This OBF Agreement shall be construed and interpreted in accordance with, and shall be governed and enforced In all respects according to, the laws of the State of California. This OBF Agreement may be executed In one or more counterparts, each of which shall be deemed an original but all of which shall constitute one and the same instrument. If any one or more of the provisions contained in this OBF Agreement shall for any reason be held to be invalid, illegal or unenforceable in any respect, then this OBF Agreement shall be construed as if such invalid, illegal or unenforceable term or provision had never been contained herein and all other provisions of this OBF Agreement shall be construed to remain fully valid, enforceable and binding on the parties. The Recitals set forth above are hereby incorporated herein by reference. [Remainder of page intentionally left blank] Form 14 -792 05/2012 20B -41 IN WITNESS WHEREOF, the Parties have executed this OBF Agreement as of the Effective Date. Customer: Authorized Representative: Southern California Edison Company: Authorized Representative: Title: Title: Signature: Signature: Date: Date: Business Address: Business Address: Telephone No. Telephone No. Fax No. Fax No. E -Mail Address: E -Mail Address: APPROVED AS TO FORM LISA E, STORCK Assistant City Attorney Form 14 -792 0512012 20B-42 Customer Name: OBF Loan Number: Site Service Account Number OBF Billing Repayment Service Account Number 1' Monthly OBF Loan Payment Remaining Monthly OBF Loan Payments X -XXX- XXXX -XX X- XXX- XXXX -XX $XX.XX $XXX.XX per month for X months Total Monthly Repayment $XX.XX $XXX.XX per month for X months Form 14 -792 05/2012 20B-43 r�- „ REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: AGREEMENT WITH STATE WATER RESOURCES CONTROL BOARD AND REVISION OF THE FY 2014115 CAPITAL IMPROVEMENT PROGRAM FOR PROPOSITION 40 STORM WATER GRANT FUNDING (STRATEGIC PLAN NO. 5, 2) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an agreement with the California State Water Resources Control Board, subject to nonsubstantive changes by the City Manager and City Attorney, for Proposition 40 Storm Water Grant Program. 2. Approve an appropriation adjustment recognizing Proposition 40 State Grant Funds in the amount of $288,898 into the States Grants — Direct revenue account and appropriating the same amount to the Public Works Water Quality & Control expenditure account for the Morrison Park Low Impact Development Improvements Project. 3. Approve a revision of the Fiscal Year 2014/15 Capital Improvement Program to add the Morrison Park Low Impact Improvements Project. DISCUSSION The Public Works Agency applied for funding under the State of California (State) Proposition 84 Storm Water Grant Program for the Morrison Park Low Impact Development (LID) Improvements project. The Proposition 84 Stormwater Grant Program (SWGP) provides matching grants to local public agencies for the reduction and prevention of storm water contamination of rivers, lakes, and streams. The Morrison Park LID Improvements project will reconstruct the existing parking lot with new porous asphalt pavement, and incorporate an adjacent bioretention system with drought - tolerant landscaping. 20C -1 Agreement with State Water Resources Control Board Prop 40 Storm Water Grant Funding December 2, 2014 Page 2 of 2 After receiving notification of the $288,898 grant award, the City Council approved Resolution No. 2014 -058 on September 16, 2014, authorizing the City Manager to enter into an agreement with the State of California. The agreement (Exhibit 1) presented by the State references the Proposition 40 Storm Water Grant Program instead of Proposition 84. Although the Public Works Agency applied for a Proposition 84 Grant and the State acknowledged awarding a Proposition 84 Grant, the State indicated they have chosen to apply excess Proposition 40 funds for the project and has therefore presented the City an agreement specifically referencing the Proposition 40 Storm Water Grant. Due to a recently added requirement to prepare a Monitoring Plan for the project, the City's match has increased from $72,225 to $76,831. Both the State grant award of $288,898 and the City's match had not been previously recognized in a previously approved Capital Improvement Program. Therefore, the appropriation adjustment will recognize these funds in Fiscal Year 2014 -15 and appropriate them for the Morrison Park LID Improvements project. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability; Objective #2 (expand opportunities for conservation and environmental sustainability). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended action is exempt from further review. Categorical Exemptions Environmental Review No. 2013 -91 (Project PWA- 2013- 1119 -CIP) was filed for this project. FISCAL IMPACT State grant funds in the amount of $288,898 will be deposited into the States Grants — Direct revenue account (16417002- 52025) and appropriated into the Public Works Water Quality & Control expenditure account (16417640- 66220). The City's matching share of $76,831 is available in the Federal Clean Water Protection Fund (Account No. 05717640 - 66220). /J1 J �— 'Fred Mousavipour Executive Director Public Works Agency Exhibits: 1. Agreement 2. Appropriation Adjustment APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 20Ci -2 FOR STFTE USE ONLY CGS REGISTRATION NO. PROPOSITION 40 STORMWATER GRANT PROGRAM GRANTAGREEMENT BETWEEN THE STATE WATER RESOURCES CONTROL BOARD, hereinafter called "State" or "State Water Board" AND CITY OF SANTA ANA, hereinafter called "Grantee' MORRISON PARK LOW IMPACT DEVELOPMENT (LID) IMPROVEMENTS, hereinafter called 'Project' AGREEMENT NO. 14. 449 -550 The State and Grantee hereby agree as follows: PROVISION(s). The following provision(s) authorize the State Water Board to enter into this type of Grant Agreement: Pub. Resources Code, §§ 5096.650(c)(2), 30930 (Proposition 40 Stormwater) PURPOSE. The State shall provide a grant to and for the benefit of Grantee for the purpose of replacing the existing parking lot pavement with porous pavement and incorporating bioretention system with drought tolerant landscaping adjacent to the parking lot in Morrison Park. GRANT AMOUNT. The maximum amount payable under this Agreement shall not exceed $288,898. TERM OF AGREEMENT. The term of the Agreement shall begin on DECEMBER 1, 2014 and continue through final payment plus thirty -five (35) years unless otherwise terminated or amended as provided in the Agreement. HOWEVER, ALL WORK SHALL BE COMPLETED BY AUGUST 31, 2016. ABSOLUTELY NO FUNDS MAY BE REQUESTED AFTER SEPTEMBER 30, 2016. PROJECT REPRESENTATIVES. The Project Representatives during the term of this Agreement will be: State Water Board Grantee: City of Santa Ana Name: Ruben Mora, Grant Manager Name: William Galvez, Project Director Address: 1001 1 Street 1 VR Floor Address: 20 Civic Center Plaza City, Zip: Sacramento CA 95814 City, Zip: Santa Ana, CA 92701 Phone: 916 341 -5387 Phone: 714 647 -5653 Fax: 916 341 -5296 Fax: 714 647 -5058 e -mail: Ruben.Mora aterboards.ce. ov e-mail: we alvez santa- na.or Direct all inquiries to: State Water Board Grantee: City of Santa Ana Section: Division of Financial Assistance Section: Attention: Carolyn Sa uto, Pro p ram Analyst Name: Thomas Lo Grant Contact Address: 1001 1 Street 17 Floor Address: 20 Civic Center Plaza City, Zip: Sacramento CA 95814 Ci Zi : Santa Ana CA 92701 Phone: 916 341 -5784 Phone: 714 647 -5659 Fax: 916 341 -5296 Fax: 714 647 -5058 e -mail: Carol n.Sa uto waterboards.ca. ov e -mail: tlo Santa- ana.or Either party may change its Project Representative upon written notice to the other party. EXHIBIT 1 Page 1 of 20 M& 'I City of Santa Ana State Water Board Grant Agreement No '14.4493 550 Page 2 of 20 STANonao PRavrstoNS. The allowing exhibits are attached and made a part of this Agreement by this reference. Exhibit A SCOPE OF WORK - WORK TO BE PERFORMED BY THE GRANTEE Exhibit B INVOICING, BUDGET DETAIL AND REPORTING PROVISIONS Exhibit GENERAL TERMS & CONDITIONS Exhibit SPECIAL CONDITIONS GRANTEF REPRESENTATIONS. The Grantee accepts and agrees to comply With all terms, provisions, conditions, antl commitments of this Agreement, including all incorporated documents, and to m1fill all assurances, declarations, representations, and commitments made by the Grantee in its application, accompanying documents, and communications filed in support of its request for grant funding Grantee shell comply with and require its contractors and subcontractors to comply with all applicable laws, policies and regulations. W WITNESS THEREOF, the purifies have executed this Agreement on the dates set forth below. By . —__... BY - Grantee Signature Darin Polhamus, Deputy Director State Water Resources Control Board, Division of Financiai Assistance Grantee Typed/Printed Nardi Reviewed by'. Office of Chiat Counsel Date: JI r� .� �"t,�A:.IVI Jose San al S r Assls[ant City Atticii EXHIBIT 1 Page 2 of 20 20C -4 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 3 of 20 EXHIBIT A SCOPE OF WORK— WORK TO BE PERFORMED BY THE GRANTEE A. PLANS AND GENERAL COMPLIANCE REQUIREMENTS 1. In order for the State Water Board and Regional Water Quality Control Board (Regional Water Board) staff to verify work was adequately performed or conducted, Global Positioning System (GPS) information for project site and monitoring locations must be identified for this Project. Submittal requirements for GPS data are available at: http�/ /www waterboards ca aov/water issues /droamms /arants loans /arent info/docs/ope.odf. 2. The Grantee shall prepare and submit a Monitoring and Reporting Plan (MRP) that does all of the following: 1) identifies the nonpoint source(s) of pollution to be prevented or reduced by the Project; 2) describes the baseline water quality or quality of the environment to be addressed; 3) describes the manner in which the Project will be effective in preventing or reducing pollution and in demonstrating the desired environmental results; and 4) describes the monitoring program, including, but not limited to, the methodology, frequency, and duration of monitoring. The MRP shall be organized as follows, and may be submitted as separate documents or in one report. 2.1 Project Assessment and Evaluation Project Assessment and Evaluation Plan (PAEP) describes the manner in which the Project will be effective in preventing or reducing pollution and in demonstrating the desired environmental results. PAEP details the methods of measuring Project benefits and reporting them in accordance with a PAEP. Grantee shall not implement monitoring and performance assessment and /or evaluation actions prior to PAEP approval by the Grant Manager. Guidance for preparing the PAEP is available at httpY/www waterboards,ca.aov /water issues /omnramslmmnts inanslnaar,rnriav �hrry,i 2.2 Monitorina Plan All projects that include water quality or environmental monitoring must prepare a Monitoring Plan (MP). At a minimum, all MPs must: 1) describe the baseline water quality or quality of the environment to be addressed; 2) identify the non -point source(s) of pollution to be prevented or reduced by the Project; and 3) provide GPS information for all sampling locations. The MP must include a description of the monitoring program and objectives, types of constituents to be monitored, methodology, the frequency and duration of monitoring, and the sampling location for the monitoring activities. Any costs related to monitoring data collected prior to and not supported by the approved MP will not be reimbursed. Changes to the MP must be submitted to the Grant Manager for review and a decision regarding approval prior to implementation. Guidance for preparing an MP is available at: httr):/iwww.wEiterboards,ca.gov/water issues /programs /grants loans /grant info /index shtmIftens. 2.3 Quality Assurance and Project Plan If water quality monitoring is undertaken, the Grantee shall also prepare, maintain, and implement a Quality Assurance Project Plan (QAPP) in accordance with the State Water Board's Surface Water Ambient Monitoring Program's (SWAM P) QAPP and data reporting requirements, and the USEPA QAPP, EPA AQ /R5, 3/01. Water quality monitoring data includes physical, chemical, and biological monitoring of any surface water. The QAPP shall be submitted to the State Water Board's Quality Assurance Officer for review and a decision regarding approval. Any costs related to monitoring data collected prior to and not supported by the approved QAPP will not be reimbursed. Guidance for preparing the QAPP Is available at: http�//www.waterboards ca gov/water issues /programs /grants loans /grant info/index.shtml. EXHIBIT 1 Page 3 of 20 20C -5 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 4 of 20 The Grantee shall upload a pdf version of the final approved document(s) to the Financial Assistance Application Submittal Tool (FAAST) system. 2.4 Data Management The Grantee shall upload all water quality data obtained through its implementation of the MP to the California Environmental Data Exchange Network ( CEDEN). The Grantee shall also provide a receipt of successful data submission, which is generated by CEDEN, to the Grant Manager prior to submitting a final invoice. Guidance for submitting data, Including required minimum data elements and data formats, is available at htto'//www.ceden.org or the Regional Data Centers (RDCs) (Moss Landing Marine Lab, San Francisco Estuary Institute, Southern California Coastal Water Research Project, or Central Valley RDC). Contact information for the RDCs is included in the CEDEN web link. 3. Activities supported by grant funds are projects under the California Environmental Quality Act (CEQA) and must comply with CEQA requirements. Work on the Project cannot begin until the State Water Board has reviewed the CEQA documentation submitted by the Grantee and given environmental clearance. If the work Is conducted on federal land, the Grantee must also comply with the National Environmental Policy Act (NEPA). Proceeding with work subject to CEQA and /or NEPA without environmental clearance by the State Water Board shall constitute a breach of a material provision of this Agreement, 4. If public agency approvals, entitlements, or permits are required, such approvals, entitlements or permits must be obtained and signed copies submitted to the Grant Manager before work begins. If the Project is carried out on lands not owned by the Grantee, the Grantee must obtain adequate rights of way for the useful life of the Project. 5. State Disclosure Requirements — Include the following disclosure statement in any document, written report, or brochure prepared in whole or in part pursuant to this Agreement: "Funding for this project has been provided in full or in part through an agreement with the State Water Resources Control Board. The contents of this document do not necessarily reflect the views and policies of the State Water Resources Control Board, nor does mention of trade names or commercial products constitute endorsement or recommendation for use." Signage shall be posted in a prominent location at Project site (if applicable) or at the Grantee's headquarters and shall Include the State Water Board color logo (available from the Program Analyst): Water Boards and the following disclosure statement: "Funding for this project has been provided in full or in part through an agreement with the State Water Resources Control Board." 6. The Grantee shall also include in each of its contracts for work under this Agreement a provision that incorporates the requirements stated within this work item. EXHIBIT 1 Page 4 of 20 20C -6 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 5 of 20 B. PROJECT- SPECIFIC REQUIREMENTS 1. Project Management 11 Provide all technical and administrative services as needed for Agreement completion; monitor, supervise, and review all work performed; and coordinate budgeting and scheduling to ensure the agreement is completed within budget, on schedule, and in accordance with approved procedures, applicable laws, and regulations. 1.2 Notify the Grant Manager at least fifteen (15) working days in advance of upcoming meetings, workshops, and trainings. 1.3 Conduct pre -, during, and post- construction photo monitoring and submit to the Grant Manager, 1,4 Conduct periodic and final site visits with the Grant Manager. 2, Planning, Design, and Engineering 2.1 Prepare a topographic survey of the site, a permeability testing and structural pavement design, and landscape renderings and submit to the Grant Manager in an electronic format. 2.2 Complete the preliminary engineered design plans and specifications for the Installation of a minimum of eleven thousand (11,000) square feet of porous pavement and a minimum of three thousand (3,000) square feet of a bioretention system. Submit the preliminary engineered design plans and specifications to the Grant Manager in an electronic format for review and approval. 2.3 Complete the final engineered design plans and specifications and prepare a summary identifying changes from the preliminary plans in Item 2.2. Submit the final plans and summary of changes to the Grant Manager for review and approval prior to preparing bid documents in Item 2.4. 2.4 Complete the bid documents and advertise the Project for bid. Submit the awarded bid documents to the Grant Manager in an electronic format. 3. Construction and Implementation 3.1 Award the construction contract and submit the Notice to Proceed to the Grant Manager in an electronic format. 3.2 Construct the Project in accordance with the approved engineered design plans and specifications. 33 Submit as -built drawings to the Grant Manager in an electronic format. 3.4 Prepare and submit an Operations and Maintenance Plan to the Grant Manager for review and approval. 4. Monitoring and Performance 4.1 Monitor in accordance with the approved MP. 4.2 Analyze monitoring results, document implementation of monitoring in accordance with the approved MP, and include a summary report of the monitoring results in the associated quarterly progress report. A summary of all monitoring and data analysis shall be included in the Final Project Report. EXHIBIT 1 Page 5 of 20 20C -7 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 6 of 20 5. Education and Outreach 5.1 Prepare an educatlonal brochure to be distributed at one (1) outreach event highlighting stormwater quality, the impact of receiving waters, and the role of the Project and submit a copy of a brochure to the Grant Manager. 5.2 Conduct a minimum of one (1) outreach event for the surrounding neighborhood. Submit the sign - in sheet and meeting materials to the Grant Manager. 5.3 Install a minimum of one (1) permanent educational sign at the Project site and submit photo documentation of the installed sign to the Grant Manager EXHIBIT 1 Page 6 of 20 200-8 City of Santa Ana State Water Board Grant Agreement No 14 -449 -550 Page 7 of 20 TABLE OF ITEMS FOR REVIEW ITEM I DESCRIPTION CRITICAL DUE DATE ESTIMATED DUE DATE EXHIBIT A — SCOPE OF WORK —WORK TO BE PERFORMED BY THE GRANTEE A. PLANS AND GENERAL COMPLIANCE REQUIREMENTS 1. GPS Information for Project Site and Monitoring Locations Day 120 2. Monitoring and Reporting Plan 2.1 Project Assessment and Evaluation Plan (PAEP) Day 120 2.2 Monitoring Plan (MP) Day 120 2.3 Quality Assurance Project Plan (QAPP) Day 120 2.4 Proof of Water Quality Data Submission to CEDEN Before Final Invoice 3. Copy of Final CEQA/NEPA Documentation Day 90 4. Public Agency Approvals, Entitlements, or Permits As Needed B. PROJECT- SPECIFIC REQUIREMENTS 1. Project Management 1.2 Notification of Upcoming Meetings, Workshops, and Trainings Ongoing 1.3 Pre -, During, and Post - Construction Photos Ongoing 1.4 Periodic and Final Site Visits Ongoing 2. Planning, Design, and Engineering 2.1 Topographic Survey, Permeability Testing and Structural Pavement Design, and Landscape Renderings March 2015 2.2 Preliminary Engineered Design Plans and Specifications March 2015 2.3 Final Engineered Design Plans and Summary of Changes April 2015 2.4 Awarded Bid Documents August 2015 3. Construction and Implementation 3.1 Notice to Proceed 9/302015 3.3 As -Built Drawings December 2015 3.4 Operations and Maintenance Plan January 2016 4. Monitoring and Performance 4.2 Summary Report of the Monitoring Results Quarterly 5. Education and Outreach 5.1 Brochure August 2015 5.2 Sign -in Sheet and Meeting Materials August 2015 5.3 Photo of the Installed Sign December 2015 EXHIBIT 1 Page 7 of 20 20C -9 City of Santa Ana State Water Board Grant Agreement No. 14 -449 -550 Page 8 of 20 ITEM DESCRIPTION CRITICALDUE DATE ESTIMATED DUE DATE EXHIBIT B — INVOICING, BUDGET DETAIL, AND REPORTING PROVISIONS A. INVOICING Quarterly G. REPORTS 1. Progress Reports within forty -five (45) days following the end of the calendar quarter (March, June, September, and December) Quarterly 2. Annual Progress Summaries Annually by 9/30 3, Natural Resource Projects Inventory (NRPI) Survey Form (If applicable) Before Final Invoice 4. Draft Final Project Report 6/30/2016 5. Final Project Report 7/31/2016 6. Final Project Summary Before Final Invoice 7. Final Project Inspection and Certification Before Final Invoice EXHIBIT 1 Page 8 of 20 20C -10 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 9 of 20 EXHIBIT B INVOICING, BUDGET DETAIL, AND REPORTING PROVISIONS A. INVOICING 1. Invoices shall be submitted using the invoice template provided by the State Water Board, The invoice must be itemized based on the line items specified in the Budget. The original invoice shall be submitted to the State Water Board's Grant Manager on a quarterly basis consistent with the reporting schedule in Section G.1 of this exhibit. The address for submittal is: Ruben Mora, Grant Manager State Water Resources Control Board 1001 1 Street, 16th Floor Sacramento, CA 95814 2. Invoices submitted in any other format than the one provided by the State Water Board will cause an invoice to be disputed. In the event of an invoice dispute, the State Water Board's Grant Manager will notify the Grantee by initiating an "Invoice Dispute Notification" form. Payment will not be made until the dispute is resolved and a corrected invoice submitted. Failure to use the address exactly as provided above may result in return of the invoice to the Grantee. Payment shall be deemed complete upon deposit of the payment, properly addressed, postage prepaid, in the United States mail. The State Water Board Grant Manager has the responsibility for approving invoices. 3. Supporting documentation (e.g., receipts) must be submitted with each invoice to request reimbursement for grant funds as well as to support Match Funds invoiced. The amount claimed for the Personnel Services line item and Professional and Consultant Services line item must include a calculation formula (i.e., hours or days worked times the hourly or daily rate = total amount claimed). Invoice payment shall be made only after receipt of a complete, adequately supported, properly documented and accurately addressed invoice. 4. The Grantee shall not request disbursement for any cost until such cost has been incurred and has been paid by or is due and payable by the Grantee. Although it is agreed that actual payment of such cost by the Grantee is not required as a condition of the grant disbursement, all grant disbursements received by the Grantee shall be paid to contractors and vendors within thirty (30) days from receipt of the funds. In the event that the Grantee fails to disburse grant funds to contractors or vendors within thirty (30) days from receipt of the funds, the Grantee shall immedlately return such funds to the State Water Board. Interest shall accrue on such funds from the date of disbursement through the date of mailing of funds to the State Water Board. If the Grantee held such funds in interest- bearing accounts, any interest earned on the funds shall also be due to the State Water Board. 5. Notwithstanding any other provision of this Agreement, no disbursement shall be required at any time or in any manner which is in violation of, or in conflict with, federal or state laws, rules, or regulations, or which may require any rebates to the Federal Government, or any loss of tax -free status on state bonds, pursuant to any Federal statute or regulation. 6. Notwithstanding any other provision of this Agreement, the Grantee agrees that the State Water Board may retain an amount equal to ten percent (10 %) of the grant amount specified in this Agreement until completion of the Project to the reasonable satisfaction of the State Water Board. Any retained amounts due to the Grantee will be promptly disbursed to the Grantee, without interest, upon completion of the Project. 7. The invoice shall contain the following information: a. The date of the invoice; b. The time period covered by the invoice, i.e., the term "from" and "to' c. The total amount due; and d. Original signature and date (in ink) of Grantee or its authorized representative. EXHIBIT 1 Page 9 of 20 20C -11 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 10 of 20 e. Final invoice shall be clearly marked "FINAL INVOICE" and submitted NO LATER THAN SEPTEMBER 30, 2016. B. PROHIBITION OF INDIRECT COSTS The grant funds for this Agreement are the proceeds from the sale of general obligation bonds. As such, grant funds may not be used for any indirect costs. "Indirect Costs" means those costs that are incurred for a common or joint purpose benefiting more than one cost objective and are not readily assignable to the Project (i.e., costs that are not directly related to the Project). Examples of Indirect Costs include, but are not limited to: central service costs; general administration of the Grantee; non - project- specific accounting and personnel services performed within the Grantee organization; depreciation or use allowances on buildings and equipment; the costs of operating and maintaining non - project- specific facilities; tuition and conference fees; and, generic overhead or markup. Any invoice submitted including Indirect Costs will cause that invoice, in Its entirety, to be disputed and will not be paid until the dispute is resolved. This prohibition applies to the Grantee and any subcontract or sub - agreement for work on the Project that will be reimbursed with grant funds pursuant to this Agreement. (Gov. Code, § 16727.) C. BUDGET CONTINGENCY CLAUSE The maximum amount to be encumbered under this Agreement for the 2014 -15 fiscal year ending June 30, 2015 shall not exceed TWO HUNDRED EIGHTY -EIGHT THOUSAND, EIGHT HUNDRED NINETY - EIGHT DOLLARS ($288,898). If the Budget Act of the current year and/or any subsequent years covered under this Agreement does not appropriate sufficient funds for the program, this Agreement shall be of no force and effect. This provision shall be construed as a condition precedent to the obligation of the State Water Board to make any payments under this Agreement. In this event, the State shall have no liability to pay any funds whatsoever to Grantee or to furnish any other considerations under this Agreement and Grantee shall not be obligated to perform any provisions of this Agreement. Nothing in this Agreement shall be construed to provide the Grantee with a right of priority for payment over any other Grantee. If this Agreement's funding for any fiscal year is reduced or deleted by the Budget Act, by Executive Order, or by order of the Department of Finance, the State shall have the option to either cancel this Agreement with no liability occurring to the State, or offer an Agreement amendment to the Grantee to reflect the reduced amount. D. LINE ITEM BUDGET Direct Project Administration Costs Plan ning /Desig rdE ngi nee ring /Environmental Equipment ($5,000 or more per item) Construction /Implementation Monitoring /Performance Education /Outreach TOTAL E. BUDGET LINE ITEM FLEXIBILITY PROP 40 MATCH TOTAL $ 8,816 $ 2,205 $ 11,021 $ 31,440 $ 7,860 $ 39,300 $ 0 $ 0 $ 0 $ 215,856 $ 53,964 $ 269,820 $ 23,438 $ 10,465 $ 33,903 $ 9,348 $ 2,337 $ 11,685 $ 288,898 $ 76,831 $ 365,729 1. Line Item Adjustment(s). Subject to the prior review and approval of the Grant Manager, adjustments between existing line item(s) may be used to defray allowable direct costs up to fifteen percent (15 %) of the total grant amount (excluding Match Funds), including any amendment(s) thereto. Line item adjustments in excess of fifteen percent (15 %) shall require a formal Agreement amendment. If the Line Item Budget includes an amount for Personnel Services, that amount is based on the hours, EXHIBIT 1 20C -12 Page 10 of 20 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 11 of 20 classifications, and rates submitted by the Grantee in its application. Any changes to the hours, classifications, and rates must be approved, in advance and in writing, by the Grant Manager, 2. Procedure to Request an Adjustment. Grantee may submit a request for an adjustment in writing to the State Water Board. Such adjustment may not increase or decrease the total grant amount allocated per fiscal year. The Grantee shall submit a copy of the original Agreement Budget sheet reflecting the requested changes. Changes shall be noted by striking the original amount(s) followed with revised change(s) In bold and underlined. Budget adjustments deleting a budget line item or adding a new budget line item requires a formal amendment and are not permissible under this provision. The State Water Board may also propose adjustments to the budget. 3. Remaining Balance. In the event the Grantee does not submit invoices requesting all of the funds encumbered under this Grant Agreement, any remaining funds revert to the State. The State Water Board will mail a Notice of Project Completion letter to the Grantee stating that the project file is closed, the final invoice is being processed for payment, and any remaining balance will be disencumbered and unavailable for further use under the Grant Agreement. F. MATCH FUNDS 1. The Grantee agrees to provide match funds in the amount of SEVENTY -SIX THOUSAND, EIGHT HUNDRED THIRTY -ONE DOLLARS ($76,831) (Match Funds) for this Project. This Match Funds amount Is based on Line Item Budget categories, funding sources, and amounts submitted by the Grantee in its application and during the negotiation of this Agreement. Any Match Funds line item changes or adjustments in Match Funds classifications or sources requested by Grantee must be approved, in advance and in writing, by the Grant Manager, 2. If, upon completion of the Project, the Grantee has provided match funds in an amount that is less than the Match Funds amount set forth in paragraph F.1 above, then the State Water Board may proportionately reduce the grant amount and /or Grantee's Match Funds amount, provided the reduced amount(s) satisfy statutory requirements and State Water Board Guidelines. G. REPORTS 1, PROGRESS REPORT. Grantee shall submit quarterly progress reports to the State Water Board's Grant Manager within forty -five (45) days following the end of the calendar quarter (March, June, September, and December). a. The progress reports shall provide a brief description of the work performed, accomplishments during the quarter, milestones achieved, monitoring results (if applicable), and any problems encountered in the performance of the work under this Agreement. The Grantee shall document all contractor activities and expenditures in progress reports. b. The invoice should accompany the progress report. The invoice should reflect charges for the work completed during the reporting period covered by progress report. The invoice cannot be paid prior to submission of a progress report covering the invoice reporting period. 2. ANNUAL PROGRESS SUMMARIES. Prepare and provide an Annual Progress Summary annually by September 30. The summary must be no more than two (2) pages, and shall include pictures as appropriate. Upload an electronic copy of the Annual Progress Summary in pdf format to the FAAST system. The summary shall include the following: a. A summary of the conditions the Project is meant to alleviate, the Project's objective, the scope of the Project, and a description of the approach used to achieve the Project's objective. b. A summary of the progress made to date, significant milestones achieved, and the current schedule of completing the Project. c. An evaluation of the effectiveness of the Project to date in preventing or reducing pollution and alleviating the Project's original conditions. EXHIBIT 1 Page 11 of 20 20C -13 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 12 of 20 3. NATURAL RESOURCE PROJECTS INVENTORY (NRPI) SURVEY FORM. If available at the completion of this Project, the Grantee shall complete and submit electronically a NRPI Project Survey Form found at http://www.loe,uodavis.edutnrr)i 4 DRAFT FINAL PROJECT REPORT. Prepare and submit to the Grant Manager, for review and comment, a Draft Final Project Report in a format provided by the Grant Manager. 5. FINAL PROJECT REPORT, Prepare a Final Project Report that addresses, to the extent feasible, comments made by the Grant Manager on the Draft Final Project Report. Submit one (1) reproducible master and an electronic copy of the final. Upload an electronic copy of the final report in pdf format to the FAAST system. 6. FINAL PROJECT SUMMARY. Prepare a brief summary of the Information contained in the Final Project Report, including before and after pictures, as appropriate. Upload an electronic copy of the Final Project Summary in pdf format to the FAAST system. 7. FINAL PROJECT INSPECTION AND CERTIFICATION. Upon completion of the Project, the Grantee shall provide for a final inspection and shall certify that the Project has been completed in accordance with this Agreement, any final plans and specifications submitted to the State Water Board, and any amendments or modifications thereto. If the Project involved the planning, investigation, evaluation, design, or other work requiring interpretation and proper application of engineering, or other professionals, the final Inspection and certification shall be conducted by a California Registered Civil Engineer or other appropriate California registered professional. The results of the final inspection and certification shall be provided to the Grant Manager. 8. The Grantee agrees to expeditiously provide, during work on the Project and throughout the term of this Agreement, such reports, data, information, and certifications that may be reasonably required by the State Water Board. H. PAYMENT OF PROJECT COSTS The Grantee agrees that it will provide for payment of its full share of Project costs and that all costs connected with the Project will be paid by the Grantee on a timely basis. I. AUDIT DISALLOWANCES The Grantee agrees it shall return any audit disallowances to the State Water Board. J. FRAUD AND MISUSE OF PUBLIC FUNDS All invoices submitted shall be accurate and signed under penalty of perjury. Any and all costs submitted pursuant to this Agreement shall only be for the tasks set forth herein. The Grantee shall not submit any invoice containing costs that are ineligible or have been reimbursed from other funding sources unless required and specifically noted as such (i.e., match costs). Any eligible costs for which the Grantee Is seeking reimbursement shall not be reimbursed from any other source. Double or multiple billing for time, services, or any other eligible cost is Illegal and constitutes fraud. Any suspected occurrences of fraud, forgery, embezzlement, theft, or any other misuse of public funds may result in suspension of disbursements of grant funds and /or termination of this Agreement requiring the repayment of all funds disbursed hereunder. Additionally, the Deputy Director of the Division of Financial Assistance may request an audit pursuant to Exhibit C, paragraph 4 and refer the matter to the Attorney General's Office or the appropriate district attorney's office for criminal prosecution or the imposition of civil liability. (Civ. Code, §§ 1572 -1573; Pen. Code, §§ 470, 480 -490.) EXHIBIT 1 Page 12 of 20 20C -14 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 13 of 20 EXHIBIT C GENERAL TERMS & CONDITIONS 1. AMENDMENT: No amendment or variation of the terms of this Agreement shall be valid unless made in writing, signed by the parties and approved as required. No oral understanding or agreement not incorporated in the Agreement is binding on any of the parties. 2. APPROVAL: The Grantee will not proceed with any work on the Project until authorized in writing by the State Water Board, 3. ASSIGNMENT: This grant is not assignable by the Grantee, either in whole or in part, without the written consent of the State Water Board. 4. AUDIT: The Grantee agrees the State Water Board, the Bureau of State Audits, the Governor of the State, the Internal Revenue Service, or any authorized representative of the foregoing shall have the right to review and to copy any records and supporting documentation pertaining to the performance of this Agreement. The Division of Financial Assistance (Division), at its option, may call for an audit of financial information relative to the Project, where the Deputy Director of the Division determines that an audit is desirable to assure program integrity or where such an audit becomes necessary because of federal requirements. Where such an audit is called for, the audit shall be performed by a certified public accountant independent of the Grantee and at the cost of the Grantee. The audit shall be in the form required by the Division. The Grantee agrees to maintain such records for a possible audit for a minimum of thirty -five (35) years after final payment, unless a longer period of records retention is stipulated. The Grantee agrees to allow the auditor(s) access to such records during normal business hours and to allow interviews of any employees who might reasonably have information related to such records. Further, the Grantee agrees to include a similar right of the State to audit records and interview staff in any contract related to performance of this Agreement. (Gov. Code, § 8546.7; Pub. Contract Code, § 10115 at seq.) 5. BONDING: Where contractors are used, the Grantee shall not authorize construction to begin until each contractor has furnished a performance bond in favor of the Grantee in the following amounts: faithful performance (100 %) of contract value; labor and materials (100 %) of contract value. This requirement shall not apply to any contract for less than $25,000.00. (Civ. Code, § 9550; Pub. Contract Code, § 7103.) 6. COMPLIANCE WITH LAW, REGULATIONS, ETC.: The Grantee agrees that it will, at all times, comply with and require its contractors and subcontractors to comply with all applicable federal and state laws, rules, guidelines, regulations, and requirements. Without limitation of the foregoing, the Grantee agrees that, to the extent applicable, the Grantee will comply with the provisions of the adopted environmental mitigation plan for the term of this Agreement, or the useful life of the Project, whichever is longer. 7. COMPUTER SOFTWARE: The Grantee certifies that it has appropriate systems and controls in place to ensure that state funds will not be used in the performance of this Agreement for the acquisition, operation or maintenance of computer software in violation of copyright laws. 8. CONFLICT OF INTEREST: The Grantee certifies that it is in compliance with applicable state and /or federal conflict of interest laws. 9. CONTINUOUS USE OF PROJECT; LEASE OR DISPOSAL OF PROJECT: The Grantee agrees that, except as provided in the Agreement, it will not abandon, substantially discontinue use of, lease, or dispose of the Project or any significant part or portion thereof during the useful life of the Project without prior written approval of the Deputy Director of the Division. Such approval may be conditioned as determined to be appropriate by the Deputy Director of the Division, including a condition requiring repayment of all grant funds or any portion of all remaining grant funds covered by this Agreement together with accrued interest and any penalty assessments which may be due. 10. DAMAGES FOR BREACH AFFECTING TAX EXEMPT STATUS: In the event that any breach of any of the provisions of this Agreement by the Grantee shall result in the loss of tax exempt status for any state bonds, or if such breach shall result in an obligation on the part of the State to reimburse the federal government by EXHIBIT 1 Page 13 of 20 20C -15 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 14 of 20 reason of any arbitrage profits, the Grantee shall immediately reimburse the State in an amount equal to any damages paid by or loss incurred by the State due to such breach. 11. DATA MANAGEMENT: This Project includes appropriate data management activities so that Project data can be incorporated Into appropriate statewide data systems. 12. DISPUTES: The Grantee shall continue with its responsibilities under this Agreement during any dispute. Any dispute arising under this Agreement which is not otherwise disposed of by agreement shall be decided by the Deputy Director of the Division, or his or her authorized representative. The decision shall be reduced to writing and a copy thereof furnished to the Grantee and to the State Water Board's Executive Director, The decision of the Division shall be final and conclusive unless, within thirty (30) calendar days after mailing of the Division decision to the Grantee, the Grantee mails or otherwise furnishes a written appeal of the decision to the State Water Board's Executive Director. The decision of the State Water Board's Executive Director shall be final and conclusive unless determined by a court of competent jurisdiction to have been fraudulent, or capricious, or arbitrary, or so grossly erroneous as necessarily to imply bad faith, or not supported by substantial evidence. In connection with any appeal under this clause, the Grantee shall be afforded an opportunity to be heard and to offer evidence in support of its appeal. Pending final decision of a dispute hereunder, the Grantee shall continue to fulfill and comply with all the terms, provisions, commitments, and requirements of this Agreement. This clause does not preclude consideration of legal questions, provided that nothing herein shall be construed to make final the decision of the State Water Board, or any official or representative thereof, on any question of law. 13. ENVIRONMENTAL CLEARANCE (CEQA/NEPA/STREAMBED ALTERATION): a. No work that is subject to the California Environmental Quality Act (CEQA) or National Environmental Policy Act (NEPA) may proceed under this Agreement until documents that satisfy the CEQA/NEPA process are received by the Grant Manager and the State Water Board has given environmental clearance. No work that is subject to an Environmental Impact Report or a Mitigated Negative Declaration may proceed until and unless approved by the Deputy Director of the Division. Such approval is fully discretionary and shall constitute a condition precedent to any work for which it is required. Proceeding with work subject to CEQA and /or NEPA without environmental clearance by the State Water Board shall constitute a breach of a material provision of this Agreement. b. If this Project includes modification of a river or stream channel, it must fully mitigate environmental impacts resulting from the modification. The Grantee must provide documentation that the environmental impacts resulting from such modification will be fully mitigated considering all of the impacts of the modification and any mitigation, environmental enhancement, and environmental benefit resulting from the Project, and whether, on balance, any environmental enhancement or benefit equals or exceeds any negative environmental impacts of the Project. 14, FISCAL MANAGEMENT SYSTEMS AND ACCOUNTING STANDARDS: The Grantee agreesthat, at a minimum, its fiscal control and accounting procedures will be sufficient to permit tracing of grant funds to a level of expenditure adequate to establish that such funds have not been used in violation of state law or this Agreement. The Grantee further agrees that It will maintain separate Project accounts in accordance with generally accepted accounting principles. 15. GOVERNING LAW: This grant is governed by and shall be interpreted in accordance with the laws of the State of California. 16, GRANTEE'S RESPONSIBILITY FOR WORK: The Grantee shall be responsible for all work and for persons or entities engaged in work performed pursuant to this Agreement, including, but not limited to, contractors, subcontractors, suppliers, and providers of services. The Grantee shall be responsible for any and all disputes arising out of Its contracts for work on the Project, including but not limited to payment disputes with contractors and subcontractors. The State will not mediate disputes between the Grantee and any other entity concerning responsibility for performance of work. EXHIBIT 1 Page 14 of 20 20C -16 City of Santa Ana State Water Board Grant Agreement No. 14. 449 -550 Page 15 of 20 17. INCOME RESTRICTIONS: The Grantee agrees that arty refunds, rebates, credits, or other amounts (including any interest thereon) accruing to or received by the Grantee under this Agreement shall be paid by the Grantee to the State, to the extent that they are properly allocable to costs for which the Grantee has been reimbursed by the State under this Agreement. 18. INDEPENDENT ACTOR. The Grantee, and its agents and employees, if any, in the performance of this Agreement, shall act in an independent capacity and not as officers, employees or agents of the Slate Water Board. 19 INSPECTION: The State Water Board, the Bureau of State Audits, or any authorized representative of the foregoing, shall have suitable access to the Project site at all reasonable times during Project implementation and thereafter for the useful life of the Project to ascertain compliance v4lh this Agreement and Its goals. The Grantee ackrcwledges that the Project records and location are public records. 20. INSURANCE: Throughout the useful life of the Project, the Grantee shall provide and maintain insurance against fire, vandalism and other loss, damage, or destruction of the facilities or structures constructed pursuant to this Agreement, if any. This insurance shall be issued by a company or companies admitted to transact business in the State of California. The insurance policy shall contain an endorsement specifying that the policy will not be cancelled or reduced in coverage without thirty (30) days prior written notice to the State Water Board. In the event of any damage to or destruction of the Projector any larger system of which it is apart, the net proceeds of insurance shall be applied to the reconstruction, repairer replacement of the damaged or destroyed parts of the Project or Its larger system. The Grantee shall begin such reconstruction, repair, or replacement as expeditiously as possible and shall pay out of such net proceeds all costs and expenses in connection with such reconstruction, repair or replacement so that the same shall be completed and the larger system shall be free of all claims and liens. zt 21. NONDISCRIMINATION: a. During the performance of this Agreement, the Grantee and its consultants and contractors shall not unlawfully discriminate, harass, or allow harassment against arty employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, sexual orientation, physical disability (Including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, and denial of family care leave. b. The Grantee, its consultants, and contractors shall ensure that the evaluation and treatment of their employees arid applicants for employment are free from such disorimination and harassment. c. The Grantee, its consultants, and contractors shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code, § 12990) and the applicable regulations promulgated thereunder (Cal. Code Rags,, tit. 2, § 7285 at seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code section 12990, set forth In Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Agreement by reference and made a part hereof as if set forth in full. d. The Grantee, its consultants, and contractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement, if any a. The Grantee shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Agreement. Failure by the Grantee to carry out these requirements aril applicable requirements of 40 C.F.R. part 33 is a breach of a material provision of this Agreement which may result in its termination. 22 NO THIRD PARTY RIGHTS: The parties to this grant Agreement do not create rights in, or grant remedies to, any third party as a beneficiary of this grant Agreement, of of any duty, covenant, obligation or undertaking established herein *Please be advised that this Is to certify that the City of Santa Ana is a legally self - insured public entity. As such, It self - Insures for the first $1,000,000 of Its Auto, Liability and Workers' Compensation coverage and purchases '�• Its excess coverage through the Big Independent Cities Excess Pool (BICEP). The BICEP program provides coverage up to $27,000,000 above the retained limits. EXHIBIT 1 Page 1S of 20 20C -17 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 16 of 20 23. NOTICE: a. The Grantee shall notify the State Water Board prior to conducting construction, monitoring, demonstration, or other implementation activities such that State Water Board and /or Regional Water Board staff may observe and document such activities. b. The Grantee shall promptly notify the State Water Board of events or proposed changes that could affect the scope, budget, or work performed under this Agreement. The Grantee agrees that no substantial change in the scope of the Project will be undertaken until written notice of the proposed change has been provided to the State Water Board, and the State Water Board has given written approval for such change. c. Discovery of any potential archeological or historical resource. Should a potential archeological or historical resource be discovered during implementation of the Project, the Grantee agrees that all work in the area of the find will oease until a qualified archeologist has evaluated the situation and made recommendations regarding preservation of the resource, and the Deputy Director of the Division has determined what actions should be taken to protect and preserve the resource. The Grantee agrees to implement appropriate actions as directed by the Division. d. Discovery of any unexpected endangered or threatened species, as defined in the federal or California Endangered Species Acts. Should a federal or state protected species be unexpectedly encountered during implementation of the Project, the Grantee agrees to promptly notify the Deputy Director of the Division. This notification is in addition to the Grantee's obligations under the federal or state Endangered Species Acts. e. The Grantee shall notify the State Water Board at least ten (10) working days prior to any public or media event publicizing the accomplishments and /or results of this Agreement and provide the opportunity for attendance and participation by State Water Board's representatives. f. The Grantee shall promptly notify the State Water Board in writing of completion of work on the Project. g. The Grantee shall promptly notify the State Water Board in writing of any cessation of all major construction work on the Project where such cessation of work is expected to or does extend for a period of thirty (30) days or more and of any circumstance, combination of circumstances, or condition, which is expected to or does delay completion of construction for a period of ninety (90) days or more beyond the estimated date of completion of construction previously provided. 24. OPERATIONS & MAINTENANCE: The Grantee shall maintain and operate the facility and structures constructed or improved as part of the Project throughout the useful life of the Project, consistent with the purposes for which this Grant was made. The Grantee assumes all operations and maintenance costs of the facilities and structures; the State Water Board shall not be liable for any cost of such maintenance, management or operation. The Grantee may be excused from operations and maintenance only upon the written approval of the Deputy Director of the Division. For purposes of this Agreement, "operation costs" Include direct costs incurred for material and labor needed for operations, utilities, insurance, and similar expenses. "Maintenance costs" Include ordinary repairs and replacements of a recurring nature necessary to prolong the life of capital assets and basic structures, and the expenditure of funds necessary to replace or reconstruct capital assets or basic structures. 25. PERMITS, CONTRACTING, AND DEBARMENT: The Grantee shall procure all permits and licenses necessary to accomplish the work contemplated in this Agreement, pay all charges and fees, and give all notices necessary and incidental to the due and lawful prosecution of the work. Any contractors, outside associates, or consultants required by the Grantee In connection with the services covered by this Agreement shall be limited to such individuals or firms as were specifically Identified and agreed to during negotiations for this Agreement, if any, or as are specifically authorized by the State Water Board's Grant Manager during the performance of this Agreement. Any substitutions in, or additions to, such contractors, associates, or consultants, shall be subject to the prior written approval of the State Water Board's Grant Manager. The Grantee shall not contract with any party who is debarred or suspended or otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549, EXHIBIT 1 Page 16 of 20 Z 20C -18 City of Santa Ana State Water Board Grant Agreement No, 14- 449 -550 Page 17 of 20 "Debarment and Suspension ". The Grantee shall not contract with any individual or organization on USEPA's List of Violating Facilities. (40 CFR, Part 31.35; Gov. Code, § 4477) http: / /echo.epa.00v. The Grantee certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any federal department, the California Department of Industrial Relations (DIR), or Grantee; b, Have not within a three (3) -year period preceding this Agreement been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (b) of this certification; and, d. Have not within a three (3) -year period preceding this application /proposal had one or more public transactions (federal, state or local) terminated for cause or default. 26. PREVAILING WAGES AND LABOR COMPLIANCE: If applicable, the Grantee agrees to be bound by all the provisions of the Labor Code regarding prevailing wages and shall monitor all contracts subject to reimbursement from this Agreement to assure that the prevailing wage provisions of the Labor Code are being met. Current DIR requirements may be found at http: / /www.dir.ca.ciov /lco.asr). For more Information, please refer to DIR's Public Works Manual at: httip://www.dir.ca.gov/dlse/PWManualCombined.odf. 27. PROFESSIONALS: The Grantee agrees that only licensed professionals will be used to perform services under this Agreement where such services are called for. All technical reports required pursuant to this Agreement that involve planning, Investigation, evaluation, or design, or other work requiring interpretation and proper application of engineering or geologic sciences, shall be prepared by or under the direction of persons registered to practice in California pursuant to Business and Professions Code, sections 6735, 7835, and 7835.1. To demonstrate compliance with California Code of Regulations, title 16, sections 415 and 3065, all technical reports must contain a statement of the qualifications of the responsible registered professional(s). As required by these laws, completed technical reports must bear the signature(s) and seal(s) of the registered professional(s) in a manner such that all work can be clearly attributed to the professional responsible for the work. 28. RECORDS: Without limitation of the requirement to maintain Project accounts in accordance with generally accepted accounting principles, the Grantee agrees to: a. Establish an official file for the Project which shall adequately document all significant actions relative to the Project; b. Establish separate accounts which will adequately and accurately depict all amounts received and expended on this Project, including all grant funds received under this Agreement; c. Establish separate accounts which will adequately depict all income received which Is attributable to the Project, especially including any income attributable to grant funds disbursed under this Agreement; d. Establish an accounting system which will adequately depict final total costs of the Project, including both direct and indirect costs; e. Establish such accounts and maintain such records as may be necessary for the state to fulfill federal reporting requirements, Including any and all reporting requirements under federal tax statutes or regulations; and, f. If a Force Account is used by the Grantee for any phase of the Project, establish an account that documents all employee hours, and associated tasks charged to the Project per employee. EXHIBIT 1 Page 17 of 20 20C -19 City of Santa Ana State Water Board Grant Agreement No 14- 449 -550 Page 18 of 20 29, RELATED LITIGATION: Under no circumstances may a Grantee use funds from any disbursement under this Grant Agreement to pay costs associated with any litigation the Grantee pursues against the State Water Board or any Regional Water Board. Regardless of the outcome of any such litigation, and notwithstanding any conflicting language in this Agreement, the Grantee agrees to complete the Project funded by this Agreement or to repay all of the grant funds plus interest. 30. RIGHTS IN DATA: The Grantee agrees that all data, plans, drawings, specifications, reports, computer programs, operating manuals, audio and video recordings, notes, and other written or graphic work produced in the performance of this Agreement shall be in the public domain. The Grantee may disclose, disseminate and use in whole or in part, any final form data and Information received, collected, and developed under this Agreement, subject to appropriate acknowledgement of credit to the State Water Board for financial support. The Grantee shall not utilize the materials for any profit- making venture or sell or grant rights to a third party who intends to do so. 31. STATE REVIEWS AND INDEMNIFICATION: The parties agree that review or approval of Project applications, documents, permits, plans and specifications or other Project information by the State Water Board is for administrative purposes only and does not relieve the Grantee of its responsibility to properly plan, design, construct, operate, maintain, implement, or otherwise carry out the Project. To the extent permitted by law, the Grantee agrees to indemnify, defend and hold harmless the State Water Board and the State against any loss or liability arising out of any claim or action brought against the State Water Board and/or the State from and against any and all losses, claims, damages, liabilities or expenses, of every conceivable kind, character and nature whatsoever arising out of, resulting from, or in any way connected with (1) the Project or the conditions, occupancy, use, possession, conduct or management of, work done In or about, or the planning, design, acquisition, installation or construction, of the Project or any part thereof; (2) the carrying out of any of the transactions contemplated by this Agreement or any related document; (3) any violation of any applicable law, rule or regulation, any environmental law (including, without limitation, the Federal Comprehensive Environmental Response, Compensation and Liability Act, the Resource Conservation and Recovery Act, the California Hazardous Substance Account Act, the Federal Water Pollution Control Act, the Clean Air Act, the California Hazardous Waste Control Law and California Water Code, section 13304, and any successors to said laws), rule or regulation or the release of any toxic substance on or near the System; or, (4) any untrue statement or alleged untrue statement of any material fact or omission or alleged omission to state a material fact necessary to make the statements required to be stated therein, in light of the circumstances under which they were made, not misleading with respect to any information provided by the Grantee for use in any disclosure document utilized in connection with any of the transactions contemplated by this Agreement, To the fullest extent permitted by law, the Grantee agrees to pay and discharge any judgment or award entered or made against the State Water Board and /or the State with respect to any such claim or action, and any settlement, compromise or other voluntary resolution. The provisions of this section shall survive the term of this Agreement. 32, STATE WATER BOARD ACTION, COSTS, AND ATTORNEY FEES: The Grantee agrees that any remedy provided in this Agreement is in addition to and not In derogation of any other legal or equitable remedy available to the State Water Board as a result of breach of this Agreement by the Grantee, whether such breach occurs before or after completion of the Project, and exercise of any remedy provided by this Agreement by the State Water Board shall not preclude the State Water Board from pursuing any legal remedy or right which would otherwise be available, In the event of litigation between the parties hereto arising from this Agreement, It is agreed that each party shall bear its own filing costs and attorney fees. 33. SUPPLEMENTAL ENVIRONMENTAL PROJECTS: Grant Funds shall not be used for supplemental environmental projects required by Regional Water Boards. 34. TERMINATION, IMMEDIATE REPAYMENT, INTEREST: This Grant Agreement may be terminated by written notice at any time prior to completion of the Project, at the option of the State Water Board, upon violation by the Grantee of any material provision after such violation has been called to the attention of the Grantee and after failure of the Grantee to bring itself into compliance with the provisions of this Agreement within a reasonable time as established by the State Water Board. In the event of termination, the Grantee agrees, upon demand, to immediately repay to the State Water Board an amount equal to the amount of grant funds disbursed to the Grantee prior to such termination. In the event of termination, Interest shall accrue on all amounts due at the highest legal rate of interest from the date that notice of termination is mailed to the Grantee to the date of full repayment by the Grantee, EXHIBIT 1 Page 18 of 20 20C -20 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 19 of 20 35. TIMELINESS: Time is of the essence in this Agreement. The Grantee shall proceed with and complete the Project in an expeditious manner. 36. TRAVEL AND PER DIEM: Any reimbursement for necessary travel and per diem shall be at rates not to exceed those set by the California Department of Human Resources. These rates may be found at http: //www.calhr.ca.gov /employees /Pages /travel - reimbursements aspx, Reimbursement will beat the State travel and per diem amounts that are current as of the date costs are incurred by the Grantee. No travel outside the State of California shall be reimbursed unless prior written authorization is obtained from the Grant Manager, 37, UNENFORCEABLE PROVISION: In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement shall continue to have full force and effect and shall not be affected thereby. 38. URBAN WATER MANAGEMENT: The Grantee certifies that this Project complies with the Urban Water Management Planning Act (Water Code, § 10610 at sec.). This shall constitute a condition precedent to this Agreement. 39. USEFUL LIFE OF PROJECT: For the purpose of this Agreement, the useful life of any constructed portions of this Project begins upon completion of construction and continues until fifty (50) years thereafter for pipelines and structures and twenty (20) years for all else. 40. VENUE: The State Water Board and the Grantee hereby agree that any action arising out of this Agreement shall be filed and maintained in the Superior Court in and for the County of Sacramento, California, or in the United States District Court in and for the Eastern District of California. The Grantee hereby waives any existing sovereign immunity for the purposes of this Agreement. 41. WAIVER AND RIGHTS OF THE STATE WATER BOARD: Any waiver of rights with respect to a default or other matter arising under the Agreement at anytime by either party shall not be considered a waiver of rights with respect to any other default or matter. Any rights and remedies of the State provided for in this Agreement are in addition to any other rights and remedies provided by law. 42. WATER CONSERVATION AND EFFICIENCY PROGRAMS: The Grantee acknowledges that it has appropriate water conservation and efficiency programs in place, and that this provision constitutes a condition of the grant award. A web link with examples of water conservation and efficiency programs is available at: http://www.waterboards.ca.gov/waterrights/Water issues /programs /drought /conservation shtml, The grantee also agrees to comply with the State Water Board's Drought Emergency Water Conservation regulations in sections 863 -865 of title 23 of the California Code of Regulations. If applicable, the Grantee agrees to include a discussion of progress and compliance in its reports submitted pursuant to Exhibit B of this Agreement. 43, WATER RIGHTS: The Grantee acknowledges that its eligibility for this Grant award is conditioned on its compliance with Water Code section 5103(e), if applicable. The Grantee further certifies that it is not required to file a Statement of Diversion and Use pursuant to Water Code section 5101. 44. WATERSHED MANAGEMENT PLAN CONSISTENCY: The Grantee certifies that any watershed protection activity undertaken as part of this Project will be consistent with the applicable, adopted, local watershed management plans and the applicable Water Quality Control Plan (Basin Plan and/or Statewide) adopted by a Regional Water Board or the State Water Board, where such plans exist. Any such activity occurring in the San Gabriel and Los Angeles watersheds shall be consistent with the San Gabriel and Los Angeles River Watershed and Open Space Plan as adopted by the San Gabriel and Lower Los Angeles Rivers and Mountain Conservancy and the Santa Monica Mountains Conservancy. 45, WITHHOLDING OF GRANT DISBURSEMENTS: The State Water Board may withhold all or any portion of the grant funds provided for by this Agreement in the event that the Grantee has materially violated, or threatens to materially violate, any term, provision, condition, or commitment of this Agreement; or the Grantee fails to maintain reasonable progress toward completion of the Project. EXHIBIT 1 Page 19 of 20 20C -21 City of Santa Ana State Water Board Grant Agreement No. 14- 449 -550 Page 20 of 20 EXHIBIT D SPECIAL CONDITIONS Proposition 40 Stormwater Grant Program 1. The Grantee certifies that it is a local public agency (i.e., one of the following: a city, county, city and county, district, or a joint powers authority comprised entirely of local public agencies). 2. The Grantee certifies that this Project is intended to achieve one of the purposes set forth in Public Resources Code section 75050.2(a). 3. The Grantee certifies that any real property or interests in real property acquired for this Project shall be acquired from a willing seller. 4. The Grantee certifies that it is providing a match to the amount of at least 20% of the total Project cost (see Round 2 Guidelines, page 3). 5. The Grantee certifies that in no event will it complete this Project later than August 31, 2016. It acknowledges that this condition is a material condition of this Agreement. EXHIBIT 1 Page 20 of 20 200-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING 2014 SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT (AQMD) CLEAN TRANSPORTATION FUNDS FOR ELECTRIC VEHICLE CHARGING STATIONS (STRATEGIC PLAN NO. 5,2) CITY MANA R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: R4J MGM 1p' ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 'Reading ❑ Ordinance on 2ntlReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and the Clerk of the Council to execute an agreement with South Coast Air Quality Management District (AQMD) to install six Electric Vehicle charging stations, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing 2014 South Coast Air Quality Management District Clean Transportation grant funding in the amount of $34,000 in the MSRC Reimbursement revenue account (no. 03110002 - 52351) and appropriate same to expenditure account (no. 03110102- 66400). DISCUSSION The Finance and Management Services Agency Facilities, Fleet Maintenance, and Central Stores Division (FFCS) is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. As part of its 5 -Year Alternative Energy Strategic Plan that was initiated in 2011, FFCS would evaluate alternative fuel technologies that would help reduce fuel costs as well as reduce the City's carbon footprint by lowering levels of pollutants and greenhouse gas emissions. As such, The City's Alternative Energy plan focuses on the use of Compressed Natural Gas (CNG), Propane, and Electric Vehicles as complements to its fleet inventory. In order to reduce costs associated with implementing these new technologies, FFCS searches for grant opportunities that would assist in offsetting these costs. When grants call for a 50% match, the Fleet Division utilizes AQMD subvention funds that are received quarterly. These funds are designed for any air quality improvement projects or programs. Staff considers this 20D -1 Appropriation Adjustment and Agreement — 2014 AQMD December 2, 2014 Page 2 approach effective since it does not utilize General Fund or Internal Service Fund dollars. Recently, the City was awarded a $34,000 grant from the South Coast Air Quality Management District's Clean Transportation Mobile Source Air Pollution Reduction Review Committee (MSRC) to purchase and install six electric vehicle charging stations throughout the City. The purchase of the electric vehicle charging stations will initiate the process of promoting and providing the necessary infrastructure in our community for those who drive electric vehicles. Staff is working closely with representatives from Southern California Edison to ensure this project is implemented in an efficient and timely manner. The stations identified in the grant include both public and private access locations. Three stations will be installed at the City Corporate Yard for both public access and City vehicle usage and the remaining charging stations will be installed specifically for public access use at the Santa Ana Zoo, the Santiago Arts District, and the Santa Ana Train Depot. The public access locations will provide the community with a low cost alternative to charge electric vehicles at locations that have easy access 24 hours a day. FFCS staff recommends charging $1.00 per hour to cover the cost of electricity and ongoing maintenance and licensing of the charging stations. This amount is consistent with what other jurisdictions currently charge. These locations are also consistent with the overall philosophy of alternative fuel technologies. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #2, Expand opportunities for conservation and environmental sustainability. FISCAL IMPACT This action will not impact the General Fund or any Internal Services funding. The appropriation adjustment will recognize 2014 AQMD Clean Transportation grant funding in the amount of $34,000 in the MSRC Reimbursement revenue account (no. 03110002 - 52351) and appropriate same to expenditure account (no. 03110102 - 66400). The 50% match is available in the Air Quality Improvement Trust fund — subvention payments in the amount of $34,000 (no. 03110101 66400). APPROVED AS TO FUNDS AND ACCOUNTS Francisco Gutierrez Executive Director Finance and Management Services Agency CU/es Exhibit: Agreement 20D -2 South Coast Contract No, ML14012 Air Quality Management District Glean Transportation MomFunding from the MSRC AS 2766/MSRC LOCAL GOVERNMENT MATCH PROGRAM CONTRACT 1, PARTIES - The partles to this Contract are the South Coast Air Quality Management District (hereinafter referred to as "SCAQMD' whose address is 21865 Copley Drive, Diamond Bar, California 91765.4178, and the City of Santa Ana (hereinafter referred to as 'CONTRACTOR") whose address is 20 Civic Center Plaza, Santa Ana, California 92701, 2, RECITALS A. SCAQMD is the local agency with primary responsibility for regulating stationary source air pollution within the geographical boundaries of the South Coast Air Quality Management District in the State of California (State), SCAQMD is authorized under State Health & Safety Code Section 44225 (AB 2766) to levy a fee on motor vehicles for the purpose of reducing air pollution from such vehicles and to implement the California Clean Air Act, B, Under AS 2766, SCAQMD's Governing Board has authorized the imposition of the statutorily set motor vehicle fee. By taking such action, the State's Department of Motor Vehicles (DMV) is required to collect such fee and remit it periodically to SCAQMD, C. AS 2766 further mandates that thirty (30) percent of such vehicle registration fees be placed by SCAQMD Into a separate account for the sole purpose of implementing and monitoring programs to reduce air pollution from motor vehicles, D, AS 2766 creates a regional Mobile Source Air Pollution Reduction Review Committee (MSRC) to develop a work program to fund projects from the separate account. Pursuant to approval of the work program by SCAQMD's Governing Board, SCAQMD authorized this Contract With CONTRACTOR for equipment or services described in Attachment 1- Statement of Work, expressly incorporated herein by this reference and made a part hereof of this Contract. E. CONTRACTOR has met the requirements for receipt of AB 2766 Discretionary Funds as set fotfh in CONTRACTOR's Local Government Match Program Application /Proposal dated 'October 10, 2013, F. CONTRACTOR is authorized to do business in the State of California and attests that it is in good tax standing with the California Franchise Tax Board, G. All parties to this Contract have had the opportunity to have this Contract reviewed by their attorney, 3, DMV FEES � CONTRACTOR acknowledges that SCAQMD cannot guarantee that the amount of fees to be collected under AB 2766 will be sufficient to fund this Contract. CONTRACTOR further acknowledges that payment under this Contract is contingent upon SCAQMD receiving sufficient funds from the DMV, and that SCAQMD assumes no responsibility for the collection and remittance of motor vehicle registration fees, 4, AUDIT AND RECORDS RETENTION A. CONTRACTOR shall, at least once every two years, or within two years of the termination of the Contract if the term is less than two years, be subject to an audit by SCAQMD or its authorized representative to determine If the revenues received by CONTRACTOR were spent for the reduction of pollution from motor vehicles pursuant to the Clean Air Act of 1988. B. CONTRACTOR agrees to maintain records related to this Contract during the Contract term and continue to retain these records for a period of two years beyond the Contract term, except that in no case shall CONTRACTOR be required to retain more than the most recent five years' records, SCAQMD shall coordinate such audit through CONTRACTOR'S audit staff, 20D -3 Contract No. M04012 C. If an amount is found to be inappropriately expended, SCAQMD may withhold funding, or seek reimbursement, from CONTRACTOR in the amount equal to the amount that was Inappropriately expended. Such withholding shall not be construed as SCAQMD's sole remedy and shall not relieve CONTRACTOR of its obligation to perform under the terms of this Contract. 5. TERM - The term of this Contract is for eighty (80) months from the date of execution by both parties, unless terminated earlier as provided for in the TERMINATION clause of this Contract, the EARLY TERMINATION clause, or the term is extended by amendment of this Contract in writing, No work shall commence prior to the Contract start date, except at CONTRACTOR's cost and risk, and no charges are authorized until this Contract is fully executed, subject to the provisions stated in the PRE - CONTRACT COSTS clause of this Contract. 6. SUCCESSORS -IN- INTEREST - This Contract, and the obligations arising under the Contract, shall be binding on and inure to the benefit of CONTRACTOR and their executors, administrators, successors, and assigns. 7. REPORTING - CONTRACTOR shall submit reports to SCAQMD as outlined in Attachment 1 - Statement of Work. SCAQMD reserves the right to review, comment, and request changes to any report produced as a result of this Contract. 8, TERMINATION A, in the event any party fails to comply with any term or condition of this Contract, or fails to provide services in the manner agreed upon by the parties, including, but not limited to, the requirements of Attachment 1 — Statement of Work, this failure shall constitute a breach of this Contract. The non - breaching party shalt notify the breaching party that it must cure this breach or provide written notification of its intention to terminate this contract. Notification shall be provided in the manner set forth In the NOTICES clause of this Contract. The nun- breaching party reserves all rights under law and equity to enforce this Contract and recover damages. B. SCAQMD reserves the right to terminate this Contract, in whole or in part, without cause, upon thirty (30) days' written notice. Once such notice has been given, CONTRACTOR shall, except as and to the extent or directed otherwise by SCAQMD, discontinue any Work being performed under this Contract and cancel any of CONTRACTOR's orders for materials, facilities, and supplies in connection with such Work, and shall use its best efforts to procure termination of existing subcontracts upon terms satisfactory to SCAQMD. Thereafter, CONTRACTOR shall perform only such services as may be necessary to preserve and protect any Work already in progress and to dispose of any property as requested by SCAQMD, C. CONTRACTOR shall be paid In accordance with this Contract for all Work performed before the affective date of termination under section B of the TERMINATION clause of this Contract. Before expiralion of the thirty (30) days' written notice, CONTRACTOR shall promptly deliver to SCAQMD all copies of documents and other information and data prepared or developed by CONTRACTOR under this Contract with the exception of a record copy of such materials, which may be retained by CONTRACTOR. 9, EARLY TERMINATION This Contract may be terminated early due to the following circumstances: The infrastructure Identified in Attachment 1, Statement of Work, becomes inoperable, and is either not technically able to be repaired, or is too costly to repair, and such failure is not caused by CONTRACTOR's negligence, misuse, or malfeasance. 20D -4 Contract No, ML14012 10, STOP WORK - SCAQMD may, at any time, by written notice to CONTRACTOR, require CONTRACTOR to stop all or any part of the Statement of Work tasks in this Contract. A stop work order may be issued for reasons including, but not limited to, the project exceeding the budget, out of scope work, delay in project schedule, or misrepresentations. Upon receipt of the stop work order, CONTRACTOR shall immediately take all necessary steps to comply with the order, CONTRACTOR shall resume the work only upon receipt of written Instructions from SCAQMD cancelling the stop work order, CONTRACTOR agrees and understands that CONTRACTOR will not be paid for performing work while the stop work order is in effect, unless SCAQMD agrees to do so in its written cancellation of the stop work order. 11, INSURANCE - CONTRACTOR represents that it is permissibly self - insured and will maintain such self - insurance in accordance with applicable provisions of California law throughout the term of this Contract. CONTRACTOR shall provide evidence of sufficient coverage during the term of this Contract and any extensions thereof that meet or exceed the minimum requirements set forth by the SCAQMD below. The certificate of self - Insurance shall be mailed to: SCAQMD, 21865 Copley Drive, Diamond Bar, CA 91765- 4178, Attention; Cynthia Ravenstefn, MSRC Contracts Administrator, The SCAQMD Contract Number must be Included on the face of the certificate. if CONTRACTOR fails to maintain the required insurance coverage, SCAQMD reserves the right to terminate the Contract or purchase such additional insurance and bill CONTRACTOR or deduct the cost thereof from any payments owed to CONTRACTOR. Minimum Insurance coverages are as follows; A. Worker's compensation insurance in accordance with either California or other state's applicable statutory requirements. B. General Liability Insurance with a limit of at least $1,000,000 per occurrence, and $2,000,000 In general aggregate. C. Automobile Liability insurance with limits of at least $100,000 per person and $300,000 per accident for bodily injuries and $50,000 in properly damage, or $1,000,000 combined single limit for bodily injury or property damage. 12, INDEMNIFICATION - CONTRACTOR agrees to hold harmless, defend and indemnify SCAQMD, its officers, employees, agents, representatives, and successors -in- interest against any and all loss, damage; costs, lawsuits, claims, demands, causes of action judgments, attorney's fees, or any other expenses arising from or related to any third party claim against SCAQMD, its officers, employees, agents, representatives, or successors in interest that arise or result In whole or in part, from any actual or alleged act or omission of CONTRACTOR, its employees, subcontractors, agents or representatives In the performance of this Contract, 13; DISCLAIMER OF WARRANTY - The purchase or lease of funded vehicles /equipment is the CONTRACTOR's decision, The SCAQMD does not make any express or implied warranty of merchantability, fitness for a particular purpose or otherwise, quality or usefulness of the technology or product. Without limiting the foregoing, the SCAQMD will not be financially responsible, or otherwise liable, for the installation or performance of the vehicle /equipment. 14, PAYMENT A, SCAQMD shall reimburse CONTRACTOR up to a total amount of Two Hundred Forty Four Thousand Dollars ($244,000) in accordance with Attachment 2 — Payment Schedule expressly incorporated herein by this reference and made a part hereof of the Contract. 20D -5 Contract No. ML14012 B. A withhold amount or percentage (if any) shall be identified in the Payment Schedule, and such amount shall be withheld from each invoice. Upon satisfactory completion of project and final acceptance of work and the final report, CONTRACTOR's invoice for the withheld amount shall be released, Proof of project completion shall include a Final Report detailing the project goals and accomplishments, data collected during project performance, if any, documentation of significant results, and emissions reduction input data needed for calculation of emissions reductions. C. Any funds not expended upon early Contract termination or Contract completion shall revert to the AB 2766 Discretionary Fund, Payment of charges shall be made by SCAQNID to CONTRACTOR within thirty (30) days after approval by SCAQMD of an itemized Invoice prepared and furnished by CONTRACTOR, D. An Invoice submitted to SCAQMD for payment must be prepared in duplicate, on company letterhead, and list SCAQMD's contract number, period covered by invoice, and CONTRACTOR's social security number or Employer Identification Number and submitted to: South Coast Air Quality Management District 21865 Copley Drive Diamond Bar, CA 917654178 Attn: Cynthia Ravenstein, MSRC Contracts Administrator 1. Charges for equipment, material, and supply costs, travel expenses, subcontractors, and other charges, as applicable, must be itemized by CONTRACTOR. Reimbursement for equipment, material, supplies, subcontractors, and other charges, as applicable, shall be made at actual cost, Supporting documentation must be provided for ail individual charges (with the exception of direct labor charges provided by CONTRACTOR). 2, SCAQMD shall pay CONTRACTOR for travel- related expenses only if such travel is expressly set forth in Attachment 2 — Payment Schedule of this Contract or pre - authorized by SCAQMD in writing, 3. CONTRACTOR's failure to provide receipts shall be grounds for SCAQMD's non - reimbursement of such charges. CONTRACTOR may reduce payments on invoices by those charges for which receipts were not provided. 4. CONTRACTOR must submit final invoice no later than ninety (90) days after the termination date of this Contract or invoice may not be paid. 15, COMPLIANCE WITH APPLICABLE LAWS - CONTRACTOR agrees to comply with all federal, state, and local laws, ordinances, codes and regulations and orders of public authorities in the performance of this Contract. CONTRACTOR must also ensure that the vehicles and /or equipment to be purchased, leased or installed is in compliance with all applicable federal, state, and local air quality rules and regulations, and that it will maintain compliance for the full Contract term. CONTRACTOR shall ensure that the provisions of this clause are included in all subcontracts. 16. MOBILE SOURCE EMISSION REDUCTION CREDITS (MSERCs) A. The MSRC has adopted a policy that no MSERCs resulting from AB 2766 Discretionary Funds may be generated and /or sold. B. CONTRACTOR has the opportunity to generate MSERCs as a by- product of the project if a portion of the air quality benefits attributable to the project resulted from funding sources other than A62766. These MSERCs, which are issued by SCAQMD, are based upon the quantified vehicle miles traveled (VMT) by project vehicles or other activity data as appropriate, Therefore, a portion of prospective MSERCs, generated as a result of AB 2766 Funds, must be retired. The portion of prospective credits I+ I O ., Contract No, MH4012 funded by the AS 2766 program, and which are subject to retirement, shall be referred to as "AB 2766 - MSERCs," C. The determination of AS 2766- MSERC's is to be prorated based upon the AB 2766 program's contribution to the cost associated with the air quality benefits. In the case where AS 2766 Discretionary Funds are used to pay for the full differential cost of a new alternative fuel vehicle or for the retrofitting or repowering of an existing vehicle, all MSERCs attributable to AB 2766 Discretionary Funds must be retired. The determination of AB 2766 - MSERCs for infrastructure and other ancillary items is to be prorated based upon the AS 2766 program's contribution to the associated air quality benefits. Determination of the project's overall cost will be on a case -by -case basis at the time an MSERC application is submitted. SCAQMD staff, at the time an MSERC application is submitted, will calculate total MSERCs and retire the AS 2766 - MSERCs, CONTRACTOR would then receive the balance of the MSERCs not associated with AS 2766 funding, 17, NOTICES -All notices that are required under this Contract shall be provided in the manner set forth herein, unless specified otherwise, Notice to a party shall be delivered to the attention of the person listed below, or to such other person or persons as may hereafter be designated by that party in writing, Notice shall be in writing sent by email, U,S. Mail, express, certified, return receipt requested, or a nationally recognized overnight courier service. In the case of email communications, valid notice shall be deemed to have been delivered upon sending, provided the sender obtained an electronic confirmation of delivery. Email communications shall be deemed to have been received on the date of such transmission, provided such date was a business day (Tuesday - Friday) and delivered prior to 5:30pm Pacific Standard Time. Otherwise, receipt of email communications shall be deemed to have occurred on the following business day. In the case of U.S. Mail notice, notice shall be deemed to be received when delivered or five (5) business days after deposit in the U, S. Mail. In the case of a nationally recognized overnight courier service, notice shall be deemed received when delivered (written receipt of delivery), SCAQMD: South Coast Air Quality Management District 21865 Copley Drive Diamond Bar, CA 91765 -4178 Attn: Cynthia Ravenstein, MSRC Contracts Administrator, email cravensteh(dagmd gov CONTRACTOR: City of Santa Ana 215 South Center St, Santa Ana, CA 92703 Aft Rick Longobart, email: RIengobart(asanta -an".or 18. INDEPENDENT CONTRACTOR - CONTRACTOR is an independent contractor, CONTRACTOR, its officers, employees, agents, representatives, or subcontractors shall in no sense be considered employees or agents of SCAQMD, nor shall CONTRACTOR, its officers, employees, agents, representatives, or subcontractors be entitled to or eligible to participate In any benefits, privileges, or plans, given or extended by SCAQMD to its employees. SCAQMD will not supervise, direct, or have control over, or be responsible for, CONTRACTOR's or subcontractor's means, methods, techniques, work sequences or procedures, or for the safety precautions and programs incident thereto, or for any failure by them to comply with any local, state, or federal laws, or rules or regulations, including state minimum wage laws and OSHA requirements. 20D -7 Contract No, ML:14012 19. SUBCONTRACTOR APPROVAL - If CONTRACTOR intends to subcontract all or a portion of the work under this Contract, then CONTRACTOR must first obtain written approval from SCAQMD's Executive Officer or designee prior to subcontracting any work. Any material changes to the subconiract(s) that affect the scope of work, deliverable schedule, and/or payment/cost schedule shall also require the prior written approval of the SCAQMD Executive Officer or designee. No subcontract charges will be reimbursed unless the required approvals have been obtained from SCAQMD. 20. OWNERSHIP -Title and full ownership rights to any equipment purchased under this Contract shall at all times remain with CONTRACTOR. 21. SECURITY INTEREST - CONTRACTOR hereby grants SCAQMD a security interest in any and all equipment purchased, in whole or in part, with funding provided by SCAQMD pursuant to this Contract. CONTRACTOR acknowledges and agrees that SCAQMD shall have all lien rights as a secured creditor on any and all equipment purchased in whole or in part by the CONTRACTOR, under this Contract or any amendments thereto. The SCAQMD shall have lien rights in effect until the CONTRACTOR satisfies all terms under the Contract, Including but not limited to, the use and reporting requirements. Accordingly, CONTRACTOR farther agrees that SCAQMD is authorized to file a UCC filing statement or similar security instrument to secure its Interests in the equipment that is the subject of the Contract. In the event CONTRACTOR files for bankruptcy protection, CONTRACTOR shall notify SCAQMD within 10 business days of such filing. 22. NONDISCRIMINATION - In the performance of this Contract, CONTRACTOR shall not discriminate in recruiting, hiring, promotion, demotion, or termination practices on the basis of race, religious creed, color, national origin, ancestry, sex, age, or physical handicap and shall comply with the provisions of the California Fair Employment & Housing Act (Government Code Section 12900, of sea), the Federal Civil Rights Act of 1964 (P.L. 88 -352) and all amendments thereto, Executive Order No. 11246 (30 Federal Register 12319), and all administrative rules and regulations issued pursuant to said Acts and Order. CONTRACTOR shall likewise require each subcontractor to comply with this clause and shall include in each such subcontract language similar to this clause. 23. c TizENS HIP AND ALIEN STATUS A. CONTRACTOR warrants that it fully complies with all laws regarding the employment of aliens and others, and that Its employees performing services hereunder meet the citizenship or alien status requirements contained in federal and state statutes and regulations including, but not limited to, the Immigration Reform and Control Act of 1986 (P.L. 99.603). CONTRACTOR shall obtain from all covered employees performing services hereunder all verification and other documentation of employees' eligibility status required by federal statutes and regulations as they currently exist and as they may be hereafter amended. CONTRACTOR shall have a continuing obligation to verify and document the continuing employment authorization and authorized alien status of employees performing services under this Contract to insure continued compliance with all federal statutes and regulations. Notwithstanding the above, CONTRACTOR, in the performance of this Contract, shall not discriminate against any person in violation of 8 USC Section 1324b B. CONTRACTOR shall retain such documentation for all covered employees for the period described by law. CONTRACTOR shall indemnify, defend, and hold harmless SCAQMD, its officers and employees from employer sanctions and other liability which may be assessed against CONTRACTOR or SCAQMD, or both in connection with any alleged violation of federal statutes or regulations pertaining to the eligibility for employment of persons performing services under this Contract. r10 I i i , j Contract No, ML14012 24, ASSIGNMENT AND TRANSFER OF EQUIPMENT A, The rights and responsibilities granted hereby may not be assigned, sold, licensed, or otherwise transferred by CONTRACTOR without the prior written consent of SCAQMD, and any attempt by CONTRACTOR to do so shall be void upon inception, B. CONTRACTOR agrees to obtain SCAQMD's written consent to any assignment, sale, license or transfer of Equipment, if any, rior to completing the transaction. CONTRACTOR shall inform the proposed assignee, buyer, licensee or transferee (collectively referred to here as "Buyer") of the terms of this Contract. CONTRACTOR is responsible for establishing contact between SCAQMD and the Buyer and shall assist SCAQMD In facilitating the transfer of this Contract's terms and conditions to the Buyer, CONTRACTOR will not be relieved of the legal obligation to fulfill the terms and conditions of this Contract until and unless the Buyer has assumed responsibility of this Contract's terms and conditions through an executed contract with SCAQMD, 25, NON - EFFECT OF WAIVER - The failure of CONTRACTOR or SCAQMD to insist upon the performance of any or all of the terms, covenants, or conditions of this Contract, or failure to exercise any rights or remedies hereunder, shall not be construed as a waiver or relinquishment of the future performance of any such terms, covenants, or conditions, or of the future exercise of such rights or remedies, unless otherwise provided for herein 26, TAX IMPLICATIONS FROM RECEIPT OF MSRC FUNDS - CONTRACTOR is advised to consult a tax attorney regarding potential tax implications from receipt of MSRC funds, 27. ATTORNEYS' FEES - In the event any action is filed in connection with the enforcement or interpretation of this Contract, each party in said action shall pay its own attorneys' fees and costs, 28, FORCE MAJEURE -Neither SCAQMD nor CONTRACTOR shall be liable or deemed to be in default for any delay or failure in performance under this Contract or interruption of services resulting, directly or indirectly, from acts of God, civil or military authority, acts of public enemy, war, strikes, labor disputes, shortages of suitable parts, materials, labor or transportation, or any similar cause beyond the reasonable control of SCAQMD or CONTRACTOR, 29, SEVERABILITY- In the event that any one or more of the provisions contained in this Contract shall for any reason be held to be unenforceable in any respect by a court of competent jurisdiction, such holding shall not affect any other provisions of this Contract, and the Contract shall then be construed as if such unenforceable provisions are not a part hereof, 30, HEADINGS - Headings on the clauses of this Contract are for convenience and reference only, and the words contained therein shall in no way be held to explain, modify, amplify, or aid in the interpretation, construction, or meaning of the provisions of this Contract. 31, DUPLICATE EXECUTION - This Contract is executed in duplicate. Each signed copy shall have the force and effect of an original, 32. GOVERNING LAW - This Contract shall be construed and interpreted and the legal relations created thereby shall be determined in accordance with the laws of the State of California. Venue for resolution of any disputes under this Contract shall be Los Angeles County, California, 20D -9 Contract No. W4012 33, PRE - CONTRACT COSTS - Any costs incurred by CONTRACTOR prior to CONTRACTOR receipt of a fully executed Contract shall be Incurred solely at the risk of the CONTRACTOR, In the event that a formal Contract is not executed, neither the MSRC nor the SCAQMD shall be liable for any amounts expended in anticipation of a formal Contract. If a formal Contract does result, pre - contract cost expenditures authorized by the Contract will be reimbursed in accordance with the Payment Schedule and payment provision of the Contract. 34 CHANGE TERMS - Changes to any part of this Contract must be requested in writing by CONTRACTOR and approved by MSRC in accordance with MSRC policies and procedures. CONTRACTOR must make requests a minimum of 90 days prior to desired effective date of change. All modifications to this Contract shalt be in writing and signed by the authorized representatives of the parties, Fueling station location changes shall not be approved under any circumstances. 36. PREVAILING WAGES - CONTRACTOR Is alerted to the prevailing wage requirements of California Labor Code section 1770 at seq.. Notwithstanding the preceding sentence, CONTRACTOR shall be responsible for determining the applicability of the provisions of California Labor Code and complying with the same, including, without limitation, obtaining From the Director of the Department of Industrial Relations the general prevailing rate of per diem wages and the general prevailing rate for holiday and overtime work, making the same available to any interested party upon request, paying any applicable prevailing rates, posting copies thereof at the job site and flowing all applicable prevailing wage rate requirements to Its subcontractors. CONTRACTOR shall indemnify, defend and hold harmless the South Coast Air Quality Management District against any and all claims, demands, damages, defense costs or liabilities based on failure to adhere to the above referenced statutes. 36. ENTIRE CONTRACT - This Contract represents the entire agreement between CONTRACTOR and SCAQMD, There are no understandings, representations, or warranties of any kind except as expressly set forth herein. No waiver, alteration, or modification of any of the provisions herein shall be binding on any party unless in Writing and signed by the authorized representative of the party against whom enforcement of such waiver, alteration, or modification is sought. 37. AUTHORITY - The signator hereto represents and warrants that he or she is authorized and empowered and has the legal capacity to execute this Contract and to legally bind CONTRACTOR both In an operational and financial capacity and that the requirements and obligations under this Contract are legally enforceable and binding on CONTRACTOR. (THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK) 20D -10 Contract No, ML14012 IN WITNESS WHEREOF, the parties to this Contract have caused this Contract to be duly executed on their behalf by their authorized representatives, SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT By: Dr, William A, Burka, Chairman, Governing Board Date: ATTEST: Saundra McDaniel, Clerk of the Board 0 APPROVED AS TO FORM: Kurt R. Wiese, General Counsel By: r 11M8RC Master aollerpla9e RovoeOApril le, 2094 CITY OF SANTA ANA By; Name: David Cavazos Title: City Manager Date; J 20D -11 APPROVED AS TO FORM LISA E STORCK Assistant City Attorney Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 1. Proiect A. The City of Santa Ana (hereinafter referred to as "CONTRACTOR ") is to purchase seven heavy -duty on -road vehicles, each with a 15 -year life expectancy and gross vehicle weight rating greater than 14,000 pounds and equipped with dedicated liquefied petroleum gas (LPG) engines. Each engine must be certified by the California Air Resources Board (CARE) at, or cleaner than, the 2010 heavy -duty engine emission standards of 0.2 g /bhp -hr for oxides of nitrogen (NOx) and 0.01 g /bhp -hr for particulate matter (PM), B. CONTRACTOR is also to install a total of six 'level IC' type EV charging stations at a minimum of three locations within the City of Santa Ana. At least five of the stations shall be publicly accessible. All stations shall meet current Society of Automotive Engineers J1772 standards, Proposed locations are shown in the table below; Street Venue _ 215 S. Center Street Corporate Yard, Service Port 215 S. Center Street _ Corporate Yard, General Parking 201 E. V Street The Santiago Arts District 1801 East Chestnut Avenue Santa Ana Zoo These locations are understood to be tentative; CONTRACTOR shall notify MSRC staff of any location changes. CONTRACTOR shall be reimbursed accordingto Attachment 2 - Payment Schedule, 2 Operation Requirements and Reimbursement for Noncompliance - Vehicles Vehicles are required to operate for a minimum of five years, but it is expected that the vehicles will continue to operate for their entire life expectancy. CONTRACTOR is obligated to comply with the geographical restriction requirements as follows: A. Each of the vehicles funded under this Contract must accrue at least 85% of its annual mileage or engine hours of operation within the geographical boundaries of the South Coast Air Quality Management District for a period of no less than five (5) years from the date the vehicle enters service (new vehicles) or returns to service (repowered vehicles), Should CONTRACTOR deviate from or fail to comply with this obligation, for reasons other than those stated in the EARLY TERMINATION clause of this contract, CONTRACTOR shall reimburse SCAQMD for a prorated share of the funds provided for the vehicle as indicated in the table below: 1 20D -12 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 5 year Operations Obligation Termination Occurs Percentage of MSRC Funds to be Reimbursed Within Year 1 ! 100% Between Years 1 -2 80% Between Years 2 -3 60% Between Years 3 -4 40% Between Years 4 -5 20% After Year 5 0% B. The appropriate reimbursable amount shall be paid to SCAQMD within sixty (60) days from the date the vehicle ceases to operate in accordance with the geographical restriction. CONTRACTOR shall not be responsible for any reimbursement to SCAQMD if the obligation is terminated as a result from one or more reasons set forth in the EARLY TERMINATION clause of this contract. C. Should CONTRACTOR sell, lease, transfer, assign or otherwise divest itself of the vehicles during the five year period referred to above, notice shall be provided to SCAQMD no less than 30 days preceding the sale, lease, transfer, or assignment is effectuated. The agreement effectuating the sale, lease, transfer or assignment shall state that the SCAQMD Is an intended third -party beneficiary of the agreement and shall include the following requirement: the obligation to accrue mileage within the South Coast Air Quality Management District shall be a continuing obligation of the subsequent purchaser, lessee, transferee, successor in interest, heir or assign and shall remain in full force and effect until the expiration of the five year operation period. This obligation shall be passed down to any subsequent purchaser, lessee or transferee during this five year term and SCAQMD shall bean intended third -party beneficiary of any subsequent agreement. Upon receiving notice of any subsequent sale, lease, transfer, assignment or other divestiture, SCAQMD may elect to either require the reimbursement specified above, or require the subsequent purchaser, lessee, transferee or assignee to comply with the continuing obligation to operate the vehicle for a period of no less than five (5) years from the date she vehicle entered service (new vehicles) or re- service (re- powered vehicles). Notice of SCAQMD's election of remedies shall be provided to CONTRACTOR and any subsequent purchaser, lessee, transferee or assignee In a timely fashion. 3 Qperarfign Reguirem- epts and Reimbursement for Noncompliance —EV Charging Stations CONTRACTOR is obligated to comply with the Operational Availability requirements set forth as follows: A. CONTRACTOR commits to ensuring Level II charging stations remain operational in the original location for a period of no less than three (3) years from the date the station begins operations in either its initial or expanded capacity. Should CONTRACTOR desire to deviate from this obligation, for reasons other than those stated in the EARLY TERMINATION clause of this Contract, CONTRACTOR shall reimburse SCAQMD for a 20D -13 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 prorated share of the funds provided for fueling /charging facilities as Indicated in the table below: 3 year Operational Availabiiity O""atian Termination Occurs Percentage of MSRC Funds to be Reimbursed Within Year 1 100% Between Years 1 -2 66% Between Years 2.3 33% After Year 3 0% B. The appropriate reimbursable amount shall be paid to SCAQMD within sixty (60) days from the date the station ceases operation, CONTRACTOR shall not be responsible for any reimbursement to SCAQMD if the obligation is terminated as a result from one or more reasons set forth In the EARLY TERMINATION clause of this Contract. C. The obligations of this section shall survive the expiration of the Contract and continue In full force and effect until the applicable operational availability period set forth above has been satisfied. 4. Display of MSRC Logo CONTRACTOR agrees to permanently display one MSRC decal in a prominent location on each vehicle purchased pursuant to this Contract. Decals will be provided by SCAQMD upon notification that each subject vehicle and /or station becomes operational. Decals are approximately twelve (12) Inches in height and eighteen (18) Inches in width (Note: a smaller decal may be provided if CONTRACTOR demonstrates that application of the standard decal is not feasible). CONTRACTOR shall maintain decal for life of equipment subject to this Contract. Should any decal become damaged, faded, or otherwise unreadable, CONTRACTOR shall request replacement decal from SCAQMD and apply new decal in the same or other prominent location. SCAQMD shall not be responsible for damage to paint or other surfaces arising from application or removal of decals, 5, Promotion CONTRACTOR shall prepare and submit a proposed Public Outreach Plan to promote the MSRC's co- funding of the vehicles and EV charging stations. Acceptable outreach may include, but is not limited to, notices in CONTRACTOR mailings to residents, newspaper notices, flyers, and information Items at CONTRACTOR Board meetings and community events. The Public Outreach Plan shall automatically be deemed approved 30 days following receipt by SCAQMD staff, unless SCAQMD staff notify CONTRACTOR in writing of a Public Outreach Plan deficiency. CONTRACTOR shall implement the approved Public Outreach Plan in accordance with the Project Schedule below. 20D -14 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 6. Reports Quarterly Reports: Until vehicles are placed Into service and EV charging stations commence operation, CONTRACTOR shall provide quarterly progress reports that summarize the project results to date including; but not limited to, tasks completed, Issues or problems encountered, resolutions Implemented, and progress to date. Progress reports that do not comply will be returned to the CONTRACTOR as inadequate, Final Report: A Flnal Report shall be submitted by the CONTRACTOR in the format provided by SCAQMD staff, Report shall include, at a minimum: a) an executive summary; and b) a detailed discussion of the results and conclusions atthls project. CONTRACTOR will identify any barriers encountered and solutions developed to overcome the barriers, and impact of project on future alternative fuel and electric vehicle projects, 7. Project Schedule CONTRACTOR shall comply with the Increments of progress identified in the following chart. The completion month for each task is based on the date of Contract execution, Task Completion Order vehicles Month 9 Select vendor for EV charging equipment and installation Month 10 Submit Public Outreach Plan Month 13 Complete EV station installations and enter into service Month 13 Place vehicles into service Month 17 Implement Public Outreach Plan Month 19 Quarterly reports Months 4, 7, 10, 13, and 16 Final Report Month 20 20D -15 Attachment 2 Payment Schedule City of Santa Ana Contract Number ML14012 Cost Breakdown No funds shall be paid out to CONTRACTOR pursuant to this Contract, until the project described in Attachment 1 is completed and proof of completion is provided to SCAQMD, If the project described in Attachment 1 is not completed and satisfactory proof of completion Is not provided to 5CAQMD, no monies shall be due and payable to CONTRACTOR. However, reimbursement may be made for vehicles even if EV charging station installation is not yet complete, orvice versa. Proof of completion shall include: • For vehicles: • Proof of vehicle delivery, vehicle acceptance, and placement of vehicle into service • Documentation of the specific engine installed in the vehicle, including the year, manufacturer, and model • For EV charging stations: • Representative photos of completed stations; • a report signed by a responsible official certifying that the station has been completed as described in Attachment 1; and • receipts for equipment and/or invoice(s) from subcontractor(s) performing the Installations, if any. If, at the completion of the Project, the expenditures are less than the Total Cost amount above, the actual amount of AB 2766 Discretionary Funds reimbursed to CONTRACTOR shall be adjusted on a prorated basis, as follows: • For vehicles, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subvention and other funds applied, up to a maximum of $30,000 per heavy -duty vehicle; and 61 20D -16 Maximum AB2766 CONTRACTOR Additional Purchase Discretionary AB2766 Other Funds Protect Co- Category Funds Subvention Applied to Funding(not Total Cost payable Funds Match matched) under this Applied Contract $210,000 (not LPG - fueled to exceed heavy -duty $30,000 per $D $210,000 $220,000 $640,000 vehicles vehicle) EV Charging $34,000 $34,000 $0 $0 $68,000 Stations Totals _ $244,000 $34,000 $210,000 $220,000 708 000 No funds shall be paid out to CONTRACTOR pursuant to this Contract, until the project described in Attachment 1 is completed and proof of completion is provided to SCAQMD, If the project described in Attachment 1 is not completed and satisfactory proof of completion Is not provided to 5CAQMD, no monies shall be due and payable to CONTRACTOR. However, reimbursement may be made for vehicles even if EV charging station installation is not yet complete, orvice versa. Proof of completion shall include: • For vehicles: • Proof of vehicle delivery, vehicle acceptance, and placement of vehicle into service • Documentation of the specific engine installed in the vehicle, including the year, manufacturer, and model • For EV charging stations: • Representative photos of completed stations; • a report signed by a responsible official certifying that the station has been completed as described in Attachment 1; and • receipts for equipment and/or invoice(s) from subcontractor(s) performing the Installations, if any. If, at the completion of the Project, the expenditures are less than the Total Cost amount above, the actual amount of AB 2766 Discretionary Funds reimbursed to CONTRACTOR shall be adjusted on a prorated basis, as follows: • For vehicles, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subvention and other funds applied, up to a maximum of $30,000 per heavy -duty vehicle; and 61 20D -16 Attachment 2 Payment Schedule City of Santa Ana Contract Number ML14012 + For the EV charging stations, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subventlon and other funds applied, Additional AB 2766 Discretionary Match Funds will not be available to fund project cost overruns. Any project cost overruns must be funded from other than AB 2766 Discretionary Funds. 6 20D -17 20D -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED E] Recommended APPROPRIATION ADJUSTMENT AND ❑ As Amended El AGREEMENT ACCEPTING 2014 SOUTH ❑ Ordinance on `I 'Reading COAST AIR QUALITY MANAGEMENT ❑ Ordinance on Resolution ❑ Implementing Resolution DISTRICT AQMD CLEAN ( ) El Set Public Hearing For TRANSPORTATION FUNDS FOR PROPANE CONVERSION (STRATEGIC PLAN NO. 5, 2) CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager and the Clerk of the Council South Coast Air Quality Management District (AQMD) to trucks to propane fuel usage, subject to non - substantive Manager and City Attorney. to execute an agreement with convert seven new heavy -duty changes approved by the City 2. Approve an appropriation adjustment recognizing 2014 South Coast Air Quality Management District Clean Transportation grant funding in the amount of $210,000 in the MSRC Reimbursement revenue account (no. 03110002 - 52351) and appropriate same to expenditure account (no. 03110102-66400). DISCUSSION The Finance and Management Services Agency Facilities, Fleet Maintenance, and Central Stores Division (FFCS) is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. As part of its 5 -Year Alternative Energy Strategic Plan that was initiated in 2011, FFCS routinely searches for grant funding to expand its efforts in alternative fuel technologies to reduce the City's carbon footprint by lowering levels of pollutants and greenhouse gas emissions. The City's Alternative Energy plan focuses on the use of Compressed Natural Gas (CNG), Propane, and Electric Vehicles for its fleet inventory. In order to reduce costs associated with implementing these new technologies, FFCS searches for grant opportunities that would assist in offsetting these costs. Recently, the City was awarded 20E -1 Appropriation Adjustment and Agreement — 2014 AQMD December 2, 2014 Page 2 $210,000 in funds from the South Coast Air Quality Management District's Clean Transportation Mobile Source Air Pollution Reduction Review Committee (MSRC) for the conversion of seven new heavy duty trucks to propane fuel usage. The heavy duty vehicles being converted to propane are identified in the annual equipment replacement schedule and AQMD is recognizing this purchase as meeting the 50% matching requirement for the grant. As a result, there is no unbudgeted money used for the purchase and conversion of these vehicles. The use of propane fuel provides a clean and cost efficient alternative to traditional gasoline products without the harmful hydrocarbon emissions. The cost of propane fuel is very stable and consistently runs under $2.00 per gallon. Propane is in abundant supply and domestically produced which provides the City with a reliable low cost option to regular gasoline. On October 21, 2014, City Council approved the construction of a new propane fueling station at the Corporate Yard. This fueling station will be available for all City -owned propane fuel vehicles as well as providing the public access to this fueling option. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #2, Expand opportunities for conservation and environmental sustainability. FISCAL IMPACT This action does not impact the General Fund, and will not utilize any Internal Service funding that was not originally appropriated. The appropriation adjustment will recognize 2014 AQMD Clean Transportation grant funding in the amount of $210,000 in the MSRC Reimbursement revenue account (no. 03110002- 52351) and appropriate same to expenditure account (no. 03110102 - 66400). The 50% match is available in the Equipment Replacement fund in the amount of $210,000 (no. 07510101 66400). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez. Executive Director Finance and Management Services Agency CLI /es Exhibit: Agreement 20E -2 South Coast Contract No, ML14012 Air Quality Management District Glean Transportation MomFunding from the MSRC AS 2766/MSRC LOCAL GOVERNMENT MATCH PROGRAM CONTRACT 1, PARTIES - The partles to this Contract are the South Coast Air Quality Management District (hereinafter referred to as "SCAQMD' whose address is 21865 Copley Drive, Diamond Bar, California 91765.4178, and the City of Santa Ana (hereinafter referred to as 'CONTRACTOR") whose address is 20 Civic Center Plaza, Santa Ana, California 92701, 2, RECITALS A. SCAQMD is the local agency with primary responsibility for regulating stationary source air pollution within the geographical boundaries of the South Coast Air Quality Management District in the State of California (State), SCAQMD is authorized under State Health & Safety Code Section 44225 (AB 2766) to levy a fee on motor vehicles for the purpose of reducing air pollution from such vehicles and to implement the California Clean Air Act, B, Under AS 2766, SCAQMD's Governing Board has authorized the imposition of the statutorily set motor vehicle fee. By taking such action, the State's Department of Motor Vehicles (DMV) is required to collect such fee and remit it periodically to SCAQMD, C. AS 2766 further mandates that thirty (30) percent of such vehicle registration fees be placed by SCAQMD Into a separate account for the sole purpose of implementing and monitoring programs to reduce air pollution from motor vehicles, D, AS 2766 creates a regional Mobile Source Air Pollution Reduction Review Committee (MSRC) to develop a work program to fund projects from the separate account. Pursuant to approval of the work program by SCAQMD's Governing Board, SCAQMD authorized this Contract With CONTRACTOR for equipment or services described in Attachment 1- Statement of Work, expressly incorporated herein by this reference and made a part hereof of this Contract. E. CONTRACTOR has met the requirements for receipt of AB 2766 Discretionary Funds as set fotfh in CONTRACTOR's Local Government Match Program Application /Proposal dated 'October 10, 2013, F. CONTRACTOR is authorized to do business in the State of California and attests that it is in good tax standing with the California Franchise Tax Board, G. All parties to this Contract have had the opportunity to have this Contract reviewed by their attorney, 3, DMV FEES � CONTRACTOR acknowledges that SCAQMD cannot guarantee that the amount of fees to be collected under AB 2766 will be sufficient to fund this Contract. CONTRACTOR further acknowledges that payment under this Contract is contingent upon SCAQMD receiving sufficient funds from the DMV, and that SCAQMD assumes no responsibility for the collection and remittance of motor vehicle registration fees, 4, AUDIT AND RECORDS RETENTION A. CONTRACTOR shall, at least once every two years, or within two years of the termination of the Contract if the term is less than two years, be subject to an audit by SCAQMD or its authorized representative to determine If the revenues received by CONTRACTOR were spent for the reduction of pollution from motor vehicles pursuant to the Clean Air Act of 1988. B. CONTRACTOR agrees to maintain records related to this Contract during the Contract term and continue to retain these records for a period of two years beyond the Contract term, except that in no case shall CONTRACTOR be required to retain more than the most recent five years' records, SCAQMD shall coordinate such audit through CONTRACTOR'S audit staff, 20E -3 Contract No. M04012 C. If an amount is found to be inappropriately expended, SCAQMD may withhold funding, or seek reimbursement, from CONTRACTOR in the amount equal to the amount that was Inappropriately expended. Such withholding shall not be construed as SCAQMD's sole remedy and shall not relieve CONTRACTOR of its obligation to perform under the terms of this Contract. 5. TERM - The term of this Contract is for eighty (80) months from the date of execution by both parties, unless terminated earlier as provided for in the TERMINATION clause of this Contract, the EARLY TERMINATION clause, or the term is extended by amendment of this Contract in writing, No work shall commence prior to the Contract start date, except at CONTRACTOR's cost and risk, and no charges are authorized until this Contract is fully executed, subject to the provisions stated in the PRE - CONTRACT COSTS clause of this Contract. 6. SUCCESSORS -IN- INTEREST - This Contract, and the obligations arising under the Contract, shall be binding on and inure to the benefit of CONTRACTOR and their executors, administrators, successors, and assigns. 7. REPORTING - CONTRACTOR shall submit reports to SCAQMD as outlined in Attachment 1 - Statement of Work. SCAQMD reserves the right to review, comment, and request changes to any report produced as a result of this Contract. 8, TERMINATION A, in the event any party fails to comply with any term or condition of this Contract, or fails to provide services in the manner agreed upon by the parties, including, but not limited to, the requirements of Attachment 1 — Statement of Work, this failure shall constitute a breach of this Contract. The non - breaching party shalt notify the breaching party that it must cure this breach or provide written notification of its intention to terminate this contract. Notification shall be provided in the manner set forth In the NOTICES clause of this Contract. The nun- breaching party reserves all rights under law and equity to enforce this Contract and recover damages. B. SCAQMD reserves the right to terminate this Contract, in whole or in part, without cause, upon thirty (30) days' written notice. Once such notice has been given, CONTRACTOR shall, except as and to the extent or directed otherwise by SCAQMD, discontinue any Work being performed under this Contract and cancel any of CONTRACTOR's orders for materials, facilities, and supplies in connection with such Work, and shall use its best efforts to procure termination of existing subcontracts upon terms satisfactory to SCAQMD. Thereafter, CONTRACTOR shall perform only such services as may be necessary to preserve and protect any Work already in progress and to dispose of any property as requested by SCAQMD, C. CONTRACTOR shall be paid In accordance with this Contract for all Work performed before the affective date of termination under section B of the TERMINATION clause of this Contract. Before expiralion of the thirty (30) days' written notice, CONTRACTOR shall promptly deliver to SCAQMD all copies of documents and other information and data prepared or developed by CONTRACTOR under this Contract with the exception of a record copy of such materials, which may be retained by CONTRACTOR. 9, EARLY TERMINATION This Contract may be terminated early due to the following circumstances: The infrastructure Identified in Attachment 1, Statement of Work, becomes inoperable, and is either not technically able to be repaired, or is too costly to repair, and such failure is not caused by CONTRACTOR's negligence, misuse, or malfeasance. 20E -4 Contract No, ML14012 10, STOP WORK - SCAQMD may, at any time, by written notice to CONTRACTOR, require CONTRACTOR to stop all or any part of the Statement of Work tasks in this Contract. A stop work order may be issued for reasons including, but not limited to, the project exceeding the budget, out of scope work, delay in project schedule, or misrepresentations. Upon receipt of the stop work order, CONTRACTOR shall immediately take all necessary steps to comply with the order, CONTRACTOR shall resume the work only upon receipt of written Instructions from SCAQMD cancelling the stop work order, CONTRACTOR agrees and understands that CONTRACTOR will not be paid for performing work while the stop work order is in effect, unless SCAQMD agrees to do so in its written cancellation of the stop work order. 11, INSURANCE - CONTRACTOR represents that it is permissibly self - insured and will maintain such self - insurance in accordance with applicable provisions of California law throughout the term of this Contract. CONTRACTOR shall provide evidence of sufficient coverage during the term of this Contract and any extensions thereof that meet or exceed the minimum requirements set forth by the SCAQMD below. The certificate of self - Insurance shall be mailed to: SCAQMD, 21865 Copley Drive, Diamond Bar, CA 91765- 4178, Attention; Cynthia Ravenstefn, MSRC Contracts Administrator, The SCAQMD Contract Number must be Included on the face of the certificate. if CONTRACTOR fails to maintain the required insurance coverage, SCAQMD reserves the right to terminate the Contract or purchase such additional insurance and bill CONTRACTOR or deduct the cost thereof from any payments owed to CONTRACTOR. Minimum Insurance coverages are as follows; A. Worker's compensation insurance in accordance with either California or other state's applicable statutory requirements. B. General Liability Insurance with a limit of at least $1,000,000 per occurrence, and $2,000,000 In general aggregate. C. Automobile Liability insurance with limits of at least $100,000 per person and $300,000 per accident for bodily injuries and $50,000 in properly damage, or $1,000,000 combined single limit for bodily injury or property damage. 12, INDEMNIFICATION - CONTRACTOR agrees to hold harmless, defend and indemnify SCAQMD, its officers, employees, agents, representatives, and successors -in- interest against any and all loss, damage; costs, lawsuits, claims, demands, causes of action judgments, attorney's fees, or any other expenses arising from or related to any third party claim against SCAQMD, its officers, employees, agents, representatives, or successors in interest that arise or result In whole or in part, from any actual or alleged act or omission of CONTRACTOR, its employees, subcontractors, agents or representatives In the performance of this Contract, 13; DISCLAIMER OF WARRANTY - The purchase or lease of funded vehicles /equipment is the CONTRACTOR's decision, The SCAQMD does not make any express or implied warranty of merchantability, fitness for a particular purpose or otherwise, quality or usefulness of the technology or product. Without limiting the foregoing, the SCAQMD will not be financially responsible, or otherwise liable, for the installation or performance of the vehicle /equipment. 14, PAYMENT A, SCAQMD shall reimburse CONTRACTOR up to a total amount of Two Hundred Forty Four Thousand Dollars ($244,000) in accordance with Attachment 2 — Payment Schedule expressly incorporated herein by this reference and made a part hereof of the Contract. 20E -5 Contract No. ML14012 B. A withhold amount or percentage (if any) shall be identified in the Payment Schedule, and such amount shall be withheld from each invoice. Upon satisfactory completion of project and final acceptance of work and the final report, CONTRACTOR's invoice for the withheld amount shall be released, Proof of project completion shall include a Final Report detailing the project goals and accomplishments, data collected during project performance, if any, documentation of significant results, and emissions reduction input data needed for calculation of emissions reductions. C. Any funds not expended upon early Contract termination or Contract completion shall revert to the AB 2766 Discretionary Fund, Payment of charges shall be made by SCAQNID to CONTRACTOR within thirty (30) days after approval by SCAQMD of an itemized Invoice prepared and furnished by CONTRACTOR, D. An Invoice submitted to SCAQMD for payment must be prepared in duplicate, on company letterhead, and list SCAQMD's contract number, period covered by invoice, and CONTRACTOR's social security number or Employer Identification Number and submitted to: South Coast Air Quality Management District 21865 Copley Drive Diamond Bar, CA 917654178 Attn: Cynthia Ravenstein, MSRC Contracts Administrator 1. Charges for equipment, material, and supply costs, travel expenses, subcontractors, and other charges, as applicable, must be itemized by CONTRACTOR. Reimbursement for equipment, material, supplies, subcontractors, and other charges, as applicable, shall be made at actual cost, Supporting documentation must be provided for ail individual charges (with the exception of direct labor charges provided by CONTRACTOR). 2, SCAQMD shall pay CONTRACTOR for travel- related expenses only if such travel is expressly set forth in Attachment 2 — Payment Schedule of this Contract or pre - authorized by SCAQMD in writing, 3. CONTRACTOR's failure to provide receipts shall be grounds for SCAQMD's non - reimbursement of such charges. CONTRACTOR may reduce payments on invoices by those charges for which receipts were not provided. 4. CONTRACTOR must submit final invoice no later than ninety (90) days after the termination date of this Contract or invoice may not be paid. 15, COMPLIANCE WITH APPLICABLE LAWS - CONTRACTOR agrees to comply with all federal, state, and local laws, ordinances, codes and regulations and orders of public authorities in the performance of this Contract. CONTRACTOR must also ensure that the vehicles and /or equipment to be purchased, leased or installed is in compliance with all applicable federal, state, and local air quality rules and regulations, and that it will maintain compliance for the full Contract term. CONTRACTOR shall ensure that the provisions of this clause are included in all subcontracts. 16. MOBILE SOURCE EMISSION REDUCTION CREDITS (MSERCs) A. The MSRC has adopted a policy that no MSERCs resulting from AB 2766 Discretionary Funds may be generated and /or sold. B. CONTRACTOR has the opportunity to generate MSERCs as a by- product of the project if a portion of the air quality benefits attributable to the project resulted from funding sources other than A62766. These MSERCs, which are issued by SCAQMD, are based upon the quantified vehicle miles traveled (VMT) by project vehicles or other activity data as appropriate, Therefore, a portion of prospective MSERCs, generated as a result of AB 2766 Funds, must be retired. The portion of prospective credits 20E -6 Contract No, MH4012 funded by the AS 2766 program, and which are subject to retirement, shall be referred to as "AB 2766 - MSERCs," C. The determination of AS 2766- MSERC's is to be prorated based upon the AB 2766 program's contribution to the cost associated with the air quality benefits. In the case where AS 2766 Discretionary Funds are used to pay for the full differential cost of a new alternative fuel vehicle or for the retrofitting or repowering of an existing vehicle, all MSERCs attributable to AB 2766 Discretionary Funds must be retired. The determination of AB 2766 - MSERCs for infrastructure and other ancillary items is to be prorated based upon the AS 2766 program's contribution to the associated air quality benefits. Determination of the project's overall cost will be on a case -by -case basis at the time an MSERC application is submitted. SCAQMD staff, at the time an MSERC application is submitted, will calculate total MSERCs and retire the AS 2766 - MSERCs, CONTRACTOR would then receive the balance of the MSERCs not associated with AS 2766 funding, 17, NOTICES -All notices that are required under this Contract shall be provided in the manner set forth herein, unless specified otherwise, Notice to a party shall be delivered to the attention of the person listed below, or to such other person or persons as may hereafter be designated by that party in writing, Notice shall be in writing sent by email, U,S. Mail, express, certified, return receipt requested, or a nationally recognized overnight courier service. In the case of email communications, valid notice shall be deemed to have been delivered upon sending, provided the sender obtained an electronic confirmation of delivery. Email communications shall be deemed to have been received on the date of such transmission, provided such date was a business day (Tuesday - Friday) and delivered prior to 5:30pm Pacific Standard Time. Otherwise, receipt of email communications shall be deemed to have occurred on the following business day. In the case of U.S. Mail notice, notice shall be deemed to be received when delivered or five (5) business days after deposit in the U, S. Mail. In the case of a nationally recognized overnight courier service, notice shall be deemed received when delivered (written receipt of delivery), SCAQMD: South Coast Air Quality Management District 21865 Copley Drive Diamond Bar, CA 91765 -4178 Attn: Cynthia Ravenstein, MSRC Contracts Administrator, email cravensteh(dagmd gov CONTRACTOR: City of Santa Ana 215 South Center St, Santa Ana, CA 92703 Aft Rick Longobart, email: RIengobart(asanta -an".or 18. INDEPENDENT CONTRACTOR - CONTRACTOR is an independent contractor, CONTRACTOR, its officers, employees, agents, representatives, or subcontractors shall in no sense be considered employees or agents of SCAQMD, nor shall CONTRACTOR, its officers, employees, agents, representatives, or subcontractors be entitled to or eligible to participate In any benefits, privileges, or plans, given or extended by SCAQMD to its employees. SCAQMD will not supervise, direct, or have control over, or be responsible for, CONTRACTOR's or subcontractor's means, methods, techniques, work sequences or procedures, or for the safety precautions and programs incident thereto, or for any failure by them to comply with any local, state, or federal laws, or rules or regulations, including state minimum wage laws and OSHA requirements. 20E -7 Contract No, ML:14012 19. SUBCONTRACTOR APPROVAL - If CONTRACTOR intends to subcontract all or a portion of the work under this Contract, then CONTRACTOR must first obtain written approval from SCAQMD's Executive Officer or designee prior to subcontracting any work. Any material changes to the subconiract(s) that affect the scope of work, deliverable schedule, and/or payment/cost schedule shall also require the prior written approval of the SCAQMD Executive Officer or designee. No subcontract charges will be reimbursed unless the required approvals have been obtained from SCAQMD. 20. OWNERSHIP -Title and full ownership rights to any equipment purchased under this Contract shall at all times remain with CONTRACTOR. 21. SECURITY INTEREST - CONTRACTOR hereby grants SCAQMD a security interest in any and all equipment purchased, in whole or in part, with funding provided by SCAQMD pursuant to this Contract. CONTRACTOR acknowledges and agrees that SCAQMD shall have all lien rights as a secured creditor on any and all equipment purchased in whole or in part by the CONTRACTOR, under this Contract or any amendments thereto. The SCAQMD shall have lien rights in effect until the CONTRACTOR satisfies all terms under the Contract, Including but not limited to, the use and reporting requirements. Accordingly, CONTRACTOR farther agrees that SCAQMD is authorized to file a UCC filing statement or similar security instrument to secure its Interests in the equipment that is the subject of the Contract. In the event CONTRACTOR files for bankruptcy protection, CONTRACTOR shall notify SCAQMD within 10 business days of such filing. 22. NONDISCRIMINATION - In the performance of this Contract, CONTRACTOR shall not discriminate in recruiting, hiring, promotion, demotion, or termination practices on the basis of race, religious creed, color, national origin, ancestry, sex, age, or physical handicap and shall comply with the provisions of the California Fair Employment & Housing Act (Government Code Section 12900, of sea), the Federal Civil Rights Act of 1964 (P.L. 88 -352) and all amendments thereto, Executive Order No. 11246 (30 Federal Register 12319), and all administrative rules and regulations issued pursuant to said Acts and Order. CONTRACTOR shall likewise require each subcontractor to comply with this clause and shall include in each such subcontract language similar to this clause. 23. c TizENS HIP AND ALIEN STATUS A. CONTRACTOR warrants that it fully complies with all laws regarding the employment of aliens and others, and that Its employees performing services hereunder meet the citizenship or alien status requirements contained in federal and state statutes and regulations including, but not limited to, the Immigration Reform and Control Act of 1986 (P.L. 99.603). CONTRACTOR shall obtain from all covered employees performing services hereunder all verification and other documentation of employees' eligibility status required by federal statutes and regulations as they currently exist and as they may be hereafter amended. CONTRACTOR shall have a continuing obligation to verify and document the continuing employment authorization and authorized alien status of employees performing services under this Contract to insure continued compliance with all federal statutes and regulations. Notwithstanding the above, CONTRACTOR, in the performance of this Contract, shall not discriminate against any person in violation of 8 USC Section 1324b B. CONTRACTOR shall retain such documentation for all covered employees for the period described by law. CONTRACTOR shall indemnify, defend, and hold harmless SCAQMD, its officers and employees from employer sanctions and other liability which may be assessed against CONTRACTOR or SCAQMD, or both in connection with any alleged violation of federal statutes or regulations pertaining to the eligibility for employment of persons performing services under this Contract. 20E -8 I i i , j Contract No, ML14012 24, ASSIGNMENT AND TRANSFER OF EQUIPMENT A, The rights and responsibilities granted hereby may not be assigned, sold, licensed, or otherwise transferred by CONTRACTOR without the prior written consent of SCAQMD, and any attempt by CONTRACTOR to do so shall be void upon inception, B. CONTRACTOR agrees to obtain SCAQMD's written consent to any assignment, sale, license or transfer of Equipment, if any, rior to completing the transaction. CONTRACTOR shall inform the proposed assignee, buyer, licensee or transferee (collectively referred to here as "Buyer") of the terms of this Contract. CONTRACTOR is responsible for establishing contact between SCAQMD and the Buyer and shall assist SCAQMD In facilitating the transfer of this Contract's terms and conditions to the Buyer, CONTRACTOR will not be relieved of the legal obligation to fulfill the terms and conditions of this Contract until and unless the Buyer has assumed responsibility of this Contract's terms and conditions through an executed contract with SCAQMD, 25, NON - EFFECT OF WAIVER - The failure of CONTRACTOR or SCAQMD to insist upon the performance of any or all of the terms, covenants, or conditions of this Contract, or failure to exercise any rights or remedies hereunder, shall not be construed as a waiver or relinquishment of the future performance of any such terms, covenants, or conditions, or of the future exercise of such rights or remedies, unless otherwise provided for herein 26, TAX IMPLICATIONS FROM RECEIPT OF MSRC FUNDS - CONTRACTOR is advised to consult a tax attorney regarding potential tax implications from receipt of MSRC funds, 27. ATTORNEYS' FEES - In the event any action is filed in connection with the enforcement or interpretation of this Contract, each party in said action shall pay its own attorneys' fees and costs, 28, FORCE MAJEURE -Neither SCAQMD nor CONTRACTOR shall be liable or deemed to be in default for any delay or failure in performance under this Contract or interruption of services resulting, directly or indirectly, from acts of God, civil or military authority, acts of public enemy, war, strikes, labor disputes, shortages of suitable parts, materials, labor or transportation, or any similar cause beyond the reasonable control of SCAQMD or CONTRACTOR, 29, SEVERABILITY- In the event that any one or more of the provisions contained in this Contract shall for any reason be held to be unenforceable in any respect by a court of competent jurisdiction, such holding shall not affect any other provisions of this Contract, and the Contract shall then be construed as if such unenforceable provisions are not a part hereof, 30, HEADINGS - Headings on the clauses of this Contract are for convenience and reference only, and the words contained therein shall in no way be held to explain, modify, amplify, or aid in the interpretation, construction, or meaning of the provisions of this Contract. 31, DUPLICATE EXECUTION - This Contract is executed in duplicate. Each signed copy shall have the force and effect of an original, 32. GOVERNING LAW - This Contract shall be construed and interpreted and the legal relations created thereby shall be determined in accordance with the laws of the State of California. Venue for resolution of any disputes under this Contract shall be Los Angeles County, California, 20E -9 Contract No. W4012 33, PRE - CONTRACT COSTS - Any costs incurred by CONTRACTOR prior to CONTRACTOR receipt of a fully executed Contract shall be Incurred solely at the risk of the CONTRACTOR, In the event that a formal Contract is not executed, neither the MSRC nor the SCAQMD shall be liable for any amounts expended in anticipation of a formal Contract. If a formal Contract does result, pre - contract cost expenditures authorized by the Contract will be reimbursed in accordance with the Payment Schedule and payment provision of the Contract. 34 CHANGE TERMS - Changes to any part of this Contract must be requested in writing by CONTRACTOR and approved by MSRC in accordance with MSRC policies and procedures. CONTRACTOR must make requests a minimum of 90 days prior to desired effective date of change. All modifications to this Contract shalt be in writing and signed by the authorized representatives of the parties, Fueling station location changes shall not be approved under any circumstances. 36. PREVAILING WAGES - CONTRACTOR Is alerted to the prevailing wage requirements of California Labor Code section 1770 at seq.. Notwithstanding the preceding sentence, CONTRACTOR shall be responsible for determining the applicability of the provisions of California Labor Code and complying with the same, including, without limitation, obtaining From the Director of the Department of Industrial Relations the general prevailing rate of per diem wages and the general prevailing rate for holiday and overtime work, making the same available to any interested party upon request, paying any applicable prevailing rates, posting copies thereof at the job site and flowing all applicable prevailing wage rate requirements to Its subcontractors. CONTRACTOR shall indemnify, defend and hold harmless the South Coast Air Quality Management District against any and all claims, demands, damages, defense costs or liabilities based on failure to adhere to the above referenced statutes. 36. ENTIRE CONTRACT - This Contract represents the entire agreement between CONTRACTOR and SCAQMD, There are no understandings, representations, or warranties of any kind except as expressly set forth herein. No waiver, alteration, or modification of any of the provisions herein shall be binding on any party unless in Writing and signed by the authorized representative of the party against whom enforcement of such waiver, alteration, or modification is sought. 37. AUTHORITY - The signator hereto represents and warrants that he or she is authorized and empowered and has the legal capacity to execute this Contract and to legally bind CONTRACTOR both In an operational and financial capacity and that the requirements and obligations under this Contract are legally enforceable and binding on CONTRACTOR. (THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK) 20E -10 Contract No, ML14012 IN WITNESS WHEREOF, the parties to this Contract have caused this Contract to be duly executed on their behalf by their authorized representatives, SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT By: Dr, William A, Burka, Chairman, Governing Board Date: ATTEST: Saundra McDaniel, Clerk of the Board 0 APPROVED AS TO FORM: Kurt R. Wiese, General Counsel By: r 11M8RC Master aollerpla9e RovoeOApril le, 2094 CITY OF SANTA ANA By; Name: David Cavazos Title: City Manager Date; J 20E -11 APPROVED AS TO FORM LISA E STORCK Assistant City Attorney Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 1. Proiect A. The City of Santa Ana (hereinafter referred to as "CONTRACTOR ") is to purchase seven heavy -duty on -road vehicles, each with a 15 -year life expectancy and gross vehicle weight rating greater than 14,000 pounds and equipped with dedicated liquefied petroleum gas (LPG) engines. Each engine must be certified by the California Air Resources Board (CARE) at, or cleaner than, the 2010 heavy -duty engine emission standards of 0.2 g /bhp -hr for oxides of nitrogen (NOx) and 0.01 g /bhp -hr for particulate matter (PM), B. CONTRACTOR is also to install a total of six 'level IC' type EV charging stations at a minimum of three locations within the City of Santa Ana. At least five of the stations shall be publicly accessible. All stations shall meet current Society of Automotive Engineers J1772 standards, Proposed locations are shown in the table below; Street Venue _ 215 S. Center Street Corporate Yard, Service Port 215 S. Center Street _ Corporate Yard, General Parking 201 E. V Street The Santiago Arts District 1801 East Chestnut Avenue Santa Ana Zoo These locations are understood to be tentative; CONTRACTOR shall notify MSRC staff of any location changes. CONTRACTOR shall be reimbursed accordingto Attachment 2 - Payment Schedule, 2 Operation Requirements and Reimbursement for Noncompliance - Vehicles Vehicles are required to operate for a minimum of five years, but it is expected that the vehicles will continue to operate for their entire life expectancy. CONTRACTOR is obligated to comply with the geographical restriction requirements as follows: A. Each of the vehicles funded under this Contract must accrue at least 85% of its annual mileage or engine hours of operation within the geographical boundaries of the South Coast Air Quality Management District for a period of no less than five (5) years from the date the vehicle enters service (new vehicles) or returns to service (repowered vehicles), Should CONTRACTOR deviate from or fail to comply with this obligation, for reasons other than those stated in the EARLY TERMINATION clause of this contract, CONTRACTOR shall reimburse SCAQMD for a prorated share of the funds provided for the vehicle as indicated in the table below: 1 20E -12 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 5 year Operations Obligation Termination Occurs Percentage of MSRC Funds to be Reimbursed Within Year 1 ! 100% Between Years 1 -2 80% Between Years 2 -3 60% Between Years 3 -4 40% Between Years 4 -5 20% After Year 5 0% B. The appropriate reimbursable amount shall be paid to SCAQMD within sixty (60) days from the date the vehicle ceases to operate in accordance with the geographical restriction. CONTRACTOR shall not be responsible for any reimbursement to SCAQMD if the obligation is terminated as a result from one or more reasons set forth in the EARLY TERMINATION clause of this contract. C. Should CONTRACTOR sell, lease, transfer, assign or otherwise divest itself of the vehicles during the five year period referred to above, notice shall be provided to SCAQMD no less than 30 days preceding the sale, lease, transfer, or assignment is effectuated. The agreement effectuating the sale, lease, transfer or assignment shall state that the SCAQMD Is an intended third -party beneficiary of the agreement and shall include the following requirement: the obligation to accrue mileage within the South Coast Air Quality Management District shall be a continuing obligation of the subsequent purchaser, lessee, transferee, successor in interest, heir or assign and shall remain in full force and effect until the expiration of the five year operation period. This obligation shall be passed down to any subsequent purchaser, lessee or transferee during this five year term and SCAQMD shall bean intended third -party beneficiary of any subsequent agreement. Upon receiving notice of any subsequent sale, lease, transfer, assignment or other divestiture, SCAQMD may elect to either require the reimbursement specified above, or require the subsequent purchaser, lessee, transferee or assignee to comply with the continuing obligation to operate the vehicle for a period of no less than five (5) years from the date she vehicle entered service (new vehicles) or re- service (re- powered vehicles). Notice of SCAQMD's election of remedies shall be provided to CONTRACTOR and any subsequent purchaser, lessee, transferee or assignee In a timely fashion. 3 Qperarfign Reguirem- epts and Reimbursement for Noncompliance —EV Charging Stations CONTRACTOR is obligated to comply with the Operational Availability requirements set forth as follows: A. CONTRACTOR commits to ensuring Level II charging stations remain operational in the original location for a period of no less than three (3) years from the date the station begins operations in either its initial or expanded capacity. Should CONTRACTOR desire to deviate from this obligation, for reasons other than those stated in the EARLY TERMINATION clause of this Contract, CONTRACTOR shall reimburse SCAQMD for a 20E -13 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 prorated share of the funds provided for fueling /charging facilities as Indicated in the table below: 3 year Operational Availabiiity O""atian Termination Occurs Percentage of MSRC Funds to be Reimbursed Within Year 1 100% Between Years 1 -2 66% Between Years 2.3 33% After Year 3 0% B. The appropriate reimbursable amount shall be paid to SCAQMD within sixty (60) days from the date the station ceases operation, CONTRACTOR shall not be responsible for any reimbursement to SCAQMD if the obligation is terminated as a result from one or more reasons set forth In the EARLY TERMINATION clause of this Contract. C. The obligations of this section shall survive the expiration of the Contract and continue In full force and effect until the applicable operational availability period set forth above has been satisfied. 4. Display of MSRC Logo CONTRACTOR agrees to permanently display one MSRC decal in a prominent location on each vehicle purchased pursuant to this Contract. Decals will be provided by SCAQMD upon notification that each subject vehicle and /or station becomes operational. Decals are approximately twelve (12) Inches in height and eighteen (18) Inches in width (Note: a smaller decal may be provided if CONTRACTOR demonstrates that application of the standard decal is not feasible). CONTRACTOR shall maintain decal for life of equipment subject to this Contract. Should any decal become damaged, faded, or otherwise unreadable, CONTRACTOR shall request replacement decal from SCAQMD and apply new decal in the same or other prominent location. SCAQMD shall not be responsible for damage to paint or other surfaces arising from application or removal of decals, 5, Promotion CONTRACTOR shall prepare and submit a proposed Public Outreach Plan to promote the MSRC's co- funding of the vehicles and EV charging stations. Acceptable outreach may include, but is not limited to, notices in CONTRACTOR mailings to residents, newspaper notices, flyers, and information Items at CONTRACTOR Board meetings and community events. The Public Outreach Plan shall automatically be deemed approved 30 days following receipt by SCAQMD staff, unless SCAQMD staff notify CONTRACTOR in writing of a Public Outreach Plan deficiency. CONTRACTOR shall implement the approved Public Outreach Plan in accordance with the Project Schedule below. 20E -14 Attachment 1 Statement of Work City of Santa Ana Contract Number ML14012 6. Reports Quarterly Reports: Until vehicles are placed Into service and EV charging stations commence operation, CONTRACTOR shall provide quarterly progress reports that summarize the project results to date including; but not limited to, tasks completed, Issues or problems encountered, resolutions Implemented, and progress to date. Progress reports that do not comply will be returned to the CONTRACTOR as inadequate, Final Report: A Flnal Report shall be submitted by the CONTRACTOR in the format provided by SCAQMD staff, Report shall include, at a minimum: a) an executive summary; and b) a detailed discussion of the results and conclusions atthls project. CONTRACTOR will identify any barriers encountered and solutions developed to overcome the barriers, and impact of project on future alternative fuel and electric vehicle projects, 7. Project Schedule CONTRACTOR shall comply with the Increments of progress identified in the following chart. The completion month for each task is based on the date of Contract execution, Task Completion Order vehicles Month 9 Select vendor for EV charging equipment and installation Month 10 Submit Public Outreach Plan Month 13 Complete EV station installations and enter into service Month 13 Place vehicles into service Month 17 Implement Public Outreach Plan Month 19 Quarterly reports Months 4, 7, 10, 13, and 16 Final Report Month 20 20E -15 Attachment 2 Payment Schedule City of Santa Ana Contract Number ML14012 Cost Breakdown No funds shall be paid out to CONTRACTOR pursuant to this Contract, until the project described in Attachment 1 is completed and proof of completion is provided to SCAQMD, If the project described in Attachment 1 is not completed and satisfactory proof of completion Is not provided to 5CAQMD, no monies shall be due and payable to CONTRACTOR. However, reimbursement may be made for vehicles even if EV charging station installation is not yet complete, orvice versa. Proof of completion shall include: • For vehicles: • Proof of vehicle delivery, vehicle acceptance, and placement of vehicle into service • Documentation of the specific engine installed in the vehicle, including the year, manufacturer, and model • For EV charging stations: • Representative photos of completed stations; • a report signed by a responsible official certifying that the station has been completed as described in Attachment 1; and • receipts for equipment and/or invoice(s) from subcontractor(s) performing the Installations, if any. If, at the completion of the Project, the expenditures are less than the Total Cost amount above, the actual amount of AB 2766 Discretionary Funds reimbursed to CONTRACTOR shall be adjusted on a prorated basis, as follows: • For vehicles, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subvention and other funds applied, up to a maximum of $30,000 per heavy -duty vehicle; and 61 20E -16 Maximum AB2766 CONTRACTOR Additional Purchase Discretionary AB2766 Other Funds Protect Co- Category Funds Subvention Applied to Funding(not Total Cost payable Funds Match matched) under this Applied Contract $210,000 (not LPG - fueled to exceed heavy -duty $30,000 per $D $210,000 $220,000 $640,000 vehicles vehicle) EV Charging $34,000 $34,000 $0 $0 $68,000 Stations Totals _ $244,000 $34,000 $210,000 $220,000 708 000 No funds shall be paid out to CONTRACTOR pursuant to this Contract, until the project described in Attachment 1 is completed and proof of completion is provided to SCAQMD, If the project described in Attachment 1 is not completed and satisfactory proof of completion Is not provided to 5CAQMD, no monies shall be due and payable to CONTRACTOR. However, reimbursement may be made for vehicles even if EV charging station installation is not yet complete, orvice versa. Proof of completion shall include: • For vehicles: • Proof of vehicle delivery, vehicle acceptance, and placement of vehicle into service • Documentation of the specific engine installed in the vehicle, including the year, manufacturer, and model • For EV charging stations: • Representative photos of completed stations; • a report signed by a responsible official certifying that the station has been completed as described in Attachment 1; and • receipts for equipment and/or invoice(s) from subcontractor(s) performing the Installations, if any. If, at the completion of the Project, the expenditures are less than the Total Cost amount above, the actual amount of AB 2766 Discretionary Funds reimbursed to CONTRACTOR shall be adjusted on a prorated basis, as follows: • For vehicles, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subvention and other funds applied, up to a maximum of $30,000 per heavy -duty vehicle; and 61 20E -16 Attachment 2 Payment Schedule City of Santa Ana Contract Number ML14012 + For the EV charging stations, the amount reimbursed to CONTRACTOR shall not exceed the actual amount of AB 2766 Subventlon and other funds applied, Additional AB 2766 Discretionary Match Funds will not be available to fund project cost overruns. Any project cost overruns must be funded from other than AB 2766 Discretionary Funds. 6 20E -17 20E -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: CONTRACT AWARD TO HARDY & HARPER, INC. FOR ASPHALT STREET MAINTENANCE (SPEC. NO. 14 -072) (STRATEGIC PLAN NO. 6, 1c) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended Cl Ordinance on1"Reading ❑ Ordinance on 2ndReading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Award a contract to Hardy & Harper, Inc. for asphalt street maintenance for a one year period in an annual amount not to exceed $610,000, with provision for three one -year renewals exercisable by the City Manager, subject to non - substantive changes approved by the City Manager and the City Attorney. DISCUSSION The Public Works Agency Maintenance Services Division is responsible for maintaining approximately 400 miles of streets within the City of Santa Ana. In order to maintain a quality infrastructure, asphalt street maintenance and repairs are required. Services provided under the asphalt street maintenance contract include the excavation and cold milling of existing roadways, construction of asphalt concrete pavement, crack sealing and concrete repairs. In addition, the contract provides for water and sewer system maintenance, including utility trench repair, water valve box repairs and adjustment of manhole frames and covers to grade. The notice inviting bids was advertised on October 20, 2014 on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 66 Vendors notified 2 Santa Ana vendors notified 4 Bids received 2 Bids received from Santa Ana vendors 1 Vendor requested to withdraw its bid 22A -1 Contract Award for Asphalt Street Maintenance December 2, 2014 Page 2 Bids were received and opened on November 12, 2014 and evaluated (Exhibit 1). The bid received from Hardy & Harper, Inc, a Santa Ana vendor, is responsive to the contract specifications, meets the City's requirements for maximum quality service at minimum price and complies with prevailing wage requirements. The annual amount is based on staffs projection for next contract year. 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). FISCAL IMPACT Funds are available in the Public Works Roadway Maintenance, Water System Maintenance and Sanitary Sewer Services accounts (nos. 02917660 - 62300, 06017641 -62300 and 05617640- 62300). I �J F d Mousavipour Executive Director Public Works Agency PG /sp APPROVED AS TO FUNDS AND ACCOUNT: �rA1 Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 22A -2 ABSTRACT OF BIDS ASPHALT STREET MAINTENANCE (SPEC. NO. 1 Bidder All American Asphalt Excel Paving Co. Hardy & Harper, Inc. Location Corona Long Beach Santa Ana Bid Total $4,297,700.00 $3,787,375.00 $1,955,090.00 * $19,550.90 $1,935,539.10 * 1 % Santa Ana Vendor Preference EXHIBIT 1 22A -3 22A -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: CONTRACT AWARD TO ALL AMERICAN ASPHALT FOR ASPHALT POTHOLE REPAIR (SPEC. NO. 14 -074) (STRATEGIC PLAN NO. 6, 1c) CITY MA GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I "Reading ❑ Ordinance on 2ntlReading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Award a contract to All American Asphalt for asphalt pothole repair for a one year period in an annual amount not to exceed $450,000, with provision for three one -year renewals exercisable by the City Manager, subject to non - substantive changes approved by the City Manager and the City Attorney. DISCUSSION The Public Works Agency Maintenance Services Division is responsible for maintaining approximately 400 miles of roadway within the City of Santa Ana. Services provided under the asphalt pothole repair contract include the repair of all potholes and the repair of all damaged pavement areas not exceeding 100 sq. ft. in area with asphalt overlay. The contract will also provide for sidewalk ramping to reduce risks to pedestrian traffic. The notice inviting bids was advertised on October 20, 2014 on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 66 Vendors notified 3 Santa Ana vendors notified 5 Bids received 3 Bids received from Santa Ana vendors Bids were received and opened on November 12, 2014 and evaluated (Exhibit 1). The bid received from All American Asphalt is responsive to the contract specifications, meets the City's requirements for maximum quality service at minimum price and complies with prevailing wage requirements. The annual amount is based on staffs projection for next contract year. 22B -1 Contract Award for Pothole Repair December 2, 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 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). FISCAL IMPACT Funds are available in the Public Works Roadway Maintenance account (no. 02917660 - 62300). r d Mohsavipour Executive Director Public Works Agency PG /sp APPROVED AS TO FUNDS AND ACCOUNT: ia1'�1 I 1��r —, `,� a� Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 228 -2 ABSTRACT OF BIDS ASPHALT POTHOLE REPAIR (SPEC. NO. 14 -07 All American Bidder Asphalt Ben's Asphalt, Inc. Excel Paving Co. Location Corona Santa Ana Long Beach Total $495,600.00 $549,500.00 $611,500.00 * $5,495.00 $544,005.00 Bidder Hardy & Harper, Inc. TLG Pavinq Co. Location Santa Ana Santa Ana Bid Total $582,000.00 $777,100.00 * $5,820.00 * $7,771.00 $576,180.00 $769,329.00 * 1 % Santa Ana Vendor Preference EXHIBIT 1 22B -3 22B -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: AWARD CONTRACT FOR 17TH STREET WATER MAIN IMPROVEMENTS: BRISTOL STREET TO BROADWAY (PROJECT 116416) (STRATEGIC PLAN NO. 6, 1, B) CITY ANAGER RECOMMENDED ACTION Award a contract to Paulus Engineering, construction of the 17th Street Water Main accordance with the base bid in the amount o total amount not to exceed $1,832,571. CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Inc., the lowest responsible bidder, for the Improvements, Bristol Street to Broadway, in f $1,593,540 and a contingency of $239,031 for 2. Approve the Cost Analysis for a total estimated project delivery cost of $2,071,602. DISCUSSION The existing 10 -inch diameter cast iron water main on 17th Street was installed in the 1930's and has begun to experience a number of breaks and leaks. Staff monitors the condition of water main pipelines by assessing critical factors such as age, history of breaks, size, location, and system redundancy to determine the priority of replacement needs. Based on an analysis of these factors, the water main on 17th Street between Bristol Street and Broadway has been identified as the highest priority for replacement due to its high probability of failure and significant consequences should a failure occur. Prior to advertising the project for bids, staff considered the impacts of construction on businesses and regional traffic. A vicinity map in Exhibit 1 shows the relative location of the water main on 17`h Street to other major city streets. As a result, the project scope was developed to include the option and flexibility to perform construction during nighttime hours as a base bid, along with the option to perform the work during standard daytime hours. Staff recommends that the contract be awarded based on nighttime work. If nighttime work is performed, all vehicle travel lanes would be open during the daytime, allowing access to businesses, and would not interfere with critical peak morning and evening commutes. Working hours for the construction would be 7:00 p.m. to 5:00 a.m. Nighttime construction would adhere to the City's noise ordinance at all times; nonetheless, staff will require that noisier construction activities be limited to before 10:00 p.m. 23A -1 Contract Award for 17th Street Water Main December 2, 2014 Page 2of3 Improvements: Bristol Street to Broadway A Notice Inviting Bids was advertised on August 18 and 19, 2014, and bids were opened on September 9, 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 28 Bids received 15 Bids received from Santa Ana contractors 0 Bid Results Summary RANK BIDDER'S NAME LOCATION BID 1 Paulus Engineering, Inc. Anaheim $1,593,540.00 2 Mamco, Inc. Riverside $1,646,464.64 3 Dominguez General Engineering Inc. Pomona $1,658,000.00 4 Stephen Doreck Equipment Rentals, Inc. Pico Rivera $1,685,180.00 5 GMZ Engineering Inc. Agoura Hills $1,790,050.00 6 J.A. Salazar Construction & Supply Corp. La Habra $1,807,575.00 7 Williams Pipeline Constructors Inc. Somis $1,827,308.00 8 Sully - Miller Contracting Company Brea $1,898,000.00 9 Vido Samarzich, Inc. Alta Loma $1,998,760.00 10 Environmental Assessment and Remediation Management, Inc. Riverside $2,052,770.00 11 J. De Sigio Construction, Inc. Baldwin Park $2,108,450.00 12 Christensen Brothers General Engineering Inc. Apple Valley $2,178,500.00 13 GRFCOInc., Brea $2,193,190.00 14 T.E. Roberts Inc. Orange $2,328,670.00 15 Kennedy Pipeline Construction, Inc. Aliso Viejo $2,648,992.00 15 bids were received and considered responsive, with Paulus Engineering, Inc., submitting the lowest responsive bid. The bid amount of $1,593,540 is comparable to the Engineer's Estimate of $1,340,900. Based on the bids received, staff recommends award of this contract to Paulus Engineering, 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 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). 23A -2 Contract Award for 17th Street Water Main Improvements: Bristol Street to Broadway December 2, 2014 Page 3 of 3 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER #2011 -67 was filed for this project and a Class 2 Categorical Exemption was granted. FISCAL IMPACT The estimated total delivery cost of this project is $2,071,602, which includes construction, contract administration, inspection, testing, surveying, and contingencies (Exhibit 2). Funding is available in the Water Capital Projects Fund (Account No. 06617620 - 66301, Activity Nos. 11641602028 and 11641602027). rreb M usavipo Executive Director Public Works Agency FM /EWG /KW Exhibits: 1. Vicinity Map 2. Cost Analysis APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 23A -3 23A -4 23A -5 Exhibit 1 23A -6 COST ANALYSIS CONSTRUCTION OF THE 17TH STREET WATER MAIN IMPROVEMENTS BRISTOL STREET TO BROADWAY Construction Contract Contract Administration Inspection and Testing Survey Staking Contingencies (15 %) TOTAL ESTIMATED DELIVERY COSTS P &7z $1,593,540 $119,516 $95,612 $23,903 $239,031 2 071 60 CITY OF SANTA ANA CONSTRUCTION CONTRACT Project 116416 Seventeenth Street Water Main Improvements; Bristol Street to Broadway This CONSTRUCTION CONTRACT is made and entered into this 2 " day of December, 2014, by and between the CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY" and Paulus Engineering Inc., hereinafter referred to as "CONTRACTOR ". WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Seventeenth Street Water Main Improvements ( "Work of Improvement ") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents," which include the following: • ... Notice Inviting Bids • ... Information to Bidders • ... Bid Proposal • ... Bid Bond • ... Contract Form • ... Contract Bonds Special Provisions • ... Technical Provisions •... Project Plans • ... Appendix In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. CITY agrees to pay and CONTRACTOR agrees to accept in full payment for this Work of Improvement the sum total amount not to exceed $1,832,571, as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A ". The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual Page 1 of 3 23A -8 CITY OF SANTA ANA CONSTRUCTION CONTRACT Project 116416 Seventeenth Street Water Main Improvements; Bristol Street to Broadway BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities- only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. 4. CONTRACTOR agrees to complete the Work of Improvement within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A ") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the Work of Improvement a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100 %) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100 %) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond equal to at least ten (10 %) percent of the final Contract price or $1,000, whichever is greater (Warranty Bond). Sample bonds are attached hereto and incorporated herein as Exhibit "B" Page 2 of 3 23A -9 CITY OF SANTA ANA CONSTRUCTION CONTRACT Project 116416 Seventeenth Street Water Main Improvements; Bristol Street to Broadway IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney BY Lisa Storck Assistant City Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager RECOMMENDED FOR APPROVAL: Fred Mousavipour, P.E. Executive Director, Public Works Agency CONTRACTOR: Paulus Engineering, Inc. C Page 3 of 3 23A -10 23A -11 CON FRAC 11 I C.)CUL MI::::::I14 11 CITY OF SANTA ANA ADVERTISEMENT PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS NOTICE INVITING BIDS NOTICE IS HEREBY GIVEN that the City of Santa Ana, California will receive at City Hall -Ross Annex, (M -22), 20 Civic Center Plaza, Santa Ana, California 92701, the Public Works Agency Third Floor Receptionist. (see attached map), on or before the hour of 2:00 p.m. on Tuesday October 21, 2014 sealed bids and /or proposals for PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS BRISTOL STREET TO BROADWAY Notice is hereby given BIDDERS that in accordance with the provisions of the California Labor Code, not less than the prevailing rate of per diem wages for each craft or type of worker and mechanic needed to execute the contract in the locality in which the work is to be performed, and not less than the general prevailing rate of per diem wages for holiday and overtime work as determined by the Director of Industrial Relations of the State of California shall be paid to all workers employed. Each bid shall be accompanied by cash, a cashier's or certified check payable to the City of Santa Ana, or bid bond issued by a corporate surety, for an amount not less than ten percent (10 %) of the aggregate of the bid, as a guarantee that the BIDDER will enter into the proposed contract if the same is awarded to him. THE SIGNATURE OF THE BIDDER ON THE BID BOND MUST BE NOTARIZED. The City Council reserves the right to reject any or all bids. The successful BIDDER must possess or obtain a valid California Class (A or C34) Contractor's license prior to the scheduled award date of this contract. Substitution of securities for any monies withheld by the City of Santa Ana to ensure performance is allowed in accordance with the Public Contract Code. Complete electronic sets of the Plans and Specifications will be furnished upon application at the Public Works Agency counter, First Floor, 20 Civic Center Plaza, Ross Annex, Santa Ana, California 92701. Plans and Specifications are available in portable document format (PDF) on a compact disk (CD) only. There is no charge for the Plans and Specifications on CD. PWA Counter Business Hours are 9:00am to 4:00pm, Monday thru Thursday. Call the PWA Projects Information Line at 714 - 647 -5680 for availability of CDs. iv S,&t 1- c NohceIv,Afi.,Bld, 03222014 23A -1 2 CITY OF SANTA ANA ADVERTISEMENT PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS To request a CD by mail, the Contractor must submit an email request to sarmour@santa ana..2rg and provide the following information: Company name, mailing address, phone number, Fed Ex account, and email Subject heading: CD Request for <project no.> < project name >. Checks are no longer accepted. Addenda will be issued by email to those who received CDs directly from the Public Works Agency. DO NOT CALL PURCHASING DIVISION REGARDING PUBLIC WORKS AGENCY PROJECTS. v S,&t 1- c NohceIv,Afi.,Bld, 03222014 23A -1 3 CITY OF SANTA ANA INSTRUCTIONS INTENT OF BID PROPOSAL The purpose of this Bid Proposal is to identify a Prime Contractor to enter into a contract with the City of Santa Ana, referred to as AGENCY, to complete the work shown on the Contract Documents. BID PROPOSAL The Bid Proposal shall be correctly executed and submitted in accordance with the Notice Inviting Bids. The Bid Proposal shall contain the legal name and address of the BIDDER and any SUBCONTRACTORS to be used. If the BIDDER is a corporation, it is important to state the appropriate officers. The Bid Proposal shall be accompanied by all Proposal Documents listed and identified in the "Proposal" section of the Contract Documents to successfully submit a bid. The contractor's bid may be considered non - responsive if any of the documents or forms are not included. The bid package shall be enclosed in a sealed envelope plainly marked on the outside as instructed in the Notice Inviting Bids. Proposals may be mailed, with return address, or delivered by messenger. However, it is the BIDDER'S own responsibility to ensure delivery of the proposal to the location and prior to the bid opening hour stipulated in the Notice Inviting Bids. Late bids will not be considered. EXAMINATION OF CONTRACT DOCUMENTS AND PROJECT SITE It is the BIDDER's responsibility to carefully examine the Contract Documents including the Plans and Specifications, visit the project site, and become fully informed as to all existing conditions and limitations involved in the work. The BIDDER shall include in the bid sum a contract price sufficient to cover all items, including labor and materials, that are required or implied for a complete project as shown and described in the Contract Documents. The BIDDER shall be satisfied as to the character, quality, and quantities of work to be performed, materials to be furnished, and as to the requirements of the proposed contract. Bidders shall not, at any time after submission of the bid, dispute, complain, or assert that there was any misunderstanding in regard to the nature or amount of work to be done. It is mutually agreed that the submission of a Contractor's Bid Proposal shall be prima facie evidence that the Bidder has made such examination and is satisfied as to the conditions to be encountered in performing the work, and as to the requirements of the proposed Plans and Contract Documents. 3 SeRion 2 - b l rrformatlonSidders 09 -22 -2014 23A-14 CITY OF SANTA ANA INSTRUCTIONS CONSTRUCTION CONTRACT AND CONTRACT DOCUMENTS The Construction Contract will either contain or by reference identify all of the documents which comprise the Contract. The Construction Contract incorporates, by reference, a List of Documents which completes the Contract Documents. The List of Documents may be found in the INSTRUCTIONS section of the Contract Documents. The Contract Documents, including any plans and specifications, and drawings thereof, are intended to complement each other so that any work exhibited in either, whether in the other or not, is to be furnished, as if shown or required by all the documents including the plans, specifications, and drawings. In the event there is conflict amongst the Contract Documents, the Special Provisions establishes the precedence of documents. In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Special Provisions. INTERPRETATION OF CONTRACT DOCUMENTS Requests for interpretation must be received at least five (5) days prior to the bid opening date. The person submitting the request will be responsible for its prompt delivery. Any interpretation or correction of the documents will be made only by an Addendum, and a copy of such will be mailed or delivered to each person or contractor on the plan - holders list in receipt of a set of such documents. The AGENCY will not be responsible for any other explanations or interpretations or any oral interpretation of the meaning of the Contract Documents, including Plans and Specifications. Telephone communications with AGENCY staff are not encouraged, but are permitted. However, any such oral communication shall not be binding on the AGENCY. _I• ►IG Any addenda issued during the time the bid is advertised shall become part of the Contract Documents, and shall be considered in the bid package. Before submitting a bid, each BIDDER is responsible to become informed as to whether or not addenda have been issued. It is the BIDDER's responsibility to notify the AGENCY regarding receipt of addenda, if any. REVIEW OF BIDS The AGENCY will check each bid item unit price and amount for all the bids submitted. In case of a discrepancy between the correct product of the quantity multiplied by the unit price and the subtotal amount entered by the BIDDER, the correct product shall prevail. 4 SeRion 2 - b l rrformatlonSidders 09 -22 -2014 23A-1 5 CITY OF SANTA ANA INSTRUCTIONS In case of a discrepancy between the correct sum of the individual subtotal amounts and the total bid amount entered by the BIDDER, the correct sum shall prevail. If a unit price is not legible or is missing, the amount for that contract bid item shall be divided by the quantity to arrive at the unit price. The bid total shall be corrected and the results shall be considered as representing the bidder's intention. Proposals in which the prices are obviously unbalanced may be rejected. If a Bid contains discrepancies that make it difficult or impossible to determine the bidder's intention, then such Bid may be considered unresponsive, in which case the bid may be rejected. BIDDERS INTERESTED IN MORE THAN ONE BID No person, firm or corporation shall be allowed to make or file or be interested in more than one bid, as prime contractor, for the same work. A person, firm or corporation who has submitted a sub - proposal to a bidder, or who has quoted prices on material to a bidder, is not hereby disqualified from submitting a sub - proposal or quoting prices for other bidders. Reasonable grounds for believing that any individual, firm, partnership, corporation or combination thereof is interested in more than one proposal for the work contemplated may cause the rejection of all proposals in which such individual, firm, partnership, corporation, or combination thereof is interested. If there is reason for believing that collusion exists among the BIDDERS, any or all proposals may be rejected. WITHDRAWAL OF BID PROPOSAL A bid proposal may be withdrawn by submitting a written request signed by the BIDDER. Such requests must be delivered to the AGENCY'S Public Works Agency Executive Director prior to the bid - opening hour stipulated in the Notice Inviting Bids. Bids may not be withdrawn after said hour without forfeiture of the bid proposal guarantee which shall remain in effect for 60 days after opening bids. The withdrawal of the proposal will not prejudice the right of the BIDDER to submit a new proposal, providing there is time to do so, or to submit a new proposal if there is a rebidding of the same project. BID PROTEST Any bid protest must be submitted in writing to Executive Director of Public Works Agency, City of Santa Ana, 20 Civic Center Plaza M -21, Santa Ana, CA 92701 before 5:00 p.m. of the 5th business day following bid opening. Bid protests sent via mail or overnight carrier must be received by the AGENCY by 5:00 pm of the 5th business day following bid opening in order to be deemed timely. Hand delivered protests must be provided to the receptionist in the City 5 SeRion 2 - b l rrformatlonSidders 09 -22 -2014 23A-1 6 CITY OF SANTA ANA INSTRUCTIONS Hall Annex /Public Works Counter on the first floor of the City Hall Annex. a. The initial protest document shall contain a complete statement of the basis for the protest. b. The protest shall refer to the specific portion of the Contract Document which forms the basis for the protest. c. The protest shall include the name, address, and telephone number of the person representing the protesting party. d. The party filing the protest shall concurrently transmit a copy of the initial protest document and any attached documentation to all other parties with a direct financial interest, which may be adversely affected by the outcome of the protest. Such parties shall include all other BIDDERS or proposers who appear to have a reasonable prospect of receiving an award depending upon the outcome of the protest. If staff is aware a protest has been filed prior to the opening of bids, the AGENCY shall announce at bid opening who such parties shall be. e. Should a written bid protest be filed in a timely fashion, a protest hearing shall be held before the Executive Director of Public Works or designee on the 10th business day following bid opening at 10:00 am in the conference room on the fourth floor of the City Hall Annex at 20 Civic Center Plaza, City of Santa Ana, Santa Ana, California 92701. All interested parties may appear and offer testimony at this bid protest hearing. Formal rules of evidence shall not apply at this hearing, nor shall testimony under oath be required. The burden of proof shall be on the party submitting the protest to demonstrate that the staff's determination of proposed low BIDDER is arbitrary and capricious, or unsupported by substantial evidence in the record. f. All BIDDERS are advised that if you challenge the AGENCY's award of contract in court, you may be limited to raising only those issues you or someone else raised at the public hearing described above, or in written correspondence delivered to the Executive Director of Public Works at or prior to the public hearing. g. The Executive Director of Public Works or designee will issue a written decision to the City Council on the protest, which shall also be promptly provided to all interested parties. If the Executive Director of Public Works or designee determines that a protest is frivolous, the party originating the protest may be determined to be irresponsible and that party may be determined to be ineligible for future contract awards. h. The procedure and time limits set forth in this paragraph are mandatory and are the BIDDER's sole and exclusive remedy in the event of Bid protest, and failure to comply with these procedures shall constitute a waiver of any right to further pursue the bid protest, including filing a Government Code Claim or legal proceedings. 6 SeRion 2 - b l rrformatlonSidders 09 -22 -2014 23A-1 7 CITY OF SANTA ANA INSTRUCTIONS NOTIFICATION OF CONTRACT AWARD Upon award of contract by the City Council, the successful BIDDER will be notified of award and requested to furnish an executed Construction Contract form with appropriate bonds and insurance certificates. EXECUTION OF THE CONTRACT The Construction Contract form and bond forms are included in the CONTRACT section of the Contract Documents. The Construction Contract shall be executed by the successful BIDDER, in triplicate, and returned, together with the contract bonds and insurance, within ten (10) calendar days from receipt of notice by the AGENCY. The BIDDER shall sign the Construction Contract using the legal firm name, business address, telephone number and email, and designate the type of business involved. Failure to execute a contract and submission of acceptable bonds and insurance as provided herein within the time limit above may be just cause for the annulment of contract award and the forfeiture of the bid proposal guarantee. No contract shall be binding upon the AGENCY until it has been completely executed by the Contractor, approved by the City Attorney, and executed by the AGENCY. After the AGENCY executes the Contract and approves the bonds and certificates of liability insurance, the AGENCY will send the successful BIDDER a copy of the fully executed Contract. I:11H:Ii701�, Each bid shall be accompanied by cash, a cashier's or certified check payable to the City of Santa Ana, or a bid bond issued by a corporate surety, for an amount not less than ten percent (10 %) of the aggregate of the bid and ALL bid alternates, as a guarantee that the BIDDER will enter into the proposed contract if the same is awarded to the BIDDER. Any bid submitted without any of the above shall not be considered. THE SIGNATURE OF THE BIDDER ON THE BID BOND MUST BE NOTARIZED. RETURN OF PROPOSAL GUARANTIES Within ten (10) days after the award of the contract, the AGENCY will return the proposal guaranties, other than Bid Bonds, except any guaranties that have been forfeited. 7 SeRion 2 - b l rrformatlonSidders 09 -22 -2014 23A-1 8 CITY OF SANTA ANA INSTRUCTIONS LICENSE REQUIREMENTS At the time the contract is awarded, the contractor shall be properly licensed in accordance with the laws of the State of California, and must possess a contractor's license as identified in the Notice Inviting Bids. ASSIGNMENT OF CONTRACT In accordance with Section 4552 of the Government Code, the BIDDER shall confirm that in submitting a bid to a public purchasing body, the BIDDER offers and agrees that if the bid is accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 USC Sec. 15) or under the Cartwright Act [Chapter 2 (commencing with Section 16700) of Part 2 of Division 7 of the Business and Professional Code], arising from purchases of goods, materials, or services by the BIDDER for sale to the purchasing body pursuant to the bid. Such assignment shall be made and become effective at the time the purchasing body tenders final payment to the BIDDER. No assignment by the contractor of any contract to be entered into hereunder or of any part thereof, or of funds to be received there under by the contractor, will be recognized by the AGENCY unless such assignment has had the prior approval of the AGENCY and the surety has been given due notice of such assignment in writing and has consented thereto in writing. NON - COLLUSION AFFIDAVIT The AGENCY shall require all bidders to execute and submit a non - collusion affidavit with the Bid Proposal. The AGENCY reserves the right to accept the non - collusion affidavit before the award of the contract. Bidders are required to inform themselves fully of the conditions relating to construction and labor under which the work will be performed. Any contract entered into pursuant to this notice will incorporate the provisions of the State Labor Code. Pursuant to the provisions of Section 1773.2 of the Labor Code of the State of California, the minimum prevailing rate of per diem wages for each craft, classification or type of workman needed to execute the contract shall be those determined by the Director of Industrial Relations of the State of California. LABOR DISCRIMINATION Attention is directed to Section 1735 of the Labor Code, as added by Chapter 643, Statutes of 1939, which reads as follows: 8 SeRion 2 - b l rrformatlonSidders 09 -22 -2014 23A-1 9 CITY OF SANTA ANA INSTRUCTIONS "No discrimination shall be made in the employment of persons upon public works because of the race, religious creed, color, national origin, ancestry, physical handicap, medical condition, marital status, or sex of such persons except as provided in Section 1420, and every contractor for Public Works violating this Section is subject to all penalties imposed for a violation of the Chapter." A copy of the Certification of Nondiscrimination by Contractors, as provided in the PROPOSAL section of these Contract Documents, shall be executed by BIDDER and submitted with the Bid. DISCREPANCIES AND MISUNDERSTANDINGS BIDDERS shall satisfy themselves by personal examination of the work site, Contract Documents including the Plans and Specifications (and by any other means as they believe necessary) as to the actual physical conditions, requirements, and difficulties under which work must be performed. No BIDDER shall at any time after submission of a proposal make any claim or assertion that there was any misunderstanding or lack of information regarding the nature or amount of work necessary for the satisfactory completion of the job. Any errors, omissions, or discrepancies found in the Contract Documents including the Plans and Specifications shall be called to the attention of the AGENCY and clarified prior to the submission of bid proposals. RETENTION At the request and expense of the contractor, securities equivalent to the ten percent (10 %) withheld from progress payments pursuant to the AGENCY's Standard General Conditions shall be deposited with the AGENCY or a state or federally charted bank as the escrow agent, who shall pay such monies to the contractor upon satisfactory completion of the contract. Securities eligible for investment shall include those listed in Section 16430 of the Government Code or bank or savings and loan certificates of deposit. The contractor shall be the beneficial owner of any securities substituted for monies withheld and shall receive any interest thereof. SUBSTITUTIONS Where the specifications or drawings specify any material, product, thing, or service by the more brand names, whether or not "or equal" is added, and a bidder wishes to propose the use of another item as being equal, he shall request approval therefore as set forth in Section 4 -1.6 of the Standard Specifications. 9 seotioo 2 - b Ho,mauooeidde,a 0922 -2014 23A-20 CITY OF SANTA ANA PROPOSAL PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS iaF� »z•�•xy_�� TO: CITY COUNCIL OF TI I CITY OF SANTA ANA FROM: / / r ✓ r o �- r s i REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents including the Plans and Specifications, read the Notice Inviting Bids, and reviewed the Summary of Bid Proposal Documents, List of Contract Documents, and Information to Bidders for Proposal Submission, and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Bid Item Unit Qty Base Bid Base Bid Alternate# Alternate #1 Night Night lUnit Price Day Work Work Unit Work Day Work Amount Price Amount 1 8" Class 200 AWWA $z $ C900 P.V.C. Water Main LF 1,050 2 12" Class 200AWWA $ ac $1Gi /.O $ )C! �a � 0 4 C900 P.V.C. Water Main LF 4,985 Construct 1" Water 3. Service per City Std. EA 51 $ % %'one $ %/ r au $ / y ao $ %G oo Plan 1401 Construct 2" Water 4. Service per City Std. EA 24 $ ^, %p(7."� $ is $ 3t000 $ o Plan 1402 4" Service Connection 5. Including 4" RWGV EA 2 $ 6,90 $ 2�?- -y $ 37011 $ 7, 5/0 (Resilient Wedge Gate Valve) 4" Fire Line Connection 6' Including 4" RWGV $ + %p ,) $ 700 or $ 3W6 $ (Resilient Wedge Gate EA 2 Valve) P -la Section 3 - a P, p,.l 09.22 -2014 23A -21 CITY OF SANTA ANA PROPOSAL PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Item Bid Item Unit Qty Base Bid Base Bid Alternate# Alternate #1 Night Night lUnit Price Day Work Work Unit Work Day Work Amount Price Amount New Fire Hydrant -b ®U 7 Assembly, Including EA 17 $y /��01 $ f " �o $ ®�� /o® Gate Valve and Lateral Pipe $ 1" Air Vacuum and Release Valve EA 4 9 Vertical Offset per City $ $ $ $,o Std. Plan 1413B EA 4 10. 8" Wedge Gate $� $ 2 `0 $ 6 T-00 0 $ a EA EA 12 11. 12" Resilient Wedge $ ,m 4-w $ ®!3 $ 000 $ a c ao Gate Valve EA 11 Bore and Jack, Install 12. Steel Casing and PVC EA 4 $ ado $ z,' $ e e $ eao0 , 90 Carrier Pipe 13. Traffic Loop Detector EA 45 $ ° $ /Z 3 7 5' $ c, $1__WQ_,4La 14. Signing and Striping LS 1 $ 2 $ �,7 $ $ � 15. Traffic Control and LS 1 $ $7-7,00'0 $ b $ Traffic Control Plan TOTAL BID ✓S y S S e�. OC "73 e The lowest responsible bidder shall be selected based on the BASE BID Amount. The City reserves the right to award the Base Bid, and any, all or none of the alternate Bid Items. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete said work within one hundred and twenty five (125) working days after the commencement date stated in the Notice to Proceed. The bidder also proposes to commence construction of the Work within thirty (30) calendar days after issuance of a Notice To Proceed, and to continue in a diligent and workman -like manner without interruption, and to complete the construction thereof within the time specified above. P -ib Sect o 3 -a „ro��aI "v_22-2"1A 23A -22 CITY OF SANTA ANA PROPOSAL PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS The liquidated damages amount, in lieu of that specified in Subsection 6 -9 of the Standard Specifications, shall be $1000 per calendar day. The undersigned bidder acknowledges receipt of the following addenda issued for the above project. If no addenda have been received, write "none." List of Addenda Rece Firm: C— / Address: 2P-2 / — o ®. �o S� /,/.., FiP %"� Ci� `"OPz A ®G Telephone: Signature: The foregoing quantities are approximate only, being given as a basis for the comparison of bids, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable by the Engineer. All bids will be compared on the basis of the Engineer's estimated quantities of work. The bidder agrees that in case of not executing the required contract with necessary bonds within ten (10) calendar days, not including Sundays, after having received notice that the contract is ready for signature, the proceeds of the check or bond accompanying his bid shall become the property of the City of Santa Ana. The bidder also certifies that the bid is a balanced bid. In accordance with Section 7028.15 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoing is true and correct. It is understood and agreed that: (1.)After the bid has been accepted, the designated contractor shall attend a pre -job conference. The contractor shall be informed of said time and location. (2.) No verbal agreement or conversation with any officer, agent or employee of the City, either before or after the execution of the Agreement shall affect or modify any of the terms or obligations of this Proposal. (3.)The City will not be responsible for any errors or omissions on the part of the undersigned in making up their bid, nor will bidder be released on account of errors. P -lc Se,Wo 3 -x PmposW 09 -22 -2014 23A -23 CITY OF SANTA ANA PUBLIC WORKS AGENCY 20 CIVIC CENTER PLAZA (M -82) SANTA ANA, CA 92701 TRANSMITTAL COVER SHEET DATE: October 8, 2014 SUBJECT: ADDENDUM NO.: ONE REMARKS: PAGES ATTACHED: 2 PROJECT NO.: 11 -6416 MAIL STATION: M -82 PLEASE REPLY VIA E -MAIL TO: Rudy R. E -MAIL ADDRESS: rrosas @santa- ana.org PHONE NO.: 714- 647 -3379 NOTE: UPON RECEIPT OF ADDENDUM, PLEASE COMPLETE AND SEND VIA E -MAIL TO THE CITY OF SANTA ANA ATTENTION: Rudy Rosas FAX NO.: 114- 641 -3345 1 HEREBY ACKNOWLEDGE RECEIPT OF ADDENDUM NUMBER: I PROJECT NAME: /����- Z�,. ®� . e — ✓s�riG (signature if faxed) COMPANY: / SIGNATURE: DATE: / /Xf, PRINT NAME: TITLE: 23A -24 z MAYOR Miguel A, Pulido MAYOR PRO TEM Sal Tinajero COUNCILMEMBERS Angelica Amezcua P. David Benavides Michele C. Martinez Roman A. Rayne Vincent F. Sarmiento October 7, 2014 GIN ►0 LL •► SUBJECT: PROJECT NO. IMPROVEMENTS 0 CITY OF SANTA ANA PUBLIC WORKS AGENCY M -86 P.O. Box 1988 Santa Ana, California 92702 CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Hulzar 11 -6416: SEVENTEENTH STREET WATER MAIN The following changes /clarifications have been made to the Contract Documents of the subject project: Page P -4, LIST OF SUE- CONTRACTORS 1. Discard Page P -4, LIST OF SUB - CONTRACTORS; Replace with the updated Page P -4, LIST OF SUB - CONTRACTORS: See attached. All other terms and conditions remain the same. FOR THE CITY OF SANTA ANA f `R6d.06 Rosas Senior Civil Engineer 23A -25 CITY OF SANTA ANA PUBLIC WORKS AGENCY 20 CIVIC CENTER PLAZA (M -82) SANTA ANA, CA 92701 DATE: October 16, 2014 SUBJECT: ADDENDUM NO.: REMARKS: PAGES ATTACHED: lliTl• i PROJECT NO.: 11 -6416 MAIL STATION: M -82 PLEASE REPLY VIA E -MAIL TO: Rudy R. E -MAIL ADDRESS: —rrosas@santa-ana.org PHONE NO.: 714- 647 -3379 NOTE: UPON RECEIPT OF ADDENDUM, PLEASE COMPLETE AND SEND VIA E -MAIL TO THE CITY OF SANTA ANA ATTENTION: Rudy Rosas FAX NO.: 114- 641 -3345 I HEREBY ACKNOWLEDGE RECEIPT OF ADDENDUM NUMBER: 2Z — PROJECT NAME: °�� .���� % - Q�Ie,, . "Of ""Z / /r' % ✓G (signature if faxed) COMPANY: SIGNATURE: DATE: PRINT NAME: TITLE: 23A -26 /r / i -P m VIAYOH Wigufli A. Pu6do WAYOR f Ro F, y ""fl Tfflajefo COUNCHAFMM RS Anqelfca Arra/(Aja P David Benavi(j,, M1(;he[u C Martinez Roman A Reyna Vincoof (- Sarn.iento October 15, 2014 ADDENDUM NO. TWO SUBJECT: PROJECT NO. IMPROVEMENTS CITY OF SANTA ANA PUBUC WORKS AGENCY M-36 P.O. BOX I')88 Santa Ana C-MIMIno W702 11-6416: SEVENTEENTH (A TY MANAGFP Da"O cavj/os C1 1 Y A r M)RNEY G1 rRK OF I HF C'OUNCIL Maria 1) F U17 11 STREET WATER MAIN The following changes/clarifications have been made to the Contract Documents of the subject i ect 1. Discard Page P-6, ADDITIONAL REFERENCES; Replace with the updated Page P-6, ADDITIONAL REFERENCES: See attached, All other terms and conditions remain the same. FOR THE CITY OF SANTA ANA Rodblfo- Rosas Senior Civil Engineer 23A-27 CITY OF SANTA ANA PROPOSAL PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS CONTRACTOR'S LICENSING STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that the following is true and correct. Contractor's Name: Business Address: Telephone: 7/� 3Z" 797-5 State Contractor's License No. and Class: Expiration Date: Signed: Title: S eobun 3 - a P.,OS.l 09 -22 -2014 P -ld 23A -28 r, n CITY OF SANTA ANA PROPOSAL OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS: CITY OF SANTA ANA /� ) L-t , being duly sworn, deposes and says: ❑ INDIVIDUAL That he /she is the party making the foregoing proposal: ❑ PARTNERSHIP That he /she is a member of the co- partnership firm designated as: and who has been and is duly vested with the authority to make and execute instruments for the co- partnership by: who constitute the other members of the co- partnership. CORPORATION That he is of: i114 _. 4 5 % is 1 KCC' l V\ C a corporation which is making the foregoing proposal: ❑JOINT VENTURE That he is of: one of the parties making the foregoing proposal as a joint venture, and the he /she has been and is duly vested with the authority to execute instruments for an on behalf of the parties making said bid who are: that such a bid is genuine and not collusive or sham, and has not in any manner sought by collusion to secure any advantage against the City of Santa Ana or any person interested in the proposed contract, fpAimself or any other person. Signature of Subscribed and sworn to before me this day of 20 Signature of officer 40ministering Oath (Notary Public) ('14 o C, SutlonJ bProgrsel09 -22 -2014 P -2 23A -29 State of California County of Orange Subscribed and sworn to (or affirmed) before me on this 20th day of October, 2014 by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. (Notary Seat) CYNTHIA J. VALENCIA a Commission # 1952790 :r a':" z z re _._ Notary Puhlic - California z z y ., Orange County MY Comm. Expires Oct 15, 2015 OPTIONAL INFORMATION DESCRIPTION OF THE ATTACHED DOCUMENT (Title or description of attached document) Number of pages: Document Date: (Additional Information) 23A -30 CITY OF SANTA ANA P Bond #7 -B PROPOSAL Premium nil KNOW ALL MEN BY THESE PRESENTS that, Paulus Engineering, Inc. as BIDDER, and North American Specialty_ Insurance _ company as SURETY, are held and firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of ten percent of amount bid Dollars ($ 10% ), which is ten percent (10%) of the total amount bid by BIDDER to AGENCY for the above- stated project, for the payment of which sum, BIDDER and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas BIDDER is about to submit a bid to AGENCY for the above-stated project, if said bid is rejected, or if said bid is accepted and a contract is awarded and entered into by BIDDER in the manner and time specified, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY. IN WITNESS WHEREOF the pa hereto have set their names, titles, hands, and seal this 29th dayof September 7014 BIDDER* Paulus En i ering, Inc. 2871 E. nado Street, Anaheim, CA 92806 714/632 -3322 By: SURETY* North kArican Specialty Insurance Company 714/550 -7799 6 Hutton Centre Drive, Ste. 850, Santa Ana, CA 92707 By: CHARLES L. FLAKE ff Subscribed and sworn to b this day of ,zo Signature: Notary Public in and for the County of State of *Provide BIDDER/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. Agent: Culbertson Insurance Services, Inc. 5500 E. Santa Ana Canyon Road #201 Anaheim, CA 92807 714/921 -0530 P -3 9dbn9 -U Pmpoa1098L301d 23A -31 CALIFORNIA JURAT WITH AFFIANT STATEMENT 7X See Attached Document (Notary to cross out lines 1 -6 below) See Statement Below (Lines 1 -5 to be completed only by document signer[s], not Notary) ............ ' f Signature of Document Signer No. 1 State of California County of ORANGE _ JAN C. IMORAN C6MI�. #1967021 G I fM j "_^'i NorARYPUBI.IC- CALIFORNIA ) 'T'hy ORANGE COUNTY - Comm. Exp. FEB, 17, 2016 Place Notary Seal Above Signature of Document Signer No. 2 (It any) Subscribed and sworn to (or affirmed) before me on this 29TH day of SEPTEMBER 20 14 _, by Date Month Year (1) CHARLES L. FLAKE Name of Signer proved to me on the basis of satisfactory evidence to be the person who appeared before me (.) (,) (and - Name of Signer proved to me on the basis of satisfactory evidence to be the pers'o�n who appeared before me.) Signature l,/ y!Tj � I USignature of Notary Public %ally Though the information below is not required by law, it may prove _ valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Top of thumb here Top of thumb here Further Description of Any Attached Document Title or Type of Document- __- Document Date: _ - -_ Number of Pages: ----- signers) Other Than Named Above: 02007 National Notary Association, 9350 De Soto Ave., P.O. Box 2402- Chalaworth, CA 91313 -2402• aeay NatonalNotaryorg Item #5910 Reorder: Call Toll Free 1- 800 -876 -6827 23A -32 NAS SURETY GROUP NORTH AMERICAN SPECIALTY INSURANCE. COMPANY WASHINGTON INTERNATIONAL INSURANCE COMPANY GENERAL POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, THAT North American Specialty Insurance Company, a corporation duly organized and existing under laws of the State of New Hampshire, and having its principal office in the City of Manchester, New Hampshire, and Washington International Insurance Company, a corporation organized and existing under the laws of the State ofNcw Hampshire and having its principal office in the City of Schaumburg, Illinois, each does hereby make, constitute and appoint: DAVID L. CULBERTSON, CHARLES L. FLAKE, RICHARD A. COON, SPENCER FLAKE and LEXIE SHERWOOD JOINTLY OR SEVERALLY Its true and lawful Attorney(s)• ti -Fact, to make, execute, seal and deliver, for and on its behalf and as its act acrd deed, bonds or other writings obligatory in the nature of a bond on behalf of each of said Companies, as surety, on contracts of suretyship as are or may be required or permitted by law, regulation, contract or otherwise, provided that no bond or undertaking or contract or suretyship executed under this authority shall exceed the amount of: FIFTY MILLION ($50,000,000.00) DOLLARS This Power of Attorney is granted and is signed by facsimile under and by the authority of the following Resolutions adopted by the Boards of Directors of both North American Specialty hisliTmOO Company and Washington International Insurance Company at meetings duly called and held on the 9" of May, 2012: "RESOLVED, that any two of the Presidents, any Managing Director, any Senior Vice President, any Vice President, any Assistant Vice President, the Secretary or any Assistant Secretary be, and each or any of them hereby is authorized to execute a Power ofAttomey qualifying the attorney named in the given Power of Attorney to execute on behalf of the Company bonds, undertakings and all contracts of surety, and that each or any of them hereby is authorized to attest to the execution of any such Power of Attorney and to attach therein the seal of the Company; and it is FARTHER RESOLVED, that the signature of such officers and the seal of the Company may be affixed to any such Power of Attorney or to any certificate relating thereto by facsimile, and any such Power of Attorney or certificate hearing such facsimile signatures or facsimito seal shall be .binding upon the Company when so affixed and lu the future with regard to any bond, undertaking or contract of surety to which it is attached nvmumn \sscawut`'r °2p,� 3$rF.GyeDdRapc,�'�� �/,y/�/ri tlbNA4jda„ 0.POjt,�'r 1} Sg(l� "rFgm _, 'm= g 1W3 !urs49 By V' 1... stevcn P. Andarsary Senior vice PreeWenl or Wnshinaton rnternafinnal lnP nonce GOmpany &Senior vice President oFNOr@ American Specialty lnsuronoe Cnm $$$ F` yl 5 4� nn ` vl� 7i / / / /IIIIan1Pt05 Ry naritl 11 Leynwn, Vicn Presidentar Washingta v lnlernaaonnl Ivsurnnce Campavy tgnlmims & Vice Proidant of Rorih Anlericnn Spcciaay Inaw•nnce CnmPany BQ WITNESS WHEREOF, North American Specialty Insurance Company and Washington International Insurance Core have caused their official seals to be hereunto affixed, and these presents to be signed by their authorized officers thisl7th day of _. y 20--- North American specialty Insurance Company Washington International Insurance Company State of Illinois County of Cook ss: On this _17th day of Iuly �, 2014 ,before me, a Notary Public personally, appeared Steven P Anderson , Senior Vice President of Washington International Insurance Company and Senior Vice President of North American Specialty Insurance Company and David M. Layman , Vice President of Washington International Insurance Company and Vice President of North American Specialty Insurance Company, personally known tome, who being by me duty sworn, acknowledged that they signed the above Power of Attorney as officers of and acknowledged said instrument to be the voluntary act and deed of their respective companies. "IC4ti SEAL.. SKLENS c, State of Illinois Domra D. Skiers, Notary Public ioa& ires,lO1QF/21115. I, Jeffrey Goldberg the duly elected —Assistant Secretary of North American Specialty Insurance Company and Washington International Insurance Company, do hereby certify that the above and foregoing is a true and correct copy of a Power of Attorney given by said North American Specialty Insurance Company and Washington international Insurance Company, which is still in fall force and effect. IN WITNESS WHEREOF, I have set my hand and affixed the seals of tho Companies this zstr day of septem er. , 20 14 . infhey ceidharg, Vice Proddcnt& Muislant secreary of Wehnmoe loremaiianei n Company &Ncne Amricn° poet *h y /nsumroe corn Pa "Y J ' JL State of California County of Orange Subscribed and sworn to (or affirmed) before me on this 29th day of September, 2014 by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Signatu� (Notary Sea]) CYNTHIA J. VALENCIA ' Commission # 1952790 a : < Notary Puhlic - California z z Orange County "'°F ° " My Comm. Expires Oct 15, ?0151 OPTIONAL INFORMATION DESCRIPTION OF THE ATTACHED DOCUMENT (Title or description of attached document) Number of pages: Document Date: (Additional Infnnnation) CITY OF SANTA ANA PROPOSAL LIST OF SUB - CONTRACTORS Section 4100 et. seq. of the Public Contract Code requires listing of all subcontractors and their California contractor license with the bid for all subcontract work exceeding the following amount: • Streets, highways including bridge projects: %% of the bid or $10,000, whichever is greater • Buildings, parks, or other projects: %% of the bid BIDDER proposes to subcontract certain portions of the work to the firms listed below: NAME /� /����" j'4, x nZ%, NAME LOCATION y- e,.-a -1 G� !PA 2P LOCATION PHONEr PHONE — TYPE OF WORK ;„ f TYPE OF WORK a AMOUNT$ _ ,,�.7 AMOUNT$ License No. leg '7l License No. NAME LOCATION /yam / PHONE TYPE OF WORK AMOUNTS License No. ✓C p �� " N PHONE TYPE OF WORK AMOUNT$ License No. NAME NAME lima /gym. G"�' - — LOCATION 'LOCATION PHONE s 20 2 PHONE TYPE OF WORK 1 ��/� �� , , TYPE OF WORK AMOUNT$ AMOUNTS License No. License No. 0110=0 LOCATION _ PHONE TYPE OF WORK AMOUNT$ License No. Signatur f Bidder Sxndo 3 - bCwparnl0222201- NAME LOCATION PHONE TYPE OF WORK AMOUNT$ License No. P -4 23A -35 CITY OF SANTA ANA PROPOSAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which BIDDER has performed similar work within the past three years. 1. 2. 3. #-T iAc-H ? ry Name and Address of Owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. 5EW 4 r-rricA/e.'tj P -5 S.bl n3 -b P.,ncl09- 22-2014 23A -36 Bidders G �ffll DESIGNATION OF SURETIES 23A -37 9 UD Ir.11L�P� �f 97G�`i 6 ss3.e PA A5�1 23A-38 _ _/\ f }\ \ �_&\ 2 ` a) 33337 Q. /)�\ / \\ !\ \\ ®°°@` &wzk \\ , /7E / \& ��`: mzZ > ` /(4Q a% - /] \7 7 \ §! \) /y/ \ / }\ \;§# 2w$! /)[ /S \Osz] \ 7 }�\) �� / \ \\ j\\\\ L) Cl) \\ ()\\\ 0 \7 fk . )\ » a z z ) , /ƒ § § 5 = 3 \\ \ \ } ) m , 3` e / \ )\§ /m{ ) / m \< - 0 r- co LO LO ® 0 « ® 0 ® ® a _ 23A-38 23A -39 C :) ?__= c 'l0 Lo c N U) ) p O � U .` N f0 N C _ N Q w N >S i 23A-40 « /.\ ((( ! K 77 [ /\c \ -§- e - &!r ` 73®® c �@)/ Em >M leee 0 0 r E e�`j\ /)< / �� \\ j (D \ /) /\ ml \ U) <_§£] ]%,±ate ° g ¥E {° [\(a ¥[ 7)r })/ /\§ \/2 7'E j /za4 ° 2-1 0 0025 $ « $ z z z z CN CD { \ \ / \ \ \ \ LO 23A-40 CITY OF SANTA ANA PROPOSAL ADDITIONAL REFERENCES The following are additional names, addresses, and telephone numbers for public agencies for which the BIDDER or Subcontractor has performed placement of water main construction in the past 5 years. 1. %1PULTosJ Zh (o L °= 1�.4!� 4%E%Y /� /S%� ®4 Narrne and Address of Owner. 2. _ 2S"- 3x- Z Name and Telephone Number of person familiar with project. 6? 30,()06) /if3tttt z/A Contract Amount Type of Work Name and Address of owner. Date Completed %= 03`J ~ %0F c 7-CJ Name and Telephone Number of person familiar with project. C/ Contract Amount Type of Work Date Completed (f /T-- OF H 9aiT1r i( 9Q_t) --- CH Name and Address of owner. )eS�0U Name and Telephone Number of person familiar with project. 2 Q�LfL E r iELe Z- /" Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. P -6 1- b movos d ooa_ -zo u 23A -41 [elk W9141 SI _ V i 1 _L 1 P 1_ 1 PROPOSAL NON - COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) 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 ma a false certification may subject the certifier to criminal prosecution. Signed State of California f County of Subscribed a61 sworn to (or affirmed) before me on this � — day of 204 by c'ru� �ti proved to me on the basis of satisfactory evidence to be the p�rson(s) who appeared before me r G "r` Notary ublic S goture Notary Public Seal m a ® ,CYNTHIA J. VALENCIA Commission la 1952790 Notary Puhlic - California q � e Orange County My Comm. Expires Oct 15, 2095 N P -7 Section 3 -b Proposal 09 -22 -201 n 23A -42 CITY OF SANTA ANA PROPOSAL NON - DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor shall send to each labor union or representative of workers with which he /she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non - compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order P -8 Section3 -b Pmp se109 -22 -2014 23A -43 CITY OF SANTA ANA PROPOSAL 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, a cept as provided in Section 1420, and any contractor of public works violating this Sectio s ubject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: AN�S Cites i'� ee. -i�5 Date: /41 /ZZ/ P -9 SeMio 3 -b P,.,W 09 -22 -2014 23A -44 CITY OF SANTA ANA PROPOSAL STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: 1. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he /she employs journeymen or apprentices on the pu lic work, in the same amount or upon the same basis and in the same manner as the otVothe ontractors, except contractors not signatory to the trust agreement shall pay a like amou California Apprenticeship Council. Signed: Title: Z�l re -�- Firm: ' /iL�i l irTCri 1H�. Date: S,ctm 3 - b P.,,s 109 -22 -2014 P -10 23A -45 CITY OF SANTA ANA PROPOSAL STATEMENT REGARDING "ANTI- KICKBACK" REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti- Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employed in the construction orr�epair of public work, to give up any part of the compensation to which he /she is otherwise enial . Signed: Title: Firm: i Date: T �� P -11. Section 3 - 6 Proposa109 -22 -2014 23A -46 CITY OF SANTA ANA �a Me] 901MA� PUBLIC CONTRACT CODE SECTION 10162 QUESTIONAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No X If the answer is yes, explain the circumstances in the following space. P -12 Se&.i 3 - b Pr ..... 109 -22 -2014 23A -47 a - I:^ 0 Q 1 CITY OF SANTA ANA CONTRACT (^ PROJECT NO. 11 -6416 SEVENTENTH STREET WATER MAIN IMPROVEMENTS CONSTRUCTION CONTRACT This CONTRACT is made and entered into this _ day of , 20 by and between: The CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY" and referred to as "CONTRACTOR." WITNESSETH: CONTRACTOR shall perform everything required to be performed, shall furnish and provide all the labor, materials, necessary tools, expendable equipment, utility and transportation services, all at its own cost and expense necessary to construct and complete in a good and workman- like manner, to the satisfaction of the City Engineer of the CITY, the following Work of Improvement therefore prepared by the City's Public Works Agency: (the "Work of Improvement ") all in accordance with the Contract Documents and Contractor's Proposal dated /_0- ,2(— aY2161 CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. The complete Construction Contract consists of the Contract Documents set forth in Exhibit "A" which is attached hereto and incorporated herein by reference. In case of conflict amongst the Contract Documents, the precedence of documents shall be as. established in the Special Provisions. 2. CITY agrees to pay and CONTRACTOR agrees to accept in full payment for this Work of lArovement the stinulated sum of; A 2 I /1 A 11,p k Z64 d eCY rs as set forth in Exhibit "B" which is at ached hereto, incorporated herein by reference, and identified as BID PROPOSAL. The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. Section 4- a Contra t 09 -22 -2014 C -1 a 23A -49 CITY OF SANTA ANA CONTRACT PROJECT NO. 11 -6416 SEVENTENTH'STREET WATER MAIN IMPROVEMENTS CITY agrees to make monthly payments and final payment in accordance with the method set forth in the Specifications. 3. CONTRACTOR agrees to complete the Work of Improvement within the time specified in Exhibit "C" which is attached hereto, incorporated herein by reference, and which time is indicated in the Time for Completion of Improvements section of the BID PROPOSAL. CONTRACTOR further agrees to commence construction within the days specified upon issuance of a Notice to Proceed indicated in Exhibit "C." 4. Time is of the essence on this Contract, and it is agreed that it would be impracticable or extremely difficult to ascertain the extent of actual loss or damage which the CITY will sustain by reason of any delay in the performance of this Agreement. It is, therefore, agreed that CONTRACTOR will pay as liquidated damages to the CITY the following sum: One Thousand Dollars ($1000.00) for each working day's delay beyond the time herein prescribed for finishing work. If liquidated damages are not paid, as designated by the CITY, the CITY may deduct the amount thereof from any money due or that may become due the CONTRACTOR under this Agreement in addition to any other remedy available to CITY. The CONTRACTOR shall not be assessed liquidated damages for any delay caused by the failure of a public utility to relocate or remove an existing utility required for the performance of this Contract. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the work of improvement a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work. Travel and subsistence pay shall be paid in accordance with Labor Code Section 1773.8. The CONTRACTOR shall forfeit to the CITY, as penalty, Fifty Dollars ($50.00) for each calendar day or portion thereof for each worker paid (either by him or any subcontractors under him) less than the prevailing rate described above on the work provided for in this Agreement, all in accordance with Section 1775 of the Labor Code of the State of California. 6. In the performance of this Contract, not more than eight (8) hours shall constitute a day's work, and the CONTRACTOR shall not require more than eight (8) hours in a day from any person employed by him hereunder, except as provided in the Labor Code of the State of California. The CONTRACTOR shall adhere to Article 3, Chapter 1, Part 7 (Sections 1810, et seq.) of the Labor Code of the State of California, and it is agreed that the CONTRACTOR shall forfeit to the CITY as a penalty the sum of Fifty Dollars ($50.00) for each worker employed in the execution of this Contract by the CONTRACTOR or any Section 4 . a Contmet 09 -22 -2014 C -1 b 23A -50 CITY OF SANTA ANA CONTRACT (� PROJECT NO. 11 -6416 SEVENTENTH STREET WATER MAIN IMPROVEMENTS subcontractor for each calendar day during which any worker is required or permitted to labor more than eight (8) hours in violation of that article. CONTRACTOR, by executing this Agreement hereby certifies: "I am aware of the provisions of Section 3700 of the Labor Code which requires 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 I will comply with such provisions before commencing the performance of the work of this Contract." 8. CONTRACTOR shall, prior to the execution of this Contract, furnish two bonds approved by the CITY, one in the amount of One Hundred Percent (100 %) of the Contract price, to guarantee the faithful performance of the work, and one in the amount of One Hundred Percent (100 %) of the Contract price to guarantee payment of all claims for labor and materials furnished. This Contract shall not become effective until such bonds are supplied to and approved by the CITY. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond equal to at least ten percent of the final contract price or $1,000, whichever is greater. Section 4 - a Contract 09-22-2014 C —I C 23A -51 CITY OF SANTA ANA CONTRACT PROJECT NO. 11 -6416 SEVENTENTH STREET WATER MAIN IMPROVEMENTS IN WITNESS WHEREOF, the parties hereto have executed this Contract on the day and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney m Joseph Straka Assistant City Attorney Section 4 - a Contract 09- 22.2014 CONTRACTOR d , BY Name ,y� Title: ll %2�117�7 CITY OF SANTA ANA DAVID CAVAZOS City Manager RECOMMENDED FOR APPROVAL: Fred Mousavipour, P.E. Executive Director, Public Works Agency C -ld 23A -52 CITY OF SANTA ANA CONTRACT KNOW ALL MEN BY THESE PRESENTS that as CONTRACTOR and a corporation organized and existing under the laws of the State, and duly authorized to transact business under the laws of the State of California, as SURETY, are held and firmly bound unto the City of Santa Ana, as AGENCY, in the penal sum of Dollars ($ ), which is 100 percent of the total contract amount for the above stated project, for the payment of which sum, CONTRACTOR and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas CONTRACTOR has been awarded and is about to enter into the annexed Contract Agreement with AGENCY dated for if CONTRACTOR faithfully performs and fulfills all obligations in the performance of the Work of Improvement to be done under said Contract Agreement in the manner and time specified therein, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY; provided that any alterations in the obligations or time for completion made pursuant to the terms of the contract documents shall not in any way release either CONTRACTOR or SURETY, and notice of such alterations is hereby waived by SURETY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this day of , 20_ CONTRACTOR* SURETY* Subscribed and sworn to before me 20_ Signature: Notary Public in and for the County of Rate of premium on this bond is $ _ Total amount of premium charge is $ this day of_ State of perthousand. . To be filled in by Surety *Provide CONTRACTOR /ADMITTED SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. Sectiov4 - c CoohoctEmds 0 &22_2014 23A!53 CITY OF SANTA ANA CONTRACT KNOW ALL MEN BY THESE PRESENTS that as CONTRACTOR and a corporation organized and existing under the laws of the State, and duly authorized to transact business under the laws of the State of California, as SURETY, are held and firmly bound unto the City of Santa Ana, as AGENCY, in the penal sum of Dollars ($ ), which is 100 percent of the total contract amount for the above stated project, for the payment of which sum, CONTRACTOR and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas CONTRACTOR has been awarded and is about to enter into the annexed Contract Agreement with AGENCY dated for if CONTRACTOR or any subcontractor fails to pay for any labor or material of any kind used in the performance of the Work of Improvement to be done under said Contract Agreement, or fails to submit amounts due under the State Unemployment Insurance Act with respect to said labor, SURETY will pay for the same in an amount not exceeding the sum set forth above, which amount shall insure to the benefit of all persons entitled to file claims under the State Code of Civil Procedures; provided that any alterations in the work to be done, materials to be furnished, or time for completion made pursuant to the terms of the contract documents shall not in any way release either CONTRACTOR or SURETY, and notice of said alterations is hereby waived by SURETY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this day of , 20_ CONTRACTOR* SURETY* Subscribed and sworn to before me ,20 Signature: Notary Public in and for the County of , State of this day of_ Rate of premium on this bond is $ per thousand. Total amount of premium charge is $ . To be filled in by Surety *Provide CONTRACTOR /ADMITTED SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. Section 4- c CoohoctEmds 09 22_ 2014 23A!.54 CITY OF SANTA ANA CONTRACT WORKERS' COMPENSATION INSURANCE CERTIFICATION As required by California Labor Code Section 1860 and 1861, the Contractor certifies as follows: I am aware of the provisions of Section 3700 of the Labor Code, which requires every employer to be insured against liability for worker's compensation or to undertake self- insurance in accordance with the provisions of the Code, and I will comply with such provisions before commencing the performance of the work of this contract. If I, as the Contractor, now or at any time during the course of this agreement, qualify as an employer under California Labor Code Section 3300, unless the hired employee(s) is (are) persons excluded by said Labor Code, I shall furnish the City of Santa Ana with an insurance certificate from my workers' compensation insurance carrier certifying that I carry such insurance and that the policy shall not be canceled nor the coverage reduced except upon thirty (30) days prior written notice to the City of Santa Ana. Signed: Title: Firm: Date: Section 4- c CoohoctEmds 09 22_ 2014 23A'155 CITY OF SANTA ANA CONTRACT WARRANTY BOND (To be submitted upon project completion as a condition of project acceptance) KNOW ALL MEN BY THESE PRESENTS that as CONTRACTOR and a corporation organized and existing under the laws of the State, and duly authorized to transact business under the laws of the State of California, as SURETY, are held and firmly bound unto the City of Santa Ana, as AGENCY, in the penal sum of Dollars ($ ), which is 10 percent of the final contract amount for the above stated project, for the payment of which sum, CONTRACTOR and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas CONTRACTOR has been awarded and is about to enter into the annexed Contract Agreement with AGENCY dated for if CONTRACTOR faithfully warrants the Work of Improvement done under said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY; provided that any alterations in the obligations or time for completion made pursuant to the terms of the contract documents shall not in any way release either CONTRACTOR or SURETY, and notice of such alterations is hereby waived by SURETY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this day of , 20_ CONTRACTOR* SURETY* Subscribed and sworn to before me 20_ Signature: Notary Public in and for the County of Rate of premium on this bond is $ _ Total amount of premium charge is $ this day of_ , State of perthousand. . To be filled in by Surety *Provide CONTRACTOR /ADMITTED SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. Section 4- c CoohoctEmds 09 22_ 2014 23A!56 CITY OF SANTA ANA SPECIFICATIONS The Contract Documents control construction, work performed, and materials furnished hereunder. The Contract Documents are specified in the Construction Contract / Agreement, and includes the Specifications for the Work of Improvement. The Specifications include the Standard Specifications, the Special Provisions which supplement or modify the Standard Specifications, the Technical Provisions, Plans, and City Standard Plans. The Standard Specifications is the latest edition of the Standard Specifications for Public Works Construction, including supplements and accompanying Standard Plans, written and promulgated by the Southern California Chapter of the American Public Works Association and the Southern California Districts of the Associated General Contractors of California. The State of California Department of Transportation Standard Specifications, Standard Plans, and Manual of Uniform Traffic Control Devices, latest edition of each, are incorporated herein by reference and are hereby accepted as Reference Specifications. These Reference Specifications are intended to govern certain construction materials, methods, and details except as modified herein or are inconsistent with the provisions herein. The section and subsection numbering system used in these Special Provisions corresponds to that used in the Standard Specifications. SPECIAL PROVISIONS �9x�i�GLi�d��: 7J��' 11�7�dI�I��G7 �R1l e1c�c3: 7��Oe��G7 �R1l II�I��' L•7�Jd�e�Y11:7�eA�I��9' /JdcLU�9 1 -2 TERMS AND DEFINITIONS Add the following to this subsection: Acceptance —The formal written acceptance by the Agency of the completed project. Addendum — The modification of the plans and /or specifications issued to all prospective Bidders during the period when necessary to change, correct, clarify or further define any phase of the work. Agency — City of Santa Ana Approved Equal —or words of like import refer to and indicate material that has been approved by the City Engineer as similar and equal in all respects and acceptable for use in lieu of the particular materials as specified herein. No "approved equal" material shall be used in any of the work unless approved to use it is first obtained in writing from the City Engineer. The City reserves the right to reject any and all materials, either before or after installation that are not S -la 23A -57 CITY OF SANTA ANA SPECIFICATIONS specified or approved by the City Engineer in writing. In all cases where proprietary articles are specified, it is the intent of these specifications to permit the use of approved equals, unless specifically prohibited. Requests for "Approved Equal" status for proposed substitutions shall be submitted within ten (10) days after the award of the contract. Such requests shall include substantiating data and the proposed credit to the contract price for the use of such substitution, should it be approved. Approved, Required, Directed — or words of similar import, refer to and indicate that the work or materials shall be "approved," "required," or "directed" by the City of Santa Ana or its duly authorized representative. Bidder — any individual, firm, partnership, corporation, or combination thereof, submitting a proposal for the work contemplated, acting directly or through a duly authorized representative. Board — City Council of the City of Santa Ana City — City of Santa Ana City Council —The body constituting the awarding authority of the City, namely the City Council of the City of Santa Ana. Contractor — The person or persons, co- partnership or corporation, private or municipal, who have entered into contract for this work as parties or party of the second part of his or her legal representatives. Day — Working day or Calendar day as specified in the Construction Contract / Agreement and /or in the Contractor's Bid Proposal. Department of Public Works or Department — City of Santa Ana Public Works Agency. Due Notice — A written notification, given in due time, of a proposed action where such notification is required by the contract to be given a specified interval of time (usually 48 hours or two working days) prior to the commencement of the contemplated action. Notification may be from City to Contractor or from Contractor to City. Engineer — The City Engineer of the City of Santa Ana, acting either directly or through authorized agent. Laboratory —Any laboratory of a public agency or a recognized commercial testing laboratory. Owner — City of Santa Ana S -lb 23A -58 CITY OF SANTA ANA SPECIFICATIONS Prompt — The briefest interval of time required for a considered reply, including time required for approval by a governing body. 1 -3 ABBREVIATIONS Add the following to this subsection: SSPWC Standard Specifications for Public Works Construction, latest edition, including all amendments AGC Associated General Contractors of America APWA American Public Works Association ASA American Standards Association BMP Best Management Practices CALTRANS State of California Department of Transportation or DOT OCSD Orange County Sanitation Districts OCTA Orange County Transportation Authority NPDES National Pollutant Discharge Elimination System SCG Southern California Gas Company SCE Southern California Edison Company SWPPP Storm Water Pollution Prevention Plan WWECP Wet Weather Erosion Control Plan S -lc 23A -59 CITY OF SANTA ANA SPECIFICATIONS SECTION 2 — SCOPE AND CONTROL OF THE WORK 2 -1 AWARD AND EXECUTION OF THE CONTRACT Add the following to this subsection: The award of the contract, if it is awarded, will be to the lowest responsible BIDDER whose proposal complies with all requirements described. The award, if made, will be made within 60 working days after the opening of the bids. No proposal shall be considered binding upon the AGENCY until the execution of the contract by the AGENCY. The date of the contract shall be the date the contract is executed by the AGENCY. The award, if made, shall be By mutual consent in writing of the parties signatory to the contract, alterations or deviations, increase or decreases, additions or omissions, in the plans and specifications may be made and the same shall in no way affect or make void the contract. 2 -4 CONTRACT BONDS Add the following to this subsection: The performance bond shall remain in effect at least until the date of acceptance by the Agency, unless the Engineer allows the date of substantial completion, or except as otherwise provided. The payment bond shall remain in effect until the Agency makes the final payment including retention that is due to the contractor. The contractor warrants and guarantees to the Agency that all work will not be defective. Therefore, the contractor shall furnish a warranty performance and payment bond equal to at least ten percent of the final contract price or $1,000, whichever is greater, before the contract payment bond may be released or the retention payment paid. The warranty performance and payment bond shall be in effect until at least one year after the date of acceptance of the work by the Agency. 2 -5 PLANS AND SPECIFICATIONS Add the following to this subsection: All authorized alterations affecting the requirements and information given on the approved plans shall be in writing. Changes shall not be made to any plan or drawing after the same has been approved by the Engineer, except by written direction of the Engineer. Should it appear that the work to be done, or any matter relative thereto is not sufficiently detailed or explained in these Specifications, Special Provisions, Technical Provisions, or Plans, the contractor shall apply to the Engineer for such further explanations as may be necessary and shall conform to such explanation or interpretation as part of the original specifications. In the event of doubt or questions relative to the true meaning of the specifications, reference shall be made to the City Council, whose decision thereon shall be final. S -2a 23A -60 CITY OF SANTA ANA SPECIFICATIONS 2 -5.2 PRECEDENCE OF THE CONTRACT DOCUMENTS The following supersedes the provisions of this subsection: In case of conflict between Contract Documents, the document highest in precedence shall control. The precedence shall be as follows: 1) Permits 2) Change Orders 3) Construction Contract/ Agreement 4) Addenda 5) Bid Proposal 6) Plans 7) Technical Provisions 8) Special Provisions 9) Standard Plans 10) Standard Specification 11) Reference Specifications Detail drawings shall take precedence over general drawings. 2 -6 WORK TO BE DONE Add the following to this subsection: Where the manufacturer of any material or equipment provides written recommendations or instructions for its use or method or installation (including labels, tags, manuals or trade literature), such recommendations or instructions shall be compiled with except where the contract documents specifically require deviations. 2 -8 RIGHT -OF -WAY Add the following to this subsection: When the contractor arranges for additional work areas and facilities temporarily required by him, he shall provide the City with proof that the additional work areas and /or facilities have been left in a condition satisfactory to the owner(s) of said work areas and /or facilities prior to acceptance of the work. 2 -9.2 SURVEY SERVICE The following supersedes the provisions of this subsection: The Contractor shall furnish all labor, materials, equipment, and services, and be responsible for all surveying, staking, and layout necessary for the construction of the improvements. Consequently, any reference to the Engineer providing such services in shall be disregarded. S -2b 23A -61 CITY OF SANTA ANA SPECIFICATIONS Lines and grades for construction shall be the responsibility of the Contractor. All work under this contract shall be built in accordance with the lines and grades shown on the plans. Staking shall be performed on all items ordinarily requiring grade and alignment at intervals normally accepted by the agencies and trade involved. The contractor is responsible for locating and tying existing survey monuments and centerline points prior to construction, reestablishing such monuments or points after construction, and filing a Corner Record with the County Surveyor before the project may be considered for acceptance by the agency. All such surveys, including construction staking, shall be under the supervision of a California - Licensed Land Surveyor or Civil Engineer authorized to perform surveying. The Contractor shall provide a copy of the office calculations and grade sheets to the Owner's Inspector. The Contractor shall be responsible for any error in the finished work, and shall notify the Engineer within 24 hours of any discrepancies or design errors discovered during staking. The contractor shall cover the cost of the survey service, which is considered incidental work, and no additional compensation will be allowed therefor. 2 -10 AUTHORITY OF THE BOARD AND THE ENGINEER Add the following to this subsection: The Engineer shall retain all written protests filed, and, upon completion of the work, shall submit all such protests to the City Council, together with a copy of the Engineer's prior written decisions for consideration by the City Council at the time of final acceptance of the work. The Contractor or its representative may appear and be heard by the City Council concerning any such protests. In connection with acceptance of the work and final payment under the Contract, the City Council shall make its determination with respect to each protest filed with the Engineer. The decision of the City Council shall be final. 2 -11 INSPECTION Add the following to this subsection: The City may provide inspection for an 8 -hour day and 40 -hour week for normal working days. Inspection work requested by the contractor outside of the prescribed working hours shall be paid by the contractor at the City's overtime rate. S -2c 23A -62 CITY OF SANTA ANA SPECIFICATIONS SECTION 3 - CHANGES IN WORK 3 -3 EXTRA WORK Add the following to this subsection: The contractor shall proceed with extra work only upon written order from the Engineer. For such extra work the contractor shall receive payment as agreed upon in writing, or shall be paid on force account. Work involving contract unit prices, the contractor shall not exceed any of the quantities in the proposal unless prior authorization from the engineer is obtained in writing. 3 -3.2.3 MARKUP Add the following to this subsection: Markup limited to Labor 20 % Materials 15% Equipment Rental 15% Other 15 % When all or any part of the extra work is performed by a Subcontractor, the markup established in 3- 3.2.2(a) shall be applied to the Subcontractor's actual cost of such work. A markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the extra work may be added by the Contractor. 3 -5 Disputed Work Add the following to this subsection: A. In accordance with Public Contract Code Section 20104, and for the purposes of Paragraphs B only, the term "Defined Claim" shall mean a separate demand by the Contractor to the Owner of a value of $375,000 or less, for any of the following: (a) a time extension, (b) payment of money or damages arising from work done by the Contractor pursuant to the Contract Documents and payment of which is not otherwise expressly provided for or the Contractor is not otherwise entitled to, or (c) an amount of payment which is disputed by the Owner. B. RESOLUTION OF DEFINED CLAIMS Pursuant to Sections 20104 et seq., of the Public Contracts Code, the provisions of this Paragraph B shall apply to all "Defined Claims," as such term is defined in Paragraph A (i.e., claims that are in the amount of $375,000 or less). Filing and Response to Defined Claim The Defined Claim shall be in writing, include the documents necessary to substantiate the S -3a 23A -63 CITY OF SANTA ANA SPECIFICATIONS Defined Claim, and be filed with the Owner on or before the date of the final payment for the work. If the Defined Claim is less than $50,000, the new Owner shall respond in writing to the Defined Claim within 45 days of its receipt; or the Owner may request in writing within 30 days of receipt of the Defined Claim any additional documentation supporting the Defined Claim or relating to defenses or claims the Owner may have against the Contractor, and in such event the Owner's response shall be submitted to the Contractor within the later of 15 days after the receipt of the further documentation, or the time taken by the Contractor in producing the additional information. If the Defined Claim is over $50,000, the Owner shall respond in writing to the Defined Claim within 60 days of its receipt, or the Owner may request in writing within 30 days of receipt of the Defined Claim any additional documentation supporting the Defined Claim or relating to defenses or claims the Owner may have against the Contractor, and in such event the Owner's response shall be submitted to the Contractor within the later of 30 days after the receipt of the further documentation, or the time taken by the Contractor in producing the additional information or requested documentation. Meet and Confer Regarding Defined Claim If the Contractor disputes the Owner's written response, or if the Owner fails to respond within the prescribed time, to the Defined Claim, the Contractor may notify the Owner in writing within 15 days, and demand an informal conference to meet and confer for settlement of the issues in dispute. Upon receipt of the demand, the Owner shall schedule a meet and confer conference within 30 days. If the claim or any portion thereof remains in dispute following the meet and confer conference, the Contractor may file a claim pursuant to Government Code Section 900, et seq. For purposes of this Paragraph B, the running of the period of time within which a claim must be filed shall be tolled from the time the Contractor submits the Defined Claim until the time such Defined Claim is denied, including any period of time utilized by the meet and confer conference. Procedures for Civil Actions Filed to Resolve Defined Claims The following procedures shall apply to any civil action filed pursuant to this Paragraph B: Non - Binding Mediation Within 60 days, but no earlier than 30 days, following the filing of responsive pleadings, the court shall submit the matter to non - binding mediation unless waived by mutual stipulation of both parties. The mediation process shall provide for the selection within 15 days by both parties of a disinterested third person as mediator, and shall be commenced within 30 days of the submittal and shall be concluded within 15 days from the commencement of the mediation unless a time requirement is extended upon a good cause showing to the court. S -3b 23A -64 CITY OF SANTA ANA SPECIFICATIONS Judicial Arbitration If the matter remains in dispute, the case shall be submitted to judicial arbitration pursuant to Section 1141.10, et seq., of the Code of Civil Procedure, notwithstanding Code of Civil Procedure Section 1141.11. The civil discovery procedures of Code of Civil Procedure Section 2016, et sec., shall apply, consistent with the rules pertaining to judicial arbitration. In addition to the provisions of Code of Civil Procedure Section 1141.10, et seq., (a) arbitrators shall, upon stipulation of the parties, be experienced in construction law, and (b) any party appealing an arbitration award who does not obtain a more favorable judgment shall, in addition to payment of costs and fees, also pay the attorneys fees on appeal of the other party. Interest on Award of Judgment In any suit filed pursuant to Paragraph (G)3.2, the Owner shall pay interest at the legal rate on any arbitration award or judgment, which interest shall begin to accrue on the date the suit is filed in a court of law. C. RESOLUTION OF CLAIMS OTHER THAN DEFINED CLAIMS The provisions of this Paragraph C shall apply to all claims that are not "Defined Claims," as such term is defined in Paragraph A (i.e., claims that are in excess of $375,000.00). Written Claim If the Contractor is not satisfied with any action by the City Council to resolve the protest of any claim other than a Defined Claim, it shall file with the City Council, within fifteen (15) days after such determination, a written claim which shall comply with the requirements for a claim under Division 3.6 of Title 1 (commencing with Section 810) of the California Government Code. The City Council shall take action with respect to any such claim as provided in Division 3.6 of Title 1 of the Government Code. Denial of such claim by the City Council shall be a prerequisite to the institution of any legal proceeding challenging the action of the City Council. If the Contractor fails to file a claim within the time specified herein, it shall be deemed satisfied with the action of the City Council with respect to its protests, and such failure to file a claim shall be deemed to be a waiver of all claims and demands arising out of or relating to this Contract. Limitation Period Demand for Arbitration of any claim other than a Defined Claim shall be served upon the Owner within the time limits set forth in Division 3.6 of the California Government Code for commencement of legal proceedings against a local public agency. Arbitration Except as provided to the contrary herein, arbitration of any claim other than a Defined Claim may be initiated by the Contractor and shall be conducted in accordance with the provisions of California Code of Civil Procedure Sections 1280, et seq. The parties hereto agree that there shall be a single neutral Arbitrator who shall be selected in the following manner: (1) The Demand for Arbitration shall include a list of five names of persons acceptable to the Contractor to be appointed as Arbitrator. The Owner shall determine if any of the names submitted by Contractor are acceptable and, if so, such person will be designated as Arbitrator; (2) In the event that none of the names submitted by Contractor are acceptable to Owner or if for any reasons the Arbitrator selected in Step S -3c 23A -65 CITY OF SANTA ANA SPECIFICATIONS (1) is unable to serve, the Owner shall submit to Contractor a list of the five names of persons acceptable to Owner for appointment as Arbitrator to Contractor who shall in turn have 10 days in which to determine if one such person is acceptable; (3) If after Steps (1) and (2) the parties are unable to mutually agree upon a neutral Arbitrator, the matter of selection of an Arbitrator shall be submitted to the Los Angeles County Superior Court pursuant to Code of Civil Procedure Section 1281.6. S -3d 23A -66 CITY OF SANTA ANA SPECIFICATIONS SECTION 4 - CONTROL OF MATERIALS 4 -1.3 Inspection Requirements Add the following to this subsection: At the option of the Engineer, the source of supply of each of the materials shall be approved by the Engineer before delivery is started and before such material is used in the work. Representative preliminary samples of the character and quality prescribed shall be submitted by the contractor or producer of material to be used in the work, for testing or examination as desired by the Engineer. All tests of industry materials furnished by the contractor shall be made in accordance with commonly recognized industry standards or special methods and tests as prescribed in these specifications. The contractor shall furnish such samples of materials as are requested by the Engineer, without charge. No material shall be used until it has been approved by the Engineer. Samples will be secured and tested whenever necessary to determine the quality of material. S -4a 23A -67 CITY OF SANTA ANA SPECIFICATIONS SECTION 5 - UTILITIES 5 -1 LOCATION Add the following to this subsection: The contractor is responsible to determine the exact location of utilities and its service connections during construction. The contractor shall notify the City of the exact location of any utility or service connection which is not shown or incorrectly shown on the plans. The contractor shall be expected to maintain liaison with the affected utility company representatives, and shall notify them prior to beginning of the job and each time the particular utility is or could possibly be affected at least 24 hours in advance: 1. ATT Telephone Company 2. Southern California Edison Company 3. Southern California Gas Company 4. Time Warner Cable T.V. 5. Orange County Department of Public Works 6. Santa Ana Water Resources Division 7. Metropolitan Water District 8. Orange County Sanitation District S -5a 23A -68 1- 800 - 422 -4133 1- 800 - 422 -4133 1- 800 - 422 -4133 1- 800 - 422 -4133 714 - 834 -2300 714 - 647 -3380 714 -528 -7231 714 - 962 -2411 CITY OF SANTA ANA SPECIFICATIONS SECTION 6 — PROSECUTION, PROGRESS AND ACCEPTANCE OF THE WORK 6 -3 SUSPENSION OF THE WORK Add the following to this subsection: Should suspension of work be ordered by reason of the failure of the contractor to carry out orders or to perform any provisions of the contract; or by reason of weather conditions being unsuitable for performing any item or items of work; the contractor, at its expense, shall do all the work necessary to provide a safe, smooth, and unobstructed passageway through construction for use by public traffic during the period of such suspension. In the event that the contractor fails to perform the work above specified, the City will perform such work and the cost thereof will be deducted from payment due or to become due to the contractor. If the Engineer orders a suspension of all of the work or a portion of the work which is the current controlling operation or operations due to unsuitable weather or to such other conditions as are considered unfavorable to the suitable prosecution of the work, the days on which the suspension is in effect shall not be considered working days. If a portion of work at the time of such suspension is not a current controlling operation or operations, but subsequently does become the current controlling operation or operations, the determination of working days will be made on the basis of the then current controlling operation or operations. If a suspension of work is ordered by the Engineer, due to the failure on the part of the contractor to carry out orders given or to perform any provision of the contract, the days on which the suspension order is in effect shall be considered working days if such days are working days as defined. 6 -7 TIME OF COMPLETION Add the following to this subsection: Where a single shift is worked, eight (8) consecutive hours shall constitute a day's work at straight time for all workers. Forty (40) hours between Monday and Friday shall constitute a week's work at straight time. Holidays as herein referred to shall be deemed to be: LJ New Year's Day LJ Martin Luther King Day LJ President's Day ❑ Memorial Day LJ Independence Day ❑ Labor Day LJ Columbus Day LJ Veterans Day ❑ Thanksgiving Day & day after ❑ Christmas S -6a 23A -69 CITY OF SANTA ANA SPECIFICATIONS 6 -9 LIQUIDATED DAMAGES The provisions of this subsection apply except as herein modified: It is agreed by the parties that if the improvements are not completed by the time prescribed to complete the work, City and Contractor agree that Contractor will pay to City, not as a penalty, but as predetermined liquidated damages, the sum specified in the Bid Proposal for each and every working day's delay beyond the time prescribed to complete the work. Similarly, it is further agreed that in if signal operations, road striping, and signing are not coordinated or traffic lanes are not kept open for public use, on the days, at the times, and in the manner specified in the Contract Documents and the City approved traffic control plans, City and Contractor agree that Contractor will pay to City, not as a penalty, but as predetermined damages, the sum specified in the Technical Provision. This predetermined damage may also apply to other work stoppage or inconvenience caused by the contractor. (a) Contractor fails to keep open any traffic lane for public use as required by these Special Provisions and the City approved traffic control plans; (b) Contractor fails to temporary stripe the roadway prior to opening up the roadway for normal vehicular travel immediately following resurfacing; (c) Contractor fails to permanently re- stripe the roadway and remove any conflicting striping or delineation within seven (7) calendar days following resurfacing of that section of roadway; (d) Contractor fails to remove signs which conflict with new striping or fails to install signs required by the Contract Documents which are necessary for safe traffic movement; and /or (e) Contractor fails to turn on or coordinate modification to existing signal operations as required by these Special Provisions and the City approved traffic control plans. Contractor agrees to pay such liquidated damages, and in case the same are not paid, Contractor agrees that the Agency may deduct the amount thereof from any money due or that may become due the Contractor under the contract. It is further agreed that in case the work called for under the contract is not finished and completed in all parts and requirements within the time specified, the Agency shall have the right to extend the time for completion or not, as may seem best to serve the interest of the City; and if it decides to extend the time limit for the completion of the contract, it shall further have the right to charge to the Contract, his heirs, assigns or sureties; and to deduct from the final payment for the work, all or any part, as it may deem proper, of the actual cost of engineering, inspection, superintendence, and other overhead expenses which are directly chargeable to the contract, and which accrue during the period of such extension. S -6b 23A -70 CITY OF SANTA ANA SPECIFICATIONS SECTION 7 — RESPONSIBILITIES OF THE CONTRACTOR 7.1 THE CONTRACTOR'S EQUIPMENT AND FACILITIES Add the following to this subsection: Parking of the Contractor's vehicles at any given location on City residential streets for more than twenty -four (24) hours, shall not be permitted. 7 -2.2 PREVAILING WAGES Add the following to this subsection: Certified Payroll Records shall be submitted to the Engineer every two weeks beginning with the actual start day of construction, and shall be consecutively numbered until the completion of the work. Progress payments will be withheld pending receipt of any outstanding reports. Eight hours constitutes a legal day's work. The Contractor shall forfeit, as a penalty to the City, $25.00 for each worker employed in the execution of the contract by the Contractor or any subcontractor under him for each calendar day during which such worker is required or permitted to work more than eight hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of the Labor Code, and in particular, Sections 1810 to 1815 thereof, inclusive, except that work performed by employees of Contractors in excess of eight hours per day, and 40 hours during any one week, shall be permitted at not less than one and one -half times the basic rate of pay, as provided in said Section 1815. The Contractor will assure that a qualified supervisor is present at all times when work is being performed. 7.3 LIABILITY INSURANCE The provisions of this subsection apply except as herein modified: The Contractor shall, at its own expense, take out and maintain during the life of the contract such public liability and property damage insurance protecting the contractor and any sub- contractor performing work covered by the contract from claims for damages for personal injury, including accidental death, as well as from claims for property damages, which may arise from his operations under the contract, and shall protect him and the City from claims for such damages, naming the City as an additional insured under the policy, whether such operations be by himself or by any sub - contractor or by anyone directly or indirectly employed by either of them and the amount of such insurance shall be as follows: Public Liability Insurance in an amount not less than five hundred thousand dollars ($500,000.00) for injuries, death, to any one person, and subject to the same limit for each person in an amount not less than one million dollars ($1,000,000.00) on account of one accident. S -7a 23A -71 CITY OF SANTA ANA SPECIFICATIONS Property Damage Insurance in an amount of two hundred and fifty thousand dollars ($250,000.00) resulting from any one accident that may arise from the operations of the Contractor in performing the work provided herein. If and whenever the Contractor or any sub - contractor, in carrying on the contract operations, shall use and operate automobiles, trucks or other vehicles on public streets and highways, each shall carry, at his own expense, Automobile Public Liability and Property Damage Insurance, with limits of not less than two hundred and fifty thousand dollars ($250,000.00) for any one person and five hundred thousand dollars ($500,000.00) for any one accident, and one hundred thousand dollars ($100,000.00) property damage. Equivalent Combined Policy A combined single limit policy with aggregate limits in the amount of one million dollars ($1,000,000.00) will be considered equivalent to the required minimum limits specified above. The term "public streets and highways" shall be deemed to include without limiting the generality thereof, all roads, roadways and thoroughfares used for access to the site of the work.. The Contractor shall furnish the City with satisfactory proof of insurance required. Such proof shall be furnished with the executed Contract Documents, naming the City as an additional insured. 7 -4 WORKER'S COMPENSATION INSURANCE Add the following to this subsection: The Contractor shall furnish the Agency with satisfactory proof of insurance required. The insurance shall be taken out with a responsible insurance carrier authorized under the laws of the State of California and satisfactory to the City. In case any work is sublet, the contract shall require the subcontractor similarly provide Worker's Compensation Insurance for the subcontractor's employees. The Contractor shall provide, and shall cause each subcontractor to provide, adequate insurance for the protection of his employees not otherwise protected. 7 -5 PERMITS Add the following to this subsection: The Contractor shall, at his own expense, obtain a business license from the City of Santa Ana. The Contractor shall comply will all Federal, State or local laws, ordinances or rules and regulations relating to the performance of the work. 7 -8.1 GENERAL Add the following to this subsection: S -7b 23A -72 CITY OF SANTA ANA SPECIFICATIONS The Contractor shall provide and operate a self - loading motor sweeper with spray nozzles every day, beginning 1/2 hour prior to the end of construction activities, for the purpose of keeping the entire project site clean as acceptable to the City Engineer. The contractor shall furnish and install all temporary piping, pump(s), valves and fittings necessary to distribute the water where required for the control of dust as considered necessary for the safety and convenience of the traveling public, for the reduction of dust nuisance to adjacent property and for other purposes as directed by the Engineer. The use of pressure pumps and spray bars on all sprinkling equipment used for the application of dust palliative will be required. The use of gravity flow spray bars and splash plates will not be permitted. 7 -8.2 AIR POLLUTION CONTROL Add the following to this subsection: All organic solvents used must comply with the rules, regulations and orders of the Southern California Air Pollution Control District relating to organic solvents. 7 -8.4 STORAGE OF EQUIPMENT AND MATERIALS Add the following to this subsection: Storage of equipment and materials in the public right of way during non - working hours will not be allowed, and may only be placed in the public right of way for purposes of use that day. Overnight stockpiling of construction debris or excavated materials is not allowed. Contractor must obtain written approval from the Engineer prior to storage of construction materials and equipment on the street where improvements are planned, but at minimum, adequate flashing barricades shall be provided. No area is available within the contract limits for the exclusive use of the Contractor. However, temporary storage of equipment and materials on City of Santa Ana property may be arranged with the Engineer, subject to the prior demands of the City of Santa Ana. Use of the Contractor's work areas and other City of Santa Ana -owned property shall be at the Contractor's own risk, and the City of Santa Ana shall not be held liable for damage to or loss of materials or equipment located within such areas. The Contractor shall remove equipment, materials, and rubbish from the work areas and other City of Santa Ana -owned property that the Contractor occupies at the conclusion of each working day. 7 -8.6 WATER POLLUTION CONTROL Add the following to this subsection: S -7c 23A -73 CITY OF SANTA ANA SPECIFICATIONS Permit & Plan Prior to beginning any work, if applicable, the Contractor shall prepare and submit a Storm Water Pollution Prevention Plan ( SWPPP), and a Wet Weather Erosion Control Plan (WWECP) if the soil will be disturbed during the rainy season (November 1 to April 15). The SWPPP must be prepared before construction activities begin and must be implemented year -round throughout construction. A WWECP must be prepared prior to each rainy season, and must be implemented throughout that rainy season. The SWPPP and the WWECP shall be developed and implemented in accordance with the County Wide Storm Water Management Plan, National Pollutant Discharge Elimination System (NPDES) Permit No. CAS 004001 and any other requirements established by the City. Best Management Practices (BMP) referenced are from the California Storm Water Best Management Practice Handbooks (Construction, Municipal and Industrial). Appendix B provides forms that the Contractor shall complete and certify. The Contractor shall assess site conditions, identify construction activities with the potential to cause storm water pollution, and then identify the BMP that will best suit the construction activities. The SWPPP and the WWECP shall include a site map of the project providing the following information, if applicable, but not limited to: (a) The boundary of the construction site(s). (b) The area of the construction site(s) in acres. (c) Location of existing storm drain facilities. (d) Types and locations of storm water structures, controls, and /or BMP, which will be built /utilized to control storm water pollution during construction. (e) Construction and erosion control material storage areas. (f) Temporary stockpile and construction waste storage areas. (g) Construction vehicle storage and service areas. (h) Watershed boundary of off -site areas that drain into the construction site. (i) The boundary of the drainage area where storm water leaves the construction site. (j) Areas of soil disturbance and locations of potential soil erosion areas requiring BMP during construction. (k) Drainage patterns and slopes anticipated after major grading activities. The above information should be updated as needed to meet evolving construction conditions. The Contractor shall coordinate storm water pollution prevention work with all other work done on the contract and is responsible for ensuring that all project contractors and subcontractors implement all applicable BMP. If the measures being taken by the Contractor are inadequate to prevent storm water pollution effectively, the Engineer may direct the Contractor to revise the operations and the SWPPP and /or the WWECP measures. The directions will be in writing and will specify the items of work for which the Contractor's storm S -7d 23A -74 CITY OF SANTA ANA SPECIFICATIONS water pollution prevention measures are inadequate. No further work shall be performed on the items until the water pollution prevention measures are adequate and, if also required, a revised SWPPP and /or WWECP has been accepted. The Engineer will notify the Contractor of the acceptance or rejection of any submitted or revised SWPPP and /or WWECP in not more than 5 working days. The City will not be liable to the Contractor for failure to accept all or any portion of an originally submitted or revised SWPPP and /or WWECP, nor for any delays to the work due to the Contractor's failure to submit an acceptable SWPPP and /or WWECP. The Contractor may request the Engineer to waive the requirement for submission of a SWPPP and /or WWECP when the nature of the Contractor's operation is such that pollution and /or erosion is not likely to occur. Waiver of this requirement will not relieve the Contractor from responsibility for compliance with the other provisions of this section. Waiver of the requirement for a SWPPP and /or WWECP will not preclude requiring submittal of a SWPPP and /or WWECP at a later time if the Engineer deems it necessary because of the effect of the Contractor' operations. Maintenance To ensure the proper implementation and functioning of water pollution prevention measures, the Contractor shall regularly inspect and maintain the construction site for the water pollution prevention measures identified in the SWPPP and the WWECP. The Contractor shall inspect the construction site as follows: (a) Prior to a forecast storm. (b) After a precipitation event which causes site runoff. (c) At 24 hour intervals during extended precipitation events. (d) Routinely, a minimum of once every two weeks outside of the defined rainy season. (e) Routinely, a minimum of once every week during the defined rainy season. The Contractor shall use Storm Water Pollution Control Implementation Report provided in Appendix B or alternative inspection checklist approved by the Engineer. One copy of each site inspection record shall be submitted to the Engineer within 24 hours of completing the inspection. Reporting Requirements If the Contractor identifies discharges into surface waters or drainage systems in a manner causing, or potentially causing, a condition of pollution, or if the project receives a written notice or order from a regulatory agency, the Contractor shall immediately inform the Engineer. The Contractor shall submit a written report to the Engineer within 7 days of the discharge event, notice or order. The report shall include the following information: (a) The date, time, location, nature of the operation, and type of discharge, including the cause or nature of the notice or order. S -7e 23A -75 CITY OF SANTA ANA SPECIFICATIONS (b) The water pollution control practices deployed before the discharge event, or prior to receiving the notice or order. (c) The date of deployment and type of water pollution control practices deployed after the discharge event, or after receiving the notice or order, including additional measures installed or planned to reduce or prevent reoccurrence. (d) An implementation and maintenance schedule for affected water pollution control practices. Compensation for conforming to these provisions shall be considered as included in the prices paid for the various items of work and no additional compensation will be allowed therefor. 7 -10.1 ACCESS Add the following to this subsection: It shall be the Contractor's responsibility to furnish a detailed traffic control plan identifying the maintenance of traffic during construction to the Engineer for approval. All traffic control plans shall be submitted to the Engineer a minimum of 5 working days in advance of its planned implementation for review and approval. Signs, lights, flags, and other warning and safety devices and their use shall conform to the requirements set forth in the current State of California Manual of Traffic Control for Construction and Maintenance Work Zones. Construction area signs shall removed when no longer required. In the event that the Contractor fails to adequately provide for the public safety during the course of construction under this contract, and the City is required to provide for said public safety, the Contractor shall pay the City the cost of each service call, which will include all direct labor and material costs including fringe benefits, overhead, and applicable rental rates for the various pieces of equipment. Any and all costs incurred by the City as a result of the failure of the Contractor to provide for the public safety will be deducted from the amount due to the Contractor for the work done under this contract. The Contractor may be required to cover certain signs during the progress of the work. Signs that are no longer required or that convey inaccurate information to the public shall be immediately covered. Covers for construction area signs shall be of sufficient size and density to completely block out the complete face of the signs. The retroreflective face of the covered signs shall not be visible either during the day or at night. Covers shall be fastened securely so that the signs remain covered during inclement weather. Covers shall be replaced when they no longer cover the signs properly. If a closure is not reopened to public traffic by the specified time, Liquated Damages may apply as specified above in Section 6 -9. S -7f 23A -76 CITY OF SANTA ANA SPECIFICATIONS SECTION 8 — FACILITIES FOR AGENCY PERSONNEL 8 -2 FIELD OFFICE FACILITIES Add the following to this subsection: City's personnel shall have the right to enter upon any Field Offices provided for Agency use or upon the project site at all times. S -8a 23A -77 CITY OF SANTA ANA SPECIFICATIONS SECTION 9 — MEASUREMENT AND PAYMENT 9 -3.2 PARTIAL AND FINAL PAYMENT Add the following to this subsection: Prior to judicial determination of any claim or claims or in accord therewith, the City may apply an amount withheld to the payment and satisfaction of sub - contractors for labor and services rendered and materials furnished. In so doing, the City shall be deemed the agent of the Contractor and any payment so made by the City shall be considered as a payment made in good faith; provided that such payment shall not be made except by court order if the Contractor furnished a bond satisfactory to the City to indemnify the City against any lien or claim. If any lien or claim should remain unsatisfied after final payment to the Contractor, the Contractor, upon demand, shall refund to the City any money that the latter may be compelled to pay to discharge such lien or claim, including all costs and reasonable attorney's fees. Before the City will make the final payment to the Contractor, the Contractor shall furnish the City with lien releases from all sub - contractors and suppliers of material, together with a certified statement that the releases represent all the materials furnished and all the sub- contractors engaged for the work. 9 -3.4 MOBILIZATION Add the following to this subsection: Mobilization shall consist of preparatory work and operations including, but not limited to, those necessary for the movement of personnel, equipment, supplies and incidentals to the project site. Mobilization shall additionally include the establishment of any temporary facilities and the installation of project signs. The City will provide the project signs. The Contractor will be required to pick up the project signs from the City Yard and install them. At the end of construction, the contractor shall return the project signs to the City Yard. A minimum of one week before the start of construction, the Contractor shall videotape all areas where construction is to take place. The videotapes are to be supplied to the Engineer before constructions begins. These videotapes will serve as a record of the existing conditions for disputes that may arise from restoration and should therefore be taken along the line of construction and site access and staging areas at sufficient detail as necessary to clearly depict details of existing conditions. The videotapes shall be standard VHS cassette format in color. All videotapes shall be indexed and catalogued in such a manner that each photographed area is readily identifiable and shall also indicate the date and time (hours, minutes and seconds) on S -9a 23A -78 CITY OF SANTA ANA SPECIFICATIONS which the video was made. The Contractor shall also videotape any unusual conditions encountered during construction that are not already a matter of photographic record. In any areas where existing conditions cannot be determined by means of videotapes, the areas shall be restored as approved by the Engineer at the Contractor's expense. All videotapes shall become the property of the City. S -9b 23A -79 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS TECHNICAL PROVISIONS 1.00 GENERAL 1.01 SCOPE OF WORK The general nature of work consists of furnishing all labor, material, equipment, services, and incidentals required for the installation of 12" water main and tie ins in Seventeenth Street between Bristol Street and Broadway. Work includes water main installation, bore and jack, constructing trenches, water service line installation, asphalt concrete pavement and concrete gutters, cross - gutters, curb & gutter, sidewalks, and drive - approaches. Related work includes mobilizing crews and equipment, implementing a construction safety plan, surveying, and adjusting and utility covers, repainting traffic stripes and pavement markings, and placing pavement markers, and all appurtenant work. 1.02 TIME OF COMPLETION The Contractor shall complete all work under the contract and shall begin construction of the project as stipulated in the Bid Proposal. 1.03 LIQUIDATED DAMAGES The liquidated damages amount, in lieu of that specified in Subsection 6 -9 of the Standard Specifications, shall be as stipulated in the Bid Proposal. 1.04 EMERGENCY INFORMATION The names, addresses and telephone numbers of the Contractor and Subcontractors, or their representatives, shall be filed with the Engineer and the City Police and County of Orange Fire Departments prior to beginning work. 1.05 PLANS AND SPECIFICATIONS This section shall conform to Section 2 -5 of the Standard Specifications and these Technical Provisions. The Contractor shall maintain a control set of plans and specifications on the project site at all times. As approved by the Engineer, all final locations determined in the field and any deviations from the plans and specifications shall be marked in red on this control set to show the as -built conditions. Upon completion of all work, the Contractor shall submit the control set to the Engineer. Final payment will not be made until this requirement is met. T -la 23A -80 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS 1.06 WORK BY AGENCY FORCES BECAUSE OF NONPERFORMANCE BY CONTRACTOR Should the Contractor fail to correct deficiencies or public nuisances that have been created because of his /her operation, then these will be considered to be of an emergency nature, and will call for the AGENCY to move in on the project to take corrective action. Such work will be done on a force account basis with an additional callout charge. There is a minimum two -hour charge for labor on any callout plus an additional callout charge of $300. 1.07 UTILITIES This section shall conform to Section 5 of the Standard Specifications and these Technical Provisions. All existing utility access frames and covers, both private and public, shall be located and marked with paint on the pavement surface by the Contractor. Upon completion of the project, the Contractor shall remove all painted utility markings done by him /her or the respective utility owners from the surfaces of sidewalks, driveway approaches, curbs and gutters using the removal method acceptable to the Engineer. Any damage to sidewalks, driveway approaches, curbs and gutters due to the Contractor's removal operation shall be repaired at the Contractor's expense and to the satisfaction of the Engineer. Payment for removing utility markings shall be included in other items of work, and no additional compensation will be allowed therefore. If utility construction work within the area is required during the construction of this project, the Contractor is directed to cooperate with the utility company(s) and their workers to assure proper installation of the utilities with a minimum of conflict. The last paragraph of Section 5 -1 shall be revised to read as follows: "The Contractor shall determine the location and depth of all utilities including service connections, which may affect or be affected by its operation." 1.08 WORKING HOURS This section shall conform to Subsection 6 -7.1 of the Standard Specifications and these Technical Provisions. T -lb 23A -81 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS The Contractor's activities shall be confined to the allowable working hours of the selected bid. The working hours under Base Bid Night Work or Alternate #1 Day Work are as follows: Base Bid Night Work: 1. From 7:00 p.m. to 5:00 a.m. Monday through Friday. Alternate #1 Day Work 1. From 7:00 a.m. to 5:00 p.m., Monday through Friday, within work areas having either no lane closures or having continuous lane closures, i.e. 24 -hour closures lasting more than one day. 2. From 9:00 a.m. to 3:00 p.m., Monday through Friday, for work requiring temporary lane closures, i.e. those having less than a 24 -hour duration, and for work at major intersections. As an alternative, construction at major intersections may be permitted on Fridays, at night or on weekends. 3. All major intersections: Construction shall be limited to weekend work only. Maintain minimum one through lane in each direction at all times. 4. Work at intersection of 17th Street and Flower Street shall be limited to weekend work only Deviation from these hours /days shall not be permitted without the prior consent of the Engineer, except in emergencies involving immediate hazard to persons or property, or as specified otherwise. 1.09 CONTRACTOR'S EQUIPMENT AND FACILITIES This section shall conform to Subsection 7 -1 of the Standard Specifications and these Technical Provisions. The Contractor shall comply with all local sound control and noise level rules, regulations and ordinances which apply to any work performed pursuant to the contract. Each internal combustion engine, used for any purpose on the job or related to the job, shall be equipped with a muffler of a type recommended by the Manufacturer. The noise level from the Contractor's operations shall not exceed 95 dba at a distance of 50 feet. This requirement in no way relieves the Contractor from responsibility for complying with local ordinances regulating noise level. T -lc 23A -82 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS The said noise level requirements shall apply to all equipment on the job or related to the job, including but not limited to trucks, transit mixers, or transient equipment that may or may not be owned the Contractor. The use of loud signals shall be avoided in favor of light warnings, except those required by safety laws for the protection of personnel. Pursuant to the authority contained in Section 591 of the Vehicle Code, the Department has determined that, such areas as are within the limits of the project and are open to public traffic, the Contractor shall comply with all the requirements set forth in Divisions 11, 12, 13, 14 and 15 of the Vehicle Code. Attention is directed to the statement in Section 591 that this Section shall not relieve him or any person from the duty of exercising due care. The Contractor shall take all necessary precautions for safe operation of his /her equipment and the protection of the public from injury and damage from such equipment. Full compensation for conforming to the requirements of this Section shall be considered as included in the prices paid for the various contract items of work involved, and no additional compensation will be allowed therefore. 1.10 LICENSES & PERMITS This section shall conform to Subsection 7 -5 of the Standard Specifications and these TECHNICAL PROVISIONS. a. Business License. Each Prime Contractor and Subcontractor shall obtain and pay for a Santa Ana Business License. Detailed information concerning business license may be obtained from the Finance and Management Services Agency, (714) 647 -5447, City Hall. b. Construction Water Permit. Each Prime Contractor or Subcontractor which desires to obtain water from AGENCY -owned fire hydrants for construction or any other purpose shall first obtain and pay for a permit from the Corporate Yard of the City of Santa Ana, at 220 South Daisy Avenue. Information concerning costs and conditions may be obtained from the AGENCY by calling (714) 647 -3320. Use of private water from a hose bib is not allowed. For safety reasons, the AGENCY will not allow Contractor to stretch construction water hoses across open traffic lanes. Where required, Contractor shall use water truck. c. Disposal Permit. In accordance with the procedures of the Orange County General Services Administration (GSA), the cost for the disposal of all materials at County landfill sites shall be borne by the Contractor. T -1d 23A -83 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS d. Building and Electrical Permits. For projects involving building, structural construction, traffic signal or irrigation controller installation, the Prime Contractor shall obtain the necessary building and electrical permits from the Planning & Building Agency. There will be no fees for these permits. All permits and fees required by all other Agencies having jurisdiction over any part of the work shall be obtained and paid for by the Contractor, unless otherwise noted on the Plans or in the TECHNICAL PROVISIONS. 1.11 CLEAN -UP & DUST CONTROL This Section shall conform to Subsection 7 -8.1 of the Standard Specifications and these TECHNICAL PROVISIONS. The Contractor shall keep the work site clean and free from rubbish and debris at the end of every working day. In addition, the Contractor shall be fully responsible for removing any graffiti placed on new improvements or Contractor's equipment daily immediately at the start of the work day. Cost to remove graffiti shall be included in other items of work and no additional compensation will be allowed therefore. 1.12 PUBLIC CONVENIENCE & SAFETY This section shall conform to Subsection 7 -10 of the Standard Specifications and these Technical Provisions. Intersections shall be kept open until work takes place within the intersection. Local vehicular and pedestrian access, including access to driveways and businesses, shall be maintained at all times. Pedestrian access across both streets in an intersection must be maintained at all times with a minimum 4 -foot width. All signs shall be illuminated or reflectorized when they are used during hours of darkness. All cones, pylons, barricades, or posts used in the diversion of traffic shall be reflectorized. All signing, barricading and diversion of traffic shall be subject to the approval of the Engineer. The Contractor shall provide a telephone number at which the Contractor's representatives can be reached should an emergency occur requiring replacement or relocation of the required traffic devices. T -le 23A -84 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Prior to the start of construction operations, the Contractor shall notify the Police and County of Orange Fire Departments of the AGENCY, giving the approximate starting date, completion date, and the name and telephone number of responsible persons who may be contacted at any hour in the event of a critical condition requiring immediate correction. At least two weeks prior to starting work, the Contractor shall notify the Orange County Transportation Authority (OCTA) bus service of the approximate starting date and completion date. At least two weeks prior to starting work, the Contractor shall deliver notices supplied by the AGENCY to the residents and businesses in the area affected by the construction. At least 48 hours before working on a street, the contractor shall contact the residents and businesses of that street by written notice to provide information as to the type of work, closure, type of inconvenience and the expected duration. The written notice shall be a tag shape similar to the sample shown in appendix E and be hung on door knobs and all parked vehicles on the street. In the event of a delay after the notice has been delivered, the contractor shall provide an updated notice to the residents and businesses. After construction completion on the street, the contractor shall collect any notices that are not picked up by the resident or business. 1.13 PAYMENT Payment for any items of work required by the plans, specifications or other contract documents, which are not covered by a contract bid item, shall be considered as included in other items and no additional compensation will be paid therefore. 1.14 SUBCONTRACTING This section shall conform to Section 2 -3.1 of the Standard Specifications and these TECHNICAL PROVISIONS. The Prime Contractor agrees to pay each Subcontractor under this prime contract for satisfactory performance of its contract no later than 10 days from the receipt of each payment the Prime Contractor receives from AGENCY. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the AGENCY. This clause applies to both Disadvantaged Business Enterprise (DBE) and non -DBE Subcontractors. The Prime Contractor agrees further to release retainage payments to each Subcontractor within 30 days after the subcontractor's work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good T -If 23A -85 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS cause following written approval of the City of Santa Ana. This clause applies to both DBE and non -DBE subcontractors. 1.15 TEMPORARY RECESSED STEEL PLATE BRIDGING When backfilling operation of an excavation in the travel way, whether transverse or longitudinal cannot be properly completed within a work day, recessed steel plate bridging with a non -skid surface and shoring may be required to preserve unobstructed traffic flow. In such cases, the following shall apply: 1. Steel plate installation shall be recessed by milling existing pavement to set flush with finish grade. 2. Steel plate shall fit snug and installed to operate with minimum noise. Bridging shall be secured against displacement. 3. Steel plate used for bridging must extend a minimum of twelve (12 ") inches beyond the edge of the trench. 4. The pavement shall be cold planned a depth equal to the thickness of the plate and to a width and length equal to the dimensions of the plate. Multiple steel plates shall be butted and tack welded as needed to secure plates 6" minimum. The trench shall be adequate to support the bridging and the traffic load. Contractor shall be responsible for determining whether shoring is necessary. The Contractor shall be responsible for the appropriate selection and maintenance of the steel plates, and shoring. Unless specified, recessed steel plate bridging at any given location shall not exceed four (4) consecutive working days in any given week. Backfilling of excavation shall be covered with a minimum of three (3 ") inches of temporary layer of cold asphalt concrete. The following table shows the required minimal thickness of steel plate bridging for a given trench width: Trench Width Minimum Plate Thickness 1.0 foot % inch 1.5 foot % inch 2.0 feet 7/8 inch 3.0 feet 1 inch 4.0 feet 1% inch T -lg r CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS For spans greater than four (4') feet, a structural design for the recessed steel plate bridging shall be prepared by a California registered civil engineer and approved by the Engineer. Steel plate bridging shall be designed for HS20 -44 truck loading per Caltrans Bridge Design Specifications Manual. The Contractor shall maintain steel plates with a non -skid surface having a minimum coefficient of friction equivalent to 0.35 as determined by California Test Method 342. The contractor may use standard steel plate with known coefficient of friction equal or exceeding 0.35. A Rough Road sign (W8 -8) with black lettering on an orange background shall be used in advanced of steel plate bridging. This is to be used along with any other required construction signing. Payment for recessed steel plate bridging shall be included in the other items of work involved and no additional payment will be allowed therefore. 1.16 AS -BUILT DRAWINGS The Contractor shall maintain and update the as -built drawings throughout the construction period. The "As- Built" drawings shall be submitted to the Inspector before completion of the project. Final payment will not be made until As -Built plan is received by the City. T -1h 23A -87 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS 2.00 SIGNING AND STRIPING 2.01 SCOPE OF WORK The work to be done consists, in general, removal and installation of signs, posts, raised pavement markers (RPM), stripes, pavement markings and curb markings as shown on the plans and as described below. Items or details not specifically mentioned in the following Sub - Sections that are required by the project plans, in the applicable Caltrans Standard Specifications (CSS), Caltrans Standard Plans (CSP) or City of Santa Ana Standard Plans ( CSASP), Standard Specifications for Public Works Construction (SSPWC) or these TECHNICAL PROVISIONS shall be performed, constructed or installed. 2.02 STRIPING (Traffic Stripes and Pavement Markings) This Section shall conform to the latest CSASPs, the CSP and provisions in Section 84 of the CSS and these Technical Provisions. a. General All traffic stripes and pavement markings shall be thin -mil thermoplastic (sprayable) except for temporary striping, crosswalks and limit lines. All crosswalks and limit lines shall be thermoplastic. All curb markings and median island markings shall be painted using Environmental Protection Agency (EPA) compliant paint material. Paint shall be fast or rapid dry type solvent of similar or approved equal to that manufactured by Ennis or Pervo Paint Companies and shall meet all requirements of South Coast Air Quality Management District. The rate of paint to be applied shall be per recommendation of the paint manufacturer. All pavement markings including legends, arrows, and symbols shall be per CSP Nos. A24A- E. All crosswalks at signalized intersections with wheelchair ramps shall be striped with a 5' diagonal (45 degree cut -off at the curb return, as shown in CSASP No. 1130. Crosswalk stripes shall be 12 inches wide. b. Removal Existing striping, pavement markings, curb marking and RPM superseded by the plans shall be removed. All conflicting striping within limit of project shall be removed even if not shown on the plan. T -2a r•• CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Removal of traffic stripes and pavement markings shall be by wet sandblasting. Thermoplastic and pavement tapes striping may be removed by grinding with the Engineer's approval. Existing pavement markings, which are removed by sandblasting or grinding, shall be completely removed to the satisfaction of the Engineer. All removal areas shall be slurry sealed by rubberized slurry seal. Slurry seal shall cover from lane line to lane line unless directed otherwise by the engineer. c. Temporary Striping The Contractor shall install temporary traffic striping within 24 -hours after paving the street or on any unstriped lanes opened to traffic. Public traffic shall not be allowed on any multilane arterial street without temporary or permanent striping. Temporary striping can be per CSASP Plan No. 112513-1 and B -2 (without the RPM'S) or by installing reflectorized chip seal markers (single for 4" line, double for 8" line) at 20 feet on center when on a taper or curve, and at 40 feet on center elsewhere. If striping is used, stripes can be paint or temporary traffic striping tape. All temporary striping shall be removed prior to the final striping. d. Final Striping All final stripes, legends, including limit lines, shall be permanently striped within 72 hours after the street has received the final surface course or after legends have been removed for re- striping. Any existing striping to remain including striping on cross streets, which is disturbed during construction, shall be re- striped as necessary, even if not shown on the channelization plans. All striping and related roadside signage shall be in place prior to opening the lane(s) to public traffic. e. Thin -mil Thermoplastic (Sprayable) and Thermoplastic Thin -mil thermoplastic traffic stripes and pavement markings, and thermoplastic crosswalks and limit lines shall conform to the provisions in Sections 84 -1, "General," and 84 -2, "Thermoplastic Traffic Stripes and Pavement Markings," of the CSS and these TECHNICAL PROVISIONS. T -2b 23A -89 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Specifications for glass beads shall be "8010 -004 (Type II)." Glass beads shall be premixed within the thermoplastic material prior to application and also applied to the thermoplastic striping material immediately following the application of the striping. Thin -mil thermoplastic material shall conform to the requirements of Caltrans Specification No. PTH- 02SPRAY, for Thermoplastic Traffic Striping Material, Sprayable, White and Yellow. The binder material shall be Alkyd. Copies of the Caltrans Specification No. PTH- 02SPRAY are available at the Caltrans Transportation Laboratory, Sacramento, California. Thermoplastic material shall conform to the requirements of Caltrans Specification No. PTH- 02ALKYD. Thin -mil thermoplastic material for traffic stripes shall be applied by spray method in single uniform layer at the minimum thickness of 30 mils and not to exceed 45 mils. Thermoplastic shall not exceed 40 -50 mils. The Contractor shall not begin work until a written notice to proceed has been issued by the Engineer. The Contractor shall notify the City of Santa Ana - Public Works Agency (CSA- PWA) Engineer a minimum of two working days prior to beginning the work to coordinate the work. A schedule of the streets to be re- striped for each day shall be provided to the Engineer one full workday prior to striping or re- striping any streets. The Contractor shall adjust the thermoplastic application rate as necessary to achieve the thermoplastic application rate stated above prior to striping. Thermoplastic application rate tests (up to and including 5 thermoplastic application rate tests per day, including the thermoplastic application rate test at the start of each workday) may be conducted at random times and locations throughout each workday at the discretion of the Engineer. Thermoplastic Application Rate Testing The paint application rate shall be determined by passing the striper over a metal plate while the paint application system is operating. The flow of glass beads shall be stopped while passing over the metal plate. The Engineer or representative shall measure thickness of the applied thermoplastic immediately after application of thermoplastic on the metal plate. Striping shall not continue if the proper thickness of thermoplastic is not being applied. Adjustments and corrective measures shall be applied to insure that the correct thickness of thermoplastic will be applied. Testing of the thermoplastic application rate, as described above, will be required following any adjustment to the thermoplastic application rate, thermoplastic applicator nozzles, or any other thermoplastic application equipment prior to commencement or re- commencement of striping. The initial testing and re- testing of thermoplastic application rates at any location shall be considered as a single thermoplastic application rate test. T -2c 23A -90 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS The second paragraph of CSS Section 84 -3.05 shall be amended to read as follows: Street sweeping of the areas to be re- striped will not be required, but obvious accumulations of loose material or debris shall be removed prior to application of paint or thermoplastic. Thin -mil thermoplastic material shall be applied to the pavement at a temperature between 3509 F. and 4009 F., unless the manufacturer recommends a different temperature. Section 84 -2.05, Measurement, and Section 84 -2.06, Payment, shall be deleted. Section 84 -3.06, Measurement, and Section 84 -3.07, Payment, shall be deleted. f. Raised Pavement Markers (RPM'S) Raised pavement markers shall conform to Section 85, "Pavement Markers," of the CSS and these TECHNICAL PROVISIONS . Reflective pavement markers shall have abrasion - resistant surfaces. 1. REMOVAL - The contractor shall remove any existing raised pavement markers that do not conform to the channelization plans, and repair any damaged pavement due to RPM removal to maintain a smooth and uniform surface per SSPWC Section 302 - 5.6.2. Any missing or broken raised pavement markers shall be replaced, in kind, within the project boundaries. 2. INSTALLATION — Install raised pavement markers per the channelization plans in accordance with Section 85 -1.06, Placement, of the CSS, and CSASP Nos. 1125A -C. Section 85 -1.08, Measurement, and Section 85 -1.09, Payment, shall be deleted. 2.03 SIGNS (Roadside Signs) AND MARKERS This section shall conform to Section 56 -2, Roadside Signs of the CSS and these Technical Provisions. 1. General All new signs shall be furnished and installed by the Contractor. The sign sizes, messages, and colors shall conform to the current edition of the Caltrans Sign Specifications. The sign sizes shall be the standard size shown in the Sign Specifications unless shown otherwise on T -2d 23A -91 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS the plans. The sign backing material shall be anodized rolled sheet aluminum and shall be one piece with drilled holes for mounting. All signs installed in parkways, sidewalks or pedestrian areas shall have a minimum of 7 feet of vertical clearance from the bottom of the lowest sign to the surrounding surface. Street name signs shall have a minimum 9 feet of vertical clearance. All signs installed in raised median areas shall have a minimum vertical clearance of 4 feet from the existing surface unless shown otherwise on the plans. When two signs are installed on one post, the signs shall be installed in the proper standard vertical positions unless shown otherwise on the plans. Regulatory, Warning and Guide signs shall be posted above parking restriction signs. The Engineer shall determine the proper order for multiple signs. Sign panels shall not be overlapped. If signposts are not long enough to provide standard clearance for all signs, a longer post shall be furnished and installed. Signs shall be installed at right angles to approaching traffic unless shown otherwise on the plans. In no case shall signs be installed on wood utility poles or on wood street light poles. 2. Material and Hardware a. Roadside signs shall be fabricated using 0.080 -inch thick aluminum sheeting and traffic signal mastarm mounted signs shall be fabricated using 0.10 -inch thick aluminum sheeting. b. ASTM D4956 -09 Type XI (3M Diamond Grade DG3 Series 4000 or equivalent) reflective sheeting shall be used for the followings: i. All Regulatory signs except parking restrictions signs. ii. All Warning signs. c. For school related signs, reflective sheeting shall be 3M Diamond Grade (Fluorescent) Series 4083 DG3 or equivalent. d. For all other signs, including parking restrictions and Street Sweeping signs, the reflective sheeting shall be ASTM D4956 -09 Type III, IV (3M High Intensity Prismatic series 3930 or equivalent). e. Temporary or construction signs shall be ASTM D4956 -09 Type III, IV (3M High Intensity Prismatic series 3930 or equivalent). f. All signs, except for temporary or construction signs, shall have graffiti coating or film (such as 3M 1160 Overlay) as recommended by the manufacturer of the reflective material. Neither the color nor the reflective intensity of the finished sign panel shall be significantly diminished by the use of graffiti remover when used in a manner approved by Caltrans and the sheeting manufacturer. T -2e 23A -92 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Reflective sheeting will be applied to the sign panel utilizing the method approved by the manufacturer of the sheeting and shall produce a durable bond equal to or greater than the strength of the reflective sheeting. No air pockets or bubbles shall exist between the sheeting and the aluminum backing. All sign panels furnished by the Contractor shall be new with no scratches or tears in the reflective sheeting. No splice will be allowed in the sign panel reflective sheeting other than that which occurs in the manufactured roll of reflective sheeting on sign panels with a minor dimension of 48" or less. On all rectangular sign panels, the splice will be horizontal. No finished sign panel shall have more than one (1) splice and no splice will fall within 2" of the sign panel edge. When splices do occur, the adjoining reflective sheets shall be color matched under both incident and reflective light. Prior to sign installation the contractor will provide a Certificate of Compliance for the signs. Section 56- 2.02A, Metal Posts, shall be deleted and replaced with the following paragraph: New signs shall be installed per City of Santa Ana Standard Plan No. 1504A and 1504B using square tubing signpost (such as Unistrut Telspar'", UltiMate or Agency- approved equal), anchors and anchor sleeves. Anchors and sleeves shall be embedded with no more than four holes exposed and no less than two holes exposed. The signpost, anchor and anchor sleeve shall be fully perforated galvanized square 12 gauge steel tubing. The signpost shall be 2 inch square, the signpost anchor shall be 2.25 inch square (all dimensions are nominal). Section 56- 2.02B, Wood Posts, shall be deleted. Section 56- 2.02C, Laminated Wood Box Posts shall be deleted. The third paragraph of Section 56- 2.02D, Sign Panel Fastening Hardware, shall be amended to read as follows: All new signs shall be installed with all new mounting hardware. All new straps, saddle brackets, nuts, bolts, and washers shall be stainless steel. Heavy duty banding straps of 0.030 shall be used. Each sign panel shall have a minimum of two rivets installed per sign. However, signs greater than 45 inches in height shall have three rivets per sign installed in the top, middle and bottom of the sign. Each signpost shall utilize a minimum of two rivets to attach the sign post to the sign post anchor assembly. The fourth paragraph of Section 56- 2.02D, Sign Panel Fastening Hardware, shall be deleted. 3. Installation and Removal Section 56 -2.03, Construction, shall be deleted and replaced with the following: T -2f 23A -93 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS The Contractor shall install new and relocate existing signs as noted on the plans, shall protect - in -place existing signs, posts and parking meters which are not to be removed, and shall replace any of these signs which are damaged during construction. Sign to be mounted on streetlight or traffic signal poles shall be installed using the strap and saddle bracket method as shown on Caltrans Standard Plan RS -4. Sign panels on traffic signal mast arms shall be installed per Caltrans Standard Plan ES -7N, Detail U. Signs mounted on streetlight poles (electroliers) shall be mounted so as not to cover electrolier identification tags. Posts shall be installed in driven post anchors per the manufacturer's specifications. New signs shall be installed on 10 foot posts, except a longer post shall be used if necessary to maintain a 7 foot vertical clearance from the bottom of the lowest sign to the top of the surrounding surface in pedestrian areas. Sign posts shall be installed a minimum of 6 feet from power poles, fire hydrants, and other obstructions. Sign posts shall be installed per City of Santa Ana Standard Plan No 1504. All signs to be salvaged, as called for on the plans, shall be become property of the contractor All posts driven sign post anchors shall be completely removed and the sign post anchor assembly hole backfilled with clean fill dirt to match the existing surrounding grade (non -paved areas only). Driven sign post anchors in sidewalk or pavement areas shall be completely removed and backfilled with grout to the level of the surrounding grade. Sign posts with foundations in parkway area shall be completely removed and backfilled with clean fill dirt to match the grade of the surrounding area. Sign posts located within sidewalk or other paved areas, shall core drill the sidewalk and remove the sign post to below sidewalk or paving then backfilled with concrete or paving material to match the existing. Section 56 -2.04, Sign Panel Installation, shall be deleted. Section 56 -2.05, Measurement, shall be deleted. Section 56 -2.06, Payment, shall be replaced with the following: 2.04 PAYMENT Unless noted otherwise, all work relating to signing and striping, including but not limited to removal and installation of signs, posts, markers, RPM'S, stripes, pavement markings, and curb markings, shall be considered included in the lump sum price paid for Signing and T -2g 23A -94 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Striping. This lump sum price shall include full compensation for furnishing labor, materials, tools, equipment, other incidentals for work as shown on the plans, in the Specifications and in the Signing and Striping Technical Provisions and no additional payment will be allowed therefore. T -2h 23A -95 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS 3.00 WATER MAIN IMPROVEMENTS 3.01 OPEN TRENCH OPERATIONS, EXCAVATION, BEDDING AND BACKFILL Open trench operations, excavation, bedding and backfill shall conform to the applicable provisions of Section 306 of the Standard Specifications and these Technical Provisions. Contractor shall excavate open trench 100 feet ahead of pipe laying operations to allow for any adjustments in grade necessary to resolve unforeseen utility conflicts. All trenches shall be backfilled and have 3" temporary pavement installed or covered with steel traffic plates at the end of each working day. The third paragraph of Subsection 306 -1.1.1 of the Standard Specifications is hereby deleted and replaced as follows: Excavation shall include the removal of all excess excavated materials and all water and materials of any nature, which interfere with the construction work. All pavement removals shall be sawcut. All removed pavement and excess excavated material shall be immediately disposed of off the project site at a legal dumpsite at the Contractor's expense. Trench bedding and backfill shall be accomplished in accordance with the City of Santa Ana Standard Plan No. 1428 and these contract documents and shall consist of import bedding and backfill up to pavement sub - grade. Native soil will not be allowed. All material tickets (i.e. Sand, Asphalt, Concrete, etc.) shall be given to the City Inspector on a daily basis. Sand for bedding and backfill shall be manufactured or naturally produced by the disintegration of rock and shall be sufficiently free of organic material, mica, loam, clay and other deleterious substances and shall have a minimum sand equivalent of 30. A sample shall be submitted for Engineer's approval prior to construction. The following test methods shall be used for determining relative compaction: California Test 216 (Sand Cone Method) California Test 231 (Nuclear Gauge Method) The Contractor will be provided with compaction test at locations deemed necessary by the Engineer. If compaction fails to meet the contract specifications, then the Contractor shall T -3a 23A -96 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS make the necessary adjustments and is responsible for the cost of additional compaction tests until compaction per the specifications is met. All trench and structure backfill sand shall be compacted to 90% of maximum density at optimum moisture. If any trench, through the neglect of the Contractor, is excavated below the grade required by the plans and these Technical Provisions, it shall be refilled to grade with additional bedding. This excess excavation and the additional bedding shall be at the Contractor's expense. Work shall not be allowed in more than one intersection at any one time. Payment for all removals, trenching operations, excavation, shoring, backfill and related work as specified herein including furnishing, placing and compacting bedding and backfill shall be considered included in the contract unit prices paid for other items of work and shall be considered full compensation for furnishing all labor, materials, tools, equipment, water for compaction and all incidentals for doing all the work as specified herein and as shown on the plans and no additional compensation will be allowed therefore. Any increase in the depth of excavation of 18 inches or less shall be considered to be included in the contract unit price for said work and no additional compensation will be allowed. 3.02 TEMPORARY PAVING All trenches shall be backfilled and have temporary pavement installed or covered with steel traffic plates at the end of each working day. All steel plates shall be set flush with adjacent pavement. Within four consecutive calendar days following installation of the conduit, or after compaction is approved by the Engineer, whichever comes first, steel traffic plates shall be removed and two inches of temporary pavement installed. Cross streets are to be paved with temporary pavement on the same day that excavation and backfill are completed. Temporary pavement shall be maintained so that a smooth traversable surface is available at all times for vehicular traffic, free from ruts, depressions, holes and loose gravel. Temporary paving shall be removed and disposed of by the Contractor before the permanent resurfacing is placed. Payment for construction and maintaining temporary pavement shall be included in the price bid for other items of work, and no additional allowance will be made therefore. The contractor shall construct temporary asphalt concrete with a slope of 1:1 at the edge of open excavation (remove and reconstruct section) if all the following occur: T -3b 23A -97 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS 1. Clearance between travel lane and open excavation is less than five (5) feet 2. Excavation depth is four (4) inches or deeper, and 3. If open excavation will last more than 24 hours Payment for construction and maintaining temporary pavement shall be included in the price bid for other items of work, and no additional compensation will be made therefore. 3.03 PERMANENT ASPHALT CONCRETE TRENCH PAVEMENT REPLACEMENT This work shall consist of constructing permanent asphalt concrete pavement replacement and shall be accomplished in accordance with the details shown on the Plans, these Technical Provisions and the street work permit. Asphalt concrete construction shall conform to Section 400, 200, 203, and 302 of the Standard Specifications and these Technical Provisions. Tack coat is required. Course aggregate shall consist of material, which at least 75% by weight shall be crushed particles in lieu of the requirements of Section 400 -2.3. The AC trench pavement replacement for each street shall consist of an AC base course and a 2" thick AC surface course. The AC trench pavement replacement shall be adjusted to match existing street section listed below are recommendations: Local Streets: 6" thick deep lift A.C. (match existing) Arterial Streets: 12" thick deep lift A.C. (match existing) The required AC mix designs shall be as follows: Base Course III -B3 -AR -4000 or PG64 -10 Overlay /Surface Course III -C3 -AR -4000 or PG64 -10 Crack Filler III -F -AR -4000 or PG64 -10 Payment for constructing permanent asphalt concrete replacement shall be included in the unit price bid for other items of work and no additional compensation will be allowed therefore. 3.04 PERMANENT PORTLAND CEMENT CONCRETE (P.C.C.) TRENCH PAVEMENT REPLACEMENT AND BUS PAD REPLACEMENT P.C.C. pavement replacement shall be at least 6 inches thick and shall be 1 inch thicker than existing. P.C.C. T -3c 23A -98 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Portland cement concrete pavement replacement and bus pad replacement shall conform to Sections, 400, 200, 201, and 302 of the Standard Specifications and these Technical Provisions. PCC used for street pavement and bus pad construction shall be minimum class 560 -A -3250. In addition to these minimum requirements, the concrete shall possess the following characteristics: - Flexural strength at 28 days: 550 p.s.i. min. - Flexural strength at 7 days: 430 p.s.i. min. - Compressive strength at 7 days: 2500 p.s.i. min. All cement to be used or furnished on this Project shall be Type II low alkaline Portland Cement conforming to ASTM C150. Prior to the start of construction, the Contractor shall furnish to the Engineer laboratory test data for the particular mix design he will use. The data will include the following: A. A detailed concrete mix design including the type and amount of cement used; complete gradation and source of the aggregate used; the amount of water used; and any proposed admixtures. B. Flexural strength test data for the same batch of concrete used in "A" above showing the compressive strength of the concrete at 3, 7, and 28 days. Section 302 -6.4.2 entitled "Tamping" of the Standard Specifications shall be modified by adding the following: The outer edge of the gutter shall not be used as a side form for the mechanical tamper except where existing gutter is to remain as shown on the construction Plans. Concrete pavement for bus pads shall be installed monolithic with the curb and gutter and shall be accomplished in accordance with City of Santa Ana Standard Plan No. 1108. Payment for the curb and gutter is included in the unit price for bus pad replacement. Section 302 -6.4.4 entitled "Final Finishing" of the Standard Specifications shall be modified as follows: Delete all reference to wetted burlap. Final finish of the pavement surface shall be textured by stiff brooming that will produce scoring perpendicular to the centerline of the street, performed at a time and in a manner to produce a hardened surface have a coefficient of T -3d 23A -99 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS friction of not less than 0.38 as determined by California Test 342. Curing to be applied immediately following brooming. Joints in the concrete pavement shall be constructed as described in Section 302 -6.5 of the Standard Specifications except as modified herein. Sawing of the joints shall begin as soon as the concrete has hardened sufficiently to permit sawing without excessive raveling, usually 4 to 24 hours per Engineer's directions. If necessary, the sawing operations shall be carried on both day and night, regardless of weather conditions. All joints shall be sawed before uncontrolled shrinkage cracking occurs. A standby saw shall be available in the event of breakdown. All weakened plane joints shall be saw cut to a depth equal to one fourth of the pavement thickness. Longitudinal joint spacing shall be at 10' minimum and 15' maximum on either side of centerline joint. Transverse joint spacing shall be at 10' minimum and 15' maximum for pavement, curb and gutter. Longitudinal joints shall be aligned such that they will cross manholes and water valves at centerline if possible. Transverse construction joints within 1' shall cross all manholes and water valves. Provide a weakened plane joint around the perimeter of all utility vaults. Payment for cold joint construction or weakened plane saw cutting shall be included in the PCC Construction Bid Item and no additional compensation shall be allowed therefore. The Cleanness Value requirement of Section 200 -1.4 shall be replaced with the following: Tests Cleanness Value Individual Test Moving Average Test Method California 227 Requirements 70 min* 75 min* The Sand Equivalent requirement of Section 200 -1.5.3 shall be replaced with the following: Sand Equivalent Individual Test Moving Average California 227 70 min* 75 min* Evaluation of Sand Equivalent and Cleanness Value results shall conform to the provisions of Standard Specifications Subsection 400 -1.4. Concrete shall be high early strength concrete, treated in accordance with section 201 -1 to obtain 7 day compressive strength in 3 days. Traverse joints shall match those of the adjacent pavement. T -3e 23A -100 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS The concrete pavement shall be immediately barricaded upon its installation and no vehicular traffic will be permitted thereon until the expiration of 3 days. Payment for constructing permanent P.C.C. concrete trench pavement replacement and bus pad replacement shall be included in the unit price bid for other items of work and no additional compensation will be allowed therefore. 3.05 PORTLAND CEMENT CONCRETE CROSS GUTTER This work shall consist of replacing Portland Cement Concrete (PCC) cross - gutter from the spandrel to street centerline (cold joint to cold joint) to facilitate water main construction. All work shall be accomplished in accordance with City of Santa Ana Standard Plan No. 1109. The replacement areas are clearly indicated on the plans. Concrete shall be high early strength concrete, treated in accordance with section 201 -1 to obtain 7 day compressive strength in 3 days. Payment for constructing Portland Cement Concrete cross gutters replacement shall be included in the unit price bid for other items of work and no additional compensation will be allowed therefore. 3.06 LANDSCAPING AND IRRIGATION REPAIR This section shall conform to Sections 212 and 308 of the Standard Specifications and these Technical Provisions. All lawn and landscaped areas disturbed by the Contractor as part of or as a result of the work shall be prepared /brought to adjacent grade and restored to match existing landscaping. If there are any existing sprinkler heads and irrigation lines in the construction areas, whether on public or private property, they shall be replaced or relocated by the Contractor. The text of Subsection 308 -8 of the Standard Specifications is hereby deleted and replaced with the following: All costs to the Contractor for landscaping and irrigation work in areas disturbed by the Contractor shall be included in other items of work and shall include full compensation for furnishing all materials, labor, equipment, tools and incidentals to perform all work necessary to complete and maintain the landscaping and irrigation work. T -3f 23A -101 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS 3.07 EXISTING UTILITIES AND ADJUSTMENTS IN GRADE All existing utilities shall be protected in place, unless otherwise noted on the plans. The Contractor shall be responsible for any damage to existing utilities as a result of his operations. The location of existing utilities as shown on the plans was obtained from a search of available records. It shall be the Contractor's responsibility to notify the respective utility owners and Underground Service Alert (1- 800 - 422 -4133) to determine the exact field location of all utilities shown or not shown on the plans, which may conflict with his operations. Potholing of existing utilities and service connections to determine exact depth and field locations shall be the responsibility of the Contractor. The Contractor shall excavate trench 100 feet in advance of pipe laying operations to allow for any necessary adjustments in grade to clear any unmarked or unforeseen utilities. In addition, The Contractor shall determine the location and depth of all utilities including service connections, which may affect or be affected by its operation, three (3) weeks in advance. In the event of any conflicts The Engineer shall be immediately notified. City owned utility frames and covers for survey monuments, water meter, water valves, traffic signal and street light pull boxes, and manholes within the area to be paved or graded, shall be set to finish grade by Contractor after construction of new asphalt concrete pavement. In portland cement concrete pavement and sidewalk areas, City utility frames and covers shall be adjusted to grade prior to placement of concrete. Contractor shall supply new sewer manhole frame and covers, sewer cleanout frame and covers and water valve pot frame and lids per City standard plans. Prior to paving, an "I.D. Locator" shall be attached to each valve box or manhole cover. An "ID Locator" is a rubberized marker approximately 4" high that adheres to the utility cover and pops -up after paving for easy identification and location of the respective valve box or manhole. Contractor shall measure and tie -out locations of manholes and water valves prior to paving. 3.08 PVC WATER MAIN Underground conduit construction shall conform to all applicable Subsections of Section 306 of the Standard Specifications, the American Water Works Association Standards (AWWA), the City of Santa Ana Standard Plans and these Technical Provisions. This work shall include constructing AWWA C900 -97, Class 200 DR14, PVC Water Main, and appurtenances complete and in place, of the size and class, and to the alignment and grade as indicated on the plans. The minimum cover over top of pipe shall be 36" to finished surface. T -3g 23A -102 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Fittings shall be gray or ductile iron conforming to AWWA Standards and shall be push -on- joint (P.J.), mechanical joint (M.J.) or flanged (FLG) except where noted otherwise. All valves to fitting connections shall be flanged. Valves for lateral lines, hydrant leads and service lines shall be bolted directly to main line tee, unless otherwise noted on plans. Where it is necessary to install a reducer or other type of fitting between the lateral valve and main line, said fitting shall be flanged at both ends. All flanged fittings and connections shall comply with the applicable provisions of AWWA C110. The bolt circle and boltholes of these flanges shall match those of the Class 125 flanges shown in ANSI B16.1. The Contractor shall coordinate the flange requirements with the connecting pipe and valve manufacturers. Contractor shall provide flange to connecting pipe adapters as needed. Adapters may be flange by push on fittings (FLG x P.J.) or flange by mechanical joint (FLG x M.J.) adapter. "E -Z Flange" and similar setscrew type adapters are not acceptable. Grip rings for PVC pipe restraint, such as Romac RomaGrip are acceptable. All ductile iron and gray -iron fittings shall be manufactured in accordance with all applicable requirements of ANSI /AWWA Standards and Specifications. Concrete thrust blocks shall be provided at all valves, fittings and hydrants in accordance with AWWA Standards and City of Santa Ana Standard Plans Nos. 1412 and 1420. Installation shall be in accordance with AWWA Manual No. M23 - "PVC Pipe Design and Installation" and the manufacturer's recommendations. Pipe sections shall not be deflected at anyjoint, either vertically or horizontally, beyond the limits specified by the manufacturer. Pipe shall not be dropped into trench. All ductile iron or gray iron fittings, valves, and appurtenances buried underground shall be wrapped with 10 mils polyethylene sheeting. Any existing or connecting iron pipe and appurtenances that are exposed as a result of this pipe installation shall also be wrapped with polyethylene sheeting. This shall be done in accordance with AWWA C105 -99. All nuts and bolts shall be cadmium plated and shall have NON -OXIDE GREASE or mastic such as 3M EC244, or Koppers Bitumastic 505 applied to the threads prior to installation and reapplied prior to wrapping. The existing water main facilities shown on the plans are at or near the same elevation as the new main. T -3h 23A -103 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS When crossing existing water main or service line, Contractor shall adjust grade as necessary to install the new main beneath the existing facility, unless otherwise directed by the Engineer. When making connections to existing water main or service line, Contractor shall provide all fittings necessary (i.e. tees, bends, adaptors, etc.) to adjust the grade and alignment as needed to facilitate the connection. The cost of this work shall be included in the unit price for PVC water main and no additional compensation will be allowed. When there are specific locations indicated on the plans where it is known that additional excavation will be required to avoid conflicts with other utilities, these locations and required depths are clearly noted on the plans. The Contractor shall include any associated cost for this work in unit price per linear foot for PVC water main bid items and no additional compensation will be allowed. Pipe shall not be stored in direct sunlight. Pipe stored outdoors shall be protected from discoloration by covering it with opaque material such as canvas. The covering shall be placed in such a way as to allow adequate air circulation between the cover and the pipe. Discolored pipe shall be rejected. Hydrostatic testing: pressure and leakage tests shall be in accordance with the applicable provisions of AWWA Std. C600 -05. The line shall be tested at a pressure of 200 psi. Hydrostatic pressure testing of the main shall not be performed directly against a valve. A steel test plate shall be inserted between the valve and main when performing hydrostatic pressure testing. All new pipelines and appurtenances shall be chlorinated and disinfected in accordance with AWWA Std. C651 -99 and shall meet all health department standards. The Contractor shall submit a "Disinfection and Flushing Plan" prior to commencing construction. After disinfection, the lines shall be flushed by the Contractor and water samples taken by an approved laboratory representative for bacterial analysis in accordance with AWWA specifications. Discharge from flushing of pipelines shall be routed to the sanitary sewer system. Connection to existing water main facilities shall be made only after the successful completion of pressure test and bacteria test. For all water main tie -ins, Contractor shall notify residents /property owners a minimum of 48 hours prior to any interruption in service. Every effort shall be made to minimize the T -3i 23A -104 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS inconvenience to the customer. Contractor shall coordinate these activities with the City of Santa Ana Water Resources Division a minimum of four (4) working days prior to beginning tie -ins. When necessary, such work shall be performed after -hours or on weekends as directed by the Engineer. In no case shall any property be without service for more than four (4) hours. In special circumstances, emergencies, or when directed by the Engineer, the Contractor shall provide temporary service lines, with approved NSF hoses, to prevent any interruption in service. The unit price per linear foot for PVC water main shall include full compensation for furnishing all pipe, fittings, appurtenances, labor, materials, tools and equipment for all related items of work necessary for the water main installation complete in place, backfilled, paved, and tested. Any increase in the depth of excavation of eighteen (18) inches or less shall be considered to be included in the contract unit price for said work and no additional compensation will be allowed. 3.09 BORE AND JACK, INSTALL STEEL CASING AND PVC CARRIER PIPE This section describes Bore and Jack Casing with Carrier pipe at approved locations under landscaped medians as shown on plans. Bore and Jack operations including the installation of carrier pipe shall conform to the applicable provisions of Section 306 of the Standard Specifications, these Technical Provisions, as directed by the Engineer and as shown on the Contract Documents. a. All work shall be as set forth in the rules and regulations of the division of Occupational Safety and Health of the state of California. b. It is the contractor's responsibility to be thoroughly familiarized with the project area. There is no warrantee or guarantee either expressed or implied that the conditions indicated by the Construction Documents or records thereof, are representative of the conditions existing throughout the project area. Investigating the site and determination of the site soil conditions prior to bidding is the sole responsibility of the contractor. Any subsurface investigation by the bidder or contractor must be approved by the City of Santa Ana. c. Casing and carrier pipe installation shall be performed in a way that will not interfere with, interrupt or endanger roadway surface, median landscaping, and minimize subsidence of the surface, structures, and utilities above and in the vicinity of the bore. The contractor shall be responsible for all settlement resulting from boring operations and shall repair and restore damaged property to its original or better condition at no additional cost to the owner. T -3j 23A -105 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS d. The face of the excavation shall be protected from the collapse of the soil into the pipe or casing. e. Design of the jacking /receiving pit and required bearing loads to resist jacking forces are the responsibility of the contractor. The excavation method selected shall be compatible with expected ground conditions. The lengths of the bore shown on the contract documents are not representative of required boring. It is the contractors responsibility to develop working drawings detailing the bore and jack process. f. Contractor shall comply with all manufacturers' specifications and recommendations for the approved products CASING Submit manufacturer's mill specification sheet listing diameter, thickness, and class of steel used in making the casing, and the mill certification. The Contractor's attention is called to the fact that the casing pipe must be installed such that the carrier pipe grade line matches surrounding proposed PVC water main. Tolerances shall not exceed allowable deflections stipulated in manufacturer's specifications. Casing pipe shall not be dropped in the trench. Steel casing shall be ASTM A 283, Grade C, ASTM A 570 Grade 30, 33, and ASTM A -36 unless noted otherwise and have a minimum yield strength of 35,000 psi. The minimum size and thickness of casing pipe shall be per City of Santa Ana Standard Plan No. 1429. Greater casing thickness and diameter may be used as convenient for the method of work and loadings involved, as suitable for the site and as limited by possible interferences, but at no additional cost to the City. The exterior of the pipe shall be coated with coal tar epoxy or bituminous asphalt. Minimum wall thickness shall be as shown on City of Santa Ana Standard Plan No. 1429. Casing sections shall be joined by full circumference butt welding in the field. Prepare ends of casings for welding by providing 1/4 -inch X 45- degree chamfer on outside edges. The pipe shall be supported on plastic skids, PSI spacers Model C8G -2, or approved equal, installed at the spacing recommended by the manufacturer. Each end of casing shall be sealed with a water tight flexible sealer, PSI Model C "End Seal" or approved equal. CARRIER PIPE The carrier pipe shall be PVC unless otherwise indicated on plans. All pressure carrier pipe shall have restrained joints inside the casing. T -3k 23A -106 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS GROUT HOLES Grout holes shall be per City of Santa Ana Standard Plan No. 1429. WELDING OF CASING PIPE Welding requirements shall be in accordance with ANSI /AWWA C206. Welding procedures shall be required for, at a minimum. Longitudinal and girth or special welds for pipe cylinders, casingjoint welds, reinforcing plates, and grout coupling connections. Welding shall be done by skilled welders, welding operators, and tackers who have had adequate experience in the type of materials to be used. Welders shall be qualified under the provisions of ANSI /AWS D1.1 by an independent local, approved testing agency not more than 6 months prior to commencing work on the casing or pipeline. Machines and electrodes similar to those used in the Work shall be used in qualification tests. The contractor shall bear the expense of qualifying welders. CASING SPACERS Casing spacers shall be sized sufficiently to provide a minimum clearance of two (2) inches between outside of carrier pipe bells or couplings and inside of casing. The spacers shall be PSI Model C8G -2 or approved equal and consist of the following components: a. Spacer Band Material: Minimum 14 -gauge steel band of either Type T -304 stainless steel or Carbon steel coated with fusion bonded epoxy or PVC coating. b. Spacer Liner Material: Ribbed liner of PVC or EPDM rubber designed to overlap the edges of the upper spacer band and prevent slippage. Liner shall have a minimum thickness of 0.090 inches and a hardness of 85 -90 durometer "A ". c. Spacer Width: As recommended by the spacer manufacturer for the specific application. Minimum width shall be 8 inches. Manufacturer's approval in writing shall be required for installations exceeding 300 feet in length, carrier pipes in excess of 48 inches in diameter or multiple carrier pipes in casing. d. Spacers Risers and Runners must be: 1. Risers must be a minimum 10 -gauge steel risers of same material and requirements as spacer band. Risers shall be MIG welded to spacer band prior to coating. Risers must be suitable for supporting the weight of the carrier pipe. 2. Risers shall be manufactured of an abrasion resistant material having a low coefficient of friction (0.1 to 0.6) and designed to support the carrier pipe without damage or excessive wear. Runner material shall be of glass reinforced polyester or nylon and have a minimum compressive strength of 18,000 psi (ASTM D 695). T -31 23A -107 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS e. All hardware and fasteners shall be stainless steel. f. Hardwood skids shall NOT be used in place of manufactured casing spacers. g. Fill material shall be grout. CASING END SEALS End seals shall be PSI Model C or approved equal and be made of synthetic rubber, conical shape, pull on or wrap- around style with type 304 stainless steel bands. PREPERATION Confirm location of all known existing utilities prior to start of jacking /receiving pit excavation and pipe installation. The contractor shall provide the detailed layout required to keep the bore on grade. Notify the Engineer no less than 7 working days before beginning shaft excavation. Before beginning construction of jacking /receiving pit, adequately protect existing structures, utilities, trees, shrubs, and other existing facilities. Place fencing, gates, lights, and signs, as necessary around shafts and staging areas to provide for public safety. When preparing to install casing pipe, verify casing pipe minimum wall thickness is adequate for anticipated jacking loads. INSTALLATION Jacking and receiving pit construction shall be such as to ensure the safety of the work, contractor's employees, the public, existing utilities, and adjacent property and improvements, whether public or private and shall comply with the State of California requirements and Section 306 of the Standard Specifications and these Technical Provisions. Provide complete groundwater control for excavations at all times. Perform jacking and receiving pit excavations using appropriate excavation or large hole drilling methods, as required. Inspect shaft and pit excavations daily to check the safety of excavation and structural integrity of support system. Open excavations shall conform to all federal, state, and local requirements. Once initiated jacking operations shall continue without interruption, to prevent the pipe from becoming firmly set in the embankment. LUBRICATION OF EXTERIOR OF PIPE AND /OR CASING Bentonite slurry may be used to lubricate exterior of pipe and /or casing during installation. Use of water to facilitate removal of spoil is permitted; however, waterjetting is not allowed. BORING The boring shall be accomplished by means of auguring to the size, line and grade shown on the Contract Documents or as directed by the Engineer. The diameter of the bore shall be minimal to complete the jack and bore operations. Re -drill pilot hole when bore does not meet specifications. T -3m 23A -108 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS JACKED AND BORED STEEL CASING Bore hole diameter shall not exceed outside diameter of casing by more than one (1) inch. When unstable soil conditions are found to exist, conduct boring operations in a manner that will not be detrimental to facility being crossed. Horizontal line tolerance is two (2) inches, maximum. Vertical line tolerance is two (2) inches, maximum. A means of steering the pipe or casing must be provided to ensure allowable tolerances will not be exceeded. The contractor must measure and record progress at all times to confirm that horizontal and vertical lines are within allowable tolerances. For casing: Weld sections of casing pipe together to provide water tight joints by operators qualified in accordance with the American Welding Society Standard Procedures. These welds shall be continuous, complete joint penetration butt joint welds as required for rigid and watertight connections. If the removal of casing is permitted, make proper provisions to prevent caving in of the earth surrounding the casing. If it is necessary to abandon a bored hole, remedial measures shall be taken by the contractor, subject to review by the Engineer. If required grade tolerance has not been achieved, corrections in grade are to be made using casing spacers of varying height per manufacturer's recommendations. MONITORING OF SURFACE MOVEMENT Perform a preconstruction survey of road surface and landscaped median. Contractor shall record horizontal coordinates and elevations. Document location of recorded measurements. Monitor movement of road surface and landscaped median on a daily basis and provide results to the Engineer. Stop operations if movement exceeds % inch and immediately notify the Engineer. GROUTING JACKED AND BORED STEEL CASING Overcutting in excess of one (1) inch shall be remedied by pressure grouting the entire length of the installation. Should appreciable loss of ground occur during jacking or boring operations, contractor shall backpack all voids promptly. Fill all remaining voids upon completion of operations: such filling or backpacking shall be with grout unless otherwise approved. CARRIER PIPE INSTALLATION Entire length of casing shall be installed complete, inspected, and approved by Engineer before any carrier pipe is placed therein. Repair defects in casing pipe or leakage at joints. Casing spacers shall be installed per manufacturer's recommendations and in such a manner that electrical continuity will not occur between casing pipe and carrier pipe. Check each joint makeup and pipe segment prior to pushing carrier pipe segments into casing. Carrier pipe shall be PVC pipe, mechanical joint with restraints. Casing end seals shall be provided at the end of the casing pipe after installation of the carrier pipe. Casing end seals shall be installed per manufacturer's recommendations. T -3n 23A -109 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS ANNULAR SPACE The annular space shall be completely grouted to support the carrier pipe and provide long time stability. Grout shall consist of Portland Cement, fly ash, and /or additives. Mix design shall be approved by the Engineer and conform to Section 201 of the Standard Specifications. REMOVAL OF JACKING AND RECEIVING PIT SUPPORTS Remove support elements except those required by Engineer to remain in place, from excavation. In addition, remove support elements as needed to install carrier pipe. Removal of support system shall be performed in a manner that will not disturb or harm adjacent construction or facilities. Fill voids created by removal of support system with clean sand, flowable fill, or similar fill material approved by Engineer. BACKFILLING OF JACKING AND RECEIVING PIT Seal jacking and receiving pit opening and backfill at shafts. Backfill shall be gunite sand, gunite concrete or pressure concrete and the process shall conform to the applicable provisions of Section 306 -2.3 of the Standard Specifications, these Technical Provisions, as directed by the Engineer and as shown on the Contract Documents. The per unit price for Bore and Jack, Install Steel Casing and PVC Pipe shall include full compensation for constructing boring and receiving pits, furnishing all pipe, steel casing, fittings, trenching, sheeting, shoring, labor, permanent paving within the trench, materials, tools, equipment and appurtenances for all related items of work necessary for the bore and jack installation of the steel casing complete in place, backfilled, paved and testing. No additional compensation will be allowed. Any increase in the depth of excavation of eighteen (18) inches or less including where called for on the plans to deepen the pipe or use fittings to avoid a crossing utility shall be considered to be included in the contract unit price for said work and no additional compensation shall be allowed. 3.10 TRACING WIRE A minimum of 12 gauge (Blue) Tracing Wire, insulated with high molecular weight polyethylene (HMWPE) specifically for use in direct burial applications, shall be placed and secured to the top of all PVC pipe as it is being laid. The tracing wire shall be stubbed up at each valve (left accessible inside the valve box) and hydrant (coiled around the barrel just below the top flange with 16 inches excess). Tracing wire shall be secured to the top of the pipe at 5 -foot intervals or less to ensure that the wire remains at the same location as the PVC pipe being laid. T -3o 23A -110 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS All splices of the wire shall be made securely and covered thoroughly with a Direct Bury Splice Kit, 3M DBY /DBR or approved equal. The Contractor shall schedule and conduct a conductivity test on completion of the water main installation and prior to placement final pavement. If the conductivity test fails, the Contractor shall be responsible for making the necessary repairs, including but not limited to excavation, repair and retesting until passing results are achieved. Additional compensation will not be allowed therefore. 3.11 RESILIENT WEDGE GATE VALVES This work shall consist of furnishing and installing gate valves, including risers with valve boxes, and P.C.C. collars where indicated on the plans. All work shall conform to City of Santa Ana Standard Plans 1410. Gate valves shall be of the size and configuration as indicated on the plans and shall be AWWA and ULFM tested, resilient wedge with operating nuts and non - rising stems, and shall be designed for a minimum working pressure of 200 psi and be tested at 400 psi. Valves shall be bubble -tight at the working pressure. Gate valves shall be Clow, Mueller, Renselear, or approved equivalent. Valves shall have all stainless steel nuts and bolts and shall be manufactured in accordance with AWWA C509 Standards. Valve linings and coatings shall be made in accordance with AWWA C -550. All valve to fitting connections shall be flanged. Valves for lateral lines shall be bolted directly to main line tee, unless otherwise noted on the plans. Where it is necessary to install a reducer or other type of fitting between the lateral valve and main line, said fitting shall be flanged at both ends. All valve box frame and covers shall require P.C.C. collars and shall be adjusted to finished grade following paving operations. Collars on arterial and collector streets shall be constructed using Rapid Set® Concrete per City of Santa Ana Standard Plan No. 1410. Contractor shall have Rapid Set® Set Control retardant on job site when adjusting valve frame and covers. Contractor shall warranty all valve collars constructed with Rapid Set® for a period of 2 years. If collars are found to be deficient during the warranty period, Contractor shall, at his expense, reconstruct collars per Standard Plan No. 1410. The contract unit price for each size of valve shall be considered full compensation for furnishing all labor, materials, tools, equipment and incidentals to accomplish the work as specified herein including valve box frame and cover with PCC collar, PVC riser pipe and all appurtenances, adjustment to finished grade, and no additional compensation will be allowed therefore. T -3p 23A -111 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS 3.12 WATER SERVICE AND FIRE LINES All work shall conform to City of Santa Ana Standard Plans and meet all A.W.W.A. Specifications. All ductile or cast iron pipe, fittings, valves, and appurtenances buried underground shall be wrapped with 10 mils polyethylene sheeting. Any existing or connecting pipe and appurtenances that are exposed as a result of this pipe installation shall also be wrapped with polyethylene sheeting. Service laterals shall be installed perpendicular to the centerline of the main. Removal and replacement of sidewalk, as necessary to facilitate water service meter installation, shall be included as part of this work. All work shall conform to City of Santa Ana Standard Nos. 1401, 1402, and 1104. The City shall furnish and install the water meter after all other work is complete. Note: Angle meter stops are not acceptable. The connection to the meter coupling shall be a curb stop with locking wing nut. For all water service relocations and installations, Contractor shall notify residents a minimum of 24 hours prior to any interruption in service. Every effort shall be made to minimize the inconvenience to the customer. Contractor shall coordinate these activities with the City of Santa Ana Water Resources Division a minimum of four (4) working days prior to beginning work on services. When necessary, such work shall be performed after -hours or on weekends as directed by the Engineer. In no case shall any property be without service for more than four (4) hours. In special circumstances, emergencies, or when directed by the Engineer, Contractor shall provide temporary service lines, with approved NSF hoses, to prevent any interruption in service. 1" & 2" New Water Service Construction: This work shall consist of constructing a complete new water service where indicated on the plans, and shall include service saddle, corporation stop, curb stop, copper tubing, meter box, and appurtenances all in accordance with City of Santa Ana Std. Plan No 1401 and 1402. 3" and Greater Relocating Services and Fire Lines: Relocation of these facilities may be accomplished by installing new portions of pipe as necessary to complete the relocation and connecting back to the existing service line. Pipe may be either ductile iron or C -900, PVC. If relocation requires an increase in depth or horizontal realignment of the pipe, 45° Bends shall be used to re -route the pipe. Thrust blocks shall be required in accordance with City of Santa Ana Standard Plans Nos. 1403A, 1403B, 1403C, and 1412. All pipe trenches shall have 6" minimum of sand bedding beneath the pipe and sand backfill over the pipe compacted to 90% relative compaction. T -3q 23A -112 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS The unit price for each fire line and /or service shall include full compensation for furnishing all pipe, fittings, thrust blocks, gate valves, gate valve frame and cover, labor, paving, materials, tools, equipment and appurtenances for all related items of work necessary for the installation complete in place, backfilled, paved and tested. No additional compensation will be allowed. 3.13 FIRE HYDRANTS This work shall consist of furnishing and installing fire hydrants and bury assemblies (including spools if required) in the locations indicated on the plans. Hydrant lateral pipe and gate valves are included as part of this work. All hydrants shall be painted O.S.H.A. white and shall have a primer coat and finish coat applied. Hydrant shall be installed as detailed on City Standard Plan No. 1405. Where necessary, Contractor shall saw -cut, remove and replace sidewalk to facilitate hydrant installation. Sidewalk shall be replaced per City of Santa Ana Standard Plan No 1104. Hydrants shall be either Clow, Model F -2500; Kennedy Guardian, Model K81D; or Mueller Super Centurion 250. Contractor shall install drain valve plugs on fire hydrant assembly per City Standard Plan No. 1405. The unit cost for each fire hydrant shall include all materials, labor, incidentals, and appurtenances necessary to install each fire hydrant assembly, complete and in place; including repair of surface improvements and decorative brick sidewalk as needed. 3.14 AIR AND VACUUM RELEASE VALVES (AS NEEDED) This item is to be used on an "As Needed" basis and only with the prior approval of the Engineer. This work shall consist of furnishing and installing air and vacuum release valve assemblies per City Standard Plan No. 1415. All work shall conform to applicable AWWA standards as necessary. Main line taps and copper pipe line runs for 1" air and vacuum release valves shall be constructed per the applicable provisions pertaining to water services and fire lines of these Technical Provisions. Air and vacuum release valves shall be field located by the Engineer. T -3r 23A -113 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS The vented pipe cover shall be hot dip galvanized after fabrication and painted. The unit cost for each air and vacuum release valve shall include all materials, labor, incidentals and appurtenances necessary to install each air and vacuum release valve, complete and in place and no additional compensation shall be allowed therefore. The unit quantity for this item listed in the bid proposal is shown solely for the purpose of comparing bids. The agency reserves the right to increase or decrease the amount shown and /or delete this item from the contract without any adjustment in the unit price. Contractor will be paid for the quantities actually constructed. 3.15 VERTICAL OFFSET (AS NEEDED) This item is to be used on an "As Needed" basis and only with the prior approval of the Engineer. This work shall consist of furnishing and installing a vertical offset per City Standard Plan No. 1413B. All work shall conform to applicable AWWA standards as necessary. The unit cost for each vertical offset up to a depth of 6 feet (from top of water pipe to surface) shall include all materials, labor, incidentals and appurtenances necessary to install each vertical offset, complete and in place and no additional compensation shall be allowed therefore. The unit quantity for this item listed in the bid proposal is shown solely for the purpose of comparing bids. The agency reserves the right to increase or decrease the amount shown and /or delete this item from the contract without any adjustment in the unit price. Contractor will be paid for the quantities actually constructed. 3.16 LOOP DETECTORS AND DETECTOR LEAD -IN CABLE Detectors and detector lead -in cable shall conform to the provisions in Section 86 -5, "Detectors," of the Caltrans Standard Specifications and these Technical Provisons. Additional loop detector sensor units, if needed, shall be furnished by the Contractor to provide the intended signal operation. Loop detector wires shall be Type 2. Loop detector configuration shall be Type E. Bicycle loop detectors in vehicle lanes shall be Type D circular 6 foot diameter. Loop detector lead -in cable shall be Type B. Asphaltic emulsion sealant shall be used for filling slots in asphalt concrete pavement. Elastomeric sealant shall be used for filling slots in PCC pavement. Front loop (center of loop) to be placed 4 -foot behind back of crosswalk. Loops in the same lane shall be placed 16 feet apart (center to center). All loops to be centered in the travel lane, except where curb T -3s 23A -114 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS lane is wider than 10 feet, place loop's center at 5.5 feet from the adjacent left lane line. All loops must be tested before filling saw cuts. All inductive loop detector wires shall be appropriately terminated in pull box. If any inductive loop detector wires or loop detector lead -in cables are to be left un- terminated in a pull box for more than a 24 -hour period, the ends shall be securely taped and sealed with an electrical insulating coating. Payment for detectors and detector lead -in cable shall be included in the unit price bid per each Furnish and Install Traffic Signal Loop and shall include full compensation for furnishing materials, labor, equipment, tools, and incidentals and no additional compensation will be allowed therefore. 3.17 DISINFECTION AND FLUSHING PLAN Prior to start of construction, the Contractor shall submit to the City for review and approval a water line "Disinfection and Flushing Plan" prepared by a D3 or T3 Operator Certified with California Department Health Services, or a Registered Civil Engineer practicing in the field of water resources, indicating the following as a minimum: • Phasing of disinfection and flushing • Source of flushing water • Type and configuration of connection required to introduce flushing water into the propose water main • Method of disposal of flushed water • Total number and locations of sampling points • Types of testing to be performed o Acceptable Bacteriological 1. Total Coliform = Negative 2. Fecal Coliform = Negative 3. Heterotrophic Plate Count Less than 150 CFU per 1 ml 4. Chlorine Residual: Free or Total • Company performing sampling and testing 3.18 WATER MAIN TIE -INS, SHUTDOWN AND ABANDONMENT The following is the procedure for water main shut down to facilitate tie -ins or abandonment of existing mains: 1. Contractor to pothole and expose existing connection. 2. Engineer to verify existing conditions. Excavation to be plated, not backfilled. T -3t 23A -115 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS 3. Prior to any shutdown of existing water system, Contractor shall have all necessary fittings and equipment on site to complete the water main tie -in or abandonment. 4. Shut down shall be scheduled within the selected bids allowable working hours and as follows: o Base Bid Night Work shut down shall be scheduled for between 9:00 p.m. and 3:00 a.m. o Alternate #1 Day Work shut down shall be scheduled for between 8:30 a.m. and 12:30 p.m. Contractor shall notify residents and businesses 48 hours in advance of shut down. Water shall not be shut off outside of times listed above except in an emergency. All work necessary to shutdown an existing public water main shall be coordinated by the Water Maintenance Division. Unless at the direct supervision of the Construction Inspector, under no circumstances shall the Contractor operate valves, hydrants, and other appurtenant equipment on the existing public water system. It shall be the Contractor's responsibility to coordinate the necessary shutdown schedules through the Construction Inspector assigned to the project. Scheduled shutdowns shall require sufficient time to allow water maintenance personnel to review, approve, and develop an appropriate Operation Program. Contractor shall coordinate shut down activities with the City of Santa Ana Water Resources Division a minimum of four (4) working days prior to any water main shutdown. The Contractor shall be responsible for maintaining all schedules current and coordinating all deviations, which may occur from time to time with the Construction Inspector. The City will make a concerted effort to isolate the system as planned with the Contractor. However, due to the age of the pipe and valves the Contractor should not expect an absolute shutdown and shall be prepared to employ pumping equipment in the event that an absolute shutdown cannot be achieved. The City Engineer shall judge the shutdown to be adequate for the tie -in to proceed as indicated on the plans and specified here in. The City will not be responsible for any delays due to system shutdown and isolation when an adequate shutdown can be achieved and no additional compensation will be allowed. When an extensive water main shutdown is required and an adequate shutdown cannot be achieved, the Water Department will determine what temporary service connections may be required. The Contractor shall furnish all necessary appurtenances (i.e. hose, piping, valves, and water trucks) and associated labor required to provide such temporary service. All piping and associated equipment used in temporary service connections shall be flushed and disinfected. All hoses shall be NSF approved. T -3u 23A -116 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS Payment for constructing water main tie -ins, shutdown and abandonment shall be included in the unit price bid for other items of work and no additional compensation will be allowed therefore. 3.19 EROSION CONTROL PLAN 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 California Storm Water Best Management Practices Handbook. The Contractor shall submit the plans for review and shall make the necessary revisions to the plans as directed by the Engineer. The plans shall be prepared by a licensed Civil Engineer. The AGENCY may waive the requirement of licensed Civil Engineer if the Contractor can satisfactorily prove to the Engineer 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 Engineer. 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. Payment for the erosion control plan shall be included in other items of work and no additional compensation will be allowed therefore. 3.20 AS -BUILT The Contractor shall maintain a control set of plans and specifications on the project site at all times. As approved by the Engineer, all final locations determined in the field and any deviations from the plans and specifications shall be marked in red on this control set to show the As -Built conditions. Upon completion of all work, the Contractor shall submit the control set to the Engineer. Final payment will not be made until this requirement is met. 3.21 SUBMITTALS Water Service submittals shall be in conformance with all City Standard Plans for Water Services and shall include, but not be limited to, manufacturer information from the following: a. Service Saddles T -3v 23A -117 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS b. Corporation stops c. Copper tubing d. Polymer meter box with lid e. Meter coupling f. Flanged coupling g. Bronze elbows h. Brass elbows i. Brass nipples j. Brass plugs k. Curb stop I. Compression bend m. Jumpers (if planned for use) n. Suction Strainer o. Pre -cast Concrete Service Vault Box and cover Fire Hydrant submittals shall be in conformance with City Standard Plans 1405, 1407, 1407A and 1408 and shall include, but not be limited to, manufacturer information from the following: a. Fire Hydrant Assembly b. Drain Valve Plugs Water main pipe and appurtenance submittals shall include, but not be limited to the following manufacturer information: a. C900 PVC pipe b. Gate Valves c. Fittings and Bends d. Air Vacuum and release Valves e. Valve Box Frames and Covers f. Polyethylene Sheeting g. Tracing Wire h. Ductile Iron Spools i. Steel Casing j. Polyethylene casing insulators k. Blind Flanges I. Mechanical Joint Caps m. Disinfection and Flushing Plan as described in Section Jack and bore equipment, appurtenance, and process submittals shall include, but not be limited to the following manufacturer information: T -3w 23A -118 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS a. Casing pipe and carrier pipe material including the standard to which it is manufactured, outside diameter, wall thickness, joint configuration, and certificate of compliance certifying that the pipe meets these specifications. b. Details of casing spacers, including manufacturer's recommended spacing. c. Details of end seals for casing. d. Working drawings of jacking pit and receiving pit e. Details of jacking pit bracing, casing, jacking head, concrete support blocks, bracing to prevent pipe shifting or floatation. f. Concrete mix design. Concrete placement method and equipment. g. As -built drawings to include both alignment and profile. Drawings should be constructed from actual field measurements. Raw data shall be submitted as part of the As -built document. Contractor shall stipulate the tracking method to ensure the data was captured. T -3x 23A -119 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS 4.00 TRAFFIC CONTROL 4.01 GENERAL Street closures, detours, signs and barricades used for handling traffic shall conform to the requirements of latest edition of the "Work Area Traffic Control Handbook" (WATCH), City Standard Plan 1125F (SP 1125F), the California Manual on Uniform Traffic Control Devices (CA MUTCD), and these Technical Provisions. Traffic control plan must be submitted and approved before starting work on any public street, except for the following temporary closures: • Temporary single lane closure on 4 or 6 -lane arterials can be done per WATCH handbook without submitting traffic control plan. • Temporary two lanes closure on 6 -lane arterials may be done per WATCH handbook without submitting traffic control plan. However, this will require prior approval from Traffic Engineer. • Temporary closure of local street may be done per WATCH handbook without submitting traffic control plan. However, this will require prior approval from Traffic Engineer. Flashing arrow signs shall be used on streets consisting of four or more lanes or where deemed necessary by the City's Traffic Engineering section. The flashing arrow signs shall be solar powered and left in place for the duration of the lane closure. Temporary striping installation for traffic control may be paint or removable tape or approved equivalent. Any existing speed limit signs or other conflicting signs in the construction zone shall be covered during construction with heavy duty black plastic (non transparent) sheets or bags, which are secured to the sign post below the sign, with tape. In no case shall tape be applied to either front or back of any sign. Intersections shall be kept open until work takes place within the intersection. Local vehicular and pedestrian access, including access to driveways and businesses, shall be maintained at all times. Pedestrian access (minimum 4 -foot width) across both streets in an intersection must be maintained at all times. Where parking is prohibited during construction, "TEMPORARY NO PARKING" signs shall be posted at least twenty -four hours, but no more than forty -eight hours, in advance of the work. The signs shall be placed no more than 150 feet apart on each side of the alleys, streets T -4a 23A -120 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS and parking areas and at shorter intervals if conditions warrant. The Contractor shall provide the signs and will be responsible for adding the dates and hours of closure to the signs. 4.02 PROJECT PHASING AND LANE REQUIREMENTS The contractor shall construct the project per WATCH. 1. Pedestrian crossings: Maintain access at all pedestrian crossings at all times. 2. All major intersections: Construction shall be limited to weekend work only. Maintain minimum one through lane in each direction at all times. Keep left turn lane open at intersection until construction is at the left turn lane. 3. Work at 17th Street and Flower Street shall be limited to weekend work only. Maintain minimum one through lane in each direction at all times. Keep left turn lane open at intersection until construction is at the left turn lane. 4.03 WORKING HOURS: The Contractor's activities shall be confined to the allowable working hours of the selected bid. The working hours under Base Bid Night Work or Alternate #1 Day Work are as follows: Base Bid Night Work: 1. From 7:00 p.m. to 5:00 a.m. Monday through Friday. Alternate #1 Day Work 1. From 7:00 a.m. to 5:00 p.m., Monday through Friday, within work areas having either no lane closures or having continuous lane closures, i.e. 24 -hour closures lasting more than one day. 2. From 9:00 a.m. to 3:00 p.m., Monday through Friday, for work requiring temporary lane closures, i.e. those having less than a 24 -hour duration, and for work at major intersections. 3. All major intersections: Construction shall be limited to weekend work only. Maintain minimum one through lane in each direction at all times. Keep left turn lane open at intersection until construction is at the left turn lane. 4. Work at intersection of 17th Street and Flower Street shall be limited to weekend work only. T -4b 23A -121 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS All temporary street /lane closure shall be opened to traffic during non - working hours. Deviation from these hours /days shall not be permitted without the prior consent of the Traffic Engineer, except in emergencies involving immediate hazard to persons or property, or as specified otherwise 4.04 ADVANCE WARNING SIGNS: 4.04.1 Changeable Message Signs (CMS): The Contractor shall provide up to 8 solar powered CMS two weeks prior to commencement of construction. The signs shall be posted in advance of each end of the project for the duration of the project. These CMS can be LED full matrix or letter matrix or equivalent, with preferred 8" letter (minimum 6 "). The overall width of the sign including the trailer shall not exceed 8'. • Prior to the start of the construction, display the following message: Screen 1: <PROJECT STREET NAME> CONSTRUCTION Screen 2: BEGINS xx /xx /xx • When construction started, display the following message: Screen 1: <PROJECT STREET NAME> UNDER CONSTRUCTION Screen 2: USE ALT ROUTE The messages and sign location may be changed at any time as determined by the Engineer. 4.04.2 Static Warning Signs: The Contractor shall post 2 static advance warning signs at least two weeks prior to commencement of construction stating: MAJOR ROAD CONSTRUCTION ON <PROJECT STREET NAME> FROM <DATE> TO <DATE> EXPECT DELAYS USE ALTERNATE ROUTE The signs shall be posted in advanced of each end of the project. These warning signs shall be sized (5' height by 6'wide minimum) to fit the above wordings with orange reflective background, black border and 7" black letters. If sign is T -4c 23A -122 CITY OF SANTA ANA SPECIFICATIONS PROJECT NO. 11 -6416 SEVENTEENTH STREET WATER MAIN IMPROVEMENTS installed on the sidewalk, there shall be enough clearance for pedestrian access underneath the sign. The Engineer will determine sign placement and the dates. In the event of construction delays that go beyond the posted completion date on the sign, the contractor shall keep the completion date on the sign updated on a monthly basis or as directed by the Engineer. 4.05 TRAFFIC CONTROL PLAN PREPARATION AND SUBMITTAL: Prior to start of project, the contractor shall submit traffic control plan for approval on all construction phases and /or stages. The traffic control plan shall be prepared by registered Traffic /Civil Engineer specializing in Traffic Control. Unless directed otherwise, the traffic control plan shall conform to the format and requirements identified in the CSASP 1125F. The submittal and review process is as follows: • Within 1 week of receiving Award of Contract, contractor shall meet with the City to discuss the proposed traffic control plan and construction phasing • Traffic control plans must be submitted within 4 weeks of receiving Award of Contract. • The City will review all 1st submittal in 2 weeks. • The City will review subsequence re- submittal with check print in 1 week. • Contractor may submit traffic control plan for each Phase separately. • Approval of the traffic control plan may take more than 2 submittals depending on the completeness and thoroughness of the plan. • Incomplete traffic control plan will be rejected without reviewing. The City will not be responsible for any delay of the project due the incomplete submittal of the traffic control plan. 4.06 PAYMENT The lump sum price shall include full compensation for all traffic control, including but not limited to preparing traffic control plan, sandblasting, barricades, temporary striping, move -ins, and the above warning signs and no additional compensation will be allowed therefore. T -4d 23A -123 APPENDIX "A" Santa Ana Recycling Requirements 23A -124 MAYOR Miguel A. Pulido MAYOR PRO TEM Lisa Bist COUNCILMEMBERS Claudia C. Alvarez Carlos Bustamante Alberta D. Christy Mike Garcia Jose Solorio CITY OF SANTA ANA PUBLIC WORKS AGENCY M -36 P.O. Box 1988 Santa Ana, California 92702 ATTENTION CONTRACTORS CITY MANAGER David N. Ream CITY ATTORNEY Joseph W. Fletcher CLERK OF THE COUNCIL Patricia E. Healy The City of Santa Ana has adopted an ordinance to assist the City in complying with the State of California's Assembly Bill 939 law which requires that all cities and counties in the State reduce the amount of trash disposed of in landfills by 50 %. Failure to comply with State law could result in a fine to the City of $10,000 per day. Santa Ana Municipal Code Section 16 -30 (f) will ensure that construction and demolition waste generated within the City can be accounted for and recycled. The ordinance states the following, `Any person with whom the City has an agreement for the collection, transportation and disposal of construction and demolition solid waste which has accumulated and /or been generated at a temporary construction site may haul such waste during the term of such agreement." The only companies approved by the City Council to haul temporary construction and demolition material in the City of Santa Ana are: Ware Disposal Company, Inc. 1018 N. Lincoln Avenue Santa Ana, CA 92701 Phone Number: (714) 834 -0234 Waste Management 1800 South Grand Santa Ana, Ca 92705 Phone Number: (714) 558 -7761 Please contact one of the above companies to arrange for the collection and recycling of your construction debris. Your cooperation is appreciated. Please be advised that persons who generate solid waste on the premises may personally collect, transport, and dispose of their own solid waste providing that they do so in accordance with all governing laws and regulations and dispose of such solid waste at a site permitted by the California Integrated Waste Management Board. If you have any questions please call Mary Gonzales at the Public Works Agency at (714) 647- 5088. Thank you. 23A -125 APPENDIX "B" Temporary Construction Sings 23A -126 w n C „0� 23A -127 w z z 0 w CD �ci za J 0n Q W O CD 00 z Oaz •w3: Ooo x z cn a cn cc z a ,q- CD CD xwz I o v Owa mow m cn vn CD o zzz o a ,w cn w w z�N w cn .. D W wzO� �CD< O — J W z cn m J APPENDIX "C" Notice of Street Construction 23A -128 MAYOR Miguel A. Pulido MAYOR PRO TEM Sal Tinajero COUNCILMEMBERS Angelica Amezcua P. David Benavides Michele C. Martinez Roman A. Rayne Vincent F. Sarmiento CITY OF SANTA ANA 20 Civic Center Plaza • P.O. Box 1988, M -21 Santa Ana, California 92702 SAMPLE NOTICE OF CONSTRUCTION TO RESIDENTS /BUSINESS OWNERS CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar Project Name: Seventeehth Street Water Main Improvements — (Company Name) The City's contractor, (Company Name), will be performing water main improvements within your area. The work will consist of the following: replacing watermain. Once completed this improvement will ensure proper flow and pressure and facilitate future water system maintenance. We regret that traffic flow will be affected and access to your property may, at times, be impaired during construction. We will do our best to keep any inconvenience to you at a minimum. Your understanding and cooperation are appreciated. The Project Manager for this project is XXX. Should you have any concerns regarding this project during construction, please call our office at xxx -xxx -xxxx. To help us respond promptly to your concerns, please refer to the project name above. Sincerely, XXX XXX 23A -129 MAYOR Miguel A. Pulido MAYOR PRO TEM Sal Tinajero COUNCILMEMBERS Angelica Amezcua P. David Benavides Michele C. Martinez Roman A. Reyna Vincent F. Sarmiento October 7, 2014 ADDENDUM NO. ONE SUBJECT: PROJECT NO, IMPROVEMENTS CITY OF SANTA ANA PUBLIC WORKS AGENCY M -36 P.O. Box 1988 Santa Ana, California 92702 11 -6416: SEVENTEENTH CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Caivalho CLERK OF THE COUNCIL Maria D. Huizar STREET WATER MAIN The following changes /clarifications have been made to the Contract Documents of the subject project: Page P -4, LIST OF SUB - CONTRACTORS 1. Discard Page P -4, LIST OF SUB - CONTRACTORS; Replace with the updated Page P -4, LIST OF SUB - CONTRACTORS: See attached. All other terms and conditions remain the same. FOR THE CITY OF SANTA ANA `Rodolfo Rosas Senior Civil Engineer 23A -130 CITY OF SANTA ANA PROPOSAL LIST OF SUB - CONTRACTORS Section 4100 et. seq. of the Public Contract Code requires listing of all subcontractors and their California contractor license with the bid for all subcontract work exceeding the following amount: • Streets, highways including bridge projects: Y% of the bid or $10,000, whichever is greater • Buildings, parks, or other projects: Y2% of the bid BIDDER proposes to subcontract certain portions of the work to the firms listed below: NAME _ LOCATION PHONE TYPE OF WORK AMOUNT $ License No. NAME _ LOCATION PHONE TYPE OF WORK AMOUNT $ _ License No. VETIN LOCATION _ PHONE TYPE OF WORK AMOUNTS License No. NAME _ LOCATION PHONE TYPE OF WORK AMOUNT $ License No. Signature of Bidder NAME LOCATION PHONE TYPE OF WORK AMOUNT $ License No. LOCATION _ PHONE TYPE OF WORK AMOUNTS _ License No. NAME LOCATION PHONE TYPE OF WORK AMOUNT$ License No. NAME LOCATION PHONE TYPE OF WORK AMOUNT$ _ License No. P -4 Section 3 . b P.,.W 09 22-2014 23A-1 31 MAYOR Miguel A Pulido MAYOR PRO TEM &-a Tinajero COUNCILMEMRFRS Angelica Ampmo P. David 3wavides Michele C. Martinez Raman A. Reyna Vincent F Sannnento October 15, 2014 ADDENDUM NO. TWO SUBJECT: PROJECT NO. IMPROVEMENTS CITY OF SANTA ANA PUBLIC WORKS AGENCY M-36 P.O. Box 1988 Santa Ana, California 92702 11-6416: SEVENTEENTH CITY MANAGER David Cavazos a TY ATTORNEY Sonia R Carvailho CLERK OF THE COUNCIL Maria D. HUizar STREET WATER MAIN The following changes/clarifications have been made to the Contract Documents of the subject project: Page P-6, ADDITIONAL REFERENCES 1. Discard Page P-6, ADDITIONAL REFERENCES; Replace with the updated Page P-6, ADDITIONAL REFERENCES: See attached. All other terms and conditions remain the same. FOR THE CITY OF SANTA ANA R o d 6 1 f6 R o's-a s-'"— Senior Civil Engineer 23A -132 CITY OF SANTA ANA PROPOSAL ADDITIONAL REFERENCES The following are additional names, addresses, and telephone numbers for public agencies for which the BIDDER or Subcontractor has performed placement of water main construction in the past 5 years. 1. Name and Address of Owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work 2. Date Completed Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work 3. Date Completed Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work The following are the names, addresses, and telephone numbers of all from whom BIDDER intends to procure insurance and bonds. Date Completed brokers and sureties P -E S,d,.,, 5 - 6 Proposa109 -22 -2014 23A -133 23A -134 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENTS (STRATEGIC PLAN NOS. 5, 2; 5, 3) CITY MAN ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on Z4 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreements with the below - referenced property owners for the identified structures, subject to non - substantive changes approved by the City Manager and City Attorney. Property Owner(s) Historic Address/House Recommended Property Approval Date✓ Preservation Vote by HRC A mt. No. Jeffrey W. Smith & Nancy A. 2014 -04 2442 North Heliotrope Drive 11/20/14 Smith (Neiman House) 7:0:1 (McLoughlin abstained Gary L. Burkharsmeier & Paulette 2014 -05 j 2306 North Spurgeon Street 11/20/14 J. Burkharsmeier (Kennedy House 8:0 Gary E. Humphreys & Julie 2014 -06 2112 North Ross Street 11/20/14 Humphreys Bemis House 8:0 David Butts & Ellen Friedlander 2014 -07 1908 North Flower Street 11/6/14 Dr. D. Wa nick House 8:0 Henry L. Jenkins & Sally Ann 2014 -10 2223 North Flower Street 11/6/14 Salisbury Gardner House 8:0 Ruth Lyons 2014 -13 2340 North North Park Blvd. 11/6/14 Mellenthin House 8:0 Joseph Chally & Katherine Chally 2014 -15 2416 North Riverside Drive 11/20/14 (Mansur House) 7:0:1 (McLoughlin abstained Craig Hoffman & Elizabeth 2014 -16 2415 North Bonnie Brae 11/6/14 Hoffman (Judge Allen House 8:0 Edward A. Murashie & Linda J. 2014 -17 2139 North Flower Street 11/20/14 Grant Dr. H.B. Nall - Belisle House 8:0 25A -1 Mills Act Agreements December 2, 2014 Page 2 Lynda A. Yana 2014 -18 2438 North Heliotrope Drive 11/20/14 (Marksity House) 7:0:1 (McLoughlin abstained Janet Tidgewell on behalf of the 2014 -19 501 West Nineteenth Street 11/20/14 Tidgewell Family Trust (Lacy - Murray House) 7:0:1 (Mill abstained Mark Lunetto & Kathleen Lunetto 2014 -20 1812 North Ross Street 11/20/14 Sumner House 8:0 Laura A. Pickrell 2014 -21 2425 North Heliotrope Drive 11/20/14 (Walker- Sackerson House) 7:0:1 (McLoughlin abstained Micah Stork & Kerri Stork 2014 -22 2388 North Heliotrope Drive 11/20/14 Harwood House 8:0 Linda Nelessen 2014 -23 2428 North Riverside Drive 11/20114 (Butler House) 7:0:1 (McLoughlin abstained Debra McEwen 2014 -24 201 East Washington Avenue 11/20/14 Keech -Klatt House 8:0 Chan Q. Kieu & Quynk Kieu 2014 -25 2221 North Heliotrope Drive 11/20/14 Mahara'ah House 8:0 Bryan Schmitz &Kathryn Schmitz 2014 -26 524 West Nineteenth Street 11/20/14 Dixon House 8:0 Craig Glaspell & Leigh Donovan 2014 -27 2104 North Santiago Street 11/20/14 Tidball House 8:0 Ronald Lee Scott 2014 -28 2372 North Riverside Drive 11/6/14 E.C. Rogers House 8:0 Jeffrey A. Katz 2014 -29 1919 North Heliotrope Drive 11/20/14 MacMullen House 8:0 Michael Viljak & Miya Suzuki 2014 -30 532 North Eastside Avenue 11/20/14 (Richardson- Prentice House) 7:0:1 (Hitterdale abstained Dean Guzman & Aldo Gonzalez 2014 -31 2445 North Riverside Drive 11/20/14 (Dunton House) 7:0:1 (McLoughlin abstained Cynthia Ann Robbins 2014 -32 2446 North Heliotrope Drive 11/6/14 S mmes House 8:0 Charles Jude Dzama & Angela 2014 -33 2511 North North Park Blvd. 11/6114 Dawn Dzama Horace C. Head House 8:0 Mark A. Mittmann 2014 -34 2385 North Riverside Drive 11/20/14 (M. Heninger House) 7:0:1 (McLoughlin abstained 25A -2 Mills Act Agreements December 2, 2014 Page 3 Joseph Albert Walsh & Ann L. 2014 -35 2405 North Heliotrope Drive 11/6/14 Walsh Clem House 8:0 Kenneth C. Jones & Helen Luetto 2014 -37 2300 North North Park Blvd. 11120114 Jones Steele House 8:0 Richard C. Payne & Mirian S. 2014 -38 340 West Nineteenth Street 11/20/14 Pa ne Tate House 8:0 Norichika Okada & Heather Lenz 2014 -39 934 West Sharon Road 11/20/14 Cohrt - Fowler House 8:0 Craig Emmons Kalthoff & Franklyn 2014 -41 2510 North North Park Blvd. 11/20/14 Russell Patti McKam House 8:0 Scott McDowell & Vanessa 2014 -42 2618 North Louise Street 11/20/14 McDowell Dutcher House 8:0 Michael J. Weatherly 2014 -44 2029 North Flower Street 11/6/14 Dr. M. McMurray House 8:0 Dennis Koldewey & Ellen 2014 -45 2125 North Heliotrope Street 1116/14 Koldewey D e House 8:0 Robert Aubuchon & Ann L. Feng 2014 -47 2207 North Flower Street 11/20/14 Ranne House 8:0 George J. Honer & Sherri L. Honer 2014 -49 8:0 Stefan Wolff & Darlene Glenn 2014 -50 2133 North Greenleaf Street 11/20/14 Stein House 8:0 David P. Ko & Jeanette L. Ko 2014 -51 1812 North Heliotrope Street 11/20/14 B e House 8:0 Alex L. Hart & Mason K. Nakamura 2014 -52 2215 North Victoria Drive 11/20/14 Kimes House 8:0 Eric R. Carlson & John E. Baird 2014 -54 2441 North Riverside Drive 11/20/14 (Henderson House) 7:0:1 (McLoughlin abstained HISTORIC RESOURCES COMMISSION ACTION On November 6, 2014 and November 20, 2014, the Historic Resources Commission recommended that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreements with the identified property owners for the historic structures, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION This action allows for the approval of a Historic Property Preservation Agreement (Mills Act Contract) which provides a potential property tax reduction allowing the property owner to reinvest the tax savings into the maintenance of the historic property (Exhibit A). Additionally, the agreement prevents inappropriate alterations to the historic structures (Exhibits B1 -B40). 25A -3 Mills Act Agreements December 2, 2014 Page 4 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated amounts annually noted below, for a period of not less than ten years. HPPA No. 2014 -04 $163.64 to $618.20 HPPA No. 2014 -05 $41.20 to $420.98 2442 N. Heliotrope Dr. Exhibit B1 2306 N. Spurgeon St. Exhibit B2 HPPA No. 2014 -06 $86.58 to $432.89 HPPA No. 2014 -07 $199.80 to $988.98 2112 N. Ross St. Exhibit B3 1908 N. Flower St. Exhibit B4 HPPA No. 2014 -10 $140.91 to $704.53 HPPA No. 2014 -13 $141.71 to $708.55 2223 N. Flower Street Exhibit B5 2340 N. North Park Blvd Exhibit B6 HPPA No. 2014 -15 $136.98 to $684.90 HPPA No. 2014 -16 $110.00 to $550.02 2416 N. Riverside Drive Exhibit B7 2415 North Bonnie Brae Exhibit B8 HPPA No. 2014 -17 $141.80 to $709.02 HPPA No. 2014 -18 $105.53 to $527.67 2139 N. Flower Street Exhibit B9 2438 N. Heliotrope Drive Exhibit B10 HPPA No. 2014 -19 $142.74 to $712.32 HPPA No. 2014 -20 $111.16 to $555.81 501 W. Nineteenth St. Exhibit B11 1812 North Ross Street Exhibit B12 HPPA No. 2014 -21 $135.93 to $679.67 HPPA No. 2014 -22 $136.48 to $682.38 2425 N. Heliotrope Dr. Exhibit B13 2388 N. Heliotro a Drive Exhibit B14 HPPA No. 2014 -23 $82.20 to $411.02 HPPA No. 2014 -24 $97.94 to $489.63 2428 N. Riverside Drive Exhibit B15 201 E. Washington Ave Exhibit B16 HPPA No. 2014 -25 $200.84 to $1,004.22 HPPA No. 2014 -26 $99.37 to $496.83 2221 N. Heliotrope Dr. Exhibit B17 524 W. Nineteenth St. Exhibit B18 HPPA No. 2014 -27 $73.30 to $366.52 HPPA No. 2014 -28 $108.19 to $540.95 2104 N. Santiago Street Exhibit B19 2372 N. Riverside Drive Exhibit B20 HPPA No. 2014 -29 $209.84 to $1,039.18 HPPA No. 2014 -30 $104.49 to $522.44 1919 N. Heliotrope Dr. (Exhibit B21) 532 N. Eastside Avenue Exhibit B22 HPPA No. 2014 -31 $139.84 to $732.86 HPPA No. 2014 -32 $137.04 to $685.18 2445 N. Riverside Dr. Exhibit B23 2446 N. Heliotrope Drive Exhibit B24 HPPA No. 2014 -33 $157.34 to $786.70 HPPA No. 2014 -34 $111.91 to $559.55 2511 N. North Park Blvd. Exhibit B25 2385 N. Riverside Drive Exhibit 826) HPPA No. 2014 -35 $212.88 to $1,064.42 HPPA No. 2014 -37 $102.32 to $511.60 2405 N. Heliotrope Drive (Exhibit B27 ) 2300 N. North Park Blvd. Exhibit B28 HPPA No. 2014 -38 $147.90 to $739.49 HPPA No. 2014 -39 $133.35 to $666.77 340 W. Nineteenth Street Exhibit B29 934 West Sharon Road Exhibit B30 25A -4 Mills Act Agreements December 2, 2014 Page 5 HPPA No. 201441 $153.96 to $769.78 HPPA No. 201442 $132.03 to $660.13 2510 N. North Park Blvd. Exhibit B31 2618 North Louise Street Exhibit B32 HPPA No. 2014 -44 $149.58 to $746.47 HPPA No. 2014 -45 $100.02 to $500.10 2029 North Flower Street Exhibit B33 2125 N. Heliotrope Street Exhibit B34 HPPA No. 2014 -47 $172.80 to $864.00 HPPA No. 2014 -49 $174.35 to $871.76 2207 North Flower Street Exhibit B35 Exhibit B36 HPPA N6.--20-14-50 $143.51 to $717.53 HPPA No. 2014 -51 $155.25 to $776.23 2133 N. Greenleaf Street Exhibit B37 1812 N. Heliotrope Street Exhibit B38 HPPA No. 2014 -52 $190.75 to $953.74 HPPA No. 2014 -54 $189.50 to $947.48 2215 North Victoria Drive Exhibit B39 2441 N. Riverside Drive Exhibit B40 'L,( ,AA UIl &wl'� Karen Haluza J Interim Executive Director Planning & Building Agency HS:rb hsVhjstoric inlo"iIs act agreementsWilIs Act Agmts 12 -02 -14 cc Exhibit: A. Mills Act Agreement Template 61 -640. Historic Resources Commission Staff Reports 25A -5 25A -6 MILLS ACT AGREEMENT Address Santa Ana, CA 9270x RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ( "Agreement') is made and entered into this December 2, 2014 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City "), Property Owner(s) (hereinafter referred to as "Owner "), owners of real property located at Address , Santa Ana, California, 9270_ in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act') to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at Address . Santa Ana, CA, 9270_ and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. EXHIBIT A Z5A -7 MILLS ACT AGREEMENT Address Santa Ana, CA 9270x E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on December 2, 2014, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nomenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nomenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: 2'-5A -8 MILLSACTAGREEMENT Address Santa Ana, CA 9270x a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owners shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right -of -way shall be maintained, and Owners shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character - defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owners shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner's compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owners hereby agree to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. Z5A -9 MILLSACTAGREEMENT Address Santa Ana, CA 9270x 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owners have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owners have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owners shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one -half (12 ''/2) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. hi lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owners, the City shall give written notice to the Owners by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owners), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owners growing out of the terns of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by 2$A -10 MILLS ACTAGREEMENT Address Santa Ana, CA 9270x the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owners hereby subject the Historic Property, located at Address Assessor Parcel Number, A.P. No. , and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owners shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M -30) Santa Ana, CA 92702 Owners: Property Owner(s) Address Santa Ana, CA 9270 2SA -11 MILLSACTAGREEMENT Address Santa Ana, CA 9270x 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owners agree to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owners hereby agree to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. 2 &A -12 MILLS ACTAGREEMENT Address Santa Ana, CA 9270x 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: Date: APPROVED AS TO FORM: SONIA C VALHO City T/Xv By: Isa O. dge si tant 'ty Attorney CITY OF SANTA ANA DAVID CAVAZOS City Manager C C 25A -13 Property Owner(s) Property Owner(s) MILLSACTAGREEMENT Address Santa Ana, CA 9270x Exhibit A Legal Description filed in the Office of the County Recorder of Orange County. Assessor's Parcel Number: A.P. Number 26A -14 MILLS ACT AGREEMENT Address Santa Ana, CA 9270x FOMMOW. Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with 2SA -15 MILLSACTAGREEMENT Address Santa Ana, CA 9270x size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. 264 -16 MILLS ACT AGREEMENT Address Santa Ana, CA 9270x Exhibit C (photographs attached) Photograph of Property 0 Front elevation 2 9A -17 25A -18 REQUEST fr NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -10, HISTORIC REGISTER CATEGORIZATION NO. 2014 -11, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -04 FOR PROPERTY LOCATED AT 2442 NORTH HELIOTROPE DRIVE {STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For CON'1INUED TO - Executive Dirtar — Acting tannin Interim Exe � g anager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -10 and Historic Register Categorization No. 2014 -11. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Jeffrey W. and Nancy A. Smith, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Jeffrey W. and Nancy A. Smith are requesting approval to designate an existing residence located at 2442 North Heliotrope Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 2,522 square foot, two -story English Revival -style residence and detached garage on a 7,405 square foot residential lot located on North Heliotrope Drive between Benton Way and North Park (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B1 25A -19 HRCA No. 2014- 10 /HRC No. 2014 -11 HPPA No. 2014 -04 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Neiman House, has distinctive architectural features of a unique Storybook design, a variant of the English Revival style, and was built in 1931 for Mr. and Mrs. Jacob and Jennie Neiman. Mr. Neiman came to Santa Ana circa 1920 and became a rancher. He was also a past trustee of the Santa Ana Elks Lodge. Character defining features of the Neiman House that should be preserved include, but may not be limited to, materials and finishes (stucco, brick); roof configuration, materials, and treatment; massing and composition; entry porch; doors and windows; architectural detailing (roofing pattern, recessed window placement, attic vents); chimney; and garage (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Landmark" because the residence has been determined to be eligible for the National Register, is listed in the California Register, has "unique architectural significance" as a highly intact example of the Storybook Variant of the English Revival style, and contributes to a district that has "historical /cultural significance to the City" as an example of the City Beautiful planning movement. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Longterm preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property i► f: HRCA No, 2014 -10 /HRC No. 2014 -11 HPPA No. 2014 -04 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -130 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sob leske Associate Planner HS:jm WHistoric Info \141120 HRC\hrca14 -10 hrcl4 -11 hppal4- 04 .hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -21 HRCA NO. 2014- 10 /HRC NO. 2014 -11 HPPA NO. 2014 -04 2442 NORTH HELIOTROPE DRIVE NEIMAN HOUSE PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY NEIMAN HOUSE 2442 NORTH HELIOTROPE DRIVE Santa Ana, CA 92706 NAME Neiman House REF. NO, ADDRESS 2442 North Heliotrope Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1931 LOCAL REGISTER CATEGORY: Landmark HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: English Revival (Storybook Variant) A simplification of the Tudor Revival, which reached its height of popularity during the 1920s and '1930s, the English Revival drew upon the English country house for its inspiration. English Revival homes usually feature stucco walls and gable roofs of steep but not exaggerated pitch. A characteristic sloped roof treatment incorporates uneven rakes, with one side of a gable extending a greater distance than the other, sometimes changing the angle of slope in the process. Arches may be used for windows and doors, and, unlike their Tudor cousins, are rounded rather than pointed. Windows are usually clustered in groups on the fagade and are often multi -paned casement in type. Almost exclusively a residential style, English Revival buildings are nearly always asymmetrical in composition. A `storybook' variant of the English Revival, characterized by a deliberately eclectic and picturesque quality often focused on the roof treatment, found a particularly receptive audience in southem California. SUMMARY /CONCLUSION: The Neiman House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as a structure with the distinguishing characteristics of an architectural style or period, the Storybook Variant of the English Revival. Additionally, the house has been categorized as "Landmark" because it has been determined eligible for the National Register, has been listed in the California Register, has "unique architectural significance" as a highly intact example of the Storybook Variant of the English Revival style, and contributes to a district that has `historical /cultural significance to the City" as an example of the City Beautiful planning movement (Municipal Code, Section 30 -22). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Teehnioal Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. Califomia Register Status Code: (From California Office of Historic Preservation, December 8, 2001) 2D2: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. rl State of California — The Resources Agency Primary #._ DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomial NRHP Status Cade Other Listings . ... .. ........ — Review Code--- ---.._.....- -- Reviewer– _-- --- -.._- - ----- _._ Date Pape 1 or number (assigned by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Date: *c. Address 2442 North Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002- 063 -08 Tract: 755 Block: Lot: 25 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) A striking roof treatment is the dominant characteristic of this two -story, single - family home designed in the Storybook variant of the English Revival style. The steeply pitched, cross - gabled roof features dramatic rolled edges and roofing laid in a rippled and undulating pattern. Stucco covers the exterior walls of the residence. The fagade is asymmetrical and slightly "U "- shaped, with a front- gabled wing projecting on the right (west) balanced by the more modestly scaled, front - gabled entry on the left (east). A gabeet also faces front (north), rising from the center of the ridgeline. Small, round - headed attic vents pierce the upper face of each gable. The arched motif is repeated in a large, recessed window centered on the fagade of the west wing and in the opening of the entry porch. A broad, flat - headed window fills the facade of the central bay. Brick paves the entry stairs and pathway leading to the sidewalk. A stucco -clad chimney is attached to the east elevation. Modern but compatible landscaping complements the house, which appears to be substantially unaltered. The well- maintained property also contains a front - gabled garage sheathed in stucco, located towards the southeast comer of the lot. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *134. Resources Present: ■Building ❑Structure ❑Object DSite ❑District ■Element of District ❑Other P5a. Photo P5b. Photo: (view and date) North facing elevation October 2014 *P6. Date Constructed /Age and Sources: ■historic 1931 /City of Santa Ana Building Permit *P7. Owner and Address: Jeffrey W. and Nancy A. Smith 2442 N. Heliotrope Drive Santa Ana, CA 92706 *P8. Recorded by: Leslie J. Neumann, Hally Sobo /eske City of Santa Ana *P9. Date Recorded: November 4, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979. *Attachments: ❑None uLocation Map OSketch Map ■Continuation Sheet ■Building, Structure, and Object Record DArchaeological Record DDistrict Record uLinear Feature Record DMilling Station Record DRock Art Record OArtifact Record OPhotograph Record D Other (list) DPR 523A (1/95) 25A -24 *Required information State of California —The Resources Agency Primary #____ _ ..... DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 2D1 *Resource Name or #: Neiman House B1. Historic Name: Neiman House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: English Revival (Storybook Variant) *66. Construction History: (Construction date, alterations, and date of alterations) Constructed in 1931. March 3, 1931. Residence and garage. $6,500. J. Neiman, owner. July 5, 1947. Convert porch into room. $600. C. E. Stewart, owner. Barrows Construction Co. *67. Moved? ■No ❑Yes ❑Unknown *68. Related Features: Garage. B9a. Architect: Unknown Date: Original b. Builder: Unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: C13 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Neiman House is architecturally significant for its highly intact, whimsical, Storybook design, in particular as one of the few examples of the roofing pattern associated with the style that remain in Santa Ana. It was built in 1931 at a cost of $6,500 for Jacob Neiman and his wife, Jennie H. Neiman. Born in Pennsylvania, Jacob Neiman came to Santa Ana around 1920 and became a rancher. It appears that the family occupied this house for most of the 1930s, although directories also show the couple with an address in Orange (perhaps the location of their ranch). For a couple of years mid - decade (1936 and 1937), the house was occupied by Harold S. and Emma G. Wright, but the directories for this address reverted back to the Neimans in 1938. Harold Wright was the district manager of the Pay'n Takit Stores Company. Jacob Neiman, a past trustee of the Santa Ana Elks Lodge, passed away in 1941, and was living at 1127 West Seventeenth Street at the time. In the 1940s, the property was home to Mrs. Addie M. Cox (1940 directory) and C. E. and Alberta G. Stewart (1944 building permit, 1947 directory. (See Continuation Sheet 3 of 4.) 811. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *814. Evaluator: Leslie J. Heumann *Date of Evaluation: July 5, 2005 (This space reserved for official comments.) Sketch Map 2442 N Heliotrope Drive — r 002-063-08 D) A ' �� L kU 0 C11 r; bj E!• '1 J @i�� ��} \ 0 t DPR 5238 (1/95) 25A -25 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTiNUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Neiman House `Recorded by Leslie J. Neumann, Hally Soboleske *Date November 4, 2014 O Continuation ❑ Update *B10. Significance (continued): The Neiman House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Reoister September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45, 000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War If and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War II years, Floral Park continued its development as numerous, smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2014) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Neiman House has been determined eligible for listing in the National Register of Historic Places as a contributor to a North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower Street. Comprising the northern end of the Floral Park neighborhood, North Broadway Park was subdivided in 1923. The Keeper of the National Register found that: "North Broadway Park reflects the City Beautiful planning movement in Southern California during the early twentieth century. The vernacular adaptations of period revival styles, curvilinear street patterns, street furniture, and landscape combine to create a cohesive and pleasant middle class suburban neighborhood environment which is unique in the early historical development of the city of Santa Ana. "' Under the regulations implementing the California Register of Historical Resources, the Neiman House has been listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Storybook variant of the English Revival style. As previously noted, the survival of the original design of the roof shingling is rare, and when combined with the exaggerated pitch and cylindrical, extended eaves, the appearance of the house embodies the picturesque quality of the style. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, scale, and historic association with important members of the local business and social community. Additionally, the house has been categorized as 'Landmark" because it has been determined eligible for the National Register, has been listed in the California Register, has "unique architectural significance" as an example of the Storybook variant of the English Revival style, and contributes to a district that has "historical /cultural significance to the City" as an example of the City Beautiful planning movement. All original exterior features of the Neiman House are considered to be character defining and should be preserved. These features include, but may not be limited to: materials and finishes (stucco, brick), roof configuration, materials, and treatment; massing and composition; entry porch; doors and windows; architectural detailing (roofing pattern, recessed window placement, attic vents); chimney; and garage. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopiedm. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated Histo v. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York. Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form. " Washington DC.: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. " Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. 'Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register September 15, 1981. "History of Floral Park." 17ttp : //www .floral- parlr.com/page2.hhn1 Determination of Eligibility, February 25, 1980. n 5A�26 DPR 523L LL State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION CONTINUATION SHEET by Leslie J. Neumann, Hally Soboleske *B12. References (continued): Primary # HRI # Trinomial or # (Assigned by recorder) Neiman House *Date November 4, 2014 0 Continuation ❑ Update Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens, Volume 1. Whittier, Historical Publishers, 1963. Armor, Samuel. History of Orange Count v. 1921. Pleasants, Mrs. J. E. History of Orange County. Los Angeles: J. R. Finnell & Sons Publishing Co., 1931. Vol.. 2, page 80 and Vol. 3, page 142. Santa Ana and Orange County Directories, 1923 -1947. (ancestry. coin). United States Federal Census. 1930. (ancestry. coin). California Death Index, 1940 -1997. (ancestry.com). "Jacob Neiman, 76, Passes At Home." Santa Ana Register April 19, 1941. DPR 523L 25A-27 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -10 TO PLACE THE PROPERTY LOCATED AT 2442 NORTH HELIOTROPE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -11 PLACING SAID PROPERTY WITHIN THE LANDMARK CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -10) and categorization (Historic Resources Commission Categorization No. 2014 -11) of the Neiman House, located at 2442 North Heliotrope Drive, Santa Ana. B. The Neiman House has distinctive architectural features of the Storybook design, a variant of the English Revival style, and was built in 1931 by Jacob and Jennie Neiman. Mr. Neiman came to Santa Ana circa 1920 and became a rancher. He was also a past trustee of the Santa Ana Elks Lodge. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Landmark for its unique architectural significance and contributes to a district that has "historical /cultural significance in the City. D. Character- defining features of the Neiman House that should be preserved include, but may not be limited to, materials and finishes (stucco, brick); roof configuration, materials, and treatment; massing and composition; entry porch; doors and windows; architectural detailing (roofing pattern, recessed window placement, attic vents); chimney; and garage. E. The legal owners of the subject property are Jeffery and Nancy Smith. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -28 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Landmark category pursuant to Section 30- 2.2(1) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -130 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -10 to place the Neiman House, located at 2442 North Heliotrope Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -11 placing the Neiman House, located at 2445 North Heliotrope Drive, Santa Ana, within the Landmark category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;' and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A-29 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 0 Ryan O. Hodge Assistant City Attorney AYES: Commission m NOES: Commission members ABSTAIN: Commission membe NOT PRESENT: Commission membe CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -30 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 063 -08 2442 North Heliotrope Drive Jeffrey and Nancy Smith Lot 25 of Tract 755 I:1Ai1161=1 Resolution No. 2014 -XXX Page 4 of 4 25A -31 25A -32 REQUEST FOR Hilstodc Resources Comrnission Acdon 11-ISTORC F%ESOURCES CCWMSM MEE"&'6 G DATE: illqC9171#6 W # r l n , fl %E; HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -05 FOR THE PROPERTY LOCATED AT 2306 NORTH SPURGEON STREET (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske H1570RJC RESCMJRCES CCMM%SKW,%-CRETARY APPROVED 0 As Recommended .7 As Amended 0 Set Public Hearing For CONTYNUED FO interVm Exe CLAtlVe C.i9rPC (�:yJY/6,..^....✓ -- — ./ 4.....ryt. ' r�.._ ........ ...... Actincq✓OSlanning `Aanager Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Gary L. and Paulette J. Burkhartsmeier, property owners, for the structure located at 2306 North Spurgeon Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Gary L. and Paulette J. Burkhartsmeier, are requesting the approval of Historic Property Preservation Agreement No. 2014 -05 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a one -story Bungalow Craftsman - styled residence and garage located at 2306 North Spurgeon Street. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B2 25A -33 HPPA No. 2014 -05 November 20, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Kennedy House and categorized as Contributive in April of 2004 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community, 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Sotofeske Associate Planner HS:jm hs \historic info \mills act agreements12306_N_Spurgeon \141106 hppa14- 05 _2306NSpurgeon.hrc Attachments: Exhibit 1- 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -34 HPPA NO. 2014 -05 2306 North Spurgeon Street Kennedy House PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY KENNEDY HOUSE 2306 North Spurgeon Street Santa Ana, CA 92706 NAME Kennedy House REF. NO. ADDRESS 2306 North Spurgeon Street CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT Circa 1923 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD I Park Santiago CAL1F'ORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S3 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Bungalow /Craftsman Closely related to the English Arts and Crafts Movement, American Craftsman architecture was popularized by The Crgfsnvan magazine and architects such as Charles and Henry Greene of Pasadena. It drew from the wood building traditions of Japan and Switzerland as well as the medieval themes favored by the Arts and Crafts philosophers. Craftsman architecture stressed honesty of form, materials, and workmanship, eschewing applied decoration in favor of the straightforward expression of structure. A new appreciation of nature was evident in horizontal lines that reached out to embrace the landscape and the incorporation of capacious porches into building plans. Primarily a residential style, Craftsman architecture can be identified by low pitched gable and hipped roofs with exposed rafters and beams in deep overhangs; wood lap or shingle siding and an occasional use of stucco; extensive use of stone or brick as a secondary material; horizontal emphasis apparent in roof lines, headers, and battered porch supports; and broadly proportioned wood framed windows, often clustered in bands. Craftsman homes were built fi-om circa 1902 until the early 1920s. SUMMARY /CONCLUSION: The Kennedy House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion I for its representation of the distinguishing characteristics of the Craftsman style. Additionally, the house has been categorized as "Contributive " because it "contributes to the overall character and history" of the Park Santiago neighborhood, and, as a highly intact, late Craftsman bungalow, "is a good example of period architecture " (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series 4 7_ "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December S, 2003.) 5S3: Appears to be individually eligible for local listing or designation through survey ew State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Page 1 Other Listings Review Code Primary HRI # _ NRHP Status or number (assigned by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Orange TCA 1725 Date: *c. Address 2306 North Spurgeon Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number. 003- 061 -12; N TR 139 BLOCK: E LOT, 16 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) A high degree of exterior integrity characterizes the appearance of this one -story Craftsman bungalow. Sided with narrow clapboard, the building is capped by a cross gable roof with beams and rafter tails exposed in the overhanging eaves. Centered on the fagade and attached porch is topped by a smaller gable of similar pitch and detailing. Latticework vents are located in the gable ends. Tapered posts sitting on art stone piers support the porch gable. The central entry consists of a wood door pierced by vertical channels of glass and fronted by a wood - framed screen door Tripartite windows with their upper sashes divided into multiple lights are equally spaced to either side of the doorway. All of the openings are topped with slightly extended headers that emphasize the horizontal lines. A one -story, front - gabled garage is located to the rear of the house. Other than re- roofing, the house is unaltered on the exterior. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ODistrict ■Element of District ❑Other P5a. Photo *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None. P5b. Photo: (view and date) East elevation February 2004 *P6. Date Constructed /Age and Sources: ■historic Circa 1923 W. Owner and Address: Alexander Charles & Sandra Watt 2306 North Spurgeon Street Santa Ana, CA 92706 *P8. Recorded by: Leslie J. Neumann SAIC 35 S. Raymond Ave. # 204 Pasadena, CA 91105 *P9. Date Recorded: February 2, 2004 *P10. Survey Type: Intensive Survey Update *Attachments: ONone ❑Location Map DSketch Map ■Continuation Sheet ®Building, Structure, and Object Record DArchaeological Record DDistrict Record ❑Linear Feature Record DMilling Station Record DRock Art Record ❑Artifact Record DPhotograph Record D Other (list) DPR 523A (1/95) 25A -37 *Required information State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 *CHR Status Code 5S3 "Resource Name or #: Kennedy House 31. Historic Name: Kennedy House B2. Common Name: Same 133. Original Use: Single - family Residence B4. Present Use: Single - family Residence *65. Architectural Style: Bungalow /Craftsman *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed circa 1924. November 3, 1939. Reroof August 13, 1976. Remodel kitchen (cabinets). October 26, 1992. Reroof with tear -off. *B7. Moved? ENO ❑Yes ❑Unknown Date: Original Location: *68. Related Features: Garage. 139a. Architect: Unknown b. Builder Unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single - family Residence Applicable Criteria: NR: C, CR: 3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Kennedy House is architecturally significant as a very intact example of a late Craftsman bungalow, No building permit for the house was discovered. The first appearance of the address in the city directories occurred in 1924, when Roy C. Kennedy, a salesman, resided at 2306 North Spurgeon. Apparently, the house changed occupants several times over the next decade, with J. P. Williams listed in 1925, Dexter R. Ball, a physician and surgeon, and his wife Edna in 1926, and salesman W, A. Paxton in 1930. (See Continuation Sheet 3 of 3.) 311. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 3.) B13. Remarks: *814. Evaluator: Leslie J. Neumann *Date of Evaluation: February 2, 2004 (This space reserved for official comments.) Sketch Map r ) � ",j 5 fv+ZP Kennedy House 23n6 Nnrfh .rinnrnP.nn Street DPR 523B (1/95) *Required information 25A -38 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name or # (Assigned by recorder) Kennedy House *Recorded by Leslie J. Heimann, SAIC *Date February 2, 2004 0 Continuation ❑ Update *B10. Significance (continued): The Kennedy House is located in the Park Santiago neighborhood, near the present northern city limits of Santa Ana and substantially north of the original city core. The neighborhood is bounded by Santiago Creek and Park on the north, East Seventeenth Street on the south, North Lincoln Avenue on the east, North Main Street on the west, and the 1 -5 freeway on the southwest. In large part these boundaries reflect the transportation lines that were constructed towards the end of the nineteenth century and at the beginning of the twentieth century, when the Pacific Electric interurban railroad ran up Main Street, the Atchison, Topeka, and Santa Fe tracks followed Lincoln, and the Southern Pacific Railroad right -of -way mirrored the freeway route. This area remained primarily agricultural well into the 1920s. As of 1905, the city directories listed around twenty households on East Santa Clara, Twentieth Street, "C Street' (now North Santiago Street), North Bush Street and North Main Avenue, the only streets in the area at the time The vast majority of the residents were ranchers. By 1911, the number of households had increased to about thirty, and Edgewood Road and Valencia Street had been partially laid out, but most residents continued to list "rancher" or "fruit grower" as their occupation in the city directories. This pattern of land use was evident on the 1912 plat map of the City, which illustrated two small, Craftsman era subdivisions along Bush north of Santa Clara and on Valencia and Poinsettia south of Twentieth Street, with the remaining area divided into larger, agricultural parcels held by approximately forty landowners. While the area east of Santiago Street was not subdivided until after the mid- 1920s, most of the present day streets west of Santiago had been laid out when the City was mapped in 1923. Ranching continued to be the most prevalent occupation in the neighborhood, but increasing numbers of professionals, small business owners, merchants, and people in service professions such as painters, electricians, and carpenters made their homes in the western half of the neighborhood during the 1920s and 1930s. The area also attracted several city and county officials, including the City Attorney (Z. B. West, Jr, 321 East Santa Clara Avenue), County Supervisor, First District (C. H. Chapman, 2315 North Santiago Street), County Surveyor (E. H. Irwin, 2407 North Santiago Street), and County Auditor (William C. Jerome, 2422 Poinsettia Street). By April 1942, when the Sanborn Company first mapped the western half of the area, most of the lots had been improved with single- family homes, many in the revival styles popular during the 1920s and 1930s. Subsequent development of the eastern half of the neighborhood and infill construction in the western half displayed the simplified ranch style that emerged following World War 11. The Kennedy House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, for its representation of the distinguishing characteristics of the Craftsman style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of the Park Santiago neighborhood, and, as a highly intact, late Craftsman bungalow, "is a good example of period architecture." The Kennedy House displays the low - pitched gables, horizontal massing, and exposed structural features that were associated with the Craftsman style. Character- defining exterior features of the Kennedy House that should be preserved include, but may not be limited to sheathing (clapboard) and materials (art stone); roof configuration and detailing; massing; windows and doors; porch; architectural details (such as the porch posts and attic vents); and garage, *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York. Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. " Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Santa Ana and Orange County Directories, 1905 -1935. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. DPR 523L 25A -39 25A -40 REQUESTFOR HIST RI RESOURCES COMIMBSiON A nON RESCURCEES COMMSSUN MEFnW'JW:a DATE: NOVEMBER 20, 2014 TrrLE. PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -33, HISTORIC REGISTER CATEGORIZATION NO. 2014 -34, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -06 FOR PROPERTY LOCATED AT 2112 NORTH ROSS STREET {STRATEGIC PLAN NOS. 5, 2; 5,3) Prepared by Hally Soboleske H E OR RF WRCES MMISSMSECRETARY APPROVED El As Recommended 0 As Amended E.1 Set Public Hearing For CONTINUED TO interim Executive Direc.to Acting annin anager RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -33 and Historic Register Categorization No. 2014 -34. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Gary E. and Julie Humphreys, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Gary and Julie Humphreys are requesting approval to designate an existing residence located at 2112 North Ross Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 2,190 square foot, two -story Colonial Revival -style residence and detached garage on a 10,466 square foot residential lot located on North Ross Street between Santa Clara Avenue and West Nineteenth Street (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B3 25A -41 HRCA No. 2014- 33 /HRC No. 2014 -34 HPPA No. 2014 -06 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Bemis House, has distinctive architectural features of the Colonial Revival style, and was built in 1928 for Laurence W. and Gladys Bemis. Mr. Bemis was proprietor of the Tractor and Implement Company located originally at 1629 East First Street. The Bemis' were avid golfers and as members of the Santa Ana Country Club, both won golfing championships in the 1930s. Character defining features of the Bemis House that should be preserved include, but may not be limited to, exterior materials including wood lap siding, original windows, shutters, and fenestration pattern, massing and wood arch over the front door, and front door sidelights (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" because it "contributes to the overall character and history of the Floral Park neighborhood" and is a "good example of period architecture." Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -42 HRCA No. 2014- 33 /HRC No. 2014 -34 HPPA No. 2014 -06 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -145 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sobol ke Associate Planner HS:jm hsHstonc InfoM2014 HRClhrca14 -33 hrcl4 -34 hppal4 -06. hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -43 500' RADIUS HRCA NO. 2014 -33 & HRC NO. 2014 -34 HPPA NO. 2014 -06 2112 NORTH ROSS STREET BEMIS HOUSE PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY BEMIS HOUSE 2112 North Ross St. Santa Ana, CA 92706 NAME Bemis House REF. NO. ADDRESS 2112 North Ross Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1928 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Colonial Revival The most universal of all American domestic building styles, the Colonial Revival has been popular since the 1876 Centennial celebration in Philadelphia stimulated a patriotic interest in the American architectural past. Whether drawing upon Georgian, Federal, or Dutch Colonial prototypes, Colonial Revival buildings feature rectangular building plans and designs which are usually symmetrical, or at least highly regular and balanced, in composition. Roofs are commonly side - gabled, hipped, or gambreled, sometimes accented with dormers. Porches, one or two stories in height, are often included, mostly as central focal points, and frequently incorporate classical elements such as columns, pilasters, and entablatures. Doorways are adorned with classical surrounds and pediments; sidelights, transoms, and fanlights are not uncommon. Windows are typically double -hung sash, with multiple lights in the upper sash. French doors and Palladian windows are also utilized. Depending on location, Colonial Revival buildings have wood, brick, or stucco exteriors (McAlester, 320 -326). SUMMARY /CONCLUSION: The Bemis House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the combination of the Colonial Revival style in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 551: Individual property that is listed or designated locally. " . J State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI PRIMARY RECORD Trinomial NRHP Status Other Listings Review Code Reviewer or number (assigned by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication IsUnrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2112 North Ross Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 112 -18 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) This Colonial Revival, symmetrical styled home faces the east, and is capped by a steep shingled roof and sheathed in wood lap siding. Single hung windows with Iambs tongue details face the street, with heavy lintels and sills. Each six over six front window is situated between wooden shutters. The house has little to no eaves, but a brick chimney rises from the roofline. A wooden front door with sidelights faces the street directly in the middle of the fagade. The front door opening is crowned with a decorative wood fanned arch with a keystone and eagle adornment. A brick walkway extends from the sidewalk to the front porch, and a the front property line is enhanced with a river rock wall. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) East facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1928 *P7. Owner and Address: Gary and Julie Humphreys 2112 N. Ross St. Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 6, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone OLocation Map ❑Sketch Map ®Continuation Sheet mBuilding, Structure, and Object Record Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -46 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 mesource rvame or s: Juage Moen mouse 61. Historic Name: Bemis House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *65. Architectural Style: Minimal Traditional /Colonial Revival *66. Construction History: (Construction date, alterations, and date of alterations): Constructed 1928 November 21, 1928. Residence and garage. December 14, 1934. Rebuild fire damage. April 15, 1935. Window. October 1, 1943. Alteration to residence by Bemis. July 1, 1946. Addition to Residence by C.K. Tuttle, October 26, 1950. Addition to residence for C.K. Tuttle. February 6, 1984. Foundation for future patio. *B7. Moved? ■No 11Yes ❑Unknown Date: Original Location: *68. Related Features: None. B9a. Architect: Unknown b. Builder: William Bowman *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Bemis House is associated with Laurence W. and Gladys Bemis as the first owners and occupants. Mr. Bemis born in 1896 in Minnestoa, and was proprietor of the Tractor and Implement Company located originally at 1629 East First Street. The Bemis' were avid golfers and as members of the Santa Ana Country Club, both won golfing championships in the 1930's. They had one son, Laurence Jr. The LW. Bemis Company is still in operations at 930 East First as a saw sharpening and waste oil recycling business. Mr. Bemis died in 1984, and is buried at Fairhaven Cemetery. The house was sold in 1946 to C. K. Tuttle. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Hally Soboleske *Date of Evaluation: October 2014 (This space reserved for official comments.) DPR 5236 (1/95) *B10. Significance (continued): 25A -47 Sketch Map 2112 N. Ross St. '- 002- 112 -18 40 *Required information State of California— The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Bemis House *Recorded by Hally Soboleske *Date November 6, 2014 O Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Bemis House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco- styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park, Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Bemis House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive' because it "contributes to the overall character and history of the Floral Park neighborhood" and "is a good example of period architecture', (Municipal Code, Section 30 -2.2). Character defining features include of the Bemis House that should be preserved include, but may not be limited to, exterior materials including wood lap siding, original windows, shutters, and fenestration pattern, massing and wood arch over the front door, and front door sidelights. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998, Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation, "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lande Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4-7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com DPR 523L 25A-48 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -33 TO PLACE THE PROPERTY LOCATED AT 2112 NORTH ROSS STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -34 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -33) and categorization (Historic Resources Commission Categorization No. 2014 -34) of the Bemis House, located at 2112 North Ross Street, Santa Ana. B. The Bemis House has distinctive architectural features of the Colonial Revival style, and was built in 1928 for Laurence W. and Gladys Bemis. Mr. Bemis was proprietor of the Tractor and Implement Company. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it "contributes to the overall character and history of the Floral Park neighborhood" and is a "good example of period architecture ". D. Character - defining features of the Bemis House that should be preserved include, but may not be limited to, exterior materials including wood lap siding, original windows, shutters, and fenestration pattern, massing and wood arch over the front door, and front door sidelights. E. The legal owners of the subject property are Gary E. and Julie Humphreys. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -49 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. No further action is required. Categorical Exemption No. 2014 -145 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -33 to place the Bemis House, located at 2112 North Ross Street, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -34 placing the Bemis House, located at 2112 North Ross Street, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -50 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney AO- Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -51 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 112 -18 2112 North Ross Street Gary and Julie TRACT 788 LOT 36 AND Humphreys LOT 33 NLY 8.36 FT. THEREOF Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -52 REQUEST FOR Histodc (Resources Conviission Action HWORIC4'eBEXAJRCES' ._._. _.,...._......NEETNGPDAGRu':, NOVEMBER 6, 2014 1" ' t_E: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -07 FOR THE DR. D. WAYNICK HOUSE LOCATED AT 1908 NORTH FLOWER STREET {STRATEGIC PLAN NOS. 5, 2; 5, 31 prepared by Hally Soboleske HS"FORE RESOURCES COrAMBSKM SECREIARY APPROVED El As Recommended 1-.1 As Amended El Set Public. I-Bearing For CON-rW(..ED 1-0 Intedrn F.)wCL tine b r Acting iPiaru%oir7g Manager RECOMMENDED ACT110N Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with David Butts and Ellen Friedlander, property owners, for the structure located at 1908 North Flower Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, David Butts and Ellen Friedlander, request the approval of Historic Property Preservation Agreement No. 2014 -07 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a single story Mission /Spanish Colonial Revival residence and garage located at 1908 North Flower Street. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B4 25A -53 HPPA No. 2014 -07 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Dr. D. Waynick House and categorized as Key in November 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alianment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Soboske Associate Planner HS:jm hs\hlstonc infoVmills act agreementsV1908_N_ F1ower \hppa14 -07_ 1908_ N_Flower.hrc 25A -54 HPPA No. 2014 -07 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -55 r r �xr I r ra , /a .. . %% '✓Y' l / / � G/r /p / " / it � � � //f ..... . r/ l , '(pp r i r / j % /rr + r /.r r ✓l / /r, I / % /�ry ,ri %0 //% i �� /;� +/,r =ii% r / / /H% it SG /r %. r "" ,/ y +j I ✓/ %/i �� /� mM %/ +y / / // / � I " tttt ig r % r r j r t r IM Kvnmrvmynlr�i�w<rrvi++mtm` "r�,�,ro *n n�rrrrrrrrrrivnrwrmrr +�Y1Pifri9H�iwr�mnrr�.;. nrinn, �n„ rr�rcuulw", IYGiP�rrnr��nam�m, �mmi+ ��r' m' ra�rro ,��nurGllloii %r�i�igmrmntinni 6ImYnl /rtr /n�.rcArlrwr 500' RADIUS HPPA NO. 2014 -07 1908 North Flower Street Dr. D. Waynick House PLANNING AND BUILDING AGENCY y;' , EXECUTIVE SUMMARY WAYNICK HOUSE 1908 North Flower Street Santa Ana, CA 92706 NAME Waynick House REF. NO. ADDRESS 1908 N. Flower St. CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1930 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY /CONCLUSION: The Waynick House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Key" because it possesses "distinctive architectural style and quality;" of Santa Ana, and, its "association with a significant person (Dr. Dean Waynick) in the city. Municipal Code, Section 30 -2.2), EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. EXHIBIT 2 25AQ'5% State of California —The Resources Agency Primary #_ DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomial_ NRHP Status Other Listings__ Review Code Reviewer or number (assigned by recorder) Wavnick House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *b. USGS 7.5' Quad TCA 1725 *c. Address 1908 N. Flower Date *a. County Orange County Date: City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 399- 051 -10 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Waynick House is an unusual example of Mission /Spanish Colonial Revival style of architecture. It is rectangular in plan with a variety of assymetrical, articulated features. The structure is single story. The exterior stucco finish is a humpy bumpy texture that was hand applied. Roofing material is clay barrel tile, which although is appropriate, but does not appear to be original. The front elevationis unusual as it has onelarge picture window flanked by two small rectangular windows cover with ornamental grills.The primary entry is to the left, facing north, and is . The garage is detached and is in the same architectural style. The property is surrounded by a 5' tall hedge and wrought iron gate. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P51d. Photo: (view and date) East facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1930 *P7. Owner and Address: David Butts and Ellen Friedlander 1908 N. Flower Street Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 6, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None *Attachments: ❑None ❑Location Map ❑Sketch Map ■Continuation Sheet ®Building, Structure, and Object Record OArchaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) &k !U *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 rvesuurce name or s: vvaynICK nouse 31. Historic Name: Waynick House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *135. Architectural Style: Mission /SpanishColonial Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed 1930 September 29, 1930. Residence and garage. March 5, 1935. Alterations. July 11, 1949. Termite work for Manker. January 25, 1950. Remodel kitchen for Roy Smith. December 7, 1955. Fixture for H. Harrison. May 6, 1977. Open patio cover for Crawford Nalle. August 13, 2002. Addition. *137. Moved? NNo OYes ❑Unknown Date: Original Location: *138. Related Features: None. B9a. Architect: Unknown b. Builder: Bail and Honer. *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Waynick House was constructed for Dr. Dean Waynick and his wife, Berniece. Dr. Waynick was born in Iowa on November 27, 1893 and moved to California to attend college. He married Berniece in 1916, and graduated with a Ph.D. in chemistry from the University of Southern California. He established Associated Laboratories in Anaheim, California where he performed soil tests, and became the primary expert in the United States in citrus production. He was board member for both the Central Orange County Citrus Exchange and the California Fruit Growers, and was also a member of the Santa Ana Rotary Club. They had one son, Earl, born in 1926. Tragically, Dr. Waynick was killed in 1936 when his automobile was struck by a Pacific Electric train on Katella Avenue in Stanton. Mrs. Waynick committed suicide due to her grief in their Laguna Beach summer cottage. The Waynick House was then sold and exchanged hands several times after that. Associated Laborities remains in operation today. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: `1314. Evaluator: Hally Soboleske "Date of Evaluation: October 2014 DPR 5236 (1/95) Sketch Map CD Waynick House 1908N. Flower St. C) State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Waynick House *Recorded by Hally Sobo /eske *Date November 6, 2014 1XI Continuation ❑ Update *B10. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Waynick House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Waynick House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Mission /Spanish Colonial Revival style. Additionally, the house has been categorized as "Key" because it is an unusual and distinctive architectural style and quality' and its association with Dr. Dean Waynick, "a significant person in the history of the city ". (Municipal Code, Section 30 -2.2). Character defining features include of the Waynick House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, and roof tiles, original windows including the front window grills, massing, and articulation. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969, Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lands Holiday Home Tour, 1999." Brochure, Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L Page 4 of 4215A-60 REQUESTFOR Historic Resources Commission Action HV s ORC RESOURCES a-AAMISSM 4UfEEM -2 DATE: NOVEMBER 6, 2014 TITLE. HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -10 FOR THE ADDIS GARDNER HOUSE LOCATED AT 2223 NORTH FLOWER STREET (STRATEGIC PLAN NOS. 5, 2; 5, 3) Prepared by Hally Soboleske — — -- - -— _............. HIM= RESOURCES COMSSON SECRETARY APPROVED 0 As Recommended E] As Amended 0 Set PUbllc Nearing For f'(:DW NVJED TO Interim Executive a"; for ........ .... Acting 1 annrrvµ g Manager RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Henry L. Jenkins and Sally Ann Salisbury, property owners, for the structure located at 2223 North Flower Street, subject to non- substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Henry L. Jenkins and Sally Ann Salisbury, are requesting the approval of Historic Property Preservation Agreement No. 2014 -10 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Minimal Traditional /Colonial Revival- styled residence and garage located at 2223 North Flower Street. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B5 25A -61 HPPA No. 2014 -10 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Addie Gardner House and categorized as Contributive in October of 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental Sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Soboa ske Associate Planner HS:jm hs \historic info mills act agreements \2223_N_ Flower \hppa14- 10_2223NFlower.hrc 25A -62 HPPA No. 2014 -10 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -63 500' RADIUS H P PA- 2014 -10 2223 North Flower Street Addie Gardner House PLANNING AND BUILDING AGENCY T ,�, 1, EXECUTIVE SUMMARY ADDIE GARDNER HOUSE 2223 North Flower Street Santa Ana, CA 92706 NAME Addle Gardner House REF. NO. ADDRESS 2223 North Flower Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1940 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 5 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Minimal Traditional /Colonial Revival During the Great Depression through the immediate postwar years, the Minimal Traditional home rose in popularity as the preferred style for middle -class housing in the United States. This basic house type fulfilled both aesthetic and social needs: in terms of aesthetics, the form represented a stripped -down version of the historic - eclectic styles popular in the 1920s, in particular the Tudor and English Revival styles. In social terms, the Minimal Traditional home satisfied requirements in square footage and plan by the Federal Housing Administration (FHA), which launched a campaign in this period to expand home ownership. The Minimal Traditional home served as the prototype used by the FHA in its efforts to codify and manufacture "a standard, low -cost, minimum house that the majority of American wage earners could afford" (Greg Hise, Magnetic Los Angeles, p. 57). Minimal Traditional homes are typically rectangular in plan and one -story in height, often with a front - gabled wing and prominent attached chimney. In contrast with the English and Tudor Revival styles the one -story version mimics, the Minimal Traditional home is capped with a low or intermediate pitch roof with a hipped or side gable. Sheathing materials include stucco, brick, or wood, often accompanied by stone veneer accents. Fenestration generally consists of multi -light casement, double -hung, and picture windows with wood frames. The eaves and rakes of the Minimal Traditional home are typically shallow (in a departure from the later Ranch House style, which they often resemble). Although they have little applied ornament, many Minimal Traditional homes often display decorative wood shutters and porch -roof supports. SUMMARY /CONCLUSION: The Addle Gardner House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXHIBIT 2 2 A%f"A°f65 EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 5: Ineligible for the National Register, but still of local significance. It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. 553: Appears to be individually eligible for local listing or designation through survey evaluation r; _A.. State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Primary #_ HRI # Trinomial_ NRHP Status Reviewer or number (assigned by recorder) Addie Date P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2223 N. Flower Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 082 -08 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) This Minimal Traditiona /Colonial Revival styled home faces the south, and is "L' shaped and topped with an asphalt shingled roof. Wood clapboard siding decorates the gable ends. The structure is topped with asphalt shingles, and is clad in clapboard siding. The front entry is side facing with a small porch overhand upheld by 4" x 4" square posts. Single hung windows with wooden sills and Iambs tongue details face the street, each situated between wooden shutters. The eaves are narrow with exposed rafter tails. Between two of the front facing windows sits a wide brick chimney. Landscape is primarily California native plants with a mature Chinese elm present in the front yard. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure t70bject ❑Site ❑District ■Element of District ❑Other P5b. Photo: (view and date) West facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1940 *P7. Owner and Address: Henry L. Jenkins & Sally Ann Salisbuury 2223 North Flower Street Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: October 2, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None *Attachments: ❑None ❑Location Map ❑Sketch Map ®Continuation Sheet ■Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1195) r *Required information State of California —The Resources Agency Primary #_ DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 - Resource Name or V: Addie Gardner House B1. Historic Name: Addle Gardner House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *65. Architectural Style: Minimal Traditional /Colonial Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed 1940 Jan. 22, 1940. 6 room residence and garage by Floyd Rogers. July 21, 1954. One fixture for Addle Gardner. Sept. 26, 1966- Heater. Mar. 15, 1990. Partial reroof. *B7. Moved? ■No ❑Yes []Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Floyd B. Rogers *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single - family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Addle Gardner House was first occupied by Addle Gardner and her mother Anna Pendleton, both widows. Addie's father, Sanford Howard Pendleton was the founder of Pendleton Lumber Company in 1894. Mr. Pendleton died in 1911, and Addle's husband, Arthur was promoted to President of the company. The company was later sold to the Edwin K. Wood Lumber Company established in San Pedro for approximately $75,000. The E.K. Wood Lumber company is still in operation today. Mrs. Pendleton died in 1940 and is buried in the Santa Ana Cemetery. Approximately a decade later, Mrs. Gardner moved to a smaller apartment at 1605 North Flower Street while her daughter, Ruth Magowan and her husband Norbert moved into the house with their family. The house was sold to the Wayne and Eloise Boicourt in 1962. It was sold again in 1965 to Margaret Young. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: September 2014 (This space reserved for official comments.) Sketch Addle Gardner House 2223 North Flower Street r= 15) /Cl IC)IU co c!)koei�0,1 (o I I to tr _ j J (T U a {,Ra, l A� 1 e r o a r r,r �.0 �y n �J ) ri .� DPR 5238 (1195) *Required information 25A46!8 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Addle Gardner Hnuse *Recorded by Hally Soboleske `1310. Significance (continued): *Date October 2, 2014 ❑x Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Addle Gardner House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Addie Gardner House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Minimal Traditional /Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture' (Municipal Code, Section 30- 2.2). Character defining features include all exterior materials, roof configuration, original windows where extant, front facing chimney and porch configuration. *812. References (continued): Harris, Cyril M. American Architecture: An Illustrated Enc clo edia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated Histo y. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995, Whiffen, Marcus, American Architecture Since 1780, Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lands Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Encode Center." Orange County Geneological Society Quarterly, December 1993, pages 4-7, Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. DPR 523L 25A -f69 25A -70 REQUESTFOR ilistodc Resouirc C'orrimission AA lion H1,5N'C"MRE..""uoV1RCESC° 0MM- SON RMEEINGDATE: NOVEMBER 6, 2014 °f gTLE. HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -13 FOR THE MELLENTHIN HOUSE LOCATED AT 2340 N. NORTH PARK BOULEVARD {STRATEGIC PLAN NOS. 5, 2; 5, 3) Prepared by Hally Soboleske HSIUX RRX) JRCES4'OMMM" UN SEC RHARY APPROVED :] As Recommended As Amended C_1 Set Public. I°ir,;,wing For CONJINUE TO RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Ruth Lyons, property owner, for the structure located at 2340 N. North Park Boulevard, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicant, Ruth Lyons, requests the approval of Historic Property Preservation Agreement No. 2014 -13 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Monterey Revival styled residence and garage located at 2340 N. North Park Boulevard. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B6 25A -71 Interim Executive Diwlctor Acting Plann,�g IVAahager RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Ruth Lyons, property owner, for the structure located at 2340 N. North Park Boulevard, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicant, Ruth Lyons, requests the approval of Historic Property Preservation Agreement No. 2014 -13 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Monterey Revival styled residence and garage located at 2340 N. North Park Boulevard. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B6 25A -71 HPPA No. 2014 -13 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Mellenthin House and categorized as Key in November of 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 (Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Sobold§ke Associate Planner HS:jm hs \historic info \mills act agreements \2340_N_Park \hppa 14- 13_2340_N_Park.hrc 25A -72 HPPA No. 2014 -13 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -73 IAA ✓Afj��',. IP CGO HPPA NO. 2014 -13 2340 N. North Park Boulevard Mellenthin House PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY MELLENTHIN HOUSE 2340 North Park Boulevard Santa Ana, CA 92706 NAME Mellenthin House REF. NO. ADDRESS 2340 North Park Boulevard CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1930 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT North Broadway NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Monterey Revival The Monterey Revival style looks back to nineteenth century Monterey, California, when newly arrived immigrants from New England added American Colonial elements to the Spanish Colonial adobe buildings built by the first settlers. In the Monterey Revival, stucco exteriors, instead of adobe, are often combined with wood or brick. Windows are often multi - light, either double -hung sash or casements in type. Roofs are usually side - gables, with a front - gabled extension of one or two stories at one end. The vast majority of Monterey Revival buildings are two stories in height, and nearly all feature a cantilevered balcony, shaded by the overhang of the principal roof and enclosed with a wood or wrought iron railing, across most or all of the upper story fagade. Primarily a residential style, the Monterey Revival emerged in the late 1920s and reached the height of its popularity in 1930. SUMMARY/CONCLUSION: The Mellenthin House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as a structure with the distinguishing characteristics of an architectural style or period, the Monterey Revival (Municipal Code, Section 30 -2(a). Additionally, the house has been categorized as "Key' because it "has a distinctive architectural style and quality" as an example of the Monterey Revival style (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 2D2: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. EXHIBIT 2 p82MX 75 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Page Other Listings___ Review Code Primary HRI ff___ NRHP Status Reviewer or number (assigned by recorder) Mellenthin House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Date: *c. Address 2340 North Park Boulevard City Santa Ana Zip 92706 *e. Other Locational Data: 002-122-05 Tract: 425 Block: Lot: 215 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Monterey Revival styling characterizes the appearance of this two -story, single- family residence. Sheathed in stucco, the building is topped by a gabled roof whose rafters are exposed in the overhanging eves. The house is sited on a curved section of North Park Boulevard such that the 1"-shaped fagade is the northeast elevation. The right or north end of the fagade is the projecting leg of the "L, "and contains wood - framed, multi -light windows, flanked by shutters, on both stories. Extending southwest from this wing, an attached, partial- width, wood- railed balcony is nestled beneath an extension of the roof. A series of multi - light, shuttered windows and a French door open onto the balcony. Below it, the primary entry has a classically detailed surround and is accessed by a brick -paved walkway, steps, and open porch. Additional lower story windows are multi -paned and shuttered while an oval window, its surround accented by keystones at the compass points, is on the upper story left of the balcony. A brick chimney is attached to the south elevation. Other than re- roofing, the house appears to be unaltered. Lushly landscaped with a deep front setback typical of houses in the neighborhood, the property is in good condition. *133b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P51a. Photo: (view and date) 2014 *P6. Date Constructed /Age and Sources: ■historic 1930 /City of Santa Ana Building Permit *P7. Owner and Address: Ruth Lyons 2340 North Park Boulevard Santa Ana, CA 90206 *P8. Recorded by: Leslie J. Heumann, Hally Soboleske City of Santa Ana *P9. Date Recorded: October 20, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979. *Attachments: ONone ❑Location Map ❑Sketch Map ■Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1195) P2'A5-76 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 2D1 "Kesource Name or S: Mellenthin House B1. Historic Name: Mellenthin House B2. Common Name: Same B3. Original Use: Single - family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Monterey Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1930. September 15, 1930. Residence and garage by Roy Russell. $12,000. January 17, 1941. Alterations and repairs to residence. $850. A. 1. Mellanthin, owner. W H. Bowman, contractor. January 24, 1952. Reroof for B. D. Robinson. $90. January 18, 1983. Remodel kitchen cabinets, change windows and bath fixtures for Heidi Cates. $9,000. May 19, 1987. Pool and spa. *87. Moved? ■No OYes ❑Unknown Date: Original Location: *88. Related Features: None, B9a. Architect: Unknown b. Builder: Roy Russell *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: C/3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Mellenthin House is architecturally significant for its exemplification of the Monterey Revival style and historically notable for its association with banker Alfred I. Mellenthin. The house was constructed in 1930 for a then not insignificant cost of $12,000. A. 1, Mellenthin and his wife Fern, along with their daughter Betty, were the first residents. Born in 1885 in Minnesota, Alfred Ira Mellenthin devoted his career to banking. By 1910, he was an assistant cashier at the National Bank in Brown, Minnesota. When the 1920 Federal Census was taken, Mellenthin had relocated to Monrovia, California, where he held the position of bank vice - president. By mid - decade, he was president of the First National Bank in Monrovia. That institution was absorbed by the Bank of Italy, for whom Mellenthin became branch manager. Moving to Santa Ana, Mellenthin (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Leslie J. Neumann *Date of Evaluation: July 5, 2005 (This space reserved for official comments.) Sketch Map � p S Mellenthin House 4. 2340 N. North Park '� f r>.Slrs, n p l I No lsi li 1 ti 9 '• / d a.61). s U {3 e n ' re • ,� (} NO PS I ¢¢ II r eel a N.N. 16-IJ.JR / DPR 5238 (1195) 2%"'77 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial of 4 Resource Name or # (Assigned by recorder) Mellenthin House by Leslie J. Heumann, Hally Soboleske *Date October 20, 2014 0 Continuation ❑ Update *B10. Significance (continued): assumed the position of executive vice - president and cashier of the Commercial National Bank. He was elected president of the First National Bank in 1934 when it was consolidated with the Farmers and Merchants Savings Bank in 1934, serving in that capacity until he moved back to Monrovia in the early 1940s. At the time of his retirement in the 1950s, he was the vice - president of the main office of the Bank of America at Seventh and Spring Streets in downtown Los Angeles. During their residency in Santa Ana, the Mellenthins became prominent members of the community, Alfred as a business leader and Fern as an officer of the Assistance League Club of Santa Ana. Their daughter married politician Thomas Kuchel, who served in the U. S. Senate from 1954 to 1968. Mellenthin passed away in Monrovia in 1960. Bernard D. Robinson and his wife Lillis were the next owners and occupants of the property. Bernard was the proprietor of the Robinson Beauty Supply in downtown Santa Ana. The Robinsons resided on North Park Boulevard until at least 1960. The Mellenthin House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. 'When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45, 000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War II years, Floral Park continued its development as numerous, smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2014) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Mellenthin House has been determined eligible for listing in the National Register of Historic Places as a contributor to a North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower Street. Comprising the northern end of the Floral Park neighborhood, North Broadway Park was subdivided in 1923. The Keeper of the National Register found that: "North Broadway Park reflects the City Beautiful planning movement in Southern California during the early twentieth century. The vernacular adaptations of period revival styles, curvilinear street patterns, street furniture, and landscape combine to create a cohesive and pleasant middle class suburban neighborhood environment which is unique in the early historical development of the city of Santa Ana. "' Under the regulations implementing the California Register of Historical Resources, the Mellenthin House has been listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Monterey Revival style. Featuring the combination of Spanish Colonial Revival and American Colonial Revival styling that is the hallmark of the Monterey Revival, the house, built at the height of the style's popularity, incorporates the style's signature element, a cantilevered second story balcony. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, scale, and historic association with important members of the local business and social community. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality" as an example of the Monterey Revival style. All original exterior features of the Mellenthin House are considered to be character defining and should be preserved. These features include, but may not be limited to: height and massing, materials and finishes (stucco, wood, brick); roof configuration and treatment; design and composition, including L- shaped facade; brick chimney, porch and walkway; balcony; entry; original doors and windows; and architectural detailing (such as window and door surrounds). DPR 52a Determination of Eligibility, February 25, 1980.2 5A28 of 5 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or # (Assigned by recorder) Mellenthin House Kecorded by Leslie J. Neumann, Hally Soboleske *Date October 20, 2014 0 Continuation ❑ Update *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia, New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept, of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995, Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969, Alison Honer Dies at 84, "The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park. "(http: / /www ,floral- park.com/page2.html). Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens Volume I. Whittier, Historical Publishers, 1963, Armor, Samuel. History of Orange County. 1921. Pleasants, Mrs, J. E. History of Orange County. Los Angeles: J. R. Finnell & Sons Publishing Co., 1931. Vol.. 2, page 80 and Vol. 3, page 142, Santa Ana and Orange County Directories, 1932 -1960; Monrovia Directories 1923 -1955. Los Angeles Times, 1921 -1949 (Proquestcom, available at lapl.org), including: "New Bank for Crown City, "August 1, 1929. "Santa Ana Banks Will Be Merged, " February 9, 1934. "New Officers Elected for Santa Ana League, " March 10, 1937 A. L Mellenthin Funeral Held in Monrovia. " Pasadena Independent April 12, 1960. Santa Ana (Daily) Register, 1938 -1941 (newpapers.com) United States Federal Census 1900, 1910, 1920, 1930, 1940 (ancestry.com). Birth and Death Index, World War I Draft Registration, etc. ( ancestry.com) DPR 523L 2is/'1t9 25A -80 REQUESTFOR H11 TORS RESOURCES :OMMN ION ACTION H95t'0MCRF JRCSSC. VM9iEEIMDATE: NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO, 2014 -34, HISTORIC REGISTER CATEGORIZATION NO. 2014 -10, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -15 FOR PROPERTY LOCATED AT 2416 NORTH RIVERSIDE DRIVE {STRATEGIC PLAN NOS. 5,2; 5,3} Nepared by Hally Soboleske p V rORIC RESOURCES COMNIGSION SECRETARY APPROVED 0 As Recommended ❑ As Amended J Set Pubhc Hearing For CONI VNUEIJ TO interim Executive Director A¢ting F'I ninn anager RECOMMENDED AC"T"ION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -34 and Historic Register Categorization No. 2014 -10. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Joseph and Katherine Chally, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Joseph and Katherine Chally are requesting approval to designate an existing residence located at 2416 North Riverside Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 1,381 square foot, two -story French Eclectic -style residence and detached garage on a 6,500 square foot residential lot located on North Riverside Drive between Benton Way and Flower Street (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties, The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B7 25A -81 HRCA No. 2014- 34 /HRC No. 2014 -10 HPPA No. 2014 -15 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Mansur House, has distinctive architectural features of the French Electric style, and was built in 1926 for Mr. and Mrs. Lowell Huber. Character defining features of the Mansur House that should be preserved include, but may not be limited to, materials and finishes (stucco and wood); roof configuration, materials, and treatment; massing and composition; entry; doors and windows; architectural detailing (tower, dormer, moldings, attic vent, mullions, glazing patterns); chimney; and garage (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Landmark" because the residence has been determined to be eligible for the National Register, is listed in the California Register, has "unique architectural significance" as a highly intact example of the French Eclectic style, and contributes to a district that has "historical /cultural significance to the City" as an example of the City Beautiful planning movement. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The recommendations listed accomplish both actions concurrently. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -82 HRCA No. 2014 -34 /HRC No. 2014 -10 HPPA No. 2014 -15 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -134 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sob leske Associate Planner HS:jm hs\Historic Info \141120 HRC \hrca14 -34 hrc14 -10 hpp@14- 15.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -83 500' RADIUS HRCA NO. 2014- 34 /HRC NO. 2014 -10 HPPA NO. 2014 -15 2416 NORTH RIVERSIDE DRIVE MANSUR HOUSE PLANNING AND BUILDING AGENCY .' 4' EXECUTIVE SUMMARY MANSUR HOUSE 2416 NORTH RIVERSIDE DRIVE Santa Ana, CA 92706 NAME Mansur I -louse REF. NO. ADDRESS 2416 North Riverside Drive CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1926(-1927) LOCAL REGISTER CATEGORY: Landmark STORIC DISTRICT N/A NEIGHBORIl00D Floral Park LIFORNIA REGISTER CRITERIA FOR EVALUATION F 3 CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication E Unrestricted ❑ Prehistoric E Historic ❑ Both ARCHITECTURAL STYLE: French Eclectic The French Eclectic style, as its name implies, draws upon a variety of sources, from farmhouses to chateaus, for its inspiration. In general, steeply pitched hipped roofs are a key feature, both with and without gables, towers, and turrets. Exterior walls may be brick, stucco, or stone; half- timbered decoration is particularly associated with a "FrenchNornnandy" subtype. Depending on the prototype, compositions may be either symmetrical or asymmetrical. Typical details include dormers, flared eaves, multi -paned casement windows and doors ( "French doors "), and both flat - headed and arched openings. Both corners and window and door surrounds may be quoined. Popular in the 1920s and 1930s, the French Eclectic style in southern California was overshadowed by the Spanish Colonial, Tudor, and American Colonial revivals. SUMMARY /CONCLUSION: The Mansur House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as a structure with the distinguishing characteristics of an architectural style or period, the French Eclectic style. Additionally, the house has been categorized as "Landmark" because it has been determined eligible for the National Register, has been listed in the California Register, has "unique architectural significance" as a highly intact and rare in Santa Ana example of the French Eclectic style, and contributes to a district that has "historical/cultural significance to the City" as an example of the City Beautiful planning movement (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (,From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From. California Office of Historic Preservation, December 8, 2003.) 2D2: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI PRIMARY RECORD Code Other Review or number (assigned by P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b, LISGS 7.5' Quad Date: *c. Address 2416 North Riverside Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 064 -17 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Keynoted by a turret - topped, rounded bay, the design of this one -story, single - family residence displays French Eclectic styling. A steeply pitched, shingled, side - gabled roof is accented by the turret in the center of the facade, two front gables over the west half and a front - gabled, and a blind dormer over the east half of the facade. The steepness of the roof pitch is echoed by a tall and narrow, pointed -head, attic vent located in the larger of the two front gables. Simple moldings with no overhangs mark the meeting of the roof with stucco- and wood -clad exterior walls. A series of four narrow casement windows characterized by a distinctive fifteen- over -ten divided light pattern band the rounded bay. Immediately to the right (west), the smaller front gable tops the entry porch, accessed via an archway. Another arched opening, centered below the larger front - gable face, contains a large, multi- paned, tripartite window with a semi - circular transom. The east half of the facade features two flat - headed windows. A detached garage is in the rear of the property. Complemented by its landscaping, the house appears to be largely unaltered and is in good condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P5b. Photo: (view and date) North facing elevation October 2014 *P6. Date Constructed /Age and Sources: ®historic 1926 /City of Santa Ana Building Permit *P7. Owner and Address: Joseph and Katharine Chally 2416 N. Riverside Drive Santa Ana, CA 92706 *P8. Recorded by: Leslie J. Neumann, Hally Soboleske City of Santa Ana *P9. Date Recorded: November 10, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979. *Attachments: ONone ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -86 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 2D1 "Kesource Name or rf: Mansur House B1. Historic Name: Mansur House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *65. Architectural Style: French Eclectic *66. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1926 (- 1927). December 10, 1926. Residence and garage. $5,000. A. J. Mansur, owner. January 22, 1937. Reroof for E. M. Smiley, $40. January 3, 1939. Reroof for E. M. Smiley, $40. June 26, 1948. Reroof, $671. September 29, 1976. Extend garage for Mr. Harder, $1,600. September 3, 1991. Reroof garage without tear -off, $1,000. *B7. Moved? ■No DYes []Unknown Date: Original Location: *B8. Related Features: Garage. B9a, Architect: Unknown b. Builder: Unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: C/3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Mansur House is architecturally significant as one of the few examples of French Eclectic design in Santa Ana. It was built in 1926 -1927 at a cost of $5,000 for A. J. Mansur. No definitive information regarding Mansur was recovered; he apparently was only associated with the house no longer than a few years. In 1930 Lowell K. Huber and his wife Rave occupied the property. The Hubers, too, were only at this address briefly; by 1940 they had removed to their home state, Ohio, where Mr. Huber was in the concrete business. In 1933, newspaperman Mason Yould moved his family to this address. Previously, they had occupied two nearby homes, 2412 Riverside Drive and 2334 Bonnie Brae. The family included Yould, who worked his way up to the position of managing editor of the Santa Ana Register, his wife Nanyne, and two sons, Rodney (See Continuation Sheet 3 of 4.) 811. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Leslie J. Neumann *Date of Evaluation: November 20, 2014 (This space reserved for official comments.) 25A -87 Sketch Map N 2416 North Riverside Drive 002 - 064 -17 o `,yam State of California —The Resources Agency Primary if DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Mansur House - Kecoroeo oy Leslie J. Heumann, Hally Soboleske `Date November 11, 2014 CxJ Continuation ❑ Update DPR 5238 (1/95) *Required information *1310. Significance (continued): and Philip. A prominent citizen of Santa Ana, Yould was a past president of the Junior Chamber of Commerce, president of the Orange County Press club, and an active golfer and bowler. As editor, he both reported the news and wrote editorials; one column, regarding the draft in advance of America's entry into World War II, was read into the Congressional Record in 1940. The Youlds resided at 2416 North Riverside until at least 1940. Mrs. M. B. Thompson had moved in by 1947. The Mansur House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War II years, Floral Park continued its development as numerous, smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2014) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Mansur House has been determined eligible for listing in the National Register of Historic Places as a contributor to a North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower Street. Comprising the northern end of the Floral Park neighborhood, North Broadway Park was subdivided in 1923. The Keeper of the National Register found that: "North Broadway Park reflects the City Beautiful planning movement in Southern California during the early twentieth century. The vernacular adaptations of period revival styles, curvilinear street patterns, street furniture, and landscape combine to create a cohesive and pleasant middle class suburban neighborhood environment which is unique in the early historical development of the city of Santa Ana. "' Under the regulations implementing the California Register of Historical Resources, the Mansur House has been listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the French Eclectic style. The roof treatment, incorporating a turret,asymmetrical massing, and multi -paned windows are all hallmarks of this style. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, scale, and historic association with important members of the local business and social community. Additionally, the house has been categorized as "Landmark" because it has been determined eligible for the National Register, has been listed in the California Register, has "unique architectural significance' as an example of the French Eclectic style, and contributes to a district that has "historical /cultural significance to the City' as an example of the City Beautiful planning movement. All original exterior features of the Mansur House are considered to be character defining and should be preserved. These features include, but may not be limited to: materials and finishes (stucco and wood); roof configuration, materials, and treatment; massing and composition; entry; doors and windows; architectural detailing (tower, dormer, moldings, attic vent, mullions, glazing patterns); chimney; and garage. I PR 5231 L Determination of Eligibility, February 25, 1980.^ 5A -88 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or # (Assigned by recorder) Mansur House rtecoroeo Dy Leslie J. Heumann, Hally Soboleske "Date November 11, 2014 O Continuation 0 Update "B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann, Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994, McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. 'Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "812. References (continued): "Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park." http: / /www.floral- park.com /page2.htmi Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens, Volume I. Whittier, Historical Publishers, 1963, Armor, Samuel. History of Orange County. 1921. Pleasants, Mrs. J. E. History of Orange County. Los Angeles: J. R. Finnell & Sons Publishing Co., 1931. Vol.. 2, page 80 and Vol. 3, page 142. Santa Ana and Orange County Directories, 1923 -1947. (ancestry.com). United States Federal Census. 1910, 1920, 1930, 1940. (ancestry.com). Santa Ana Register, (1925- 1943). (newspapers.com) DPR 523L 25A -89 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -34 TO PLACE THE PROPERTY LOCATED AT 2416 NORTH RIVERSIDE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -10 PLACING SAID PROPERTY WITHIN THE LANDMARK CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -34) and categorization (Historic Resources Commission Categorization No. 2014 -10) of the Mansur House, located at 2416 North Riverside Drive, Santa Ana. B. The Mansur House has distinctive architectural features of the French Electric style of architecture and was built by A.J. Mansur with the first owner being Mr. and Mrs. Lowell Huber. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Landmark for its It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the French Eclectic style. The roof treatment, incorporating a turret, asymmetrical massing, and multi -paned windows are all hallmarks of this style. D. Character - defining features of the Mansur House that should be preserved include, but may not be limited to, materials and finishes (stucco and wood); roof configuration, materials, and treatment; massing and composition; entry; doors and windows; architectural detailing (tower, dormer, moldings, attic vent, mullions, glazing patterns); chimney; and garage. E. The legal owners of the subject property are Joseph and Katherine Chally 25A -90 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Landmark category pursuant to Section 30- 2.2(1) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -134 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -34 to place the Mansur House, located at 2416 North Riverside Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -10 placing the Mansur House, located at 2416 North Riverside Drive, Santa Ana, within the Landmark category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of .2014. Sean H. Mill Chairperson 25A -9 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission mem NOES: Commission mem ABSTAIN: Commission members NOT PRESENT: Commission mem CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -92 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 064 -17 2416 North Riverside Joseph and N TR 425 LOT 94 Drive Katherine Chally Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -93 25A -94 REQUEST FOR Historic Resources Comirnission Action H1570W RESOURCES aNNIS&ON MEETING INNG r7ATE NOVEMBER 6, 2014 THIE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -16 FOR THE JUDGE ALLEN HOUSE LOCATED AT 2415 NORTH BONNIE BRAE {STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske HISTOM RE " IRCES CCNVrihAOnS"iM SECRETARY APPROVED E] As Recommended [] As Amended El Set: Public Hearing For CONTINUED TO Interirrr F xr cutivE Lsi or Ad ring PIS Aping Manager RECOMMENDED DE.D ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Craig Hoffman and Elizabeth Hoffman, property owners, for the structure located at 2415 North Bonnie Brae, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Craig Hoffman and Elizabeth Hoffman, request the approval of Historic Property Preservation Agreement No. 2014 -16 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a single story Minimal Traditional /Colonial Revival- styled residence and garage located at 2415 North Bonnie Brae. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B8 25A -95 HPPA No. 2014 -16 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Judge Allen House and categorized as Key on October 2, 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 (Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act, the recommended action is exempt from further review under General Rule Section 15061(b)(3), and therefore, the recommended action is exempt from further review. A Notice of Exemption will be filed for this project. Hally Sobol ske Associate Planner HS:jm hs\historlc info \mills act agreements \2415_N_BonnieBrae \hppaI 4- 162415NBoMleBfae.h(c 25A -96 HPPA No. 2014 -16 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -97 HPPA- 2014 -16 2415 North Bonnie Brae Judge Allen House PLANNING AND BUILDING AGENCY a7 U • r EXECUTIVE SUMMARY JUDGE ALLEN HOUSE 2415 North Bonnie Brae Street Santa Ana, CA 92706 NAME Judge Allen House REF. NO. ADDRESS 2415 North Bonnie Brae CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1927 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 5 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Minimal Traditional /Colonial Revival During the Great Depression through the immediate postwar years, the Minimal Traditional home rose in popularity as the preferred style for middle -class housing in the United States, This basic house type fulfilled both aesthetic and social needs: in terms of aesthetics, the form represented a stripped -down version of the historic - eclectic styles popular in the 1920s, in particular the Tudor and English Revival styles. In social terms, the Minimal Traditional home satisfied requirements in square footage and plan by the Federal Housing Administration (FHA), which launched a campaign in this period to expand home ownership. The Minimal Traditional home served as the prototype used by the FHA in its efforts to codify and manufacture "a standard, low -cost, minimum house that the majority of American wage earners could afford" (Greg Hise, Magnetic Los Angeles, p. 57). Minimal Traditional homes are typically rectangular in plan and one -story in height, often with a front - gabled wing and prominent attached chimney. In contrast with the English and Tudor Revival styles the one -story version mimics, the Minimal Traditional home is capped with a low or intermediate pitch roof with a hipped or side gable. Sheathing materials include stucco, brick, or wood, often accompanied by stone veneer accents. Fenestration generally consists of multi -light casement, double -hung, and picture windows with wood frames. The eaves and rakes of the Minimal Traditional home are typically shallow (in a departure from the later Ranch House style, which they often resemble). Although they have little applied ornament, many Minimal Traditional homes often display decorative wood shutters and porch -roof supports. SUMMARY /CONCLUSION: The Judge Allen House qualifies for listing in the Santa Ana Register of Historical Properties exemplification of the distinguishing characteristics of the Minimal Traditional /Colonial Revival house has been categorized as "Key" because it "has a distinctive architectural style and quality" a significant person in the city' (Municipal Code, Section 30 -2.2). EXHIBIT 2 P Pe -99 under Criterion 1 for its style. Additionally, the and, is "associated with EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 5: Ineligible for the National Register, but still of local significance. It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. 553: Appears to be individually eligible for local listing or designation through survey evaluation 2vAA 00 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI #_ PRIMARY RECORD Trinomi, NRHP Status Code Other Listings Review Code Reviewer Date rce name(s) or number (assiqned by recorder) Judae Allen House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2415 North Bonnie Brae City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 121 -14 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) This Minimal Traditional /Colonial Revival styled home faces the south, and is "L' shaped and topped with a shingled roof and shed roof dormer. The structure is topped with a shed roof dormer and asphalt shingles, and is clad in clapboard siding. Single hung windows with lambs tongue details face the street, each situated between wooden shutters. The eaves are narrow with exposed rafter tails. A heavy wooden front door also faces the street with wood trim. Between two of the front facing windows sits a wide brick chimney. A brick walkway extends from the sidewalk to the front porch, along with a brick planter surrounding a very mature eastern white pine tree. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) South facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1927 *P7. Owner and Address: Craig and Elizabeth Hoffman 2415 N. Bonnie Brae Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: October 2, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ❑None ❑Location Map ❑Sketch Map ■Continuation Sheet ■Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1195) 25A9eld 1 *Required information � ' � ��� F �;�'!� , liw,�l!"r4¢J�^9Y��4!'I ^, �� � a tlll � ➢ ,,, �, /7r �-' v /� i 0 i i u rvf 0 � 1 ,af / �• r�nm�uu� 4 � aN y xrrvm. u �' 1 *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) South facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1927 *P7. Owner and Address: Craig and Elizabeth Hoffman 2415 N. Bonnie Brae Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: October 2, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ❑None ❑Location Map ❑Sketch Map ■Continuation Sheet ■Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1195) 25A9eld 1 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 'Kesource Name or #: Judge Alien House B1. Historic Name: Judge Allen House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *85. Architectural Style: Minimal Traditional /Colonial Revival *66. Construction History: (Construction date, alterations, and date of alterations): Constructed 1927 March 15, 1927. Residence and garage by James L. Allen valued at $6,000. April 3, 1933. Rebuild chimney. November 3, 1954. Disposal and dishwasher for M.A. Rickett. July 25, 1958. Fixture for J. Rickert. *B7. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *B8. Related Features: None. 139a. Architect: Unknown b. Builder: unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Judge Allen House is associated with Judge James L. Allen and his wife Alys as the first owners and occupants. Judge Allen presided over the County of Orange Superior Court Department One for more than a decade. He was born in Kansas, and went to school in Oklahoma. After marrying, he and Alys moved to Brawley, California where he would begin to practice law. In 1923, they moved to Santa Ana, and by 1927, he received appointment to Superior Court Judge by the newly elected governor, C.C. Young. Judge Allen retired in 1947. Sometime after 1950, the couple moved to San Diego and Mervin Porter purchased the home. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Hally Soboleske *Date of Evaluation: September 2014 DPR 5238 (1/95) (This space reserved for official comments.) *610. Significance (continued): �f 115,&a 2 Sketch Map Judge Allen House 2415 N. Bonnie Brae afi r L I _J 7 �rmation \ � 1 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Judge Allen House Recorded by Hally Soboleske *Date October 2, 2014 ❑Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Judge Allen House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920, Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981), The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War 11 years, Floral Park continued its development as numerous smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Judge Allen House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Minimal Traditional /Colonial Revival style. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality ", and, is "associated with a significant person in the city' (Municipal Code, Section 30 -2.2). Character defining features include all exterior materials, roof configuration, original windows where extant, front facing chimney and distinctive front door. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lando Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Genealogical Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. DPR 523L 26A%5tD3 25A -104 NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -04, HISTORIC REGISTER CATEGORIZATION NO. 2014 -04, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -17 FOR PROPERTY LOCATED AT 2139 NORTH FLOWER STREET {STRATEGIC PLAN NOS. 5, 2; 5,31 Prepared by Rally Soboleske APPROVED • As Recommended • As Amended • Set Public I °fearing For CONTINUED TO k� 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Edward Allen Murashie and Linda June Grant, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Edward Allen Murashie and Linda June Grant are requesting approval to designate an existing residence located at 2139 North Flower Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 2,400 square foot, two -story Monterey Variant -style residence and detached garage on a 9,147 square foot residential lot located on North Flower Street between Santa Clara Avenue and Nineteenth Street (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B9 25A -105 HRCA/HRC No. 2014 -04 HPPA No. 2014 -17 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Dr. H.B. Nall - Belisle House, has distinctive architectural features of the Monterey Variant style, and was built in 1937 for Dr. H.B. Nall and his wife, Frances. Dr. Nall was a dentist with an office at 809 North Main Street. He graduated from the University of Southern California. Character defining features of the Dr. H.B. Nall - Belisle House that should be preserved include, but may not be limited to, exterior materials, wood windows, balcony configuration and style, and fenestration patterns (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is "a good example of period architecture." Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -106 HRCA /HRC No. 2014 -04 HPPA No. 2014 -17 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -131 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hal y Sobo eske Associate Planner HS:jm WHistoric Info \112014 HRC \hrca -hrc14 -04 hppaI4- 17.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -107 0 �k �f ffe-0�n !lll ,R!J,IfJ/ll�f�� 71�igi YJaI i%fV6Yith.. hr✓atll ."�- �f.,: �� „,�,.� (dam,.. ill oil r jjjjjjjj r r' x al lvu / O/r �j % I 6r , ✓ / / //r Y ��; /r . r //% or / /1 /% / mi/ µ 500' RADIUS HRCA /HRC NO. 2014 -04 HPPA NO. 2014 -17 2139 NORTH FLOWER STREET DR. H.B. NALL HOUSE PLANNING AND BUILDING AGENCY 711 =046 EXECUTIVE SUMMARY DR. H.B. NALL- BELISLE HOUSE 2139 North Flower Street Santa Ana, CA 92706 NAME Dr. H.B. Nall - Belisle House REF. NO, ADDRESS 2139 North Flower Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1937 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT Floral Park NEIGHBORHOOD Floral CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE I 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Monterey Variant The Monterey style variant is an eclectic mix of Spanish Colonial houses with Colonial Revival details. Its most defining characteristic is the broad second story balcony, usually cantilevered and covered by the main roof. While ceramic tiles were common in this variant, many roofs have wood shingles. SUMMARY /CONCLUSION: The Dr. H.B. Nall - Belisle House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Monterey Variant style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" Santa Ana, and, as an intact example of a Craftsman bungalow in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. EXHIBIT 2 25A -109 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings_ _ .._.._ Review Code Primary HRI # Trinomial_ NRHP Status Pane 1 of 4 Resrrirre namersl nr number rassinned by recnrderl P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2139 N. Flower Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 082 -15 *P3a. Description: (Describe resource and its major elements, Include design, materials, condition, alterations, size, setting, and boundaries.) The Dr. H.B. Nall- Belisle House is designed in the Monterey Variant style of architecture. True to the style, the structure is tow storied with a balcony at the second story. Massing is assymetrical, and the exterior material is stucco and composition shingle. The house has exposed rafter tails. Windows all appear to be original, constructed of wood and single hung with a lanbstongue feature. The front facing bay includes a large, twelve paned picture window. A red brick chimney rises above the roofline on the left side of the house. The second story has a large front facing balcony supported by 4" x 4" beams, and has rectangular balusters. A front yard courtyard is formedfrom five foot pilasters with globe lights mounted atop each. A two car garage site to the rear of the property. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure OObject OSite DDistrict ■Element of District ❑Other Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) West facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1937 *P7. Owner and Address: Edward A. Murashie and Linda J. Grant 2139 N. Flower Street Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: *Attachments: ONone DLocation Map OSketch Map ®Continuation Sheet ■Building, Structure, and Object Record DArchaeological Record DDistrict Record DLinear Feature Record DMilling Station Record ORock Art Record DArtifact Record OPhotograph Record D Other (list) DPR 523A (1195) 25A -110 *Required information SH.B. Nall of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI #_____.._.... .... ..... __ BUILDING, STRUCTURE, AND OBJECT RECORD Paqe 2 of 4 *NRHP Status Code 5S3 *Resource Name or #: Dr. H.B. Nall- Belisle House B1. Historic Name: Dr. H.B. Nall - Belisle House B2. Common Name: Same B3. Original Use: Single - family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Mission /SpanishColonial Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 November 14, 1936. Residence and garage, $7,000. June 4, 1947. Elecrical stove installed. December 3, 1951. Recreation room. October 21, 1985 Pool and deck. June 26, 1991. Partial reroof. *B7. Moved ? .No ❑Yes ❑Unknown Date: Original *B8. Related Features: None. 69a. Architect: Unknown b. Builder: Emmett Rogers *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Dr. H.B. Nall - Belisle House is constructed in the Monterey Variant. Dr. Nall was a dentist with offices at 809 N. Main Street. His wife's name was Frances. He graduated from the University of Southern California. His son, also named Hubert, also attended that school, and went into practice with his father in Santa Ana. The Nall family was active in the community and frequently hosted dinner parties. They vacationed extensively on Balboa Island. Mr. Nall passed away in 1962. Harvey Belisle next lived in the home. Mr. Belisle opened Belisle's Restaurant across the street from Disneyland in 1955. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5238 (1195) 25A -111 Sketch Map ®o 2139 N. Flower Street r - 002- 182 -15 ,rear ew ra4cr J a I- !07 n O` S n G r; CD } (o O O CJ O Ca; t7 n r L *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: N.B. Nall - Belisle House *Recorded by Hally Soboleske *Date November20, 2014 0 Continuation 0 Update *1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Dr. H.B. Nall - Belisle House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Dr. H.B. Nall - Belisle House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Monterey Variant style. Additionally, the house has been categorized as "Contributive' because it is a "good example of period architecture (Municipal Code, Section 30 -2.2). Character defining features include of the Dr. H.B. Nall House that should be preserved include, but may not be limited to, exterior materials, wood windows , balcony configuration and style, and fenestration patterns. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lande Holiday Home Tour, 1999." Brochure, Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 26A-1 12 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -04 TO PLACE THE PROPERTY LOCATED AT 2139 NORTH FLOWER STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -04 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -04) and categorization (Historic Resources Commission Categorization No. 2014 -04) of the Dr. H.B. Nall House, located at 2139 North Flower Street, Santa Ana. B. The Dr. H.B. Nall House has distinctive architectural features of the Monterey Variant style, and was built in 1937 for Dr. H.B. Nall. Dr. Nall was a dentist with an office at 809 N. Main Street. His wife's name was Frances. He graduated from the University of Southern California. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D, Character - defining features of the Dr. H.B. Nall House that should be preserved include, but may not be limited to, exterior materials, wood windows , balcony configuration and style, and fenestration patterns. E. The legal owners of the subject property are Edward Allen Murashie and Linda June Grant. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -113 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -131 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -04 to place the Dr. H.B. Nall House, located at 2139 North Flower Street, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -04 placing the Dr. H.B. Nall House, located at 2139 North Flower Street, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -114 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission ABSTAIN: Commission NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Itt Commission Secretary City of Santa Ana 25A -115 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 082 -15 2139 North Flower Edward Allen Tract 879 Lot 3 S 35 feet Street Murashie and thereof (Lot 4 North 15 feet Linda June thereof) Grant Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -116 REQUEST FOR HI TOW RESOURCES COMMISSION ACTION HMO= RESOURCES (X)M MEETIC'Md DATE': NOVEMBER 20, 2014 TITLE. PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -05, HISTORIC REGISTER CATEGORIZATION NO. 2014 -05, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -18 FOR PROPERTY LOCATED AT 2438 NORTH HELIOTROPE DRIVE {STRATEGIC PLAN NOS. 5, 2; 5,3} Prepared by Hally Soboleske ......................_........__....._.._....-------_..._.__............ - HiSTOR1CRteNRCESC4 MI SECRETARY APPROVED As Recommended * As Amended Set Public Hearing For C:'ONTINUED TO CALk _... ......... -- - ..._........ -- Interim Executive Dire for Acting PI nning anager__.._ RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -05 and Historic Register Categorization No. 2014 -05. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Lynda A. Yana, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Lynda A. Yana is requesting approval to designate an existing residence located at 2438 North Heliotrope Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Proiect Location and Site Description The subject property consists of a 1,507 square foot, one -story Spanish Colonial Revival -style residence and detached garage on a 6,890 square foot residential lot located on North Heliotrope Drive between Benton Way and Flower Street (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B10 25A -117 HRCA No. 2014- 27 /HRC No. 2014 -28 HPPA No. 2014 -41 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the McKamy House, has distinctive architectural features of the Tudor Revival style, and was built in 1935 for Elton and Alice McKamy. Mr. McKamy was a wholesale grocer and Mrs. McKamy was a member of the Santa Ana Municipal Chorus. Character defining features of the McKamy House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, second story massing, and original front door (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" because it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -118 HRCA No. 2014- 27 /HRC No. 2014 -28 HPPA No. 2014 -41 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -143 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental Sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Solb�Ieske Associate Planner HS:jm hsffstoric info \112414 HRMrca 14 -27 hrc14 -28 hppa14- 41.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -119 11 HRCA NO. 2014- 27 /HRC NO. 2014 -28 HPPA NO. 2014 -41 2510 N. NORTH PARK BOULEVARD McKAMY HOUSE PLANNING AND BUILDING AGENCY I „ 1 EXECUTIVE SUMMARY MCKAMY HOUSE 2510 N. North Park Boulevard Santa Ana, CA 92706 NAME McKamy House REF. NO. ADDRESS 2510 North North Park Boulevard CITY Santa Ana ORANGE COUNTY YEAR BUILT 1935 CATEGORY: Contributive ECALIFORNIA HISTORIC DISTRICT N/A Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 TER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Tudor Revival The Tudor Revival looked to medieval England for its inspiration. Signature features of the style include steeply pitched gables; decorative half- timbering; arched openings, often Tudor or Gothic in form; asymmetrical arrangements of building features; tall brick chimneys; and picturesque windows of leaded glass or diamond patterned lights. The more ambitious examples of the Tudor Revival were executed in brick or even stone; however, stucco over wood frame is quite common in the forgiving climate of southern California. The Tudor Revival was favored primarily for residential buildings, although small scale commercial buildings in the style also occur. Born in the late 19th century, the Tudor Revival was associated with some Craftsman era building but was most popular during the 1920s and 1930s. SUMMARY /CONCLUSION: The Conklin House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Tudor Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the combination of the Tudor Revival style in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. ex2RA2121 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Resource name(s) or number (a Primary # HRI # Trinomial NRHP Status Reviewer gned by recorder) N P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2510 N. North Park Blvd. City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 050 -09 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The McKamy House is Tudor Revival style of architecture and is basically "L" shaped in plan and two- storied. It has a single front facing bay with a cross gabled roofline. It is clad in stucco and topped with composition shingle. The front facing bay is steeply pitched and the gable end is ornamented with half timbering and an arched, gothic attic vent. Common to the style, a large picture window is centered on the bay, and is flanked by two decorative shutters. Other windows are wood, in a four - over -four configuration. A stuccoed wall forms a courtyard in the front yard. The driveway is concrete, but the walkway beside it is paved with brick, as is the courtyard. The front entry faces eastward, and the front door is a heavy gridded medieval style. A two car garage sites behind an arched wood gate in the rear of the lot. The property is in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District 1111111 Element of District ❑Other Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) North facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1935 *P7. Owner and Address: Craig Emmons Kalthoff and Franklyn R. Patti 2510 N. North Park Blvd. Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: *Attachments: ❑None ❑Location Map ❑Sketch Map ®Continuation Sheet IS Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1 /95) 25A -122 *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 "Kesource Name or v: McKamy House B1. Historic Name: McKamy House B2, Common Name: Same 131 Original Use: Single - family Residence B4. Present Use: Single- family Residence *135. Architectural Style: Tudor Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed 1935 August 14, 1935. Residence and garage for E.L. McKamy $5,000 May 27, 1937. Dormer on the roof. July 20, 1945. One fixture for H. Wallace. *B7. Moved? ■No OYes ❑Unknown Date: Original Location: *138. Related Features: None. B9a, Architect: Unknown b. Builder: Unknown *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The McKamy House was constructed Elton and Alice McKamy. Elton was a wholesale grocer, and Alice was a housewife. Alice was also a member of the Santa Ana Municipal Chorus. They were known for their lavish parties held at the home, from bridge parties to weddings, the McKamy's House was always busy. They were married in 1916 in Montana, but the newlyweds quickly moved to Santa Ana. The McKamy's had one child, Jean. Jean was married at the house on August 24, 1940 to Abraham Burgsetter. By the mid 1940's, the McKamy's sold the home to H. Wallace. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5238 (1195) 25A -123 Sketch Map 2510 N. North Park Blvd. 002 - 073 -04i _r *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: McKamy House _ -- *Recorded by Hally Soboleske *Date November 20, 2014 ® Continuation ❑ Update *810. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The McKamy House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The McKamy House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive' because it is a "good example of period architecture'. (Municipal Code, Section 30 -2.2). Character defining features include of the McKamy House that should be preserved include, but may not be limited to, exterior materials, wood windows and fesestration patterns, second story massing, and original front door. *812. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lande Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Societv Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2S " -124 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11 /06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -27 TO PLACE THE PROPERTY LOCATED AT 2510 N. NORTH PARK BOULEVARD, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -28 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -27) and categorization (Historic Resources Commission Categorization No. 2014 -28) of the McKamy House, located at 2510 N. North Park Boulevard, Santa Ana. B. The McKamy House has distinctive architectural features of the Tudor Revival style, and was built in 1935 for Elton and Alice McKamy. Mr. McKamy was a wholesale grocer and Mrs. McKamy was a member of he Santa Ana Municipal Chorus. . C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is a good example of period architecture. D. Character - defining features of the McKamy House that should be preserved include, but may not be limited to, exterior materials, wood windows and fesestration patterns, second story massing, and original front door. E. The legal owners of the subject property are Craig Emmons Kalthoff and Franklyn Russell Patti. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -125 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -143 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -27 to place the McKamy House, located at 2510 N. North Park, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -28 placing the House, located at 2510 N. North Park Boulevard, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -126 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -127 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 050 -09 2510 N. North Park Craig Emmons N TR 754 BLK LOT 48 TR Boulevard Kalthoff and 754 LOT 48 SELY 50 FT Franklyn Russell Patti Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -128 REQUEST is HISTORIC zmpm NOVEMBER 20, 2014 TITLE: PUBLIC HEARING - HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -08, HISTORIC REGISTER CATEGORIZATION NO. 2014 -08, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -19 FOR PROPERTY LOCATED AT 501 WEST 19TH STREET {STRATEGIC PLAN NOS. 5, 2; 5,3} Prepared by Hally Soboleske _ APPROVED • As Recommended • As Amended • Set Public Hearing For CONTINUED TO Interim Executive �Dir < for - - Actin ., �, 9 Pla f � it g Manager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -08 and Historic Register Categorization No. 2014 -08. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Janet Tidgewell, acting on behalf of the Tidgewell Family Trust, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Janet Tidgewell is requesting approval to designate an existing residence located at 501 West 19th Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Proiect Location and Site Description The subject property consists of a 1,868 square foot, one -story Mission /Spanish Revival style residence and detached garage on an 11,994 square foot residential lot located on West 19th Street between Greenleaf and Ross Streets (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical EXHIBIT B11 25A -129 HRCA/HRC Nos. 2014 -08 HPPA No. 2014 -19 November 20, 2014 Page 2 property any building or part thereof, object, structure, or site having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Lacy- Murray House, has distinctive architectural features of the Mission /Spanish Colonial Revival style, and was built in 1923 for Laura Lacy- Murray. Mrs. Lacy - Murray was born in 1877 and was the daughter of John and Eliza Lacy, niece to Theo Lacy, the second and fourth Sheriff of Orange County. Laura married James Murray, a policeman for the City of Santa Ana. Laura herself was an independent woman and was in charge of the City Water Department. In 2000, the home was sold to Michael Ness, a member of the punk rock band, Social Distortion. Character defining features of the Lacy - Murray -Ness House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, and clay roof tiles capping the parapet, original windows and original front entry door, side entry gate, massing, and articulation (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Key" for its association with several "significant persons to the city," and is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: 25A -130 HRCA/HRC Nos. 2014 -08 HPPA No. 2014 -19 November 20, 2014 Page 3 • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -126 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sobgloske Associate Planner HS:jm WHistoric Info \141129 HRC \hrca- hrc14 -08 hppa14- 19.hrc 25A -131 HRCA/HRC Nos. 2014 -08 HPPA No. 2014 -19 November 20, 2014 Page 4 Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -132 500' RADIUS HRCA /HRC NO. 2014 -08 HPPA NO. 2014 -19 501 WEST 19T" STREET LACY - MURRAY -NESS HOUSE PLANNING AND BUILDING AGENCY 761 < EXECUTIVE SUMMARY LACY- MURRAY HOUSE 501 West 19th Street Santa Ana, CA 92706 NAME Lacy- Murray House REF. NO. ADDRESS 501 West 19th Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1923 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY /CONCLUSION: The Lacy- Murray House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality" and for its association with the Lacy and Murray families.(Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. * California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. EXHIBIT 2 25A -134 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Paqe 1 Other Listings Review Code Primary HRI # Trinomial_ NRHP Status or number (assigned by recorder) Date P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 501 W. 19th Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002- 104 -04 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Lacy- Murray House is a modest example of the Mission /Spanish Colonial Revival style of architecture. Basically "L" shaped in plan, the house is sheathed in smooth stucco, and it has a flat roof with clay tile along the parapet. Two concrete steps lead to the heavy wood front door with a shed roof, tiled roof shielding the front entry. The facade is assymetrical with a garden wall creating a courtyard front yard space. A wood side gate with arched entry leads to the rear yard. The landscape is lush with several mature palm trees in several varieties. The property is in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single - family Property *P4. Resources Present: ■Building ❑Structure ❑Object DSite ❑District ■Element of District ❑Other Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) South facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1923 *P7. Owner and Address: Janet Tidgewell of the Tidgewell Family Trust 501 West 19th Street Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: *Attachments: ONone DLocation Map OSketch Map ■Continuation Sheet ■Building, Structure, and Object Record DArchaeological Record DDistrict Record DLinear Feature Record ❑Milling Station Record ORock Art Record DArtifact Record DPhotograph Record D Other (list) DPR 523A (1/95) 25A -135 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD *Resource Name or #: Lacy- Murray House B1. Historic Name: Lacy - Murray House B2. Common Name: Same B3, Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Mission /SpanishColonial Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 August 1923. Residence and garage. Mrs. Laura L. Murray. $6,000 September 10, 1937. Reroof. July 14, 1953. Add room and bath, 18'x20' addition to garage. August 3, 1953. Plastering for W. Cole. May 28, 1956. Addition to bedroom by Walter Cole. *B7. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *'B8. Related Features: None. 69a. Architect: Unknown b. Builder: Unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C, CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Lacy - Murray House was built in 1923 for Mrs. Laura Murray. Mrs. Murray was born on April 17, 1877, and was the daughter of John and Eliza Lacy, niece to Theo Lacy, the second and fourth Sheriff of Orange County. Her father was a surgeon for the confederates during the civil war. He was also a founding member of the Santa Ana Hospital who performed some of the first surgeries in the region. After his death in 1913, mother Eliza and sister Margaret moved in with Laura and her new husband, James Murray. James was a policeman for the City of Santa Ana. Laura herself was an independent woman and was in charge of the City Water Department, quite a feat for a female at the time. James was also an active member of the Knights of Pithias and the Elks Lodge. The house was sold to the Walter Cole Trust in 1945. It was sold to Michael Ness in 2000. Mr. Ness sold the house to Ms. Tidgewell in 2005. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Lacy- Murray House Sketch Map Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps 501 W. 19th St. (See Continuation Sheet 4 of 4.) '" n ' � a Vale! ® G ; B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 0 e '.w; &7�' !Q. OO O O © O O' '0 000OOC� m ®O m ,oa , ®9 C q sw DPR 5238 (1/95) arrow equ,rea,m - *B10. Significance (continued): 25A -136 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Pane 3 of 3 Resource Name: Lacv - Murrav House *Recorded by Hally Soboleske *Date November 20, 2014 1K Continuation 0 Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Lacy- Murray House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Lacy- Murray House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Mission /Spanish Colonial Revival style. Additionally, the house has been categorized as "Key" because it is a "has a distinctive architectural style and quality ". (Municipal Code, Section 30- 2.2). Additionally, it is categorized as Key due to its association with the Lacy and Murray families. Character defining features include of the Lacy- Murray House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, and clay roof tiles capping the parapet, original windows and original front entry door, side entry gate, massing, and articulation. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated Histo y. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lande Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2$A -137 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -08 TO PLACE THE PROPERTY LOCATED AT 501 WEST 19TH STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -08 PLACING SAID PROPERTY WITHIN THE KEY CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -08) and categorization (Historic Resources Commission Categorization No. 2014 -08) of the Lacy- Murray House, located at 501 West 19th Street, Santa Ana. B. The Lacy- Murray House has distinctive architectural features of the Mission /Spanish Revival style, and was built in 1923 for Laura Lacy - Murray. Mrs. Lacy- Murray was born on April 17, 1877, and was niece to Theo Lacy, the second and fourth Sheriff of Orange County. Laura married James Murray, a policeman for the City of Santa Ana. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Key for its "good example of period architecture." D. Character - defining features of the Lacy- Murray House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, and clay roof tiles capping the parapet, original windows and original front entry door, side entry gate, massing, and articulation. E. The legal owner of the subject property is Janet Tidgewell on behalf of the Tidgewell Family Trust. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -138 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Key category pursuant to Section 30- 2.2(2) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -126 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -08 to place the Lacy- Murray House, located at 501 West 19th Street, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -08 placing the Lacy- Murray House, located at 501 West 19th Street, Santa Ana, within the Key category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -139 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission membe NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY 1, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -140 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 -103 -19 501 West 19th Street Janet Tidgewell Tract 879 Lot 3 S 35 feet thereof (Lot 4 North 15 feet thereof) Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -141 25A -142 REQUEST FOR HISTORIC RESOURCES O MMISSI N ACTION HR51"OFM RES llRCE' S COMMSSION MEFTIM3 DAI : NOVEMBER 20, 2014 TITLE, PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -06, HISTORIC REGISTER CATEGORIZATION NO. 2014 -06, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -20 FOR PROPERTY LOCATED AT 1812 NORTH ROSS STREET {STRATEGIC PLAN NOS. 5,2; 5,3} Prepared by Hally_Soboleske d8 s u " ORK, RESOURCES COMMON F.. CRr:TAG Y APPROVED E] As Recommended • As Amended • Set Public; Hearing For CONTINUED M lnterim Executive Sirectm Actin Planni Manager RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -06 and Historic Register Categorization No. 2014 -06. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Mark and Kathleen Lunetto, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Mark and Kathleen Lunetto are requesting approval to designate an existing residence located at 1812 North Ross Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 1,313 square foot, one -story Spanish Colonial Revival style residence and detached garage on a 6,100 square foot residential lot located on Ross Street between Seventeenth and Nineteenth Streets (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical EXHIBIT B12 25A -143 HRCA /HRC Nos. 2014 -06 HPPA No. 2014 -20 November 20, 2014 Page 2 property any building or part thereof, object, structure, or site having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Sumner House, has distinctive architectural features of the Mission /Spanish Colonial Revival style, and was built in 1923. The first owners were Mr. and Mrs. E. Lisle Sumner. Mr. Sumner was a carpenter and Mrs. Sumner was a piano teacher with an office on Main Street called the Santa Ana Conservatory of Music. Character defining features of the Sumner House that should be preserved include, but may not be limited to, smooth exterior stucco, flat clay roof along the parapet, and tiled roof shielding the front entry (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" because it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -144 HRCA /HRC Nos. 2014 -06 HPPA No. 2014 -20 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association representative, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -123 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Rally Sobol ske Associate Planner HS:jm hs\Historic Info \141120 HROhrca- hrc14 -06 hppa14- 20.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -145 500' RADIUS HRCA /HRC NO. 2014 -06 HPPA NO. 2014 -20 1812 NORTH ROSS STREET SUMNER HOUSE PLANNING AND BUILDING AGENCY ''. r =-A all Eseelli 500' RADIUS HRCA /HRC NO. 2014 -06 HPPA NO. 2014 -20 1812 NORTH ROSS STREET SUMNER HOUSE PLANNING AND BUILDING AGENCY ''. r =-A EXECUTIVE SUMMARY SUMNER HOUSE 1812 North Ross Street Santa Ana, CA 92706 NAME Sumner House REF. NO. ADDRESS 1812 North Ross Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1923 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARYICONCLUSION: The Sumner House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture ".(Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Reoister Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI #_ PRIMARY RECORD Trinomi NRHP Status Other Listings Review Code e name(s) or number (a P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 1812 N. Ross Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 104 -04 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Sumner House is a modest example of the Mission /Spanish Colonial Revival style of architecture. Basically rectangular in plan, the house is sheathed in smooth stucco, and it has a flat roof with clay tile along the parapet. Two concrete steps lead to the wood and glass front door with a shed roof, tiled roof shielding the front entry. The fagade is completely symmetrical as wood windows flank the front door. Muntins in the windows match the pattern of the front door. The Sumner House possesses a Hollywood driveway that leads to a garage that matches in architectural style. The house retains a high degree of integrity. *P31d. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object DSite ❑District ■Element of District ❑Other Photo AN 1/10, *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) East facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1923 *P7. Owner and Address: Mark Lunetto 1812 North Ross Street Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 6, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: DNone ❑Location Map OSketch Map ■Continuation Sheet ■Building, Structure, and Object Record DArchaeological Record DDistrict Record DLinear Feature Record DMilling Station Record DRock Art Record DAr ifact Record El Photograph Record D Other (list) DPR 523A (1/95) 25A -148 *Required information State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 'Kesource Name or ;F: Sumner house B1. Historic Name: Sumner House B2. Common Name: Same B3. Original Use: Single- family Residence 64. Present Use: Single- family Residence *135. Architectural Style: Mission /SpanishColonial Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 February 1923 Residence and garage for E.L. Sumner $4,000 June 20,1938 Reroof January 16, 1951 Reroof for M. Gregg *B7. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *68. Related Features: None. B9a, Architect: Unknown b. Builder: Ball and Honer. *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single - family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Sumner House was built for and by E. Lisle Sumner and his wife Zoe. Mr. Sumner was a carpenter who specialized in making patterns for ornamentation of houses. A staunch proponent of prohibition, Mr. Sumner and his wife moved often as he built homes and sold them. Mrs. Sumner was a piano teacher with an office on Main Street called the Santa Ana Conservatory of Music. Mrs. Sumner was very active in the community and performed classical music on her piano in various private events such as weddings, parties, and meetings. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5238 (1195) *610. Significance (continued): 25A -149 Sumner House Sketch Mapj 1812 N. Ross St. .I el I � aLM C I Av — i�l 0 19 10: I I I I srax'r O LADS OF A MORrON E 6 r . a n WA .WSEY SrvIF. I 1e4 . i �1 A 'p 11 B 12 J srrsr. n State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Sumner House *Recorded by Hally Soboleske *Date November 20, 2014 O Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The SumnerHouse is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Sumner House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Mission /Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture'. (Municipal Code, Section 30- 2.2). Character defining features include of the Sumner House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, and clay roof tiles capping the parapet, original windows and original front entry door, massing, and articulation. *612. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources:' Sacramento: March 1995, Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lande Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4-7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L LS " -150 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -06 TO PLACE THE PROPERTY LOCATED AT 1812 NORTH ROSS STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -06 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -06) and categorization (Historic Resources Commission Categorization No. 2014 -06) of the Sumner House, located at 1812 North Ross Street, Santa Ana. B. The Sumner House has distinctive architectural features of the Mission /Spanish Colonial Revival style, and was built in 1923. The first owners were Mr. and Mrs. E. Lisle Sumner. Mr. Sumner was a carpenter and Mrs. Sumner a piano teacher with an office on Main Street called the Santa Ana Conservatory of Music. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character- defining features of the Sumner House that should be preserved include, but may not be limited to, smooth exterior stucco, flat clay roof along the parapet, and tiled roof shielding the front entry E. The legal owner of the subject property is Mark Lunetto. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -151 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -123 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -06 to place the Sumner House, located at 1812 North Ross Street, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -06 placing the Sumner House, located at 1812 North Ross Street, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -152 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission mem NOES: Commission members ABSTAIN: Commission mem NOT PRESENT: Commission mem CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -153 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 104 -04 1812 North Ross Street Mark Lunetto LOT 9, BLOCK B OF TRACT NO. 256 IT.ihil, Resolution No. 2014 -XXX Page 4 of 4 25A -154 RE USE 'r FOR HWORI RESOURCES COMMN ION ACTION HESrORCRE-9ouR& "EMMBVfgMI.S. MEN INGDATE`. NOVEMBER 20, 2014 TITLE, PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -07, HISTORIC REGISTER CATEGORIZATION NO. 2014 -07, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -21 FOR PROPERTY LOCATED AT 2425 NORTH HELIOTROPE DRIVE {STRATEGIC PLAN NOS. 5,2; 5,3} Prepared by Hally Soboleske HL'TrOW RESWRCES COMMSM SFCREi'ARY APPROVED As Reronunended * As Amended CI Set Public bearing For CONTINUE`[) TO InteriM Executive Uirecto Acting P1 rining,Uanager RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -07 and Historic Register Categorization No. 2014 -07. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Laura A. Pickrell, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Laura A. Pickrell is requesting approval to designate an existing residence located at 2425 North Heliotrope Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 1,707 square foot, single -story Ranch -style residence and attached garage on a 7,840 square foot residential lot located on Heliotrope Drive between Benton Way and Flower Street (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B13 25A -155 HRCA/HRC No. 2014 -07 HPPA No. 2014 -21 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Walker - Sackerson House, has distinctive architectural features of the Ranch style, and was built in 1937. The first owner was Mr. and Mrs. Victor Walker and his wife Ethel. Mr. Walker was a member of the State Fish and Game Committee and later opened his own Sporting Goods store at 205 West Fourth Street. The home was later sold to Clarence and Helen Sackerson. Character defining features of the Walker- Sackerson House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, original front door, and front porch configuration (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -156 HRCA /HRC No. 2014 -07 HPPA No. 2014 -21 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -141 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental Sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). i Kj E Hal -7y Sob leske Associate Planner HS:jm hs\Historic Info \112014 HRC\hrca -14 -07 hppa14 -21.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -157 500' RADIUS HRCA /HRC NO. 2014 -07 HPPA NO. 2014 -21 2425 NORTH HELIOTROPE DRIVE WALKER- SACKERSON HOUSE PLANNING AND BUILDING AGENCY 1� I , • EXECUTIVE SUMMARY WALKER- SACKERSON HOUSE 2425 North Heliotrope Drive Santa Ana, CA 92706 NAME Walker - Sackerson House REF. NO. ADDRESS 2425 North Heliotrope Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1937 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Ranch Widely published in Sunset and House Beautiful magazines, the Ranch House dominated post -World War II residential expansion and represented the most popular house form in the United States from the 1950s through 1970s. The Ranch House originated in the 1930's designs of Southern California architect Cliff May, who sought to reinvent the west's vernacular housing traditions by combining the form and massing of the traditional ranch house with a modernist's concern for informality, expressed in materials and plan, and indoor - outdoor integration. While the style includes several variants, a basic set of character - defining features applies to most examples. In form and massing, the style evokes a sprawling ranch that developed over time, with a central block extended by wings of varying roof heights. Generally L- shaped or U- shaped in plan, the Ranch House typically has a one -story profile with strong horizontal emphasis expressed through a low pitched or flat roof with wide overhanging eaves. Asymmetrical in design, the Ranch House is often sheathed in and accented with rustic materials such as board - and - batten siding, high brick foundations, art stone, and wood shake roofs. Indoor - outdoor integration is achieved through the use of recessed or extended porches, set low to the ground, and the generous use of large picture, ribbon, or corner windows. Window detailing can include wood frames, decorative shutters, and diamond - patterned muntins. Ornamentation includes rusticated elements, such as carved porch supports and exposed rafters, uneven rakes and flared eaves, and faux dove cotes and bird houses. SUMMARY /CONCLUSION: The Walker - Sackerson House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style, as well as its association with Victor Walker and Clarence Sackerson. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture. " (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. » California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 551: Individual property that is listed or designated locally. K� o State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Resource name(s) or Primary HRI # Trinomial NRHP Status Code Date P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2425 North Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 050 -09 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Walker - Sackerson House is designed in the Ranch style of architecture. It's horizontal orientation is typical of the style. The house is clad in stucco and topped with composition shingles. The gable ends are ornamentd with wood siding and arched attic vents. The house has a front tacing attached garage which is highly unusual for the period of construction. Windows are wood with two over two single hung operation with muntins in horizontal bands. A stuccoed chimney rises above the roofline. The house has a broad front porch and wide front entry. The front door is wood and appears origins. The property is in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object DSite ❑District ■Element of District ❑Other P5a. Photo *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) South facing elevation 2014 *P6. Date Constructed /Age and Sources: ®historic 1937 *P7. Owner and Address: Laura Pickerell 2425 North Heliotrope Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update Attachments: ❑None DLocation Map OSketch Map ®Continuation Sheet ■Building, Structure, and Object Record DArchaeological Record ODistrict Record DLinear Feature Record DMilling Station Record DRock Art Record DArtifact Record ❑Photograph Record D Other (list) DPR 523A (1/95) 25A -160 *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 Resource Name or;;: Walker- Sackerson House B1. Historic Name: Walker- Sackerson House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Ranch *66. Construction History: (Construction date, alterations, and date of alterations): Constructed 1937 August 6, 1937. Residence and garage. $6,000. Jasper Farney, October 10, 1947. Plumbing permit. August 28, 1989. Remcf. *67. Moved? ■No DYes ❑Unknown Date: Original *B8. Related Features: None, B9a. Architect: Unknown b. Builder: Unknown *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Walker- Sackerson House was constructed for Victor M. Walker and his wife Ethel. Walker and his father, Charles remodeled the Temple Theater at 220 North Bush Street and it re- opened in 1936. Walker met his wife at the theater where they both worked, Victor as the manager and Ethel as a cashier. Victor's real interest was in sports and was an avid outdoorsman. He eventually became part of the State Fish and Game Committee, and opend his own Sporting Goods Store at 205 West Fourth Street. Walker passed awy in 1969, but he had sold the property by the late 1930's to Clarence and Helen Sackerson. Clarence worked for the Santa Ana Savings Center. They had two children: Mary and Carroll. They held a number of parties at their home and entertained regularly. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 Sketch Map �"a 2425 North Heliotrope Drive 002 - 064 -25 .r. DPR 5238 (1195) 25A -161 *Required information Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial I-age 3 of 3 Resource Name: Walker - Sackerson House *Recorded by Hally Soboleske *Date November 20, 2014 d Continuation ❑ Update *1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Walker - Sackerson House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area, They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco- styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Walker - Sackerson House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture ". (Municipal Code, Section 30 -2.2). Character defining features include of the Walker- Sackerson House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, original front door, and front porch configuration. *1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia, New York, WW Norton, 1998, Marsh, Diann. Santa Ana, An Illustrated Histo y. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984, National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lance Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Genealogical Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2S " -162 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -07 TO PLACE THE PROPERTY LOCATED AT 2425 NORTH HELIOTROPE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -07 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -07) and categorization (Historic Resources Commission Categorization No. 2014 -07) of the Walker - Sackerson House, located at 2425 North Heliotrope Drive, Santa Ana. B. The Walker - Sackerson House has distinctive architectural features of the Ranch style, and was built in -1937. The first owner was Mr. and Mrs. Victor Walker, who was a member of the State Fish and Game Committee and later opened his own Sporting Goods store at 205 W. Fourth Street. The home was later sold to Clarence and Helen Sackerson. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character - defining features of the Walker - Sackerson House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, original front door, and front porch configuration. E. The legal owner of the subject property is Laura A. Pickrell. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -163 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -141 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -07 to place the Walker - Sackerson House, located at 2425 North Heliotrope Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -07 placing the Walker - Sackerson House, located at 2425 North Heliotrope Drive, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -164 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission me ABSTAIN: Commission members NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on 7001 Commission Secretary City of Santa Ana 25A -165 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 050 -09 2425 North Heliotrope Drive Laura A. Pickrell N TR 755 BLK LOT 22 .TI. Resolution No. 2014 -XXX Page 4 of 4 25A -166 RE E `r FOR HISTORIC RESOURCES COMMISSION ACTION HISTORIC RESOURCES CV'.M "SON MEMING DATE: NOVEMBER 20, 2014 TlITI_E; PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -38, HISTORIC REGISTER CATEGORIZATION NO. 2014 -38, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -22 FOR PROPERTY LOCATED AT 2388 NORTH HELIOTROPE DRIVE {STRATEGIC PLAN NOS. 5,2; 5,31 Pre,paared by Hally Soboleske H STORNr„ RESO6JRCES COMMSON SECRETARY APPROVED El As IRecorrimended CI As Amended . -I Set Public Hearing For CON'i "INUED TO 1. Interim Executive Dird for Acting Plan irag Mf nager RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -38 and Historic Register Categorization No. 2014 -38. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Micah and Kerri Stork, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Micah and Kerri Stork are requesting approval to designate an existing residence located at 2388 North Heliotrope Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 1,354 square foot, one -story English Revival -style residence and detached garage on a 6,850 square foot residential lot located on Heliotrope Drive between Riverside Drive and Santa Clara Avenue (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B14 25A -167 HRCA /HRC No. 2014 -38 HPPA No. 2014 -22 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Harwood House, has distinctive architectural features of the English Revival style, and was built in 1926 by developer Allison Honer for Mr. and Mrs. Frank and Vivian Harwood. Mr. Harwood was a salesman in the 1930s. In 1935, he was appointed Postmaster of Santa Ana, a position he held until the 1950s. Character defining features of the Harwood House that should be preserved include, but may not be limited to, materials and finishes (stucco); roof configuration, materials, and treatment; massing and composition; entry; doors and windows; architectural detailing (roof edges, attic venting); and chimney (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Key ", because of its association "with a significant person in the city" and because it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -168 HRCA /HRC No. 2014 -38 HPPA No. 2014 -22 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -129 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sobo,I ske Associate Planner HS:jm WHlstorlc Info \141120 HRCthrca- hrc14 -38 hppal4 -22 (2388NHellotrope).hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -169 HRCA /HRC NO. 2014 -38 HPPA NO. 2014 -22 2388 NORTH HELIOTROPE DRIVE HARWOOD HOUSE PLANNING AND BUILDING AGENCY IT7 '' "1 EXECUTIVE SUMMARY HARWOOD HOUSE 2388 North Heliotrope Drive Santa Ana, CA 92706 NAME Harwood House REF. NO. ADDRESS 2388 North Heliotrope Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1926 LOCAL REGISTER CATEGORY: Key TORIC DISTRICT North Broadway NEIGHBORFIOOD Floral Park [CALIFORNIA REGISTER CRITERIA FOR EVALUATION 2 CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: English Revival A simplification of the Tudor Revival, which reached its height of popularity during the 1920s and 1930s, the English Revival drew upon the English country house for its inspiration. English Revival homes usually feature stucco walls and gable roofs of steep but not exaggerated piteb. A characteristic sloped roof treatment incorporates rakes of uneven lengths, with one side of a gable extending a greater distance than the other, sometimes changing the angle of slope in the process. Arches may be used for windows and doors, and, unlike their Tudor cousins, are often rounded rather than pointed. Windows are usually clustered in groups on the fagade and are often multi-paned casement in type. Almost exclusively a residential style, English Revival buildings are nearly always asymmetrical in composition. SUMMARY /CONCLUSION: The Harwood House qualifies for listing in the Santa Aria Register of Historical Properties under Criterion 4 for its association with a locally famous person, Frank. R. Harwood (Municipal Code, Section 30 -2(a). Additionally, the house has been categorized as `Key" because it "is associated with a significant person in the city " (,Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: e California Resister Criteria for Evaluation: (From California Office. of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Iistorical Resources," September 4, 2001.) 2: It is associated with the lives of persons important in our past. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003) 2D2: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. f 11211 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomial NRHP Status Code Other Listings Review Code Reviewer Date Page 1 of 4 Resource name(s) or number (assigned by recorder) Harwood House P1. Other Identifier: *P2. Location: ❑Not for Publication ®Unrestricted *b. USGS 7.5' Quad *c. Address 2388 North Heliotrope Drive *e. Other Locational Data: Assessor's Parcel Number *a. County Orange County Date: City Santa Ana Zip 92706 002 - 073 -07 Tract: 754 Lot: 45 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) A simple design inspired by English Revival architecture characterizes this one -story, single - family residence. A cross - gabled roof of medium pitch with minimal overhangs tops the stucco -clad building. The fagade is 1 "- shaped, with a front gable whose rakes are uneven topping the projecting south wing. Centered within the gable face is a tall, narrow, and round - headed attic vent. Two six - over -one, wood - framed, double -hung sash windows occupy the fagade of this wing. An extension of the side gable roof shades the entry, which is located in the recessed north wing at the approximate center of the fagade. An open porch, elevated a couple of steps above ground level, extends north from the entry and is overlooked by a band of three four - over -one, wood - framed, double -hung sash windows. The north elevation contains an attached, stucco - covered chimney. Tidily landscaped and in good condition, the house appears largely unaltered from the front, except for re- roofing and a non - original front door. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District IN Element of District ❑Other o, P5b. Photo: (view and date) East facing elevation October 2014 *P6. Date Constructed /Age and Sources: ®historic 1926 /City of Santa Ana Building Permit *P7. Owner and Address: Micah and Kern Stork 2388 North Heliotrope Drive Santa Ana, CA 92706 *P8. Recorded by: Leslie J. Neumann, Hally Soboleske City of Santa Ana *P9. Date Recorded: November 4, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979. *Attachments: ❑None ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1195) 25A -172 *Required information State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI# _ BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 2D1 "Resource Name or #: Harwood House B1. Historic Name: Harwood House B2. Common Name: Same B3, Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: English Revival *B8. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1926. February 24, 1926. Residence and garage, $4,500, F. R. Harwood, owner. August 13, 1938. Alterations to residence, $150. Clyde Downing, owner, March 1, 1945. Reroof, $96. D. Craven, owner. May 24, 1951. Add room and bath to existing residence, $2,000. Robert Shildmeyer, owner. January 6, 1989. Family room, dinette addition, remodel kitchen. *137. Moved? ■No Oyes ❑Unknown Date: Original Location: *BS. Related Features: B9a. Architect: Unknown b. Builder: Unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: C13 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Harwood House is historically significant for its association with a prominent Santa Ana citizen, Frank Rutherford Harwood, and architecturally interesting as an intact and representative example of the English Revival style. It was built in 1926 at a cost of $4,500 for Harwood and his wife Vivian. Harwood was born in 1902 in Illinois and apparently came to Santa Ana in the early 1920s with his parents and siblings. His father, William R. Harwood, joined the Santa Ana police force. Son Frank was a salesman, with the Excelsior Creamery in the 1920s and Clasen Realty in the 1930s. In 1935, he was appointed Postmaster of Santa Ana, a position he held until the 1950s. He was active with social organizations, including the Santa Ana Lions and the Chamber of Commerce, and he also was an officer of the Postmasters Association. The Harwoods only occupied the house on Heliotrope for about five years, moving by 1933 to his father's old house at 1611 Durant. They then occupied a succession of homes until Frank's death in 1959. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *1312. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 4.) B13. Remarks: *614. Evaluator: Leslie J. Neumann *Date of Evaluation: July 5, 2005 (This space reserved for official comments.) Sketch Map 2388 N. Heliotrope Drive f 002- 073 -07 i —� �__�' DPR 5238 (1195) 25A -173 *Required information State of California — The Resources Agency Primary If DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Harwood House Kecordeo by Leslie J. Heumann, Hally Soboleske *Date November 4, 2014 ❑x Continuation ❑ Update *1310. Significance (continued): Clyde C. Downing and his wife Vera were the next occupants of the Heliotrope house. An attorney, Clyde Downing served as City Attorney and ran for the state Senate in 1932. By the late 1940s, rancher Robert O. Schildmeyer and his wife Phyllis were the residents of the property. The Harwood House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War fl, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War l/ years, Floral Park continued its development as numerous, smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2014) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Harwood House has been determined eligible for listing in the National Register of Historic Places as a contributor to a North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower Street. Comprising the northern end of the Floral Park neighborhood, North Broadway Park was subdivided in 1923. The Keeper of the National Register found that: "North Broadway Park reflects the City Beautiful planning movement in Southern California during the early twentieth century. The vernacular adaptations of period revival styles, curvilinear street patterns, street furniture, and landscape combine to create a cohesive and pleasant middle class suburban neighborhood environment which is unique in the early historical development of the city of Santa Ana. '° Under the regulations implementing the California Register of Historical Resources, the Harwood House has been listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Property under Criterion 4 for its association with a locally famous person, Frank. R. Harwood, who would become Postmaster of Santa Ana for approximately thirty years. The house also contributes to the historic character of the Floral Park neighborhood through its age, architectural style, and scale. Additionally, the house has been categorized as "Key" because it "is associated with a significant person" in the city." All original exterior features of the Harwood House are considered to be character defining and should be preserved. These features include, but may not be limited to: materials and finishes (stucco); roof configuration, materials, and treatment, massing and composition; entry; doors and windows; architectural detailing (roof edges, attic venting); and chimney. "1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana An Illustrated Histo y. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. " Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park." http./ /www.floral- park.com/page2.html Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens, Volume L Whittier, Historical Publishers, 1963. Armor, Samuel. History of Orange County. 1921. Determination of Eligibility, February 25, 198 ��� �� DPR 523E State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI #. CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or # (Assigned by recorder) Harwood House Kecoraea by Leslie J, Heumann, Hally Soboleske `Date November 4, 2014 OO Continuation ❑ Update *1312. References (continued): Pleasants, Mrs. J. E. History of Orange County, Los Angeles: J. R. Finnell & Sons Publishing Co., 1931. Vol.. 2, page 80 and Vol. 3, page 142. Santa Ana and Orange County Directories, 1923 -1960 (ancestry.com). Santa Ana Register (newspapers.com), including: 'Police Officer Harwood Dies in Home Here, "Santa Ana Register, April 30, 1926 U.S. Federal Census, 1930 (ancestry.com). California Death Index (ancestry.com). DPR 523L 25A -175 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -38 TO PLACE THE PROPERTY LOCATED AT 2388 NORTH HELIOTROPE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -22 PLACING SAID PROPERTY WITHIN THE KEY CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -38) and categorization (Historic Resources Commission Categorization No. 2014 -38) of the Harwood House, located at 2388 North Heliotrope Drive, Santa Ana. B. The Harwood House has distinctive architectural features of the English Revival style with such as the stucco cladding, attic vents, and steeply pitched roof, and was built for Frank R. Harwood, a Postmaster for the City of Santa Ana. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Key for its association with Frank R. Harwood and because it contributes to the historic character of the Floral Park neighborhood through its age, architectural style, and scale. Character - defining features of the Harwood House that should be preserved include, but may not be limited to, materials and finishes (stucco); roof configuration, materials, and treatment; massing and composition; entry; doors and windows; architectural detailing (roof edges, attic venting); and chimney. D. The legal owners of the subject property are Micah and Kerri Stork. E. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -176 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 F. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. G. The subject property meets the minimal standards for placement in the Key category pursuant to Section 30- 2.2(2) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -129 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -38 to place the Harwood House, located at 2388 North Heliotrope Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -38 placing the Harwood House, located at 2388 North Heliotrope Drive, Santa Ana, within the Key category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -1 %% Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney R Ryan O. Hodge Assistant City Attorney AYES: Commission NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -1 %$ Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 073 -07 2388 North Heliotrope Drive Micah and Kerri Stork N TR 754 BILK LOT 45 Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -179 25A -180 REQUE T FOR iHI TORI RESOURCE'S COMMISSION AcrION HIS)TOW RE,kXJRCMS MA . ° DNRm: NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -09, HISTORIC REGISTER CATEGORIZATION NO. 2014 -09, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -23 FOR PROPERTY LOCATED AT 2428 NORTH RIVERSIDE DRIVE {STRATEGIC PLAN NOS. 5,2; 5,3} Prepared by Hally Soboleske 0 qR TORtts RESOURCES COMMON SECRETARY APPROVED * As Recornmended * As Arnended * Set Public IHearing For (' ONTBB UEpD " t Interim Executive Dimc r Acting PBa nervy Mroager RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -09 and Historic Register Categorization No. 2014 -09. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Linda Nelessen, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Linda Nelessen is requesting approval to designate an existing residence located at 2428 North Riverside Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. PROJECT LOCATION AND SITE DESCRIPTION The subject property consists of a 1,630 square foot, one -story Tudor Revival -style residence and detached garage on a 7,139 square foot residential lot located on North Riverside Drive between Benton Way and Flower Street (Exhibit 1). ANALYSIS OF THE ISSUES Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical EXHIBIT B15 25A -181 HRCA /HRC No. 2014 -09 HPPA No. 2014 -23 November 20, 2014 Page 2 property any building or part thereof, object, structure, or site having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Butler House, has distinctive architectural features of the Tudor Revival style, and was built in 1923 for Sam and Mary Butler. Mr. Butler was a painting contractor and, along with his wife, was active in community groups including, Boy Scouts, Job's Daughters and the Methodist Church. Character defining features of the Butler House that should be preserved include, but may not be limited to, exterior materials, original wood windows and fenestration patterns, roof configuration, front courtyard, half timbering and the arched leaded glass window on the fagade (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -182 HRCA /HRC No. 2014 -09 HPPA No. 2014 -23 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -136 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sobol ke Associate annex HS:jm hslHistoric Info \112014 HRMhrca -hrc09 hppa14- 23.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -183 HRCA /HRC NO. 2014 -09 HPPA NO. 2014 -23 2428 NORTH RIVERSIDE DRIVE BUTLER HOUSE PLANNING AND BUILDING AGENCY r . _ .:1:, EXECUTIVE SUMMARY BUTLER HOUSE 2428 North Riverside Drive Street Santa Ana, CA 92706 NAME Butler House REF. NO. ADDRESS 2428 North Riverside Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1931 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Tudor Revival The Tudor Revival looked to medieval England for its inspiration. Signature features of the style include steeply pitched gables; decorative half - timbering; arched openings, often Tudor or Gothic in form; asymmetrical arrangements of building features; tall brick chimneys; and picturesque windows of leaded glass or diamond patterned lights. The more ambitious examples of the Tudor Revival were executed in brick or even stone; however, stucco over wood frame is quite common in the forgiving climate of southern California. The Tudor Revival was favored primarily for residential buildings, although small scale commercial buildings in the style also occur. Born in the late 191h century, the Tudor Revival was associated with some Craftsman era building but was most popular during the 1920s and 1930s. SUMMARY /CONCLUSION: The Butler House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Tudor Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the combination of the Tudor Revival style in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 551: Individual property that is listed or designated locally. 2 W-1 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Page 1 of 4 Other Listings Review Code Resource name(s) or Primary # HRI # NRHP Status Date P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2428 North Riverside Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 064 -14 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Butler House is a 1931 Tudor Revival styled house. It is clad in smooth stucco with shake shingle roofing materialon the cross gabled roof The structure is primarily rectangular in plan and has a steeply pitched front facing gable with half timbering on the gable end, as well as above the openings to the left side of the structure shaded by a shed roof. Tall tripartite windows are just below the gable end, each with six lights. The front facing bay also features a leaded glass narrow, arched window, typical of the style of architecture. A stuccoed chimney is prominent on the left side of the cross gable. A wall with plantings forms a courtyard in the front yard. Landscape is lush, and the property is in overall excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P5a. Photo *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P51a. Photo: (view and date) North facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1923 *P7. Owner and Address: Linda Nelessen 2428 North Riverside Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -186 *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 `Resource Name or #: Butler House 61. Historic Name: Butler House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single - family Residence *B5. Architectural Style: Tudor Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 April 20, 1931 Residence and garage for Sam Butler. $5,500 February 5, 1945 Fixture for Butler. May 3, 1963 Fooring for future patio cover July 26, 1974 Patio cover for Sheridan. February 1, 1988 Addition to bedroom, bath, and kitchen – 485sf March 11, 198 Reroof *B7. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Butler House was constructed in 1931 for Sam Rolf Butler, his wife Mary and four children; Josephine, Helen, William, and James. Mr. Butler was a painting contractor by trade. The Butlers were very active in the community with activities including the Boy Scouts, Job's Daughters, Spurgeon Methodist Church, and hosting Bridge parties. Josephine Butler was named Queen of Job's Daughters in 1938. Mr. Butler registered for the draft in 1942, but was considered too old to serve at 52. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) 813. Remarks: Sketch Map Butler House 1 2428 North Riverside Drive *B14. Evaluator: Hally Soboleske ]flA[ *Date of Evaluation: November 2014 q F) ,• V � i Ci �p r *m � H,i SCI � 1 ) oea � �� , , 0) \_ � AM DPR 5238 (1195) 25A -187 *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial *Recorded by Hally Soboleske *Date November 20, 2014 O Continuation ❑ Update *B10. Significance (continued); Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Butler House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Butler House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive' because it is a "good example of period architecture'. (Municipal Code, Section 30 -2.2). Character defining features include of the Butler House that should be preserved include, but may not be limited to, exterior materials, original wood windows and fesestration patterns, roof configuration, front courtyard, half timbering, arched leaded glass window on fagade. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia, New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses, New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lande Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2 SA- I 88 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11 /06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -09 TO PLACE THE PROPERTY LOCATED AT 2428 NORTH RIVERSIDE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -09 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -09) and categorization (Historic Resources Commission Categorization No. 2014 -09) of the Butler House, located at 2428 North Riverside Drive, Santa Ana. B. The Butler House has distinctive architectural features of the Tudor Revival style of architecture due to its steeping pitched roof, half - timbering, and cross gabled roofline. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character - defining features of the Butler House that should be preserved include, but may not be limited to, exterior materials, original wood windows and fenestration patterns, roof configuration, front courtyard, half timbering, arched leaded glass window on fagade. E. The legal owner of the subject property is Linda Nelessen. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. 25A -189 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -122 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -09 to place the Butler House, located at 2428 North Riverside Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -09 placing the Butler House, located at 2428 North Riverside Drive, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. APPROVED AS TO FORM: Sean H. Mill Chairperson 25A -190 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Sonia R. Carvalho, City Attorney An Ryan O. Hodge Assistant City Attorney AYES: NOES: ABSTAIN NOT PRESENT: Commission membe Commission membe Commission members Commission CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -191 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 064 14 2428 North Riverside Drive Linda Nelessen N TR 755 BLK LOT 11 TR 755 LOT 11 ALL -EX W 5 1701:71 .2 Resolution No. 2014 -XXX Page 4 of 4 25A -192 REQUEST FOR Historic Resounms Commission Action W rOPJC RESOURCES OWNISSM ME .. MEFTM DAM NOVEMBER 20, 2014 TRTLE. HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -24 FOR THE PROPERTY LOCATED AT 201 EAST WASHINGTON AVENUE (STRATEGIC PLAN NOS. 5, 2; 5, 3) Prepared by Hally Soboleske HISTORC RESOURCES COMMBSION SECRETARY APPROVED CI As Recommended * As Amended * .Set Public Flearing For CONTINUED "F0 Interim Executive Lair for Acti (6-Plartrrng Manager Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Debra McEwen, property owner, for the structure located at 201 East Washington Avenue, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicant, Debra McEwen, is requesting the approval of Historic Property Preservation Agreement No. 2014 -24 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Colonial Revival - styled residence and detached garage located at 201 East Washington Avenue. The site is within the Specific Development (SD19) zoning district. Surrounding land uses are residential and commercial (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B16 25A -193 HPPA No. 2014 -24 November 20, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Keech -Klatt House and categorized as Landmark in November of 2000 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. u -.f,� Hally Sob¢ eske Associate Planner HS:jm hs \hlstorlc Info\mllIs act agreements\201_E_ Wash! ngton \141120 hppa'14- 24_201EWashington, hrc Attachments: Exhibit 1- 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -194 HPPA NO. 2014 -24 201 East Washington Avenue Keech -Klatt House NAME Keech -Klatt House RIF, NO. 231 ADDRESS 201 East Washington Avenue CITY Santa Ana ZIP 1 92701 ORANGE COUNTY YEAR BUILT 1.899 LOCAL REGISTER CATEGORY: Landmark HISTORIC DISTRICT I French Park NEIGHBORHOOD French Park NA'f10NAL REGISTER CRITERIA FOR EVALUATION A, C NATIONAL REGISTER STATUS CODE 1 D Location: ❑ Not for Publication ® Unrestricted USGS 7.5" Quad Date: T R '/< of '/4 of Sec B.M. ❑ Prehistoric M Historic ❑ Both ARCIIITECTURAL S'rYLE: Colonial Revival with Classical Revival elements DESCRIPTION /BACKGROUND RELATED TO PERIOD ARCHITECTURE: The Colonial Revival style is one of the revival styles that spans from 1880 to 1955 reaching its apex between 1895 and 1915. The style is often a combination of various Colonial styles and contemporary elements. It is characterized for its simplicity and dignified formality. The volumes are generally simple and rectangular. Identifying features of the style include an accentuated front door, normally with decorative crown (pediment) supported by pilasters or extended forward and supported by slender columns to form an entry porch; doors commonly have overhead fanlights or sidelights avid many have broken pediments. Other identifying features include the symmetrical placement of windows and centered doors, windows with double hung sashes, usually with multi -pane glazing and windows frequently in adjacent pairs. Hip roofs appear more frequently on the earlier examples of the period, while the later houses have side gabled roofs. Page I of 4 LLARCI Catq.nzatm,.e k,eA -khan 12 -07 -00 CONSTRUCTION HISTORY: (Construction data, alterations, and date of alterations) Alteration and Repair to Dwelling Rebuild fireplace Chimney Reroof Reroof Wrought Iron fence Reroof House and Garage November 6, 1919 April 20, 1933 November 9, 1936 May 27, 1983 May I, 1989 August 3, 1989 RELATED FEATURES: (Other important features such as barns, sheds, fences, prominent or unusual trees, or landscape) Original garage at rear of property DESCRIPTION: (Describe resource and its major elements. Include design, materials, condition, alterations, size, settings, and boundaries.) The Keech -Klan house is a rectangular, 2 -story structure capped with a hip roof and a fill width, single story front porch. The main roof has wide enclosed eaves with closely spaced carved brackets. A front facing hipped roof dormer with wide enclosed eaves is centered on the roof. The dormer is decorated with carved brackets, molding- trimmed panels and a balcony with a plain baluster. Gabled dormers with tight barges are centered on the west and east sides of the roof. Each has a pair of arched double -hung windows. A centered square bay, with a trio window composition made of a horizontal window with a cast plaster ornament below, and flanked by a double -hung window on each side, is the centerpiece for the second floor, front fapade. Double hung windows are used throughout the rest of the second floor. A bellcast, hipped roof tops [lie full 'first floor porch. Two pains and two trios (at the corners) of round wooden columns, edged in molding and supported on clapboard -clad piers, support the porch roof. A balustrade with closely- spaced balusters runs between the piers. The centered front door is accented with a large window, decorative panels, and multi -paned sidelights. A slanted bay window, accented with a plate glass window, leaded glass transom, and double -hung windows is located on the east side of the front door, while a plate glass window with leaded glass transom is located on the west side. A square bay with bellcast roof, centered half way between the stories on the west side of the house indicates the location of the interior stairway. Screened porches occupy the rear northwest and northeast corners. The defining features that make this building a Colonial Revival include its rectangular plan and symmetrical fapade. Other defining features include the hipped roof with hipped and gabled dormers; the wide, enclosed eaves with closely spaced brackets, the full -width front porch and bellcast roof; the centered front door with sidelights; the rectangular, double hung sash windows; and the use of bay windows. Other elements, such as the second floor trio window composition with cast plaster ornament on the front fapade, the paired columns at the porch, and the hip roof front dormer with a balcony are Classical Revival features. HISTORIC HIGHLIGHTS: Architect G. S. Garrett designed this house for the first owners, Eugene Erwin and Amelia Keech in 1899. Mr. Keech was one of the best -known water rights attorneys in California and was serving as president of the Change County Bar Association at the time of his death in a car /train accident on March 30, 1917. Having a particular expertise in water rights, he was legal advisor for the Santa Ana Valley Irrigation Company for over 25 years and for the Anaheim Union Water Company. lie was among the leaders in tine movements for political reform in California and took an active part in local politics. Arriving in Santa Ana in 1887, he worked as a surveyor and City engineer before being admitted to the California Bar Association in 1888. Mr. Keech was author for the State law under which river protection districts were formed. Additionally, murder- mystery author Earl Stanley Gardner (Perry Mason series and others) is said to have visited the house and to have consulted with Mr. Keech while researching his books. Carl J. and Lena A. Klatt bought this house for their large family in 1920. The Klatt's arrived in Santa Ana in 1909 and purchased an orange grove on 17`s Street, near Tustin Avenue. He served as director of Tustin Hills Cihvs Association for more than 50 years. Prominent citizens in the city, they belonged to several civic organizations such as the Elks, Rotary Club of Santa Ana, Santa Ana Council and Knights of Columbus. Mi. Klatt was insttmnental in establishing the St. Joseph Parish School in Santa Ana and St. Joseph Hospital in Orange. UAF] RCIC.Iq.mizmionsAkeech -klott 1, -U7 -00 Page 2 of 4 25A -197 RESOURCE ATTRIBUTES: (List attributes and codes from Appendix 4 of Instructions for Recording Historical Resources, Office of Historic Preservation.) IIP2 Single family property ® Building ❑ Structure ❑ Object ❑ Site MOVED? ® No ❑ Yes ❑ Unknown Date: ❑ District ❑ Element of District ❑ Other Original Location: STATEMENT OF SIGNIFICANCE: (Discuss importance in terms of historical or architectural context as defined by theme, period, geographic scope, and integrity.) The Keech -Klatt house is an example of residential architecture built during the City of Santa Ana's formation years to house the wealthier members of society. This large, two -story single - family residence is located in French Park Historic District, a district advertised as the "Nob Hilt" of Orange County, French Park was (tome to many prominent businessmen, doctors, bankers, attorneys and civil servants from 1880 to the early 1940 "s. The Keech -Klatt House is listed as a contributing structure to the historic architectural integrity of French Park Historic District. This house is in excellent, unaltered condition, and on its original site. There are few surviving houses in French Park that are of this scale and level of architectural integrity. There have been no additional buildings built on the site and the large lot of this house and its generous setback remains as a reminder of 1900's development standards of the City. SUMMARY /CONCLUSION: This building is eligible to be placed on the National Register because of the building's prominence and significance to the development of French Park. Additionally, this building has a unique architectural significance because of its unique combination of Colonial Revival and Classical Revival style features. Features such as: the rectangular plan and symmetrical front fapade; the hipped roof with hipped and gabled dormers; the wide, enclosed eaves with brackets; the frill -width front porch and beticast roof; the centered front door with sidelights, the rectangular, double hung sash windows; and the use of bay windows are Colonial Revival features. The second floor trio window composition with cast plaster ornament on the front fapade, the paired columns at the porch, and the hip roof front dormer with a balcony are this building's Classical Revival features. The large building site has been preserved in its original size and no additional buildings have been constructed. The scale and level of architectural integrity and its prominent location at the northwest entrance to French Park give this building additional unique architectural significance. OWNER AND ADDRESS: Ms. Debra Me Ewen 201 E. Washineton Avenue Santa Ana- CA 92701 -3756 Page 3 of 4 LIA1M alectorimhoneAkeech -Alan I2 -07 -00 25A -198 RECORDED BY: (Name, affiliation, and address) Lucy Linnaus City of Santa Ana, Planning Division 20 Civic Center Plaza M -20, Santa Ana, CA 92702 DATE RECORDED: November 9, 2000 SURVEY TYPE: (intensive, reconnaissance, or other) Reconnaissance REPORT CITATION: REFERENCES: EVALUATOR: (Cite survey report and other sources) National Register of Historic Places Application for French Park Historic District Santa Ana Historic Form (List documents, date of publication, and page numbers. May also include oral interviews.) National Register Bulletin 16A A Field Guide to American Houses by Virginia & Lee McAlester City of Santa Ana Building Division Records EXPLANATION OF CODES: of Santa Ana Library. History Room DATE OF EVALUATION: National Register Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources, Office of Historic Preservation) A: that are associated with events that have made a significant contribution to the broad patterns of our history C: that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a muster, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction National Register Status Code: (From Appendix 2 of Instructions for Recording Historical Resources, Office of Historic Preservation) 1D: Contributor to a listed district. LLAHRCI C.(,pnzai on,Ikeedh -klvn I? -07-00 Page 4 of 4 25A -199 25A -200 REQUEST FOR Historic Resourcems Con nrrdssion Aclion HSTOMC RESOURC ZSC. Mds ME6`d"IN DATE NOVEMBER 20, 2014 T'd'TLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -25 FOR THE PROPERTY LOCATED AT 2221 NORTH HELIOTROPE DRIVE {STRATEGIC PLAN NOS. 5, 2; 5, 3} Prepared by Hally Soboleske HST "ORC RESOURCES COMMEWN SECRETARY Y APPROVED 0 As Recommended El As Amended 0 Set Public Hearing For CONTINUED TO Interim Executive Director Acting P nnin anager Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Chan Q. Kieu and Quynh Kieu, property owners, for the structure located at 2221 North Heliotrope Drive, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Chan Q. Kieu and Quynh Kieu, are requesting the approval of Historic Property Preservation Agreement No. 2014 -25 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Art Moderne - styled residence and attached garage located at 2221 North Heliotrope Drive. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B17 25A -201 HPPA No. 2014 -25 November 20, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Maharajah House and categorized as Landmark in June of 2003 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally So t leske Associate Planner HS:jm hs\hlstoric info\mills act agreements \2221_N_Hellotrope \741120 hppal4- 25 _2221NHellotrope.hrc Attachments: Exhibit 1- 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -202 11 :WO HPPA NO. 2014 -25 2221 North Heliotrope Drive Maharajah House PLANNING AND BUILDING AGENCY Ty I ► i EXECUTIVE SUMMARY THE MAHARAJAH HOUSE 2221 North Heliotrope Drive Santa Ana, CA 92706 NAME Maharajah House REF. NO. ADDRESS 2221 North Heliotrope Drive CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1938 LOCAL REGISTER CATEGORY: Landmark HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park NATIONAL REGISTER CRITERIA FOR EVALUATION I B,C NATIONAL REGISTER STATUS CODE 3S Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Moderne The Moderne style encompassed the Modernistic, Streamlined Moderne, and Art Moderne variants. An evolution of the Art Deco style, the Streamlined Moderne flourished during the 1930s and lingered through the decade following World War Il in a simplified version. hr contrast to the verticality of earlier Art Deco designs, the Streamlined Moderne emphasized the horizontal, through hands of windows, use of decorative raised or incised horizontal lines, railings, flat canopies with banded fascia, and narrow coping at the roofline. Other characteristics include smooth wall surfaces, usually of stucco; metal detailing; glass block windows; rounded corners, porthole windows, and asymmetry. Incorporation of aerodynamic, transportation related imagery, especially nautical, is a signature of the style. In common with the Streamlined Moderne, Art Moderne buildings also tended to be horizontal in emphasis, but tended to be more clean -lined and rectilinear in their massing and detailing than their streamlined counterparts. Art Moderne designs can be recognized by their flat roofs, smooth stucco exteriors, and use of metal casement windows that often meet at the corners of the building. SUMMARY /CONCLUSION: The Maharajah House appears eligible for listing in the National Register of Historic Places and the California Register of Historical Resources. It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, for its exemplification of the Art Moderne variant of the Moderne style, and under Criterion 4b, for its association with a foreign ruling family, the Holkars of Indore, India. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, scale, and historic associations with prominent residents. Additionally, the house has been categorized as "Landmark" for its unique architectural significance as an example of the Art Moderne variant of the Moderne style and its historic /cultural significance to City as the "castle" of a sitting ruler. (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: National Register Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources, Office of Historic Preservation) B: that are associated with the lives of persons significant in our past. C: that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction. National Register Status Code: (From Appendix 2 of Instructions for Recording Historical Resources, Office of Historic Preservation) 3S: Appears eligible for separate listing. TO R1 7LJA I State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomi NRHP Status Other Listings Review Code Reviewer Page 1 of 4 Resource name(s) or number (assigned by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Date: *c. Address 2221 North Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number. 002- 081 -45; TR 1036 Lot. 18 and Lot 19 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Located on a double lot on the southeast corner of Heliotrope Drive and Santa Clara Avenue, the Maharajah House is a two - story residence representative of the Art Moderne variant of the Moderne style. A flat roof accented by a thin band at the roofline tops the 'T' shaped building, which is finished in smooth stucco. Walls extend to the north and south to enclose gardens and patios. The massing of the structure suggests an assemblage of cubic volumes and reflects the influence of the emerging International Style of architecture. The northwest and southwest corners of the second story of the facade are cut away, creating terraces that are seamlessly integrated into the massing. Horizontal lines are emphasized through the roofline banding, similar banding around the terrace parapets, and architectural details such as window grilles and canopies. A notable feature, and one highly characteristic of the style, is the use of multi -light metal casement windows that wrap the corners of the building. Located at the approximate center of the fagade and flanked by pilasters scored to resemble masonry, the tripartite entry is deeply recessed and decorated in an intricate, geometric pattern. An allee of palms is paved in stone and spans the deep front lawn from the sidewalk to the entrance. On the north elevation, painted wrought iron gates shield the garage. On the south, a bronze equestrian statue is just visible behind the garden wall. In excellent condition, the property is substantially unaltered on the exterior. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure DObject ❑Site DDistrict ❑Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None. P5b. Photo: (view and date) South and west elevations April 2003 *P6. Date Constructed /Age and Sources: ■historic 1938 /Source: City of Santa Ana Building Permits *P7. Owner and Address: Chan Q & Quynh Kieu 2221 North Heliotrope Drive Santa Ana, CA 92706 *P8. Recorded by: Leslie J. Heumann SAIC 35 S. Raymond Ave. # 204 Pasadena, CA 91105 *P9. Date Recorded: May 25, 2003 *P10. Survey Type: Intensive Survey *Attachments: ONone OLocation Map OSketch Map ®Continuation Sheet ®Building, Structure, and Object Record DArchaeological Record DDistrict Record OLinear Feature Record DMilling Station Record DRock Art Record DArtifact Record OPhotograph Record D Other (list) DPR 523A (1195) *Required information 25A -205 State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 3S 'Resource Name or #: Maharajah House B1. Historic Name: Maharajah House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Moderne *66. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1938 -1939. December 14, 1938. 12 room frame & stucco residence and garages. May 6, 1941. Reroof. March 15, 1955. Swimming pool. May 24, 1955. Cabana for swimming pool. January 24, 1989. 6' high bolock wall. July 21, 1993. Add 2 bedrooms and 1 bath, 319 square feet. September 15, 1997. Reroof. *87. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *68. Related Features: Garage, garden walls, mature landscaping, statue if original 89a. Architect: Donald Beach Kirby b. Builder: Allison Honer *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single - family Residence Applicable Criteria: B, C (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Maharajah House is architecturally significant as an exceptional example of the residential use of the Art Moderns variant of the Moderne style, one of the best in Orange County. It is historically significant for its association with the Maharajah of Indore, the hereditary ruler of a central Indian state and reputedly one of the richest men in the world at time. Designed by architect Donald Beach Kirby of Balboa, the house was built in 1938 -1939 by prominent Santa Ana contractor Allison Honer for $40,000 according to the building permit, although the local press reported the cost of construction as $50,000 and of the furnishings as $150,000. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Leslie J. Neumann *Date of Evaluation: May 25, 2003 (This space reserved for official comments.) Sketch Map Zt,"I �^'r . Yti MAHARAJAH HOUSE 2221 NORTH HELIOTROPE DRIVE DPR 5238 (1/95) *Required information 25A -206 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Maharajah House *Recorded by Leslie J. Heurnann, SAIC *Date May 25, 2003 El Continuation ❑ Update *B10. Significance (continued): Even before the house was constructed, Yeshwant Rao Holkar, the Maharajah, had captured the public imagination. Educated at Oxford, the Maharajah had been traveling in the United States in 1936, had taken ill in Los Angeles, and had been nursed by Marguerite Lawler Branyan, an American divorcee. They married in 1938, following the death of the Maharajah's first wife in 1937. In search of a safe haven prior to the beginning of World War II, the Maharajah decided to settle his young daughter, Princess Usha, and his new wife in Santa Ana. The large home, one of several owned by the Maharajah, was protected by high walls and by interior and exterior gates. According to one account, the Maharajah's instructions to Allison Honer, the prominent Orange County builder who lived across the street from the property at 615 West Santa Clara Avenue, were to build a modern, but not too severe refuge. Lavishly appointed, the house contained, in 1986 when it was the International Society of Interior Designers Orange County Chapter Design House: three bedroom suites, eight bathrooms, four fireplaces, a grand foyer, spacious living room, formal dining room, library, solarium, kitchen, butler's pantry, pool house (added later), servants' and guards` quarters, and an attached garage. Said to be a progressive ruler who instituted many reforms, the Maharajah had governed Indore since the abdication of his father in his favor in 1926. The Maharajah and his American Maharani returned to India following an only one -year residence in the house, leaving Princess Usha in the care of a governess in Santa Ana, where she continued to attend public schools. The pair divorced in 1943. The Maharajah married again, to another American, who bore him four children including a male heir, but Princess Usha, as the only offspring born of an Indian woman, succeeded her father as ruler in 1961 following the death of her father. Marguerite, who also remarried, remained in the house until 1952. As of 1994, according to one account (Marsh), Princess Usha occupied one of the Holkar's hereditary palaces in India, although, other information ( "Indore: The Holkar Dynasty ") indicates that she was stripped of her rank and titles by the Indian state in 1970 The Maharajah House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (OrangE County Register September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 All Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War 11 years, Floral Park continued its development as numerous, smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2003) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Maharajah House appears eligible for listing in the National Register of Historic Places and the California Register of Historical Resources. It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the Art Moderne variant of the Moderns, style and under Criterion 4b for its association with a foreign ruling family, the Holkars of Indore, India. Architecturally, the house is distinguished by its scale, massing, horizontal lines, use of characteristic features such as corner casement windows, and its fortress -like quality. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, scale, and historic associations with prominent residents. Additionally, the house has been categorized as "Landmark" for its unique architectural significance as an example of the All Moderns variant of the Moderne style and its historic /cultural significance to City as the "castle" of a sitting ruler. All original exterior features of the Maharajah House are considered character defining and should be preserved. These features include, but may not be limited to: materials and finishes (stucco, wrought iron); roof configuration, materials, and treatment, massing and composition; entry, doors and windows; terraces and walled gardens, architectural detailing (banding, window grilles, canopies, entry surround); chimneys and fireplaces, attached garage, original landscaping; and any original interior materials, spaces, finishes, and furnishings. DPR 523L 25A -207 State of California —The Resources Agency Primary If DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or # (Assigned by recorder) Maharajah House *Recorded by Leslie J. Heumann, SAIC *Date May 25, 2003 0 Continuation ❑ Update *1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998, Marsh, Diann, Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses, New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. 'Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park." http:/ /www.floral- park.com /page2.htm1 Talbert, Thomas (editor -in- chief]. Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens Volume 1. Whittier, Historical Publishers, 1963. Pleasants, Mrs J E History of Orange County. California, volume 3. Los Angeles: J. R. Finnell & Sons, 1931. Orange County Directories, 1928 -1952. Dodd, Richard H. "Art Moderne Style: Fit For a Prince." Orange County Home, Volume 4 Number 5, May 2003, Farrar, Robert S. "In the Days of the Maharajah ... Santa Ana's Storybook Romance." Orange County Illustrated October 1972. "India Princess, 5, Will Have a $50,000 Home in Santa Ana." Los Angeles Examiner, December 16, 1938. "Maharajah's $50,000 Palace to be Built in Santa Ana." Santa Ana Daily Register, December 15, 1938. "Where a Maharajah Lives in California." Los Angeles Times August 4, 1940, International Society of Interior Designers Orange County Chapter. "Design House 1986." Brochure. "Indore." www.rrraharaia.freewerve. co. uldindore.htrnl. "Indore: The Holkar Dynasty." www.dreamwater. net/ reryiment /RoyalArk/India/indore4htm. "Once upon a time in Indore." www.rediff. coin/ electrpn /19991seli 115colurnn.trtnr. P5b. Photograph: North and west elevations, April 2003. DPR 523L 25A -208 RE UE "1I" FOR HISTORIC RESOURCES COMMISSION ACTION HS]"COC RESOL RM-S COMMSSM hd1f.En DATE. NOVEMBER 20, 2014 TVTLE; PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -13, HISTORIC REGISTER CATEGORIZATION NO. 2014 -14, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -26 FOR PROPERTY LOCATED AT 524 WEST 19TH STREET (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske HMS -rORIc REARS ,E,S CO a i SECR r �Y APPROVED 0 As Recommended [D As Amended EJ Set Pt bho, Hearing For CON 't'lNu IED TO �s Interim Executive Direct Acting Planni (Iy NManaq�r — RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -13 and Historic Register Categorization No. 2014 -14. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Bryan and Kathryn Schmitz, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Bryan and Kathryn Schmitz are requesting approval to designate an existing residence located at 524 West 19th Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 1,279 square foot, one -story Craftsman -style residence and detached garage on a 7,500 square foot residential lot located on Nineteenth Street between Ross and Greenleaf Streets (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical EXHIBIT B18 25A -209 HRCA No. 2014- 13 /HRC No. 2014 -14 HPPA No. 2014 -26 November 20, 2014 Page 2 property any building or part thereof, object, structure, or site having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Dixon House, has distinctive architectural features of the Craftsman Bungalow style, and was built in 1923 by W.H. Dixon, a prolific homebuilder in Santa Ana. He was known for building strong and durable homes, thereby earning his nickname 'Durable Dick." Dixon also was a builder of miniature golf courses, having built in Whittier, Lynwood, Fullerton, Pasadena, and Santa Ana. Mr. Dixon had an office at 321 West Fourth Street. Character defining features of the Dixon House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, massing, and the original front door (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -210 HRCA No. 2014 -13 /HRC No. 2014 -14 HPPA No. 2014 -26 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -133 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hallyke Associate Planner HS:jm hs\Hisforic Info \112014 HRC \hrcal4 -13 hrcl4 -14 hppa14- 26.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -211 HRCA NO. 2014- 13 /HRC NO. 2014 -14 HPPA NO. 2014 -26 524 WEST 19TH STREET DIXON HOUSE PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY DIXON HOUSE 524 West 19th Street Santa Ana, CA 92701 NAME Dixon House REF. NO. ADDRESS 524 West 19th Street CITY Santa Ana ZIP 92701 ORANGE COUNTY YEAR BUILT Circa 1913 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT Floral Park NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Craftsman Bungalow Closely related to the English Arts and Crafts Movement, American Bungalow /Craftsman architecture was popularized by The Craftsman magazine and architects such as Charles and Henry Greene of Pasadena. It drew from the wood building traditions of Japan and Switzerland as well as the medieval themes favored by the Arts and Crafts philosophers. Craftsman architecture stressed honesty of form, materials, and workmanship, eschewing applied decoration in favor of the straightforward expression of structure. A new appreciation of nature was evident in horizontal lines that reached out to embrace the landscape and the incorporation of capacious porches into building plans. Primarily a residential style, Craftsman architecture can be identified by low pitched gable and hipped roofs with exposed rafters and beams in deep overhangs; wood lap or shingle siding and an occasional use of stucco; extensive use of stone or brick as a secondary material; horizontal emphasis apparent in roof lines, headers, and battered porch supports; and broadly proportioned wood framed windows, often clustered in bands. Craftsman homes were built from circa 1902 until the early 1920s (McAlester, 453 -463). SUMMARY /CONCLUSION: The Dixon House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Craftsman Bungalow style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" Santa Ana, and, as an intact example of a Craftsman bungalow in the historic Heninger Park neighborhood, "is a good example of period architecture' (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003) 5S1: Individual property that is listed or designated locally. 25A --'Tfl State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Primary HRI # Trinomial NRHP Status Code Other Listings Review Code Reviewer Resource name(s) or recorder) Date P1. Other Identifier: *P2. Location: ❑Not for Publication mUnrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 524 West 19th Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 104 -13 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Dixon House is designed in the Craftsman Bungalow style of architecture. Rectangular in plan, it is sheathed in wood clapboard siding. The structure has a broad front porch running the length of the front facade, and is symmetrical in design. The front entry is straddled with two tripartite windows, casement on each side of a picture window with wood valance on each. The gable ends are simple with a simple planked attic vent. The porch supports are unusual for this style of architecture as Doric columns are more commonly seen in the Colonial Revival vernacular. Landscape is drought tolerant. Overall the house is in excellent condition. *P31J. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) North facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1923 *P7. Owner and Address: Bryan and Kathryn Schmitz 524 West 19th Street Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone ❑Location Map ❑Sketch Map ®Continuation Sheet OBuilding, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record O Other (list) DPR 523A (1/95) 25A -214 *Required information SH.B. Nall of California —The Resources Agency Primary #_ DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 *Resource Name or #: Dixon House B1. Historic Name: Dixon House B2. Common Name: Same B3, Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Colonial Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 March 1923. Residence and garage for W.H. Dixon. $4,500 February 21, 1933. Reroof. June 26, 1944. Reroof. January 8, 1980. Remodel garage and living room. Insulate ceiling. *67. Moved? ■No 11Yes ❑Unknown Date: Original Location: *138. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Dixon House was built in 1923 by W.H. Dixon, a prolific homebuilder in Santa Ana. He was known for building strong and durable homes thereby earning his nickname "Durable Dick ". Dixon also was a builder of miniature golf courses having built in Whittier, Lynwood, Fullerton, Pasadena, and Santa Ana. He called them "Tom Thumb" courses. Dixon had offices at 321 West Fourth Street. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *812. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *814. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 523B (1195) 25A -215 Sketch Map 524 West 19th Street 002- 104 -13 - 0 o o.� C9 o 1 (1 0 or����cro R o ... -... �.. °a n *Required information SH.B. Nall of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Dixon House *Recorded by Hally Soboleske *Date November 20, 2014 91 Continuation ❑ Update '1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Dixon House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War ll, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style, In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Dixon House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture ". (Municipal Code, Section 30 -2.2). Character defining features include of the Dixon House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, massing, and original front door. *612. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann, Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources" Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969, Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lance Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2 S " -216 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11 /06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -13 TO PLACE THE PROPERTY LOCATED AT 524 WEST 19TH STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -14 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -13) and categorization (Historic Resources Commission Categorization No. 2014 -14) of the Dixon House, located at 524 West 19th Street, Santa Ana. B. The Dixon House has distinctive architectural features of the Craftsman style of architecture including clapboard siding, broad front porch, and wood windows. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character - defining features of the Dixon House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, massing, and original front door. E. The legal owners of the subject property are Bryan and Kathryn Schmitz. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. 25A -2 % Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -133 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -13 to place the Dixon House, located at 524 West 19th Street, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -14 placing the Dixon House, located at 524 West 19th Street, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. APPROVED AS TO FORM: Sean H. Mill Chairperson 25A -2 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission mem NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission mem CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -219 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 104 -13 524 West 19 Street Bryan & N TR 256 BLK B LOT 2 Kathryn Schmitz Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -220 REQUEST FOR i ��, 111♦ � .�{ .U,I. � �Ii NOVEMBER 20, 2014 TITLE HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -27 FOR THE PROPERTY LOCATED AT 2104 NORTH SANTIAGO STREET (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske r}?illl�ri:i7 a L�Il1ZiI:Fc 4IITITF&IC.Y�7�F7 APPROVED • As Recommended • As Amended • Set Public Hearing For CONTINUED TO Interim Executive Dir `tor Acting Plannng Man r i Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Craig Glaspell and Leigh Donovan, property owners, for the structure located at 2104 North Santiago Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Craig Glaspell and Leigh Donovan, are requesting the approval of Historic Property Preservation Agreement No. 2014 -27 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a one -story Craftsman styled residence and garage located at 2104 North Santiago Street. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B19 25A -221 HPPA No. 2014 -27 November 20, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Tidball House and categorized as Contributive in February of 2004 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. r ` r Hally Sob ¢ eske Associate` fanner HS:jm hs\ historic info \mills act agreements\2104_N_Santiago \ hppa I4- 27_2104NSantiago.hrc Attachments: Exhibit 1- 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -222 HPPA NO. 2014 -27 2104 North Santiago Street Tidball House PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY TIDBALL HOUSE 2104 North Santiago Street Santa Ana, CA 92706 NAME Tidball House REF. NO. ADDRESS 2104 North Santiago Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1923 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Park Santiago CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S3 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Bungalow /Craftsman Closely related to the English Arts and Crafts Movement, American Craftsman architecture was popularized by The 0za/tsntan magazine and architects such as Charles and Henry Greene of Pasadena. It drew from the wood building traditions of Japan and Switzerland as well as the medieval themes favored by the Arts and Crafts philosophers. Craftsman architecture stressed honesty of form, materials, and workmanship, eschewing applied decoration in favor of the straightforward expression of structure. A new appreciation of native was evident in horizontal lines that reached out to embrace the landscape and the incorporation of capacious porches into building plans. Primarily a residential style, Craftsman architecture can be identified by low pitched gable and hipped roofs with exposed rafters and beams in deep overhangs; wood lap or shingle siding and an occasional use of stucco; extensive use of stone or brick as a secondary material; horizontal emphasis apparent in roof lines, headers, and battered porch supports; and broadly proportioned wood framed windows, often clustered in bands. Craftsman homes were built from circa 1902 until the early 1920s. SUMMARY /CONCLUSION: The Tidball House qualities for listing in the Santa Ana Register of Historical Properties under Criterion 1, for its representation of the distinguishing characteristics of the late Craftsman style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of the Park Santiago neighborhood, and, as a late Craftsman bungalow, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December &, 2003.) 5S3: Appears to be individually eligible for local listing or designation through survey evaluation. ENA 224 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # _ PRIMARY RECORD Trinomi, NRHP Status Other Listings Review Code Reviewer Resource name(s) or number (assioned by recorder) 7 P1. Other Identifier: *P2. Location: []Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Orange TCA 1725 Date: *c. Address 2104 North Santiago Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 003- 133 -08, DERICOT TR LOT. 9 N 57.29 FT S 367.29FT W 156 FT E 186FT *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) This one -story Craftsman bungalow retains substantial design integrity. Topped by a low - pitched, front -gable roof with rafters exposed in its eaves, the building is clad in narrow clapboard. Vertical slats of alternating widths create an attic vent in the gable end. An attached porch is centered on the fagade and is defined by a gable whose pitch echoes that of the main gable. Gray and white brick piers topped by tapered posts support the porch gable. Spanning the porch posts, a beam is decorated by a band of dentils arranged to suggest a slight peak in the center. The porch is entered via two cement steps from the side and enclosed by a single horizontal rail. A pergola extends from the porch to the south and terminates in two posts. Two tripartite windows, distinguished by bands of small lights across the top of each sash, flank the central entry. The "knit brick" pattern of the porch piers is repeated on the chimney that is attached to the south elevation of the house. A "Hollywood driveway," with its center strip of grass, leads to the rear of the property where a low picket fence separates the house from a yard that appears to contain mature trees. The garage is not visible. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none') None. P5b. Photo: (view and date) South and west elevations February 2004 *P6. Date Constructed /Age and Sources: ■historic 1923 1City of Santa Ana Building Permits *P7. Owner and Address: Graham D Lammers 2104 North Santiago Street Santa Ana, CA 92706 *P8. Recorded by: Leslie J. Heumann SAIC 35 S. Raymond Ave. If 204 Pasadena, CA 91105 *P9. Date Recorded: February 2, 2004 *P10. Survey Type: Intensive Survey Update *Attachments: ❑None ❑Location Map ❑Sketch Map ■Continuation Sheet EBuilding, Structure, and Object Record Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -225 *Required information State of California — The Resources Agency Primary # _ DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 *CHR Status Code 5S3 - rcesourco Name or S: llooall Mouse 61, Historic Name: Tidball House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *65. Architectural Style: Bungalow /Craftsman *66. Construction History: (Construction date, alterations, and dale of alterations): Constructed in 1923. August, 1923. Residence and garage. December 28, 1942. Barn. May 31, 1945. Reroof. *67. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *66. Related Features: "Hollywood driveway. B9a. Architect: Unknown b. Builder: Unknown B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: C; CR: 3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Tidball House is architecturally significant as a highly intact example of a late Craftsman bungalow and one of the earlier homes to be constructed in the Park Santiago neighborhood. According to the building permit records, the house was built in 1923 for a cost of $3, 800 at a time when there were only a handful of homes on Santiago Street. The house was erected for Reverend Milford Tidball, who lived there with his wife Mina through at least 1935. It is unknown with which congregation Reverend Tidball was associated; however, the David Tidball family, presumably relatives, were noted in one historical account as members of the the First Presbyterian Church of Santa Ana. (See Continuation Sheet 3 of 3.) B11. Additional Resource Attributes'. (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 3.) B13. Remarks: *1314. Evaluator: Leslie J, Heumann `Date of Evaluation: February 2, 2004 (This space reserved for official comments.) DPR 5238 (1195) 25A -226 Sketch Map -T 1 IF 11 Tidball House J41� I pp 1 2104 North Santiago Street *Required information State of California —The Resources Agency Primary# DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Df 3 by Leslie J. Neumann, SAIC *610. Significance (continued): Resource Name or # (Assigned by recorder) Tidball House *Date February 2, 2004 El Continuation ❑ Update The Tidball House is located in the Park Santiago neighborhood, near the present northern city limits of Santa Ana and substantially north of the original city core. The neighborhood is bounded by Santiago Creek and Park on the north, East Seventeenth Street on the south, North Lincoln Avenue on the east, North Main Street on the west, and the 1 -5 freeway on the southwest In large part these boundaries reflect the transportation lines that were constructed towards the end of the nineteenth century and at the beginning of the twentieth century, when the Pacific Electric interurban railroad ran up Main Street, the Atchison, Topeka, and Santa Fe tracks followed Lincoln, and the Southern Pacific Railroad right -of -way mirrored the freeway route. This area remained primarily agricultural well into the 1920s. As of 1905, the city directories listed around twenty households on East Santa Clara, Twentieth Street, "C Street" (now North Santiago Street), North Bush Street and North Main Avenue, the only streets in the area at the time. The vast majority of the residents were ranchers. By 1911, the number of households had "increased to about thirty, and Edgewood Road and Valencia Street had been partially laid out, but most residents continued to list 'rancher" or "fruit grower' as their occupation in the city directories. This pattern of land use was evident on the 1912 plat map of the City, which illustrated two small, Craftsman era subdivisions along Bush north of Santa Clara and on Valencia and Poinsettia south of Twentieth Street, with the remaining area divided into larger, agricultural parcels held by approximately forty landowners. While the area east of Santiago Street was not subdivided until after the mid- 1920s, most of the present day streets west of Santiago had been laid out when the City was mapped in 1923. Ranching continued to be the most prevalent occupation in the neighborhood, but increasing numbers of professionals, small business owners, merchants, and people in service professions such as painters, electricians, and carpenters made their homes in the western half of the neighborhood during the 1920s and 1930s. The area also attracted several city and county officials, including the City Attorney (Z. B. West, Jr., 321 East Santa Clara Avenue), County Supervisor, First District (C. H. Chapman, 2315 North Santiago Street), County Surveyor (E. H. Irwin, 2407 North Santiago Street), and County Auditor (William C. Jerome, 2422 Poinsettia Street). By April 1942, when the Sanborn Company first mapped the western half of the area, most of the lots had been improved with single- family homes, many in the revival styles popular during the 1920s and 1930s. Subsequent development of the eastern half of the neighborhood and infill construction in the western half displayed the simplified ranch style that emerged following World War 11. The Tidball House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, for its representation of the distinguishing characteristics of the Craftsman style. Additionally, the house has been categorized as "Contributive' because it "contributes to the overall character and history' of the Park Santiago neighborhood, and, as a late Craftsman bungalow, "is a good example of period architecture." Typical Craftsman elements such as horizontal lines keynoted by the broadly pitched roof and exposed structure features such as the rafters and pergola have been paired with the symmetry that often characterized Craftsman homes of the 1920s. Character- defining exterior features of the Tidball House that should be preserved include, but may not be limited to: sheathing (clapboard); roof configuration and detailing; massing, windows and doors; porch and pergola, chimney; architectural details (such as the porch supports, dentil course, and attic vent); and "Hollywood driveway." *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee, A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form. " Washington DC: National Register Branch, National Park Service, US Dept, of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995, Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Santa Ana and Orange County Directories, 1905 -1935, Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. DPR 523L 25A -227 25A -228 REQUEST FOR Historic R ourctes Commission Action HWORK.MrSOURCFS COMIVW.SSON MEETING DATE: NOVEMBER 6, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -28 FOR THE E.C. ROGERS HOUSE LOCATED AT 2372 NORTH RIVERSIDE DRIVE (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske -- I-- ... . ........ ......... - - -.� HISTORIC RESOURCES C:OMMISSON SECRETARY APPROVED 11 As Recommended ❑ As Amended ❑ Set Public Hearing For CONTOO UED TO Interim Executivc irector Acting PannOg Manager Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Ronald Lee Scott, property owner, for the structure located at 2372 North Riverside Drive, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicant, Ronald Lee Scott, is requesting the approval of Historic Property Preservation Agreement No. 2014 -28 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a single story Tudor Revival residence and garage located at 2372 North Riverside Drive. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B20 25A -229 HPPA No. 2014 -28 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the E.C. Rogers House and categorized as Key in November 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Sobo I ke Associate Planner HS:jm hs \historic infoWils act agreement s\ 2372_N_Riversidelhppa1428_2372N Riverside Dr Mllls.hrc 25A -230 HPPA No. 2014 -28 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -231 :311171:7_ull� HPPA- 2014 -28 2372 North Riverside Drive E.C. Rogers House PLANNING AND BUILDING AGENCY FT - r. ,,r EXECUTIVE SUMMARY E. C. ROGERS HOUSE 2372 North Riverside Drive Santa Ana, CA 92706 NAME E.C. Rogers House REF. NO. ADDRESS 2372 North Riverside Dr. CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1933 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT North Broadway NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Tudor Revival The Tudor Revival looked to medieval England for its inspiration. Signature features of the style include steeply pitched gables; decorative half- timbering; arched openings, often Tudor or Gothic in form; asymmetrical arrangements of building features; tall brick chimneys; and picturesque windows of leaded glass or diamond patterned lights. The more ambitious examples of the Tudor Revival were executed in brick or even stone; however, stucco over wood frame is quite common in the forgiving climate of southern California. The Tudor Revival was favored primarily for residential buildings, although small scale commercial buildings in the style also occur. Born in the late nineteenth century, the Tudor Revival was associated with some Craftsman era construction but was most popular during the 1920s and 1930s. SUMMARY /CONCLUSION: The E.C. Rogers House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as a structure with the distinguishing characteristics of an architectural style or period, the Tudor Revival (Municipal Code, Section 30 -2(a). Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality' as an example of the Tudor Revival style (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: . California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 2132: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. WX.h3 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomi; Other Listings Review Code NRHP Status Reviewer or number (assigned by P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Date: *c. Address 2372 North Riverside Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 133 -001 Tract: N Tr 425 Block: Lot: 109 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Located on the southeast corner of North Riverside Drive and Benton Way, this one -story, Tudor Revival, single - family residence showcases signature features of the style. The L- shaped house is capped by a complex cross - gabled and hipped roof of medium pitch, which is set above shallow eaves. A dramatic, brick, double chimney, attached to the west half of the fagade, establishes a strong vertical accent. The building is sheathed in fan skip trowel stucco, with half- timbering in gable ends on the north and west. Set approximately in the middle of the fagade, the entry porch is sheltered by a front - gabled hood supported on wooden posts and Gothic - arched brackets. A stained wood door is pierced by a small window of stained and leaded glass. Windows are predominantly multi -paned casements, and small, attic windows are set into the gable ends. The property, neatly landscaped with lawns and mature shrubbery, also contains a two -story garage at the southwest corner, facing Benton Way. Built in 1985, it echoes the style and proportions of the house. Enclosure of a former sunporch with windows on the west elevation, dating to 1986, is similarly harmonious with the original design. In good condition, the property exhibits a high degree of integrity. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P5b. Photo: (view and date) North and west elevations 10/21/14 *P6. Date Constructed /Age and Sources: ■historic 1933 /City of Santa Ana Building Permit *P7. Owner and Address: Dr. Ronald Lee Scott 2372 North Riverside Drive Santa Ana, CA 90206 *P8. Recorded by: Leslie J. Neumann, Hally Soboleske City of Santa Ana *P9. Date Recorded: October 20, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979. *Attachments: ❑None ❑Location Map ❑Sketch Map ■Continuation Sheet OBuilding, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 7' *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 2D1 -rcesource Name or;;: L.U, Nogers Bt. Historic Name: E.C. Rogers B2. Common Name: Same B3. Original Use: Single - family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Tudor Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1933. February 2, 1933. Residence and garage ($4,300). E. C. Rogers, owner. June 13, 1985. Reroof. January 21, 1986. Enclose existing porch with windows. April 25, 1988. New garage and workshop (2- story). *67. Moved? NNo OYes ❑Unknown Date: Original Location: *88. Related Features: None. The 1949 Sanborn map indicates that a one -story garage was formerly on the property. This has been replaced with the current building. B9a. Architect: Unknown b. Builder: E.C. Rogers (attributed) *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: C/3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The E.C. Rogers is architecturally significant for its highly characteristic use of the residential Tudor Revival style and historically notable for its association with a prominent local builder, Emmet C. Rogers. It was built in 1933 for E. C. Rogers for a total cost of $4,500 including the residence and garage, and remained, according to the building permit record, virtually unaltered until the mid- 1980s. Emmet C. Rogers was a prolific Santa Ana builder and developer. He was born in 1896 in Missouri (1930 Federal Census). By 1920, he had married his wife June and moved to Greeley, Colorado, where he was a high school teacher (1920 Federal Census). A few years later, in 1923, he had relocated his family to Santa Ana, and had a dual appointment at both Willard and Lathrop Junior High Schools, where he taught science (Santa Ana Daily Register, April 4, 1923). From the late 1930s through the following decade, Rogers was extremely active as a building contractor, often (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *814. Evaluator: Leslie J. Heumann *Date of Evaluation: July 5, 2005 (This space reserved for official comments.) Sketch E.0 Rogers House a n 2372 N. Riverside Dr.Y - •• >> G " 00,Ot0 iai O C 0:0' O uQ O;G7;pO�OL +O -� -- G ^ h m 1IAY M 0 h OS x gENio"' � 5� DPR 5236 (1/95) 235 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial by Leslie J. Heumann, Hally Soboleske *Date October 20, 2014 O Continuation ❑ Update *B10. Significance (continued): moving his family, perhaps to houses as a finished them, on Greenleaf (2144), Freeman (602 and 1315), and Towner (1010) (1930 Federal Census, Santa Ana Register July 29, 1940, 1947 and 1949 city directories). He subdivided a 24 -lot tract on Freeman between Washington and Fifteenth from formerwalnut groves in 1938, maintaining property values by reviewing the proposed plans for each house in the tract (Santa Ana Register, August 27, 1938). He also developed several lots on Towner, north of Washington (Santa Ana Register, July 29, 1940). The E.C. Rogers is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War II years, Floral Park continued its development as numerous, smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2014) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The E.C. Rogers has been determined eligible for listing in the National Register of Historic Places as a contributor to a North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower Street. Comprising the northern end of the Floral Park neighborhood, North Broadway Park was subdivided in 1923. The Keeper of the National Register found that: "North Broadway Park reflects the City Beautiful planning movement in Southern California during the early twentieth century. The vernacular adaptations of period revival styles, curvilinear street patterns, street furniture, and landscape combine to create a cohesive and pleasant middle class suburban neighborhood environment which is unique in the early historical development of the city of Santa Ana:'' Under the regulations implementing the California Register of Historical Resources, the E.C. Rogers has been listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Tudor Revival style. It is a textbook example of the style, with its extravagant chimney, half- timbered gable ends, and Gothic - influenced entry. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, scale, and historic association with an important member of the local building industry. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality" as an example of the Tudor Revival style. All original and restored exterior features of the E.C. Rogers are considered to be character defining and should be preserved. These features include, but may not be limited to: height and massing, materials and finishes (stucco, wood, brick); roof configuration and treatment; design and composition; chimney; entry; doors and windows; and architectural detailing (such as half- timbering). *612. References (continued): Harris,. Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated Histo y. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses, New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. ' Determination of Eligibility, February 25, 19 DPR 523L '25A4Nf 5 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial of 4 Resource Name or # (Assigned by recorder) E.C. Rogers by Leslie J. Neumann, Holly Soboleske *Date October 20, 2014 O Continuation ❑ Update *B12. References (continued): 'Builder of Honer Plaza Dies,' Orange County Register, September 15, 1981. "History of Floral Park." ( http: // www.floral - park.com /page2.html). Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens, Volume I. Whittier, Historical Publishers, 1963. Armor, Samuel. History of Orange County. 1921. Pleasants, Mrs. J. E. History of Orange County. Los Angeles: J. R. Finnell & Sons Publishing Co., 1931. Vol.. 2, page 80 and Vol. 3, page 142. Santa Ana and Orange County Directories, 1923 -1949. Santa Ana (Daily) Register, 1923 -1954 (newpapers.com). United States Federal Census, 1920, 1930, 1940 (ancestry.com). DPR 523L 25A `3 25A -238 REQUEST FOR IHI T'ORic RESOURCES COMMISSION ACTION HUrOW RESC URCES COANASSM MEE- NG DA TE NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -15, HISTORIC REGISTER CATEGORIZATION NO. 2014 -16, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -29 FOR PROPERTY LOCATED AT 1919 NORTH HELIOTROPE DRIVE (STRATEGIC PLAN NOS. 5, 2; 5,3) Prepared by tally Soboleske H TORIC RESOURCFS COMMISSM SECRETARY APPROVED • As Recommended • As Amended • Set Public I-iearing For CON'T'INUED TO Interim Executive DireAr Acting P annin anager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -15 and Historic Register Categorization No. 2014 -16. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Jeffrey A. Katz, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Jeffrey A. Katz is requesting approval to designate an existing residence located at 1919 North Heliotrope Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 2,669 square foot, single story ranch -style residence and attached garage on a 17,360 square foot residential lot located on Heliotrope Drive between Nineteenth Street and Santa Clara Avenue (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B21 25A -239 HRCA No. 2014- 15 /HRC No. 2014 -16 HPPA No. 2014 -29 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the MacMullen House, has distinctive architectural features of the ranch style, and was built in 1936. The first owners were Carolyn and Benjamin MacMullen. Mr. MacMullen was a well -known Chevrolet car dealer. Character defining features of the MacMullen House that should be preserved include, but may not be limited to, exterior materials, massing and dormers, original windows where extant, and front porch configuration (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -240 HRCA No. 2014- 15 /HRC No. 2014 -16 HPPA No. 2014 -29 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -127 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Soboske Associate Planner HS:jm WHistoric InfoA112014 HRCAhrcal4 -15 hrc14 -16 hppa14- 29.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -241 500' RADIUS HRCA NO. 2014- 15 /HRC NO. 2014 -16 HPPA NO. 2014 -29 1919 NORTH HELIOTROPE DRIVE MacMULLEN HOUSE PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY MACMULLEN HOUSE 1919 North Heliotrope Drive Santa Ana, CA 92706 NAME MacMullen House REF. NO. ADDRESS 1919 North Heliotrope Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1943 LOCAL REGISTER CATEGORY: Contributive STORIC DISTRICT N/A NEIGHBORHOOD Floral Park IFORNIA REGISTER CRITERIA FOR EVALUATION E 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Ranch Widely published in Sunset and House Beautiful magazines, the Ranch House dominated post -World War II residential expansion and represented the most popular house form in the United States from the 1950s through 1970s. The Ranch House originated in the 1930's designs of Southern California architect Cliff May, who sought to reinvent the west's vernacular housing traditions by combining the form and massing of the traditional ranch house with a modernist's concern for informality, expressed in materials and plan, and indoor - outdoor integration. While the style includes several variants, a basic set of character - defining features applies to most examples. In form and massing, the style evokes a sprawling ranch that developed over time, with a central block extended by wings of varying roof heights. Generally L- shaped or U- shaped in plan, the Ranch House typically has a one -story profile with strong horizontal emphasis expressed through a low pitched or flat roof with wide overhanging eaves. Asymmetrical in design, the Ranch House is often sheathed in and accented with rustic materials such as board - and - batten siding, high brick foundations, art stone, and wood shake roofs. Indoor - outdoor integration is achieved through the use of recessed or extended porches, set low to the ground, and the generous use of large picture, ribbon, or corner windows. Window detailing can include wood frames, decorative shutters, and diamond - patterned muntins. Ornamentation includes rusticated elements, such as carved porch supports and exposed rafters, uneven rakes and flared eaves, and faux dove cotes and bird houses. SUMMARY /CONCLUSION: The MacMullen House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style, as well as its association with Calvin M. Gilbert, founder of longtime local business Gilbert and Stearns Electric. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture. "(Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) SS3: Individual property that is listed or designated locally. r "War State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomial NRHP Status Code Other Listings. Review Code Reviewer Date Page 1 of 4 Resource name(s) or number (assigned by recorder) MacMullen House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted a. County Orange County *b. USGS 7.5' Quad TCA1725 Date: *c. Address 1919 North Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002- 091 -13 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Long and horizontal, this ranch styled residence is sheathed primarily in stucco, but includes earthy used brick accents on either side of the fagade. The structure is topped with wood shake shingles on the cross gabled roof. The front facing bay holds a modern garage door. Note that it is unusual for a single family home to have a front facing garage in the 1930's as the prominence of the automobile did not reach its peak until the 1950's. A porch runs the length of the house other than the garage, and is supported by 6" x 6" wooden posts. The windows are composed of wood in a four over four style. The front door is wide and built with heavy wood. A wooden window box shelf sits just below the right most window. Mature landscape surrounds the property including three very large trees. A wood rail fence surrounds the front yard. The property is in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ❑Element of District ❑Other P5b. Photo: (view and date) West facing elevation 2013 *P6. Date Constructed /Age and Sources: ■historic 1943 /City of Santa Ana Building Permits *P7. Owner and Address: Jeffrey Katz 1919 North Heliotrope Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None. *Attachments: ❑None ❑Location Map ❑ Sketch Map ®Continuation Sheet EbUlloing, structure, and Ubject Kecora ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -244 *Required information State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page. 2 of 4 *CHR Status Code 5S1 _. *Resource Name or #: MacMullen House B1. Historic Name: MacMullen House B2. Common Name: Same B3. Original Use: Single- family Residence *135. Architectural Style: Ranch 64. Present Use: Single- family Residence *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1936 August 1, 1936 Residence and garage by Ball and Honer. $12,000 July 23, 1940 Alteration to residence for B.J. MacMullen by Allison Honer. December 2, 1968. Repair fire damage for William Maxwell. November 15, 1977. Swimming pool and spa for T. Cox. *B7. Moved? ■No ❑Yes ❑Unknown *68. Related Features: None. 69a. Architect: Unknown Date: Original b. Builder: Ball and Honer *610.. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1895 -1965 Property Type: Single- family Residence Applicable Criteria: CR: 5S1 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The MacMullen House was constructed for Benjamin J. and Carolyn MacMullen. Mr. MacMullen was a well -known Chevrolet dealer whose business was located at the northeast corner of Second and Sycamore Streets. The MacMullens were active in the community and were especially involved in the efforts to aid the country during WWII. Carolyn was a member of the Red Cross, and both were members of the Army and Navy Citizen's Committee. Mr. MacMullen passed away in the early 1960's, and the house was sold to William Maxwell. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 20, 2014 (This space reserved for official comments.) Sketch Map ......... . -. 1919 North Heliotrope Dr. ...,, 002 -091 -13 RI( en m lluvi'j ^ 09, 99! DPR 5238 (1195) 25A -245 *Required information State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial of 3 Resource Name or # (Assigned by recorder) MacMullen House by Hally Soboleske `Date June 04, 2013 ❑x Continuation 0 Update *610. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The MacMullen House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Re ister, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue, The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. The MacMullen House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style and its association with Calvin M. Gilbert, a founding member of the long time Santa Ana business, Gilbert and Stearns Electric. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture ". Character - defining exterior features of the MacMullen House that should be preserved include, but may not be limited to, exterior materials, massing and exterior sheathing, original windows where extant, front porch configuration. B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998, Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, '1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Pleasants, Mrs. J. E. History of Orange County California, volume 2. Los Angeles: J. R. Finnell & Sons, 1931, pp. 364 -365. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park." hn�: / /www.foraltark.com /71 age2.html. Santa Ana and Orange County Directories, 1937 -1978. Ancestry.com Newspapers.com DPR 523L 25A -246 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 RO H — 11 /06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -15 TO PLACE THE PROPERTY LOCATED AT 1919 NORTH HELIOTROPE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -16 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -15) and categorization (Historic Resources Commission Categorization No. 2014 -16) of the MacMullen House, located at 1919 North Heliotrope Drive, Santa Ana. B. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." C. Character - defining features of the MacMullen House that should be preserved include, but may not be limited to, exterior materials, massing and dormers, original windows where extant, chimney, and front porch configuration. D. The legal owners of the subject property are Jeffrey A. Katz. E. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. F. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. G. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. 25A -247 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -127 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -15 to place the MacMullen House, located at 1919 North Heliotrope Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -16 placing the MacMullen House, located at 1919 North Heliotrope Drive, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Sean H. Mill Chairperson 25A -248 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 By: Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -249 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 091 -13 1919 North Heliotrope Drive Jeffrey A. Katz N TR 1010 BLK LOT 1 Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -250 NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -16, HISTORIC REGISTER CATEGORIZATION NO. 2014 -17, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -30 FOR PROPERTY LOCATED AT 532 NORTH EASTSIDE AVENUE {STRATEGIC PLAN NOS. 5, 2; 5,3} Prepared by Hally Soboleske APPROVED • As Recommended • As Amended • Set Public Hearing For CONTINUED °I "O Interim Executive Dire for Acting Plann)ng' Manager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -16 and Historic Register Categorization No. 2014 -17. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Michael Viljak and Miya Suzuki, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Michael Viljak and Miya Suzuki are requesting approval to designate an existing residence located at 532 North Eastside Avenue to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 1,968 square foot, one -story Craftsman -style residence and detached garage on a 7,106 square foot residential lot located on North Eastside Avenue between Fourth and Sixth Streets (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B22 25A -251 HRCA No. 2014- 16 /HRC No. 2014 -17 HPPA No. 2014 -30 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Richardson- Prentice House, has distinctive architectural features of the Craftsman style, and was built in 1918. The owners that spent the most time in the house were George and Doris Richardson. The house was moved to its present location by Paul Richardson. Character defining features of the Richardson- Prentice House that should be preserved include, but may not be limited to, materials and finishes (wood and stone); roof configuration and detailing; massing; original windows and doors; porch; chimney; architectural details (attic vents, rafter tails, corbels, porch posts, etc.); and garage. In addition, interior finishes and features such as the Batchelder tile fireplace, wood built -ins, wood floors, and wood moldings and casings should also be considered character - defining (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Key" because it "has a distinctive architectural style and quality" as a very intact example of the Craftsman style. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -252 HRCA No. 2014 -16 /HRC No. 2014 -17 HPPA No. 2014 -30 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Saddleback View Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Saddleback View Neighborhood president was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -132 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sq, oleske Associate Planner HS:jm hs \Historic Info \141120 HRC \hrca 14- 16- hrc14 -17 hppa14 -30hic Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -253 500' RADIUS HRCA NO. 2014- 16 /HRC NO. 2014 -17 HPPA NO. 2014 -30 532 NORTH EASTSIDE AVENUE RICHARDSON HOUSE PLANNING AND BUILDING AGENCY T, . � c. TA EXECUTIVE SUMMARY RICHARDSON HOUSE 532 NORTH EASTSIDE AVENUE Santa Ana, CA 92701 NAME Richardson House REF, NO. ADDRESS 532 North Eastside Avenue CITY Santa Ana ZIP 92701 ORANGE COUNTY YEAR BUILT 1918 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT N/A NEIGIIBORHOOD Saddleback View CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® historic ❑ Both ARCII TECTURAL STYLE: Craftsman Closely related to the English Arts and Crafts Movement, American Bungalow /Craftsman architecture was popularized by The Craftsman magazine and architects such as Charles and Henry Greene of Pasadena. It drew Prom the wood building traditions of Japan and Switzerland as well as the medieval themes favored by the Arts and Crafts philosophers. Craftsman architecture stressed honesty of form, materials, and workmanship, eschewing applied decoration in favor of the straightforward expression of structure, A new appreciation of nature was evident in horizontal lines that reached out to embrace the landscape and the incorporation of capacious porches into building plans. Primarily a residential style, Craftsman architecture can be identified by low pitched gable and hipped roofs; with exposed rafters and beams in deep overhangs; wood lap or shingle siding and an occasional use of stucco; extensive use of stone or brick as a secondary material; horizontal emphasis apparent in roof lines, headers, and battered porch supports; and broadly proportioned wood framed windows, often clustered in bands. Craftsman homes were built from circa 1902 until the mid - 1920s. SUMMARY /CONCLUSION: The Richardson House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as a structure with the distinguishing characteristics of an architectural style or period, the Craftsman style. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality" as a highly intact and characteristic example of the Craftsman style (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series ## 7, "How to Nominate Resources to the California Register of historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated Locally. State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI #_ -.. -_ PRIMARY RECORD Trinomi NRHP Status Other Listings Review Code Reviewer Page 1 of 4 Resource name(s) or number (assigned by recorder) Richardson - Prentice House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Date: *c. Address 532 North Eastside Avenue City Santa Ana Zip 92701 *e. Other Locational Data: Assessor's Parcel Number 398 - 393 -30 Tract: 319 Block: Lot: 1 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Located on the southwest corner of Eastside Avenue and East 61" Street, this one - story, single - family residence is a classic example of Craftsman bungalow. A broadly - pitched, cross - gabled roof with overhanging eaves crowns the building. Shaped rafter tails are exposed in the eaves and extended bargeboards accent the gable ends. Shingled, the gable faces contain latticed attic vents in their peaks. Below a band of shingling, the body of the house is covered in narrow overlap siding. The building rests on a dressed stone foundation. An attached, "L "- shaped, partial width porch wraps the fagade (east) and the south elevation. Topped by a front gable ornamented by a row of notched corbels, the generously proportioned porch is characterized by stone walls, rails, and piers, with squat, elephantine wood posts supporting the porch roof. The primary entry is centered on the fagade at the north end of the porch. The wide, wood slab door is flanked by narrow, full- height sidelights. Two large, fixed -pane windows, unevenly sized, are placed to the north and south of the entry. Secondary entries are located on both the north and south elevations. Windows on the side elevations are double -hung sash, with a distinctive, rectangular pattern of divided lights in the upper sashes. Window surrounds are traditional, with molded lintels and sills. A brick chimney is attached to the south elevation within the porch space. Interior details include a fireplace with a Batchelder tile surround and hearth, oak and fir floors, built -in sideboard and bookcase, and natural wood moldings, baseboards, and window surrounds. Neatly landscaped, the property also contains a flat - roofed, clapboard- covered garage facing 6" Street. The house is substantially original and in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ❑Element of District 00ther PSb. Photo: (view and date) East and north elevations October 2014 *P6. Date Constructed /Age and Sources: ■historic 1918/Zillow.com *P7. Owner and Address: Michael Viljak and Miya Suzuki 532 North Eastside Avenue Santa Ana, CA 92701 *P8. Recorded by: Leslie J. Heumann, Hally Soboleske City of Santa Ana *P9. Date Recorded: November 11, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None. *Attachments: []None []Location Map OSketch Map ■Continuation Sheet ■Building, Structure, and Object Record 0Archaeological Record []District Record []Linear Feature Record []Milling Station Record []Rock Art Record OArtifact Record []Photograph Record 0 Other (list) DPR 523A (1195) *Required information 25A -256 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 *NRHP Status Code 5S1 'Resource Name or 9: Kicnardson- Prentice House 81. Historic Name: Richardson House B2. Common Name: Same B3. Original Use: Single - family Residence B4. Present Use: Single- family Residence *85. Architectural Style: Craftsman *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1918. April 18, 1928. Alterations for George Richardson. $350. (941 Grand). May 27, 1949. Relocate 8 -room residence and garage from 941 Grand for P. P. Prentice. $8,000. *137. Moved? ❑No Eyes ❑Unknown Date: Original Location: 941 Grand *B8. Related Features: B9a. Architect: Unknown b. Builder: Unknown *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: C/3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Richardson House is architecturally significant as a highly characteristic and intact example of the Craftsman style. It was built in 1918, for the head train conductor in Santa Ana according to one source (Zillow.com). The first known residents were George R. and Doris Richardson. Born in 1887 in Iowa, Richardson apparently moved to Santa Ana and this house in 1921. Richardson was a rancher. The Richardsons occupied this house until it was moved in 1949 by P. P. Prentice, perhaps in anticipation of the construction of the Santa Ana freeway. Subsequently, the Richardsons lived at 420 North Lowell, and this house saw a series of different occupants. Richardson died in 1973. (See Continuation Sheet 3 of 3.) B11. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 3.) B13. Remarks: *B14. Evaluator: Leslie J. Neumann *Date of Evaluation: November 20, 2014 (This space reserved for official comments.) DPR 523E (1195) Sketch Map :w F 532 N. Eastside 398 - 393 -30 U O 4 (7) 392i a.d930' o r= — v u p - ' C -- n p �,eL {}-a O. G U C).401(il avv +n: Cc), rD� G xn n9 25A -257 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name or # (Assigned by recorder) Richardson House *Recorded by Leslie J. Neumann, Hally Soboleske *Date November 11, 2014 0 Continuation ❑ Update *B10. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Richardson House was built on Grand at the eastern edge of the young community, in the vicinity of the train station. The Richardson - Prentice House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the most popular residential style during the first two decades of the twentieth century, the Craftsman style. Typical features of this style illustrated by the house include its horizontal orientation, gabled roof configuration, generously -sized " % shaped porch, use of a combination of wood and stone, and exposed structural elements such as rafter tails. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality" as a very intact example of the Craftsman style. Character- defining exterior features of the Richardson House that should be preserved, include, but may not be limited to: materials and finishes (wood and stone); roof configuration and detailing; massing; original windows and doors; porch; chimney; architectural details (attic vents, rafter tails, corbels, porch posts, etc.); and garage. In addition, interior finishes and features such as the Batchelder tile fireplace, wood built -ins, wood floors, and wood moldings and casings should also be considered character - defining. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses, New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park." http: // www.floral- park.com /page2.htmi Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens, Volume I. Whittier, Historical Publishers, 1963. Armor, Samuel. History of Orange County. 1921. Pleasants, Mrs. J. E. History of Orange County, Los Angeles: J. R. Finnell & Sons Publishing Co., 1931. Vol.. 2, page 80 and Vol. 3, page 142. Santa Ana and Orange County Directories, 1910 -1960. (ancestry.com). United States Federal Census. 1920, 1930, 1940. ( ancestry.com). DPR 523L 25A -258 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -16 TO PLACE THE PROPERTY LOCATED AT 532 NORTH EASTSIDE AVENUE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -02 PLACING SAID PROPERTY WITHIN THE KEY CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -16) and categorization (Historic Resources Commission Categorization No. 2014 -17) of the Richardson House, located at 532 North Eastside Avenue, Santa Ana. B. The Richardson House has distinctive architectural features of the Craftsman style, front porch, clapboard cladding, and wood windows. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Key because it "has a distinctive architectural style and quality" as a very intact example of the Craftsman style. D. Character - defining features of the Richardson House that should be preserved include, but may not be limited to, materials and finishes (wood and stone); roof configuration and detailing; massing; original windows and doors; porch; chimney; architectural details (attic vents, rafter tails, corbels, porch posts, etc.); and garage. In addition, interior finishes and features such as the Batchelder tile fireplace, wood built -ins, wood floors, and wood moldings and casings should also be considered character - defining. E. The legal owners of the subject property are Michael Viljak and Miya Suzuki. 25A -259 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Key category pursuant to Section 30- 2.2(2) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -135 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -16 to place the Richardson House, located at 532 North Eastside Avenue, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -17 placing the Richardson House, located at 532 North Eastside Avenue, Santa Ana, within the Key category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -260 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission mem CERTIFICATE OF ATTESTATION AND ORIGINALITY 1, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -261 Resolution NoP2 ge 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 398 - 393 -30 532 North Eastside Michael Viljak TRACT 319 LOT 1 INC POR Avenue and Miya STREET ADJ Suzuki Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -262 r FOR HISTORIC NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -17, HISTORIC REGISTER CATEGORIZATION NO. 2014 -18, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -31 FOR PROPERTY LOCATED AT 2445 NORTH RIVERSIDE DRIVE {STRATEGIC PLAN NOS. 5,2; 5,3} Prepared by Hally Soboleske APPROVED ❑ As Recommended • As Amended • Set Public Hearing For CONTINUED TO xecutiv Director Acting Plan ing Man,a6er 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -17 and Historic Register Categorization No. 2014 -18. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Dean Guzman and Aldo Gonzalez, subject to non- substantive changes approved by the City Manager and City Attorney. Request of Applicant Dean Guzman and Aldo Gonzalez are requesting approval to designate an existing residence located at 2445 North Riverside Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 2,226 square foot, two -story Colonial Revival -style residence and detached garage on a 12,196 square foot residential lot located on North Riverside Drive between Park Lane and North Park Boulevard (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical EXHIBIT B23 25A -263 HRCA No. 2014- 17 /HRC No. 2014 -18 HPPA No. 2014 -31 November 20, 2014 Page 2 property any building or part thereof, object, structure, or site having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Dunton House, has distinctive architectural features of the Colonial Revival style, and was built in 1937 for George and Ruby Dunton. Mr. Dunton was an office manager for a Ford dealership located on Main Street in Santa Ana, and Mrs. Dunton was a housewife. Character defining features of the Dunton House that should be preserved include, but may not be limited to, exterior materials, wood windows, second story massing, and the original front door (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -264 HRCA No. 2014 -17 /HRC No. 2014 -18 HPPA No. 2014 -31 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -132 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). v Hally Sofb' leske Associate Planner HS:jm WHistoric WM112014 HRCAhrca14 -17 hrc14 -18 hppal4 -31 hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -265 500' RADIUS HRCA NO. 2014- 17 /HRC NO. 2014 -18 HPPA NO. 2014 -31 2445 NORTH RIVERSIDE DRIVE DUNTON HOUSE PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY DUNTON HOUSE 2445 North Riverside Drive Santa Ana, CA 92706 NAME Dunton House REF. N0. ADDRESS 2445 North Riverside Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1948 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Colonial Revival The most universal of all American domestic building styles, the Colonial Revival has been popular since the 1876 Centennial celebration in Philadelphia stimulated a patriotic interest in the American architectural past. Whether drawing upon Georgian, Federal, or Dutch Colonial prototypes, Colonial Revival buildings feature rectangular building plans and designs which are usually symmetrical, or at least highly regular and balanced, in composition. Roofs are commonly side - gabled, hipped, or gambreled, sometimes accented with dormers. Porches, one or two stories in height, are often included, mostly as central focal points, and frequently incorporate classical elements such as columns, pilasters, and entablatures. Doorways are adorned with classical surrounds and pediments; sidelights, transoms, and fanlights are not uncommon. Windows are typically double -hung sash, with multiple lights in the upper sash. French doors and Palladian windows are also utilized. Depending on location, Colonial Revival buildings have wood, brick, or stucco exteriors (McAlester, 320-326). SUMMARY/ CONCLUSION: The Dunton House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the combination of the Colonial Revival style in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. 25A_ 67 State of California — The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomi NRHP Status Other Listings Review Code Reviewer Page 1 of 4 Resource name(s) or number (assigned by recorder) Dunton House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2445 North Riverside Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 050 -09 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Dunton House is Colonial Revival style of architecture. In keeping with this style, the overall somposition is symmetrical with two story massing. The structure is sheathed in wood siding and is capped with composition shingles. A red brick chimney rises above the steeply pitched roof at the front facade. Windows appear to be original two two sets of single hung, six - over -six wood windows straddling the front entry. Each front window is flanked by wood decorative shutters. Two steps, covered with red tile matching the chimney in color, lead up to the front door. The door itself is wood with a fan shaped window at the top and brass kickplate at the bottom. On either side of the front entry are decorative sidelights with rectangular, vertical windows at the top halves. The driveway leads directly to the two car garage at the right rear of the property. *P31p. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object DSite DDistrict ■Element of District ❑Other PSa. Photo *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) West facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1948 *P7. Owner and Address: Dean Guzman 2445 North Riverside Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone DLocation Map DSketch Map EContinuation Sheet ■Building, Structure, and Object Record DArchaeological Record DDistrict Record DLinear Feature Record OMilling Station Record ORock Art Record DArtifact Record DPhotograph Record D Other (list) DPR 523A (1/95) 25A -268 *Required information $H.S. Nall of California —The Resources Agency Primary #_ DEPARTMENT OF PARKS AND RECREATION HRI # ---- __ ------------- . BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 *Resource Name or #: Uunton House B1. Historic Name: Dunton House 62, Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Colonial Revival *66. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 *B7. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Dunton House was constructed for George and Ruby Dunton in 1948. Mrs. Dunton was a housewife and Mr. Dunton was a office manager for a Ford dealership located on Main Street in Santa Ana, and Mrs. Duncan was a housewife. They had a large family with four children: Elizabeth, Barbara, George Jr., and William. They also had a live in housekeeper, Louise Rohr. In the early 1960's, the Dunton's moved to Newport Beach, California and the house was sold to Dr. Halverson George Dunton died on October 21, 1969. (See Continuation Sheet 3 of 4.) 611. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5236 (1195) *610. Significance (continued): 25A -269 Sketch Map 2445 North Riverside Drive 002 - 050 -09 O �Y r OR "Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Paae 3 of 3 Resource Name: Dunton House *Recorded by Hally Soboleske *Date November 20, 2014 O Continuation O Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Dunton House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Dunton House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture'. (Municipal Code, Section 30 -2.2). Character defining features include of the Dunton House that should be preserved include, but may not be limited to, exterior materials, wood windows and fesestration patterns, second story massing, and original front door. *1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources" Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lande Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 26A-270 O EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH —11 /06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -17 TO PLACE THE PROPERTY LOCATED AT 2445 NORTH RIVERSIDE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -18 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -17) and categorization (Historic Resources Commission Categorization No. 2014 -18) of the Dunton House, located at 2445 North Riverside Drive, Santa Ana. B. The Dunton House has distinctive architectural features of the Colonial Revival style, and was built in 1937 for George and Ruby Dunton in 1948. Mrs. Dunton was a and Mr. Dunton was a office manager for a Ford dealership located on Main Street in Santa Ana, and Mrs. Duncan was a housewife. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive and is "a good example of period architecture ". D. Character - defining features of the Dunton House that should be preserved include, but may not be limited to, exterior materials, wood windows, second story massing, and original front door. E. The legal owners of the subject property are Dean Guzman and Aldo Gonzalez. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -271 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -132 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -17 to place the Dunton House, located at 2445 North Riverside Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -18 placing the Dunton House, located at 2445 North Riverside Drive, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -272 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission mem NOES: Commission members d: \ •uu •� u'uo' NOT PRESENT: Commission mem CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on i Commission Secretary City of Santa Ana 25A -273 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 050 -09 2445 North Riverside Dean Guzman TRACT 755 LOT 2 (LOT 1 Drive and Aldo WLY 57.94 FEET Gonzalez THEREOF) Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -274 REQUEST R Historcc Resources t *Iw mmilssion Action HIS FOW R[`.S(XJR.CESCXNW'. . MEE RNG lDATE: • � 1 7171. E: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -32 FOR THE SYMMES HOUSE LOCATED AT 2446 NORTH HELIOTROPE DRIVE (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared e)y Hally Soboleske Hi n OR➢c REX`uC'AJRC:ES 4 C UVtlW1 ,` ON SECRETARY APPROVED ❑ As Recommended • As Amended • Ec,4 PuNic f-lecaring Poi CONI INUE.r_r TO Interim �p.aer^c:a.ative D ctor � � � � - Ac tine P anning Trager a- ..- .... .__.. ...... RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Cynthia Ann Robbins, property owner, for the structure located at 2446 North Heliotrope Drive, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicant, Cynthia Ann Robbins, requests the approval of Historic Property Preservation Agreement No. 2014 -32 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a single story Tudor Revival residence and garage located at 2446 North Heliotrope Drive. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B24 25A -275 HPPA No. 2014 -32 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Symmes House and categorized as Contributive in November 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. H911y Sobol ske Associate Planner HS:jm hs\historic info \mills act agreements \2446_N,_Heliotropelhppa 14- 32_2446_N_Heliotrope.hrc 25A -276 HPPA No. 2014 -32 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -277 500' RADIUS HPPA NO. 2014 -32 2446 North Heliotrope Drive Symmes House PLANNING AND BUILDING AGENCY �.; , : We EXECUTIVE SUMMARY SYMMES HOUSE 2446 NORTH HELIOTROPE DRIVE Santa Ana, CA 92706 NAME Symmes House REF. NO. ADDRESS 2446 N. Heliotrope Drive CITY Santa Ana ZIPJ 92706 ORANGE COUNTY YEAR BUILT 1929 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Tudor Revival The Tudor Revival looked to medieval England for its inspiration. Signature features of the style include steeply pitched gables; decorative half- timbering; arched openings, often Tudor or Gothic in form; asymmetrical arrangements of building features; tall brick chimneys; and picturesque windows of leaded glass or diamond patterned lights. The more ambitious examples of the Tudor Revival were executed in brick or even stone; however, stucco over wood frame is quite common in the forgiving climate of southern California. The Tudor Revival was favored primarily for residential buildings, although small scale commercial buildings in the style also occur. Born in the late 19" century, the Tudor Revival was associated with some Craftsman era building but was most popular during the 1920s and 1930s. SUMMARY /CONCLUSION: The Symmes House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Tudor Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the combination of the Tudor Revival style in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 2D2: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Reqister. EXHIBIT 2 25279 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Page 4 of 4 Resource name(s) or number (e Primary # HRI # Trinomial_ NRHP Status by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Date: *c. Address 2446 N. Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 063 -07 Tract: Block: *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Symmes House is designed in the Tudor Revival style clad in stucco and assymetrical massing. The comospition shingle roofing is non - original, and it is believed that the original material was wood shake. Two front facing bays, one larger than the other, comprise the bulk of the front elevation. The larger baby is pierced by a large wooden tripartite window surrounded by stone. The other bay contains the recessed front door and its opening is also surrounded by stone with a faux keystone at its apex. A built in mail vent is situated to the right of the front door. The front door itself is composed of heavy wood with a peek -a -boo arched window. The front entry is flanked by wrought iron decorative railing. A meandering herringbone pattern brick walkway leads t the front entry from the sidewalk. This walkway is further ornamented with rectangular colonial pilasters. The landscape is lush and inviting, and house appears to be unaltered. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P5a. Photo t P51a. Photo: (view and date) North elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1929 /City of Santa Ana Building Permit *P7. Owner and Address: Cynthia Ann Robbins 2446 North Heliotrope Drive. Santa Ana, CA 90206 *P8. Recorded by: Nally Soboleske City of Santa Ana *P9. Date Recorded: November 6, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979. *Attachments: ONone ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25AW280 *Required information State of California —The Resources Agency Primary # _ DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 2D1 "Kesource Name or 1f: Jymmes House B1, Historic Name: Symmes House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single - family Residence *135. Architectural Style: Tudor Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1929 January 12, 1929. Residence and garage $5,400 December 8, 1980 Factory pre -wired unit January 26, 1986 Plumbing, water heater January 24, 1986 Swimming pool July 8, 1987 Block wall December 31, 1992 New roof on house and garage *137. Moved? ■No OYes ❑Unknown Date: Original Location: *138. Related Features: None. B9a. Architect: Unknown b. Builder: Honer, Herzig and Farney *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: B 12, C13 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Symmes House is architecturally significant for its Tudor Revival style. The house was constructed in 1929 for Albert N. and Lillian Symmes, Mr. Symmes began his career as a teacher, and later as the principal and proprietor of the Orange County Business College which was located at 626 North Main Street in Santa Ana, Mr. Symmes was very active in the community, and often his residence as a polling place for various elections. He retired from the college in March of 1929, and passed away in 1937. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *1312. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 6, 2014 (This space reserved for official comments.) Sketch Ma rmmsmm�mu RA Symmes House - -- - - 2446 N. Heliotrope Drive RA TA I F�) (D oicl,D c o °a 064 0 .99 �X LiA �) CR/✓fP V ��` r n 1 a 11 t� �O � rt Cl N0, i55 ao **✓�Ro DPR 523B (1 /95) *Required information 23A3281 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI If CONTINUATION SHEET Trinomial of 3 Resource Name or # (Assigned by recorder) Symmes House by Hally Soboleske *Date October 20, 2014 0 Continuation 0 Update *1310. Significance (continued): The Waynick House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, and scale. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture." All original exterior features of the Symmes House are considered to be character defining and should be preserved. These features include, but may not be limited to: height and massing, materials and finishes (stucco, wood); roof configuration and treatment; design and composition; entry and entry patio; doors and windows; and architectural detailing (such as archways, attic vents). *612. References (continued): Harris, Cyril M. American Architecture: An Illustrated Enc clo edia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994, McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. 'Instructions for Recording Historical Resources. " Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. 'Alison Honer Dies at 84,' The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park. " (http ://www. floral -park. com 1page2. html). Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens Volume I. Whittier, Historical Publishers, 1963. Armor, Samuel. History of Orange County. 1921, Pleasants, Mrs. J. E. History of Orange County. Los Angeles: J. R. Finnell & Sons Publishing Co., 1931, Vol.. 2, page 80 and Vol. 3, page 142. Santa Ana and Orange County Directories, 1923 -1949. Santa Ana (DailN Register, 1918 -1959 (newpapers.com), including: August 10, 1923. "And Santa Ana Grew. Mathias Nissen." November 25, 1942. "S.A. Man Passes Bar Examination." United States Federal Census, 1900, 1910, 1920, 1930, 1940 (ancestry. com). Birth and Death Index, World War I Draft Registration, etc. (ancestry.com) Honer, George J. and Sherri L. Santa Ana Register of Historical Properties Application Form, September 21, 1914, DPR 523L Zo a282 REQUEST FOR Historic Resources CcnTirnission Aa%ori - -- ._...._..... _.. - - .._.__._�... HIS mac RE-SWRCESS MWASSKM MEEMG DATE: NOVEMBER 6, 2014 TITLIE.. HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -33 FOR THE HORACE C. HEAD HOUSE LOCATED AT 2511 N. NORTH PARK BOULEVARD (STRATEGIC PLAN NOS. 5,2; 5,3) P" epereed k)y Hally Soboleske HETOW RES{aURCE:'�r° UNNS,SON SECRETARY APPROVED 11 As Re c.ornmended ❑ As Amended El Set Public Hearing For CONTINUED TO Interim Executive Dir, r Acting Ftiarqwg Manager RECOMMENDED ACT110 Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Charles Jude and Angela Dzama, property owners, for the structure located at 2511 N. North Park Boulevard, subject to non- substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Charles Jude and Angela Dawn Dzama, request the approval of Historic Property Preservation Agreement No. 2014 -33 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a single story Tudor Revival Revival residence and garage located at 2511 N. North Park Boulevard. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B25 25A -283 HPPA No. 2014 -33 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Horace C. Head House and categorized as Key in November 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 (Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hal y Sots leske Associate Planner HS:jm hs \historic info \mills act agreements \25I 1_N_ Nort hPark \hppa14- 33 _2511_N_NorthPark.hrc 25A -284 HPPA No. 2014 -33 November 6, 2014 Page 3 Attachments: Exhibit 1 —500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -285 HPPA NO. 2014 -33 2511 N. North Park Boulevard Horace C. Head House PLANNING AND BUILDING AGENCY f 77,' ``;''• EXECUTIVE SUMMARY HORACE C. HEAD HOUSE 2511 N. North Park Blvd. Santa Ana, CA 92706 NAME Horace C. House REF. NO. ADDRESS 2511 N. North Park Blvd. CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1935 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location; ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Tudor Revival The Tudor Revival looked to medieval England for its inspiration. Signature features of the style include steeply pitched gables; decorative half- timbering; arched openings, often Tudor or Gothic in form; asymmetrical arrangements of building features; tall brick chimneys; and picturesque windows of leaded glass or diamond patterned lights. The more ambitious examples of the Tudor Revival were executed in brick or even stone; however, stucco over wood frame is quite common in the forgiving climate of southern California. The Tudor Revival was favored primarily for residential buildings, although small scale commercial buildings in the style also occur. Born in the late 191h century, the Tudor Revival was associated with some Craftsman era building but was most popular during the 1920s and 1930s. SUMMARY /CONCLUSION: The Horace C. Head House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Tudor Revival style. Additionally, the house has been categorized as "Key' because it "a distinctive architectural style and quality" of and, its "association with Horace C. Head" who was significant member of the community. (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1 Individual property that is listed or designated locally. State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Primary HRI #_ NRHP Status Code Other Listings Review Code Reviewer Date Page 1 of 4 Resource name(s) or number (assigned by recorder) H.C. Head House P1. Other Identifier: *P2. Location: El Not for Publication ■Unrestricted a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2511 N. North Park Blvd. City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 064 -38 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The H.C. Head House is designed in the Tudor Revival style of architecture. The structure is topped with asphalt shingles and clad in mixture of stucco and brick veneer, and retains a high degree of integrity. It has two front facing bays, both with steep roof pitches typical of the architectural style. The foremost bay is symmetrical and clad with stucco, as is most of the structure. It features a prominent tapered brick chimney, ornamented with basket bond brickwork, and is flanked by two single hung wood four over four windows. The recessed bay and cross gable portion of the fagade is clad in used brick veneer matching the chimney, and the gable end of the bay features decorative half timbering. Canvas window awnings are non - original. The heavy wooden front door appears original. The yard is currently landscaped with California native and drought tolerant plantings. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ®Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) Southeast facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1935 *P7. Owner and Address: Charles Jude and Angela Dawn Dzama 2511 N. North Park Blvd. Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 6, 2014 *P10. Survey Type: *Attachments: 0None ❑Location Map DSketch Map ®Continuation Sheet ■Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record DRock Art Record DArtifact Record 0Photograph Record D Other (list) DPR 523A (1/95) *Required information r ..• f S ' State of California —The Resources Agency Primary# DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 - Kesource Name or 0: H.G. Head House B1, Historic Name: Horace C. House B2. Common Name: Same B3. Original Use: Single - family Residence B4. Present Use: Single- family Residence *85. Architectural Style: Tudor Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed 1927 April 27, 1935. Residence and Garage for Horace C. Head. February 13, 1945. Complete attic room for M. Stutheit August 2, 1950. Fixture for Clyde King. May 20, 1987. Kitchen remodel. *137. Moved? Is No OYes ❑Unknown Date: Original Location: *68. Related Features: None, B9a. Architect: Unknown b. Builder: unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single - family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The H.C. Head House was built and owned by Horace Caldwell Head, son of Dr. and Captain William Head who was a member of the California Assembly and surgeon. Dr. Head was said to have personally delivered the bill to Sacramento to allow Orange County to succeed from Los Angeles County. He fought in the American Civil War on the Confederate side and was Grand Cyclops to the Ku Klux Klan in Tennessee. Horace Head was married to wife Anna in 1870 and traveled to California with his parents. He was a graduate of University of California, Berkeley and was the attorney of the Orange County Flood Control District, and later, was District Attorney for the County of Orange from 1904 to 1908. He served as President of the Orange County Bar Association from 1915 to 1920. Although we do not know his political leanings, it is known that he attended the Confederate Luncheon in Los Angeles. Horace died in November of 1955 at his then home: 214 N. Birch. The Horace C. Head home was sold many times after this. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *1314. Evaluator: Hally Soboleske *Date of Evaluation: October 2014 (This space reserved for official comments.) Sketch Map H.C. Head House 2511 N. North Park Blvd. TRAC 064 r CJ "2 m G> oe 4 0 G' -N0. ]54 DPR 5238 (1/95) 25A -200107 of 4 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial of 3 Resource Name: H.C. Head House by Nally Soboleske *Date November 6, 2014 IR Continuation ❑ Update *B10. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The H.C. Head House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco- styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The H.C. Head House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Tudor Revival style. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality', and, is "associated with a significant person in the city" (Municipal Code, Section 30 -2.2). Character defining features include all exterior materials, roof configuration, decorative chimney brickwork, original windows where extant, and distinctive wooden front door. *1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995, Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969, Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lande Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Societv Quarterly, December 1993, pages 4-7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com. Newspapers.com DPR 523L 24290 REQUESTFOR Ih arORIC RESOURCES COMMISSION AGIION 11k9l'ORC RFSC °XJRC.E:ro00M1VK%S10N MEETING C1ATE TGTI..E: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -20, HISTORIC REGISTER CATEGORIZATION NO. 2014 -21, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -34 FOR PROPERTY LOCATED AT 2385 NORTH RIVERSIDE DRIVE (STRATEGIC PLAN NOS. 5,2; 5,3) Prepai ed I7y Hally Soboleske HISTORIC; RESOURCES COMMNSSK)I N SECRETARY APPROVED El As Recommended EJ As Arnended 0 Set Flubhc Hearing 1 =crr CON-T INUED _0 Internn Executive Director Acting Plan rang M Hager WiI "�� lafl ll'!I(I II N 1 71II 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -20 and Historic Register Categorization No. 2014 -21. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Mark A. Mittmann, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Mark A. Mittmann is requesting approval to designate an existing residence located at 2385 North Riverside Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. PROJECT LOCATION AND SITE DESCRIPTION The subject property consists of a 1,360 square foot, one -story Spanish Colonial Revival -style residence and detached garage on a 11,588 square foot residential lot located on North Riverside Drive at North Benton Way (Exhibit 1). ANALYSIS OF THE ISSUES Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B26 25A -291 HRCA No. 2014- 20 /HRC No. 2014 -21 HPPA No. 2014 -34 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the M. Heninger House, has distinctive architectural features of the Spanish Colonial Revival style, and was built in 1923 by Martin R. Heninger for which the Heninger Park Neighborhood in Santa Ana draws its name. Although a prolific builder in Santa Ana, this is the second home in Floral Park built by Mr. Heninger. Character defining features of the M. Heninger House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, porte cochere (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -292 HRCA No. 2014- 201HRC No. 2014 -21 HPPA No. 2014 -34 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -138 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). �,J����. Hally Sob ?T�ske Associate` fanner HS:jm hs\Historic Info \112014 HRMhrca13 -20 hrc14 -21 hppa14- 34.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -293 500' RADIUS HRCA NO. 2014- 20 /HRC NO. 2014 -21 HPPA NO. 2014 -34 2385 NORTH RIVERSIDE DRIVE M. HENINGER HOUSE PLANNING AND BUILDING AGENCY 711cis•A EXECUTIVE SUMMARY M. HENINGER HOUSE 2385 North Riverside Drive Santa Ana, CA 92746 NAME M. Heninger House REF, NO. ADDRESS 2385 North Riverside Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1925 LOCAL REGISTER CATEGORY: Contributive TORIC DISTRICT N/A NEIGHBORHOOD Floral Park IFORNIA REGISTER CRITERIA FOR EVALUATION r 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red the roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY /CONCLUSION: The M. Heninger House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture ".(Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) SS1: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. EXHIBIT 2 25A -295 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinoml� NRHP Status Other Listings Review Code Reviewer Resource name(s) or number (assioned by recorder) M. Heninoer House P1. Other Identifier: *P2. Location: 0Not for Publication ■Unrestricted a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2385 North Riverside Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002- 050 -17 *I Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The M. Heninger House is designed in the Spanish Colonial Revival style of architecture. Typical of the style, it is clad in smooth, hand troweled stucco and topped with clay tiles (non - original). The structure has two front facing bays and a cross gabled roofline. An attached porte cochere strides the driveway (which was once a Hollywood drive, but has been filled in) leading to a two car garage. Windows are featured prominently in each bay with the larger bay being pierced by a tripartite window with casements flanking a fixed window. The smaller bay incudes a casement window. A pair of casements are to the left of the main bay, and the recessed front entry also contains a casement window. Windows are set between heavy wooden decorative shutter. The front entry is recessed and covered by the roofline. The porch is supported by heavy 6" x 6" beams. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none') None P5b. Photo: (view and date) South facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1925 *P7. Owner and Address: Mark Mittman 2385 North Riverside Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record ❑District Record gLinear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) 1523A (1/95) 25A -296 *Required information SH.B. Nall of California The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 *Resource Name or #: M. Hettinger House B1. Historic Name: M. Heninger House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *65. Architectural Style: Spanish Colonial Revival *66. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 *137. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: M. Heninger *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The M. Hettinger House was constructed by Martin R. Heninger for which the Heninger Park Neighborhood in Santa Ana draws its name. Although a prolific builder in Santa Ana, this is the second home in Floral Park built by Heninger (the other being located at 2412 North Heliotrope Drive). Heninger was born in 1851 in Missouri. In 1881, along with his wife, Mary (often called Mollie), traveled to South Dakota where he was politically active in the Republican Party. In 1907, Martin moved his family to Santa Ana where he and his brother purchased thirty -four acres of farm land. Ever the entrepreneur, Martin believed his land to be of more value as single family homes rather than farm land, and he subsequently subdivided the land into more than 150 lots, and where he built his own home at 602 South Birch. Although the Heninger family never lived in this home, this home, and the neighborhood that bears his name, share in the legacy of Santa Ana. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5238 (1/95) *B10. Significance (continued): 25A -297 Sketch Map as IRR iv� iRPCI , 2385 North Riverside Drive `-3r 002- 050 -17 *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: M. Heninger House ttecoroea by Hally 50boleske *Date November 20, 2014 O Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The M. Heninger House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. 'When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War Il, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The M. Heninger House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive' because it is a "good example of period architecture ". (Municipal Code, Section 30 -2.2). Character defining features include of the M. Heninger House that should be preserved include, but may not be limited to, exterior materials, wood windows and fesestration patterns, ports cochere. Should the property be rehabilitated, it is recommended that the roof be restored to clay barrel tiles, and the Hollywood drive be re- constructed. *1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lance Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana. History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2SA -298 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11 /06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -20 TO PLACE THE PROPERTY LOCATED AT 23 85 NORTH RIVERSIDE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -21 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -20) and categorization (Historic Resources Commission Categorization No. 2014 -21) of the M. Heninger House, located at 2385 North Riverside Drive, Santa Ana. B. The M. Heninger House has distinctive architectural features of the Spanish Colonial Revival style of architecture such as stucco cladding, clay tile roof, and recessed entry. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character - defining features of the M. Heninger House that should be preserved include, but may not be limited to, exterior materials, wood windows and fesestration patterns, porte cochere. E. The legal owner of the subject property is Mark A. Mittmann. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. 25A -299 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -138 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -20 to place the M. Heninger House, located at 2385 North Riverside, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -21 placing the M. Heninger House, located at 2385 North Riverside Drive, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. 521":• O S • •.11 Sean H. Mill Chairperson 25A -300 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Sonia R. Carvalho, City Attorney an Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on L� Commission Secretary City of Santa Ana 25A -301 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 050 -17 2385 North Riverside Mark A. TR 425 LOT 27 ALL -EX Drive Mittmann WLY32 FT- THEREOF(LOT 28 W LY43.33 FT THEREOF(LOT C ELY 13.60 FT THE Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -302 QUEST FOR Histodc Re,%ouiirce-i Commission Action HST RESOi.1RCFS rX SS0N °ET W3, DATE: NOVEMBER 6, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -35 FOR THE CLEM HOUSE LOCATED AT 2405 NORTH HELIOTROPE DRIVE (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske HUrOPJC FE SOURCES FPd" IMNOSSICD9 H SECRETARY APPROVED • As Recommended • As Amended • Set Public Headng For CONTINUED TO Werim Executive Diiecto Acting F? Ianning,Manager RECOMMENDED ADTM Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Joseph Albert and Ann L. Walsh for the Joseph Albert Walsh and Ann L. Walsh Revocable Trust, property owners, for the structure located at 2405 North Heliotrope Drive subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Joseph Albert and Ann L. Walsh for the Joseph Albert Walsh and Ann L. Walsh Revocable Trust, are requesting the approval of Historic Property Preservation Agreement No. 2014 -35 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Mission /Spanish Colonial Revival- styled residence and garage located at 2405 North Heliotrope Drive. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B27 25A -303 HPPA No. 2014 -35 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Clem House and categorized as Contributive in November of 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Sobol ske Associate anner HS:jm hs \hetorip Into \mills act agreements \2405_N_Heliolrope \hppa 14- 10_2405 N Heliotrope. hrc 25A -304 HPPA No. 2014 -35 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -305 HRCA NO. 2014 -21 & HRC NO. 2014 -22 2405 North Heliotrope Drive Clem House PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY CLEM HOUSE 2405 N. Heliotrope Drive Santa Ana, CA 92706 NAME Clem House REF. NO. ADDRESS 2405 North Heliotrope Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1925 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 1 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY /CONCLUSION: The Clem House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, "is a good example of period architecture" as an example of the Mission /Spanish Colonial Revival style in the Floral Park neighborhood. Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register, EXHIBIT 2 2SA -'30% State of California — The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Page 1 of 4 Primary HRI #_ NRHP Status Other Listings Review Code Reviewer Or number (assigned by recorder) Clem House Date P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2405 N. Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessors Parcel Number 002- 064 -21 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Clem House is designed in the Mission /Spanish Colonial Revival style of architecture, and as such, is sheathed in stucco with a clay barrel tile roof, with some portions flat and others gabled, and very short eaves. Its massing has a variety of assymetrical, articulated features including a second story original to the building. On a corner lot of Heliotripe Drive and Benton Way, the front entry faces south. Windows are original and are a collection of wooden single hung and fixed windows. The front entry is covered with a canvas awning held up by speared poles. The front door has two sidelights and divided by four muntins. To the left of the primary entry is a wood framed four pane wood bow window topped with a wood roofing that may have originally been copper. A non - original, but complementary second unit is attached to the rear of the building that is not visible from the front elevation, The entire property is surrounded by a stucco wall that appears to be original to the house. The property is lushly landscaped with several trees and palms. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure DObject ❑Site ❑District ■Element of District ❑Other Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) South facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1925 *P7. Owner and Address: Joseph Albert Walsh II and Anne L. Walsh Revocable Trust 2405 N. Heliotrope Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 6, 2014 *P10. Survey Type: *Attachments: DNone OLocation Map OSketch Map ® Conti nuation Sheet ®Building, Structure, and Object Record OArchaeological Record DDistrict Record 0Linear Feature Record ❑Milling Station Record DRock Art Record DArtifact Record OPhotograph Record D Other piss) DPR 523A (1 /95) Pa9V%J& X303 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 - Kesource Name or S: Glem House B1. Historic Name: Clem House 132, Common Name: Same 131 Original Use: Single - family Residence B4. Present Use: Single- family Residence *65. Architectural Style: Mission /SpanishColonial Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed 1925 February 7, 1925. Residence and garage for Stanley Clem. December 15, 1943. Termite work for John Kelly. October 13, 1959. Wardrobe closet and kitchen cabinets for V. Pucci. December 11, 1981. Solar panels, 2 collectors, and storage tank for Deer. *137. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown. *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Clem House was constructed in 1925 for Stanley Alva and Alice Clem. Mr. Clem was born on March 3, 1898. He served in WWII in the Navy, and later became a sales manager for the Santa Ana Lumber Company. He was President of the Santa Ana Junior Chambers of Commerce and an active member of the local Exchange Club. Mr. Clem was also very active in politics as he actively participated in a purported recall of the entire City Council in 1930. He and Alice had one child, Gloria. He died on March 16, 1958 and was buried in Rosecrans National Cemetery in San Diego. However, he sold the house to the Kelly family in 1943. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: "814. Evaluator: Hally Soboleske *Date of Evaluation: October 2014 DPR 5238 (1195) (This space reserved for official comments.) 25Aa3094 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Clem House *Recorded by Hally Sobo /eske Date November 6, 2014 ❑O Continuation ❑ Update *B10. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Clem House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Clem House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Mission /Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive' because it "contributes to the overall character and history of the Floral Park neighborhood" and "is a good example of period architecture ", (Municipal Code, Section 30 -2.2). Character defining features include of the Clem House that should be preserved include, but may not be limited to, exterior materials including stucco and roof tiles, original windows including sidelights to the front entry, massing and articulation. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lance Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneologicai Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com DPR 523L 2MPM-31 0 REQUEST FOR HISTOW RESOUR('04LES COMMISSION ACTION HSI-C a. pRC'ESUMl s M MEEFMWE: NOVEMBER 20, 2014 11111 E: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -23, HISTORIC REGISTER CATEGORIZATION NO. 2014 -24, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -37 FOR PROPERTY LOCATED AT 2300 N. NORTH PARK BOULEVARD {STRATEGIC PLAN NOS. 5,2; 5,3} Prepared by Hally Soboleske Ht r0RK. RES(NJRCES COMMMSON SEC; Y APPROVED 0 As Rar rrMri ended 1-1 As Amended :pry@ PuMc Flearing For CONTINUED TO r1�tn m Exe�cuatu ��.a � - - - -- -- L -- - ve Direciou Actum °oJ Plr� rtnrg K. nager RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -23 and Historic Register Categorization No. 2014 -24. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Kenneth C. and Helen Luetto Jones, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Kenneth C. and Helen Luetto Jones are requesting approval to designate an existing residence located at 2300 N. North Park Boulevard to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 2,358 square foot, two -story French Eclectic -style residence and attached garage on a 10,150 square foot residential lot located on N. North Park Boulevard between Santa Clara Avenue and Broadway (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B28 25A -311 HRCA No. 2014- 23 /HRC No. 2014 -24 HPPA No. 2014 -37 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Steele House, has distinctive architectural features of the French Eclectic style, and was built in 1924 for James and Effie Hermon. Mr. Hermon was vice - president and manager of the Pacific Southwest Trust and Savings Bank. Character defining features of the Steele House that should be preserved include, but may not be limited to, materials and finishes (brick, stucco); roof configuration, materials, and treatment; massing and composition; entry; doors and windows; and architectural detailing (soffits, window and door surrounds) (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Key' as it is a good example of period architecture and it "has a distinctive architectural quality and style" in its presentation of the French Eclectic style. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -312 HRCA No, 2014- 23 /HRC No. 2014 -24 HPPA No. 2014 -37 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -137 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sobq ,Yeske Associate Planner HS:jm hs\Hlslonc Info \141120 HRC \hrca'14 -23 hrc14 -24 hppa l4- 37.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -313 HRCA NO. 2014- 23 /HRC NO. 2014 -24 HPPA NO. 2014 -37 2300 N. NORTH PARK BOULEVARD STEELE HOUSE PLANNING AND BUILDING AGENCY "r-r= EXECUTIVE SUMMARY STEELE HOUSE 2304 NORTH PARK BOULEVARD Santa Ana, CA 92706 NAME Steele House REF. NO, ADDRESS 2300 North Park Boulevard CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1924 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric E Historic ❑ Both. ARCHITECTURAL STYLE: French Eclectic The French Eclectic style, as its name implies, draws upon a variety of sources, from farmhouses to chateaus, for its inspiration. In general, steeply pitched hipped roofs are a key feature, both with and without gables, towers, and turrets. Exterior walls may be brick, stucco, or stone; half - timbered decoration is particularly associated with a "French Normandy" subtype. Depending on the prototype, compositions may be either symmetrical or asymmetrical. Typical details include dormers, flared eaves,, multi -paned casement windows and doors ( "French doors "), and both flat - headed and arched openings. Both comers and window and door surrounds may be quoined. Popular in the 1920s and 1930s, the French Eclectic style in southern California was overshadowed by the Spanish Colonial, Tudor, and American Colonial revivals. SUMMARY /CONCLUSION: The Steele House qualifies for listing in the Santa Ana Register of Historical Properties tinder Criterion 1, as a structure with the distinguishing characteristics of an architectural style or period, the French Eclectic style. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality" in its presentation of the French Eclectic style (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 2D2: Contributor to a district deternimed eligible for the National Register by consensus through Section 106 process. Listed in the California Register. "AIT315 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listinc Review Code Page 1 of 4 Resource name(s) or Primary HRI # NRHP Status Reviewer (assigned by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad Date: *c. Address 2300 North Park Boulevard City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 122 -10 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Located at the confluence of North Park Boulevard, North Broadway, and West Santa Clara Avenue, this is a two -story, single - family residence showcasing the French Eclectic style. "T "- shaped in plan, the building is crowned by a complex gable - on -hip roof of fairly steep pitch. The roof treatment includes overhanging eaves with closed soffits and a flat- roofed dormer. Brick veneers most exterior surfaces, with stucco used as an accent. The primary entry is a fifteen -light French door, flanked by five- light, full- height sidelights. The asymmetrical exterior features multi -paned casement windows clustered in groups. An attached garage is integrated into the design. The wedge- shaped property is lushly landscaped and in good condition. The building retains sufficient integrity to convey its original design, despite additions constructed in 1949 and 1993. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P5a. Photo P5b. Photo: (view and date) East facingelevation October 2014 *P6. Date Constructed /Age and Sources: ®historic 1924 /Zillow.com *P7. Owner and Address: Kenneth C. and Hellen Luetto Jones 2304 North Park Boulevard Santa Ana, CA 92706 *P8. Recorded by: Leslie J. Neumann, Hally Soboleske City of Santa Ana *P9. Date Recorded: November 10, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979. *Attachments: EINone ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record DDistrict Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record DArtifact Record DPhotograph Record D Other (list) DPR 523A (1/95) 25A -316 *Required information State of California —The Resources Agency Primary #_ ...... - DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 2D1 - Kesource Name or;F: ,5teeie House B1. Historic Name: Steele House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: French Eclectic *136. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1924. November 7, 1949. Addition to residence and interior for Steele, $2,000. June 11, 1987. Redwood fence, 137 linear feet by 6 feet high. February 25, 1993. Extend existing garage 248 sq. ft.; add Zd story master bedroom & bath 282 sq. ft.; convert existing bedroom to master bathroom. $30,100. *137. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *B8. Related Features: 139a. Architect: Unknown b. Builder: Unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: C/3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Steele House is architecturally significant as a characteristic example of the French Eclectic style. It was built in 1924 and the first known residents of what was addressed in 1925 as 2304 North Broadway were James K. Hermon and his wife Effie S. Hermon. Hermon was the vice - president and manager of the Pacific Southwest Trust and Savings Bank. In 1930, Claud H. and Daisy Jean Van Antwerp lived at what had become known as 2304 Park. Van Antwerp was the proprietor of Van Antwerp's dry goods and ladies' ready -to -wear shop at 120 West Fourth Street. From the mid -1930s through 1960, the Steele family occupied the home. Clifton Burton Steele was born in 1888 in Illinois and was earning his living as a shoe salesman in Indiana at the time of his registration for World War I draft in 1917. By 1920, he had married his wife Clara and by 1930 the family, including the first of three children, Clifton junior, had moved to Long Beach, California. In Santa Ana, Steele owned Steele's Dress Shop, located at 223 West Fourth Street. He passed away in October 1961. (See Continuation Sheet 3 of 4.) B 11. Additional Resource Attributes: (List attributes and *1312. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Leslie J. Heumann *Date of Evaluation: November 20, 2014 (This space reserved for official comments.) Sketch Map �_) l 2300 N. North Park Blvd. 002- 122 -10 tie) C)' C) 4 tJ m /C y x DPR 5236 (1195) 25A-317 —417 *Required information State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial of 4 Resource Name or # (Assigned by recorder) Steele House by Leslie J. Neumann, Hally Sobo /eske *Date November 11, 2014 El Continuation ❑ Update *1310. Significance (continued): The Steele House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War II years, Floral Park continued its development as numerous, smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2014) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Steele House has been determined eligible for listing in the National Register of Historic Places as a contributor to a North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower Street. Comprising the northern end of the Floral Park neighborhood, North Broadway Park was subdivided in 1923. The Keeper of the National Register found that: "North Broadway Park reflects the City Beautiful planning movement in Southern California during the early twentieth century. The vernacular adaptations of period revival styles, curvilinear street patterns, street furniture, and landscape combine to create a cohesive and pleasant middle class suburban neighborhood environment which is unique in the early historical development of the city of Santa Ana. "' Under the regulations implementing the California Register of Historical Resources, the Steele House has been listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the French Eclectic style. Topped by the steeply pitched hipped roof that is a signature of the style, the house also displays brick veneer siding and a multitude of multi -paned casement windows. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, scale, and historic association with important members of the local business and social community. Additionally, the house has been categorized as "Key" because it "has a distinctive architectural style and quality" in Its presentation of the French Eclectic style. All original exterior features of the Steele House are considered to be character defining and should be preserved. These features include, but may not be limited to: materials and finishes (brick, stucco); roof configuration, materials, and treatment; massing and composition; entry; doors and windows; and architectural detailing (soffits, window and door surrounds). *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann, Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984, National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept, of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park." http: / /www.floral- park.com /page2.html Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens, Volume I. Whittier, Historical Publishers, 1963. Determination of Eligibility, February 25, 198(L �� 31 8 DPR 523L 1 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or# (Assigned by recorder) Steele House Hecordeo by Leslie J. Heumann, Hally Soboleske *Date November 11, 2014 IK Continuation ❑ Update *B12. References (continued): Armor, Samuel. History of Orange County. 1921. Pleasants, Mrs. J. E. History of Orange County. Los Angeles: J. R. Finnell & Sons Publishing Co., 1931. Vol.. 2, page 80 and Vol. 3, page 142. Santa Ana and Orange County Directories, 1923 -1960. ( ancestry.com). United States Federal Census. 1920, 1930, 1940. (ancestry.com). California Death Index, 1940 -1997, World Wars I and II draft registration records. (ancestry.com). DPR 523L 25A -319 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -23 TO PLACE THE PROPERTY LOCATED AT 2300 N. NORTH PARK BOULEVARD, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -24 PLACING SAID PROPERTY WITHIN THE KEY CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -23) and categorization (Historic Resources Commission Categorization No. 2014 -24) of the Steele House, located at 2300 N. North Park Boulevard, Santa Ana. B. The Steele House has distinctive architectural features of the French Eclectic style of architecture due to its complex gable -on -hip roof of fairly steep pitch and asymmetrical features. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Key for its has a distinctive architectural style and quality" in its presentation of the French Eclectic style D. Character - defining features of the Steele House that should be preserved include, but may not be limited to, materials and finishes (brick, stucco); roof configuration, materials, and treatment; massing and composition; entry; doors and windows; and architectural detailing (soffits, window and door surrounds). E. The legal owners of the subject property are Kenneth and Helen Jones. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -320 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Key category pursuant to Section 30- 2.2(1) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -137 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -23 to place the Steele House, located at 2300 N. North Park Boulevard, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -24 placing the Steele House, located at 2300 N. North Park Boulevard, Santa Ana, within the Key category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -321 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -322 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002- 122 -10 2300 N. North Park Boulevard Kenneth and Helen Jones North Tract 425 Lot 221 Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -323 25A -324 REQUEST FOR HISTOM RESOURCES C MMI j H ACTION HiSrOMC RESWRCE:S COMMSON MEETNG DATE NOVEMBER 20, 2014 1111E. PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -24, HISTORIC REGISTER CATEGORIZATION NO. 2014 -25, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -38 FOR PROPERTY LOCATED AT 340 WEST 19TH STREET {STRATEGIC PLAN NOS. 5,2; 5,3} Prep ied spy Hally Soboleske HISMRC RI - URCESCOMMISSSONSECRIETARY APPROVED El As Recommended * As Amended -1 E,est Y'e krli4: Irparir7cr I�or CONTtlNUED.1..0 yy ..m .. �1..f i!✓l _4Z L _�AMT' .......................... Interim Executive Directo J Acting PE nnirrg M eager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -24 and Historic Register Categorization No. 2014 -25. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Richard and Mirian Payne, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Richard and Mirian Payne are requesting approval to designate an existing residence located at 340 West 19`h Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 1,700 square foot, two -story American Bungalow /Craftsman style residence and detached garage on a 6,098 square foot residential lot located on 19`h Street between Jefferson Place and Broadway (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical EXHIBIT B29 25A -325 HRCA No. 2014- 24 /HRC No. 2014 -25 HPPA No. 2014 -38 November 20, 2014 Page 2 property any building or part thereof, object, structure, or site having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Tate House, has distinctive architectural features of the American Bungalow /Craftsman style, and was built in 1916 for Milton and Matilda Tate. Little is known about the first owners, except that Mr. Tate was a carpenter from Nebraska and Mrs. Tate was from Kentucky. They lived in the home with their daughter Edna until the 1950s when Mrs. Tate passed away. Character defining features of the Tate House that should be preserved include, but may not be limited to, exterior materials including wood siding and Peruvian granite, wood windows and fenestration patterns (Exhibit 2). It is recommended that the house be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" because it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -326 HRCA No. 2014- 24 /HRC No. 2014 -25 HPPA No. 2014 -38 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association representative, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -24 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sobo ske Associate Planner HS:jm hs\Historic Info \141120 HRCWca14 -24 hrc 14 -25 hppaI4- 38.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -327 rr r / /l, / r ✓/i, // r if � sir i � r i rbi Ul f; e r loir � � r/r n r v, d/ " r 4 500' RADIUS HRCA NO. 2014- 24 /HRC NO. 2014 -25 HPPA NO. 2014 -38 340 WEST 19TH STREET TATE HOUSE PLANNING AND BUILDING AGENCY r1. �. , � . EXECUTIVE SUMMARY TATE HOUSE 340 West Nineteenth Street Santa Ana, CA 92706 NAME Tate House REF. NO. ADDRESS 340 West Nineteenth Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1916 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT Floral Park NEIGHBORHOOD Floral CALIFORNIA REGISTER CRITERIA FOR EVALUATION [ 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Craftsman Bungalow Closely related to the English Arts and Crafts Movement, American Bungalow /Craftsman architecture was popularized by The Craftsman magazine and architects such as Charles and Henry Greene of Pasadena. It drew from the wood building traditions of Japan and Switzerland as well as the medieval themes favored by the Arts and Crafts philosophers. Craftsman architecture stressed honesty of form, materials, and workmanship, eschewing applied decoration in favor of the straightforward expression of structure. A new appreciation of nature was evident in horizontal lines that reached out to embrace the landscape and the incorporation of capacious porches into building plans. Primarily a residential style, Craftsman architecture can be identified by low pitched gable and hipped roofs with exposed rafters and beams in deep overhangs; wood lap or shingle siding and an occasional use of stucco; extensive use of stone or brick as a secondary material; horizontal emphasis apparent in roof lines, headers, and battered porch supports; and broadly proportioned wood framed windows, often clustered in bands. Craftsman homes were built from circa 1902 until the early 1920s (McAlester, 453 -463). SUMMARY /CONCLUSION: The Tate House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Craftsman Bungalow style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" Santa Ana, and, as an intact example of a Craftsman bungalow in the Floral Park neighborhood, "is a good example of period architecture' (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI #_ PRIMARY RECORD Trinomi; NRHP Status Code..._.._ Other Listings Review Code Reviewer Resource name(s) or number (assigned by recorder) Tate House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 340 West 19" Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 151 -11 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) TheTate House is one of the oldest homes in the Floral Park neighborhood having been built in 1916. It is designed in the Craftsman Bungalow style of architecture. It is clad in clapboard wood siding with a stringcourse of wider siding. The front facing gable is sheathed in board and batten siding and six rectangular vertical windows of gradating sizes. It is topped with shingling. A second story was added in the airplane bungalow style in 2005, but was done so in a complementary way. A Peruvian granite covered chimney is to the west (right) of the house which is also non - original. The foundation is also covered in Peruvian granite. Wood single hung windows have rectangular patterned valance at the top with large open glass at the bottom. The front entry open beam cover is non - original, but is clearly in the Craftsman style. Landscape includes California native lantings. A two -car garage sits in the rear of the lot. The house was in very poor condition as of 2005, and was fully restored by local resident, Richard Chiarini. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other �- va *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) North facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1916 *P7. Owner and Address: Richard C. and Mirian S. Payne 340 W. 19" Street Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ❑None ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -330 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 *Resource Name or #: T ate House B1. Historic Name: Tate House B2, Common Name: Same B3. Original Use: Single - family Residence B4. Present Use: Single- family Residence *135. Architectural Style: Mission /SpanishColonial Revival *136. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 May 6, 1939. Addition to residence for M.A. Tate $40.00 January 16, 1929. Reroof July 6, 1982. Build two car garage for B.E. Nash, owner *137. Moved? NNo DYes ❑Unknown Date: Original *138. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Tate House is one of the oldest homes in the Floral Park neighborhood and little is known about the first owners of the house. The first known occupants were Milton and Matilda Tate, along with their daughter Edna. Matilda was born in Kentucky, and raised in North Platte, Nebraska. She was married three times by 39 years old, and remained married to Milton until her death on March 14, 1950. Daughter Edna followed in those footsteps as she eloped to Las Vegas, Nevada with Robert Wright in September of 1938 at the age of 17. By January, Edna realized that the marriage was a mistake, and mother Matilda petitioned for annulment on the grounds they had not granted their underage daughter permission to marry. Edna remarried in August 1939 to William James. This marriage ended in divorce, and she remarried Edward Cornett in 1952. Mr. Tate was a carpenter, and was from Nebraska. He sold the house in the 1950's after his wife passed away. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *1312. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5238 (1/95) *B10. Significance (continued): 25A -331 Sketch Map -4 Tate House 340 W. 19" Street. x s Ca 0 fir _ 0 )8", cG' rinlx. r ) iD � P � r t{ V �••, .I IflACt • :J, U Uaooi L �Errtxsrry vua • J State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial rded by Hally Soboleske *Date November 20, 2014 O Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Tate House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War 11 years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Tate House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Craftsman Bungalow style. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture ". (Municipal Code, Section 30 -2.2). Character defining features include of the Tate House that should be preserved include, but may not be limited to, exterior materials including wood siding and Peruvian granite, wood windows and fenestration patterns. *1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept, of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lance Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2 S " -332 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/20/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -24 TO PLACE THE PROPERTY LOCATED AT 340 WEST 19TH STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -25 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -24) and categorization (Historic Resources Commission Categorization No. 2014 -25) of the Tate House, located at 340 West 19th Street, Santa Ana. B. The Tate House has distinctive architectural features of the American Bungalow /Craftsman style, and was built in 1916 by Milton and Matilda Tate. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character- defining features of the Tate House that should be preserved include, but may not be limited to, exterior materials including wood siding and Peruvian granite, wood windows and fenestration patterns. E. The legal owners of the subject property are Richard and Mirian Payne. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Cade. 25A -333 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -122 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -24 to place the Tate House, located at 340 West 19th Street, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -25 placing the Tate House, located at 340 West 19th Street, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. APPROVED AS TO FORM: Sean H. Mill Chairperson 25A -334 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -335 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 152 -11 340 West 19th Street Richard and Mirian Payne GEOPPERS ADD BLK C LOT 10 Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -336 NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -25, HISTORIC REGISTER CATEGORIZATION NO. 2014 -26, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -39 FOR PROPERTY LOCATED AT 934 WEST SHARON ROAD (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske APPROVED • As Recommended • As Amended ❑ Set Public Hearing For CONTINUED TO Interim Executive Dire r Acting Planni g Manager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -25 and Historic Register Categorization No. 2014 -26. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Norichika Okada and Heather Lenz, subject to non- substantive changes approved by the City Manager and City Attorney. Request of Applicant Norichika Okada and Heather Lenz are requesting approval to designate an existing residence located at 934 West Sharon Road to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Proiect Location and Site Description The subject property consists of a 2,710 square foot, one -story Ranch style residence and attached garage on a 12,298 square foot residential lot located on Sharon Road between Flower and Bristol Streets (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B30 25A -337 HRCA No. 2014- 25 /HRC No. 2014 -26 HPPA No. 2014 -39 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Cohrt- Fowler House, has distinctive architectural features of the Ranch style and was built in 1951 for Theodore (Ted) and Carroll Cohrt. Mr. Cohrt was born in 1923 and attended the University of Southern California, graduating with a degree in engineering. He took a salesman job for the firm Brinckerhoff. Brinckerhoff was the Democratic delegate for the Democratic National Convention at one time. Ted and Carroll divorced in 1976, and the house was subsequently sold. Patsy Fowler then owned the home. Ms. Fowler was the entrepreneur for Patsy's Closet consignment store in Santa Ana. Character defining features of the Cohrt- Fowler House that should be preserved include, but may not be limited to, exterior materials, massing and exterior sheathing, original windows where extant, chimney, and front porch configuration (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -338 HRCA No. 2014 -25 /HRC No. 2014 -26 HPPA No. 2014 -39 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association representative, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -124 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sob` leske Associat Planner HS:jm WHistorlc Info \141120 HRC \hrca14 -25 hrc14 -28 hppa14- 30.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -339 0113 Cdr HRCA NO. 2014- 25 /HRC NO. 2014 -26 HPPA NO. 2014 -39 934 WEST SHARON ROAD COHRT HOUSE PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY COHRT- FOWLER HOUSE 934 West Sharon Road Santa Ana, CA 92706 NAME Cohrt- Fowler House REF. NO. ADDRESS 934 West Sharon Road CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1951 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD I Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Ranch Widely published in Sunset and House Beautiful magazines, the Ranch House dominated post -World War II residential expansion and represented the most popular house form in the United States from the 1950s through 1970s. The Ranch House originated in the 1930's designs of Southern California architect Cliff May, who sought to reinvent the west's vernacular housing traditions by combining the form and massing of the traditional ranch house with a modernist's concern for informality, expressed in materials and plan, and indoor - outdoor integration. While the style includes several variants, a basic set of character - defining features applies to most examples. In form and massing, the style evokes a sprawling ranch that developed over time, with a central block extended by wings of varying roof heights. Generally L- shaped or U- shaped in plan, the Ranch House typically has a one -story profile with strong horizontal emphasis expressed through a low pitched or flat roof with wide overhanging eaves. Asymmetrical in design, the Ranch House is often sheathed in and accented with rustic materials such as board - and - batten siding, high brick foundations, art stone, and wood shake roofs. Indoor - outdoor integration is achieved through the use of recessed or extended porches, set low to the ground, and the generous use of large picture, ribbon, or corner windows. Window detailing can include wood frames, decorative shutters, and diamond - patterned muntins. Ornamentation includes rusticated elements, such as carved porch supports and exposed rafters, uneven rakes and flared eaves, and faux dove cotes and bird houses. SUMMARY /CONCLUSION: The Cohrt_Fowler House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture. " (Municipal Code, Section 30 -2.2). • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources, " September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December B, 2003.) 5S1: Individual property that is listed or designated locally. � V1 341 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Primary HRI # NRHP Status Other Listings Review Code Reviewer of 4 Resource name(s) or number (assigned by recorder) Cohrt- Fowler House Date P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA1725 Date: *c. Address 934 West Sharon Road City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 001 - 231 -17 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Long and horizontal, this ranch styled residence is sheathed primarily in stucco, but includes wide clapboard siding as a decorative feature. The dutch gabled roof is capped by composition shingles, and the foundation is covered with red brick. The porch support is also covered with red brick. Typical of the ranch style of architecture a front facing picture window pierces the front fagade. A tripartite window is also to the left of the front entry. Both windows are flanked by wood decorative shutters. The front entry door is heavy wood with a long, rectangular vertical window in the center. Landscaping is healthy, and the home is in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District 0 Element of District ❑Other OArchaeological Record ❑District Record ❑Linear Feature Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) P5b. Photo: (view and date) East facing elevation 2013 *P6. Date Constructed /Age and Sources: ■historic 1951 /City of Santa Ana Building Permits Norichika Okada and Heather Lenz 934 West Sharon Road Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None. Attachments: ONone OLocation Map Sketch Map ■Continuation Sheet ■Building, Structure, and Object Record ❑Milling Station Record ❑Rock Art Record 25A -342 liff *Required information State of California —The Resources Agency Primary #._.._ DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page. 2 of 4 *CHR Status Code 5S1 *Resource Name or #: Cohrt- Fowler House B1. Historic Name: Cohrt- Fowler House B2. Common Name: Same B3. Original Use: Single- family Residence *B5. Architectural Style: Ranch B4. Present Use: Single- family Residence *B8. Construction History: (Construction date, alterations, and date of alterations): Constructed 1951 November 15, 1951. 7 room residence and garage for T. Cohrt. $18,000 January 3, 1952, Plastering. July 17, 1962. Bedroom and math addition – 420 sf Feruary 27, 1970 Private seimming pool. *B7. Moved? ■No DYes ❑Unknown Date: Original Location *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Allison Honer B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1895 -1965 Property Type: Single- family Residence Applicable Criteria: CR: 5S1 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Cohrt- Fowler House was constructed in 1951 for the original owners: Theodore (Ted) and Carroll Cohrt. Ted was born in 1923, and attended the University of Southern California, graduating with a degree in engineering. He took a salesman job for the firm Brinckherhoff. Brinckerhoff was the Democrateic delegate for the Democratic National Convention at one time. Ted and Carroll divorced in 1976, and the house was subsequently sold to Dr. Weiner. Patsy Fowler, owner of Patsy's Closet, also owned the property. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 20, 2014 (This space reserved for official comments.) DPR 5238 (1195) 25A -343 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial by Hally Soboleske *810. Significance (continued): or # (Assigned by recorder) Cohrt House *Date November 20, 2014 ZI Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Cohrt - Fowler House is located in Fisher Park. The homes of the Jack Fisher Park neighborhood were built following the overwhelming success architects had in the early 1950's, when building homes using "California Ranch" architectural design and features. Homes located in our prestigious neighborhood range from 1,500 -6,000 sqft, with lot sizes from 6,500 - 25,000 sqft. Properties within this neighborhood boast some of the largest residential land use in any of the incorproated cities within Orange County and Southern California. Giving true meaning to the phrase, "Sprawling California Ranch" style homes.Jack Fisher Park was named after a local highly decorated World War I hero. The Cohrt- Fowler House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture ". Character - defining exterior features of the Cohn House that should be preserved include, but may not be limited to, exterior materials, massing and exterior sheathing, original windows where extant, chimney, and front porch configuration. B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Pleasants, Mrs. J. E. History of Orange County California, volume 2. Los Angeles: J. R. Finnell 8 Sons, 1931, pp. 364 -365. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park." http:// www. neighborhoodlink .com /Fisher_Park /info Santa Ana and Orange County Directories, 1937 -1978. Ancestry.com Newspapers.com DPR 523L 25A -344 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -25 TO PLACE THE PROPERTY LOCATED AT 934 WEST SHARON ROAD, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -26 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -25) and categorization (Historic Resources Commission Categorization No. 2014 -26) of the Cohrt House, located at 934 West Sharon Road, Santa Ana. B. The Cohrt House has distinctive architectural features of the Ranch style and was built in 1951 for Theodore (Ted) and Carroll Cohrt. Mr. Cohrt was born in 1923, and attended the University of Southern California, graduating with a degree in engineering. He took a salesman job for the firm Brinckherhoff. Brinckerhoff was the Democrateic delegate for the Democratic National Convention at one time. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character - defining features of the Cohrt House that should be preserved include, but may not be limited to, exterior materials, massing and exterior sheathing, original windows where extant, chimney, and front porch configuration E. The legal owners of the subject property are Norichika Okada and Heather Lenz. 25A -345 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -124 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -25 to place the Cohrt House, located at 934 West Sharon Road, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -26 placing the Cohrt House located at 934 West Sharon Road, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. 25A -346 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Sean H. Mill Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney M Ryan O. Hodge Assistant City Attorney AYES: Commission mem NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission mem CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -347 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 001 - 231 -17 934 West Sharon Road Norichika N TR 1236 LOT 16 Okada and Heather Lenz Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -348 REQUEST FOR HISTOM RESOURCES COMMISSION ACTION HISTORIC RESCAMES C PAS hAEEnNG DAM NOVEMBER 20, 2014 TITLE,° PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -27 HISTORIC REGISTER CATEGORIZATION NO. 2014 -28, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -41 FOR PROPERTY LOCATED AT 2510 N. NORTH PARK BOULEVARD {STRATEGIC PLAN NOS. 5,2; 5,3} Prepared by Hally Soboleske H05FORiC RESOURCIES COMMISSUN SECoREtARY APPROVED 0 As Recommended • As Amended • Set Public Headng For CONTINUED TO _.._..__ - -- - -.... Interim Executive Dileuor Acting Panning . aciager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -27 and Historic Register Categorization No. 2014 -28. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Craig Emmons Kalthoff and Franklyn Russell Patti, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Craig Emmons Kalthoff and Franklyn Russell Patti are requesting approval to designate an existing residence located at 2510 N. North Park Boulevard to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 2,300 square foot, two -story Tudor Revival -style residence and detached garage on a 7,405 square foot residential lot located on N. North Park Boulevard between Heliotrope Drive and Flower Street (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or 19WITA HRCA/HRC No. 2014 -05 HPPA No. 2014 -18 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Marksity House, has distinctive architectural features of the Spanish Colonial Revival style, and was built in 1926 by builder A.J. Mansur. The occupants that resided the longest were Walter and Mary Marksity. Mr. Marksity was a meat cutter for Safeway stores. Character defining features of the Marksity House that should be preserved include, but may not be limited to, exterior materials, original windows and fenestration patterns, original front door, and front porch configuration (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -350 HRCA /HRC No. 2014 -05 HPPA No. 2014 -18 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -144 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sobo eske Associate Planner HS:jm hs\Histcric Info1112014 HRClhrca- hrc14 -05 hppa14 -1&hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -351 500' RADIUS HRCA /HRC NO. 2014 -05 HPPA NO. 2014 -18 2438 NORTH HELIOTROPE DRIVE MARKSITY HOUSE PLANNING AND BUILDING AGENCY r 17 r EXECUTIVE SUMMARY MARKSITY HOUSE 2438 North Heliotrope Drive Santa Ana, CA 92706 NAME Marksity House REF. NO. ADDRESS 2438 North Heliotrope Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1926 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY /CONCLUSION: The Marksity House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the characteristics of the Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture ". (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. AM993 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomial NRHP Status Code _ Other Listings Review Code Reviewer Date or number (assigned by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: "c. Address 2438 North Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 063 -09 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Marksity House is designed in the Spanish Colonial Revival style of architecture. As such, the structure is sheathed in smooth, hand troweled stucco, and is capped with clay barrel tile. The building is "L" shaped in plan with a cross gabled roof fine and a front facing bay and attached porte cochere. The bay is pierced by three windows with the center being a deeply recessed casement window. Two fixed windows straddle the casement, and an arched attic vent sits at the gable end. The front entry is covered by the roof, and is also symmetrical in design with the front door flanked by two windows. The porte cochere is supported by two columns, each with a decorative arched opening. The property is in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P51a. Photo: (view and date) South facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1926 *P7. Owner and Address: Lynda Yana 2438 North Heliotrope Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ❑None ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -354 *Required information SH.B. Nall of California —The Resources Agency Primary# DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 "Resource Name or #: Marksity House B1. Historic Name: Marksity House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *135. Architectural Style: Spanish Colonial Revival *66. Construction History: (Construction date, alterations, and date of alterations): Constructed 1926 October 28, 1926. Residence and garage. $5,000. October 27, 1941. Reroof. April 27, 1949. Termite work for Frank Mirksity. August 6, 1952. Termite work for Mary Marksity . September 20, 1966. Remodel kitchen. April 19, 1974. One fixture for J. McGrath. *67. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *68. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Marksity House was constructed by A.J. Mansur, a local builder who lived at 1106 South Hickory, at a cost of $5,000. Although not the original owners, the Marksity family lived in this residence the longest. Walter and Mary Marksity took ownership of the home in the late 1940's and lived in the home until 1966. Walter was a meatcutter for Safeway stores. His brother James, who lived nearby on Santa Clara, was the proprietor of Dixie Barbecue. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5238 (1/95) *610. Significance (continued): 25A -355 Sketch Map Marksity House 2438 North Heliotrope Drive *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Marksity House `Recorded by Hally Soboleske *Date November20, 2014 x❑ Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Marksity House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Marksity House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture'. (Municipal Code, Section 30 -2.2). Character defining features include of the Marksity House that should be preserved include, but may not be limited to, exterior materials, original windows and fenestration patterns, original front door, and front porch configuration. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated Histo y. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambrdge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lando Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 25A -356 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO, 2014 -05 TO PLACE THE PROPERTY LOCATED AT 2438 NORTH HELIOTROPE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -05 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -05) and categorization (Historic Resources Commission Categorization No. 2014 -05) of the Marksity House, located at 2438 North Heliotrope Drive, Santa Ana. B. The Marksity House has distinctive architectural features of the Spanish Colonial Revival style and was built in 1926 by builder A.J. Mansur. The occupants that resided the longest were Walter and Mary Marksity. Mr. Marksity was a meat cutter for Safeway stores. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive as it is a good example of period architecture. D. Character - defining features of the Marksity House that should be preserved include, but may not be limited to, exterior materials, original windows and fenestration patterns, original front door, and front porch configuration E. The legal owner of the subject property is Lynda A. Yana. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -357 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -144 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -05 to place the Marksity House, located at 2438 North Heliotrope Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -05 placing the Marksity House, located at 2438 North Heliotrope Drive, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -358 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -359 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 IIxc7Ta7 *74111 it tfEel01 APN Address Owner Names Legal Description 002 - 063 -09 2438 North Heliotrope Drive Lynda A. Yana N TR 755 BLK LOT 24 TR 755 LOT 24 ALL -EX E 5 Exhibit A Resolution No, 2014 -XXX Page 4 of 4 25A -360 REQUEST IF°'OR HISTORIC RESOURCES COMMISSION A 'n0N HPS"rMCRESsOURCES COMMSM BV6EMINC DAVE: NOVEMBER 20, 2014 TIl"dTLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -28, HISTORIC REGISTER CATEGORIZATION NO. 2014 -29, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -42 FOR PROPERTY LOCATED AT 2618 NORTH LOUISE STREET (STRATEGIC PLAN NOS. 5, 2; 5,3) Prepared by Hally Soboleske HISTOR RESOURCES d F ' aECREr Y APPROVED * As Recornmended * As Airaeended El Set Public Hearing For CONTINUED TO ° LAat as �' izaCs,� ✓ i iterim Executive Dire Jr Acting P nning anager RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -28 and Historic Register Categorization No. 2014 -29. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Scott and Vanessa McDowell, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Scott and Vanessa McDowell are requesting approval to designate an existing residence located at 2618 North Louise Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 2,282 square foot, one -story Ranch -style residence and attached garage on a 9,722 square foot residential lot located on North Louise Street between Memory Lane and Park Lane (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B32 25A -361 HRCA No. 2014- 28 /HRC No. 2014 -29 HPPA No. 2014 -42 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Dutcher House, has distinctive architectural features of the Ranch style, and was built in 1959 by Robert Conley for Dan and Jane Dutcher who were originally from Iowa. Mr. Dutcher was an attorney for Autonetics, a company that is now part of Boeing. He was elected as a Municipal Judge in 1982. Character defining features of the Dutcher House that should be preserved include, but may not be limited to, exterior materials, wood windows and fenestration patterns, massing, roof configuration, and original front door (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -362 HRCA No. 2014 -28 /HRC No. 2014 -29 HPPA No. 2014 -42 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -142 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). r � u Hally So leske Associat Planner HS:jm hs\Historic Info1112014 HRC \hrca14 -28 hrc14 -29 hppa14 -42.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -363 6jQM:L'1UDb9 HRCA NO. 2014- 28 /HRC NO. 2014 -29 HPPA NO. 2014 -42 2618 NORTH LOUISE STREET DUTCHER HOUSE PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY DUTCHER HOUSE 2618 North Louise Street Santa Ana, CA 92706 NAME Dutcher House REF. NO. ADDRESS 2450 N. Bonnie Brae CITY Santa Ana =ZIP ORANGE COUNTY YEAR BUILT 1959 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Ranch Widely published in Sunset and House Beautiful magazines, the Ranch House dominated post -World War II residential expansion and represented the most popular house form in the United States from the 1950s through 1970s. The Ranch House originated in the 1930's designs of Southern California architect Cliff May, who sought to reinvent the west's vernacular housing traditions by combining the form and massing of the traditional ranch house with a modernist's concern for informality, expressed in materials and plan, and indoor - outdoor integration. While the style includes several variants, a basic set of character - defining features applies to most examples. In form and massing, the style evokes a sprawling ranch that developed over time, with a central block extended by wings of varying roof heights. Generally L- shaped or U- shaped in plan, the Ranch House typically has a one -story profile with strong horizontal emphasis expressed through a low pitched or flat roof with wide overhanging eaves. Asymmetrical in design, the Ranch House is often sheathed in and accented with rustic materials such as board - and - batten siding, high brick foundations, art stone, and wood shake roofs. Indoor - outdoor integration is achieved through the use of recessed or extended porches, set low to the ground, and the generous use of large picture, ribbon, or corner windows. Window detailing can include wood frames, decorative shutters, and diamond - patterned muntins. Ornamentation includes rusticated elements, such as carved porch supports and exposed rafters, uneven rakes and flared eaves, and faux dove cotes and bird houses. SUMMARY /CONCLUSION: The Dutcher House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style, as well as its association with Judge Dan C Dutcher, a Municipal Court Judge in Santa Ana. Additionally, the house has been categorized as "Contributive" because it "is a good example of period architecture. " (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Page 1 of 4 Other Listings Review Code or Primary #_ HRI # Trinomial_ NRHP Status Reviewer gned by recorder) D P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2618 North Louise Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 011 - 145 -05 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Dutcher House is designed in the Ranch style of architecture. Long and horizontal, it has all the feautres classic to the Ranch style. The structure is "L" shaped and is clad in wide wood siding and capped with composition shingles on a Dutch gabled roof. A sstone clad chimney rises above the roofline. Siding decorates the gable ends as well. With a front facing garage, typical for the period, the garage door is unusual in that it is also clad with siding to match the house. The front fagade is assymetrical, and has three six paned bow wood windows each with a casement opening. The north face of the garage has a six paned window, while the window to the left of the front entry possess twenty lights and two casement openings. The front entry itself has two slate covered steps (material not original) leading to the front door with roofing covering the entry. The front door is characteristically broad with four panels and a transom of four rectangular windows at the top and two narrow rectangular sidelights. A stone planter stretches the length of the front of the house and is made of the same stone material as the chimney. The property is in good condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none") None P5b. Photo: (view and date) West facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1959 *P7. Owner and Address: Scott and Vanessa McDowell 2618 North Louise Street Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone ❑Location Map ❑Sketch Map eContinuation Sheet ■Building, Structure, and Object Record DArchaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record DRock Art Record DArtifact Record OPhotograph Record D Other (list) DPR 523A (1/95) 25A -366 *Required information SH.B. Nall of California —The Resources Agency Primary# DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 *Resource Name or #: Dutcher House B1. Historic Name: Dutcher House B2. Common Name: Same B1 Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Ranch *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1959 *137. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *68. Related Features: None. 39a. Architect: Unknown b. Builder: Unknown *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single - family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Dutcher House was constructed for Dan and Jane Dutcher from Iowa. Mr. Dutcher was born in Iowa City in 1908. And served in WWII from 1942 -44. Although he began his law career in Iowa, the couple moved to La Mirada where he was an attorney for Automatics, a company that is now part of Boeing. They moved to Santa Ana in 1958. Robert Conley designed and custom built this home for the Dutchers. Dutcher began his law career as a trial lawyer, but was elected as Municipal Judge in 1982. In 1994, he was in a difficult race for Municipal Judge against Caryl Lee. Dutcher lost by a narrow margin, and later sued Lee for making inflammatory statements in a campaign brochure that he claimed were untrue and cost him the election. The Dutchers lived in the house until 2009. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *812. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *1314. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 523B (1195) 25A -367 Sketch Map 2618 North Louise Street 001- 145 -05 rFACI� • �,• : eMAC1 .w . G o O o 4� O o 0 A6 Q s O f PA(M'� N0' s . C Q D °orr>o ea *Required information SH.B. Nall of California— The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Dutcher House *Recorded by Hally Soboleske *Date November 20, 2014 O Continuation ❑ Update *1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Dutcher House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway, Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hail, the El Toro Marine Base during World War ll, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Dutcher House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive' because it is a "good example of period architecture'. (Municipal Code, Section 30 -2.2). Character defining features include of the Dutcher House that should be preserved include, but may not be limited to, exterior materials, wood windows and fesestration patterns, second story massing, and original front door. *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County, Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. 'The Gingerbread Lande Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 25A -368 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -28 TO PLACE THE PROPERTY LOCATED AT 2618 NORTH LOUISE STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -29 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -28) and categorization (Historic Resources Commission Categorization No. 2014 -29) of the Dutcher House, located at 2618 North Louise Street, Santa Ana. B. The Dutcher House has distinctive architectural features of the Ranch style, and was built in 1959 by Robert Conley for Dan and Jane Dutcher who were originally from Iowa. Mr. Dutcher was an attorney for Autonetics, a company that is now part of Boeing. He was elected as Municipal Judge in 1982. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character - defining features of the Dutcher House that should be preserved include, but may not be limited to, exterior materials, wood windows and fesestration patterns, second story massing, and original front door. E. The legal owners of the subject property are Scott and Vanessa McDowell. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -369 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -142 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -28 to place the Dutcher House, located at 2618 North Louise Street, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -29 placing the House, located at 2618 North Louise Street, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -370 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission mem NOES: Commission members ABSTAIN: Commission mem NOT PRESENT: Commission mem CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -371 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 011 - 145 -05 2618 North Louise Street Scott and N TR 1980 BLK LOT 27 Vanessa McDowell Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -372 UEs" (Historic ResourceEs Cc.rornaiiss -ion Acdon HST °ORC RESOURCES 00MNSSKM MEMING DATE: "tNTLIE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -44 FOR THE DR. M. MCMURRAY HOUSE LOCATED AT 2029 NORTH FLOWER STREET (STRATEGIC PLAN NOS. 5, 2; 5, 3) Prepared by Hally Soboleske N-1iSTOR&C RESOURCES COPYNVf ISS ON SECRErARY APPROVED Cl A„ Recommended L As Amended * Set Public; 1learing For C,ON11NdBED'1 "0 Interim Executive Director Acting PlGrnnl "r'7y Manager RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Michael J. Weatherly, property owner, for the structure located at 2029 North Flower Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicant, Michael Joe Weatherly, is requesting the approval of Historic Property Preservation Agreement No. 2014 -44 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a one -story Ranch Style residence and garage located at 2029 North Flower Street. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B33 25A -373 HPPA No. 2014 -44 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Dr. M. McMurray House and categorized as Key in November 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City Strateaic Plan Alianment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Sobol ke Associate anner HS:jm hs\hlstorlc Infohnllls act agreements \2029_N_ Flower \hppal4- 44_2029NFlower.hrc 25A -374 HPPA No. 2014 -44 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -375 HPPA NO. 2014 -44 2029 North Flower Street Dr. M. McMurray House PLANNING AND BUILDING AGENCY 17T - i , . EXECUTIVE SUMMARY MCMURRAY HOUSE 2029 North Flower Street Santa Ana, CA 92706 NAME McMurray House REF. NO. ADDRESS 2029 N. Flower St. CITY Santa Ana ZI 1 92706 ORANGE COUNTY YEAR BUILT 1936 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Ranch Widely published in Sunset and House Beautiful magazines, the Ranch House dominated post -World War II residential expansion and represented the most popular house form in the United States from the 1950s through 1970s. The Ranch House originated in the 1930's designs of Southern California architect Cliff May, who sought to reinvent the west's vernacular housing traditions by combining the form and massing of the traditional ranch house with a modernist's concern for informality, expressed in materials and plan, and indoor - outdoor integration. While the style includes several variants, a basic set of character - defining features applies to most examples. In form and massing, the style evokes a sprawling ranch that developed over time, with a central block extended by wings of varying roof heights. Generally L- shaped or U- shaped in plan, the Ranch House typically has a one -story profile with strong horizontal emphasis expressed through a low pitched or flat roof with wide overhanging eaves. Asymmetrical in design, the Ranch House is often sheathed in and accented with rustic materials such as board - and - batten siding, high brick foundations, art stone, and wood shake roofs. Indoor - outdoor integration is achieved through the use of recessed or extended porches, set low to the ground, and the generous use of large picture, ribbon, or corner windows. Window detailing can include wood frames, decorative shutters, and diamond - patterned muntins. Ornamentation includes rusticated elements, such as carved porch supports and exposed rafters, uneven rakes and flared eaves, and faux dove cotes and bird houses. SUMMARY /CONCLUSION: The McMurray House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion I for its exemplification of the distinguishing characteristics of the Ranch style, as a "distinctive architectural style and quality" and is therefore categorized as "Key" due to its association with Dr. Milton McMurray, "a significant person in the history of Santa Ana" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. Page O§A_377 Page fio State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI #_ PRIMARY RECORD Trinomi; NRHP Status Code Other Listings__ Review Code Reviewer Date e name(s) or number (assigned by recorder) Dr. M McMurray House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address McMurray House City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 082 -25 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Dr. M. McMurray House was constructed in 1936 by prolific builder Allison Honer in the Ranch style of architecture. Set on a wide lot, the massing is horizontal and single story. An early ranch style, it is unique in that it has an attached garage and a front facing garage door. This is typical of ranch styles of a much later period. The garage door itself is heavy wood with wide battons. It is clad in stucco and topped by an asphalt shingle roof. The front entry is largely concealed by thick landscape, but is at grade with a wooden front door. A meandering concrete walkway leads to the front entry. The property is surrounded by a wood picket fence with a wod rail topper. The landscape is lush and old growth. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) East facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1936 *P7. Owner and Address: Michael Joe Weatherly 2029 N. Flower St. Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 6, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone ❑Location Map ❑Sketch Map ■Continuation Sheet ■Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record 0 Other (list) DPR 523A (1/95) 25A -378 *Required information State of California —The Resources Agency Primary# _ DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 "Resource Name or A: Ur. M McMurray House B1. Historic Name: Dr. M. McMurrayHouse B2. Common Name: Same B3, Original Use: Single- family Residence B4. Present Use: Single - family Residence *135. Architectural Style: Ranch *86. Construction History: (Construction date, alterations, and date of alterations): Constructed 1936 December 22, 1936. Residence and garage valued at $5,500. March 22, 1951. 1 fixturre for McMurray. October 7, '954. Termite repairs for Mrs. McMurray October 6, 1954. Range for Mr. Burnett. *137. Moved? ■No Dyes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Allison Honer *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The McMurray House was constructed in 1936 for Dr. Milton McMurray and his wife, Gertrude.Dr. McMurray was born in December 1889 in San Francisco and here, he also schooled and became a well -known dentist who frequently wrote articles for dental journals. One article proposed the helpfulness of using moth balls to treat abscessed teeth. He married Gertrude, and they had three daughters. Upon retirement, Dr. McMurray and his wife moved to Santa Ana to be near their children and grandchildren. Dr. McMurray's father in law was one of the first settlers of Humbolt County in 1850. A Methodist minister by profession, he went on to serve as a county judge and member of the California assembly. Gertrude hosted many parties, and Dr. McMurray became an avid gardener. At the McMurray House, only white blooms could be planted, Dr. Murray once tearing out an entire row of petunias once they developed a purple streak. Dr. McMurray was a Trustee for the California Dental Association and was very active politically as a member of the Lincoln- Roosevelt Society. He owned six and one half acres in Santa Ana, and several more in Irvine. Dr. McMurray died in 1964 in Ventura, CA. (See Continuation Sheet 3 of 4.) 311. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Hally Soboleske *Date of Evaluation: October 2014 (This space reserved for official comments.) McMurray House 2029 N. Flower St. — DR] YE I ill =II 2B .,I L,I. O3 31 4�' 36 ilp ?I Q NO. 1035 ml ze TO. .. zRAC i I 2i 2a 4i ,.� NO 9 DPR 5238 (1/95) 25A94379 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial *Recorded by Hally Soboleske *Date November 6, 2014 O Continuation ❑ Update `1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The McMurray House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War ll, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The McMurray House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style of architecture. Additionally, the house has been categorized as "Key" because it "contributes to the overall character and history of the Floral Park neighborhood" and "is a distinctive archural style and quality ", and due to its association with Dr. Milton McMurray (Municipal Code, Section 30 -2.2). Character defining features include of the McMurray House that should be preserved include, but may not be limited to, exterior materials including stucco, unique garage door, fenestration patterns, massing and front entry details. *1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998, Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lando Holiday Home Tour, 1999." Brochure, Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com DPR 523L P2SA4 -380 REQUEST R Histoft Resources Commyreisswon Action - — ._............_.__._ _ _.__............. . ..._........._._......_... -._.. --- HWOMC FIF-K SRC ES MMMIS90N MEFMNG iDATE:. NOVEMBER 6, 2014 TITLE, HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -45 FOR THE DYE HOUSE LOCATED AT 2125 NORTH HELIOTROPE DRIVE {STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske HISTORE RFSOURMS MIS 9)N SECRETARY AI'F-ROV�E'5D l...l As Recommended EJ As Arnerided C:'.1 Set Public Hearing For CON1 °INUED TO _ ....... � m --- Im irectar Au fng "tannin Manager - - -- RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Dennis Koldewey and Ellen Koldewey, property owners, for the structure located at 2125 North Heliotrope Drive, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Dennis and Ellen Koldewey, are requesting the approval of Historic Property Preservation Agreement No. 2014 -45 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a Ranch Style residence and garage located at 2125 North Heliotrope Drive. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B34 25A -381 HPPA No. 2014 -45 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Dye House and categorized as Contributive in November of 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Sobca6ske Associate Planner HS:jm hs\hlstonc InUmills act agreementsA2125_N_ Heliotrope Ahppai4- 145_2125NHellolrope.hrc 25A -382 HPPA No. 2014 -45 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -383 500' RADIUS HPPA NO. 2014 -45 2125 North Heliotrope Drive Dye House PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY DYE HOUSE 2125 North Heliotrope Drive Santa Ana, CA 92706 NAME Dye House REF. NO. ADDRESS 2125 N. Heliotrope Dr. CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1955 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Ranch Widely published in Sunset and House Beautiful magazines, the Ranch House dominated post -World War II residential expansion and represented the most popular house form in the United States from the 1950s through 1970s. The Ranch House originated in the 1930's designs of Southern California architect Cliff May, who sought to reinvent the west's vernacular housing traditions by combining the form and massing of the traditional ranch house with a modernist's concern for informality, expressed in materials and plan, and indoor - outdoor integration. While the style includes several variants, a basic set of character - defining features applies to most examples. In form and massing, the style evokes a sprawling ranch that developed over time, with a central block extended by wings of varying roof heights. Generally L- shaped or U- shaped in plan, the Ranch House typically has a one -story profile with strong horizontal emphasis expressed through a low pitched or flat roof with wide overhanging eaves. Asymmetrical in design, the Ranch House is often sheathed in and accented with rustic materials such as board - and - batten siding, high brick foundations, art stone, and wood shake roofs. Indoor- outdoor integration is achieved through the use of recessed or extended porches, set low to the ground, and the generous use of large picture, ribbon, or corner windows. Window detailing can include wood frames, decorative shutters, and diamond - patterned muntins. Ornamentation includes rusticated elements, such as carved porch supports and exposed rafters, uneven rakes and flared eaves, and faux dove cotes and bird houses. SUMMARY /CONCLUSION: The Dye House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style, as a "good example of period architecture" and is therefore categorized as "Contributive" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001,) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) SSi: Individual property that is listed or designated locally. r State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomi; NRHP Status Code Other Listings - Review Code Reviewer or number (assigned by recorder} Dye House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2125 N. Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002- 081 -39 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Dye House is a quintessential example of the Ranch style of architecture. Long and horizontal in massing, this single story structure possesses wide eaves, a brick chimney, and a structurally integrated porte cochere. It is clad in stucco with natural stone for accent under the front picture window, and is capped by a wood shingle roof. A visitor is lead to the front entry by a meandering concrete walkway and up two steps. The front entry is covered by the roofline. Fenestration is generous with several horizontal windows meant to bring the outside in. The driveway is wide and leads to a two car garage that is attached at the roofline. The house has excellent integrity and has all original exterior features other than a minor addition constructed in 1988. *P3b. Resource Attributes: (list attributes and codes) HP2. Single - family Property *P4. Resources Present: ■Building OStructure ❑Object ❑Site ❑District ■Element of District ❑Other P5a. Photo *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) South facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1955 *P7. Owner and Address: Dennis and Ellen Kaldewey 2405 N. Heliotrope Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 6, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone OLocation Map OSketch Map ■Continuation Sheet ■Building, Structure, and Object Record OArchaeological Record ODistrict Record OLinear Feature Record ❑Milling Station Record ORock Art Record OArtifact Record ❑Photograph Record O Other (list) DPR 523A (1/95) 266► @(386 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 *Resource Name or #: Dye House B1. Historic Name: Dye House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *65. Architectural Style: Mission /SpanishColonial Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1925 March 21, 1955. 7 room residence and garage for Clark Dye. March 10, 1978. A/C unit. August 15, 1988. Extend master bedroom, relocate spa. October 17, 1991. Install 2 x 4 skylight. *B7. Moved? ■No DYes ❑Unknown Date: Original Location: *B8. Related Features: None. 39a. Architect: Unknown b. Builder: Allison Honer /Clark Dye *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Dye House was built in 1955 with Allison Honer listed as builder; However, the first ower and occupants Clark and Idelle Dye also did much of the construction themselves. Mr. Dye was born in 1916 in Missouri. He moved to Amarillo, TX where he met and married Idelle. In July of 1979, they relocated to Santa Ana, CA. Mr. Dye started his own hardware business in Santa Ana called Clark Dye Hardware at 210 S. Main Street and in 1955, he bought the lot at 2125 North Heliotrope Drive. It is interesting to note, that the hardware store at one time had a house located in the rear where the Dye's lived until their home was finished. Mr. Dye was an active member of the Santa Ana Chamber of Commerce. Mr. Dye retired in the 1970's, sold the hardward store, and moved to Redondo Beach. Mr. Dye passed away on March 27, 1979. The hardward store is still in operation at its orginal location and is now called Murray's Hardware. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: October 2014 (This space reserved for official comments.) Sketch Map t r- radcr O rrracr J n'. Dye House 2125 N. Heliotrope Drive OIC71©OC^�Ot� ( "' 10TROPE )T111 (1-1 a U c jj 10 CO DPR 5238 (1/95) QQ *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Dye House 'ttecorded Dy Many Joboleske "Date November 6, 2014 LxJ Continuation ❑ Update *B111. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Dye House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. 'When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Dye House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Ranch style of architecture. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history of the Floral Park neighborhood" and "is a good example of period architecture ", (Municipal Code, Section 30 -2.2). Character defining features include of the Dye House that should be preserved include, but may not be limited to, exterior materials including stucco, stone, and wood shingled roof, fenestration size, massing and porte cochere. *612. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses, New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995, Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lance Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com DPR 523L 25AL43gg REQUEST FOR Historic Resou ° s Cornniission Action HL15TOW RESOURC ES COMMS&ON MECTnW DATE: NOVEMBER 20, 2014 11TLE. HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -47 FOR THE PROPERTY LOCATED AT 2207 NORTH FLOWER STREET {STRATEGIC PLAN NOS. 5, 2; 5, 3) Prepared by Hally Soboleske HKTOMC RESOURCES COMMBSION SECRUARY APPROVED 11 As Recornaiended * As Amended * Set Pubhc Hearing For CONTtlNUED TO — -- - - -- -- -- -` -- — Interim Executive Direct r Acting Plann rg Mana er Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Robert Auchubon and Ann L. Feng, property owners, for the structure located at 2207 North Flower Street, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, Robert Auchubon and Ann L. Feng, are requesting the approval of Historic Property Preservation Agreement No. 2014 -47 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story English Revival styled residence and garage located at 2207 North Flower Street. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B35 25A -389 HPPA No. 2014 -47 November 20, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Ranney House and categorized as Contributive in August of 2008 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). Photos of the property are included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. U a i HAy Sob Teske Associate Planner HS:jm Whistoric inUmills act agreementsQ207_N_ Flower \hppai4- 27_2207NFlowechrc Attachments: Exhibit 1- 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -390 500' RADIUS HPPA NO. 2014 -47 2207 North Santiago Street Ranney House PLANNING AND BUILDING AGENCY 17I•! '•ti EXECUTIVE SUMMARY RANNEY HOUSE 2207 North Flower Street Santa Ana, CA 92706 NAME Ranney House REF. NO. ADDRESS 2207 North Flower Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1935 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: English Revival A simplification of the Tudor Revival, which reached its height of popularity during the 1920s and 1930s, the English Revival drew upon the English country house for its inspiration. English Revival homes usually feature stucco walls and gable roofs of steep but not exaggerated pitch. A characteristic roof treatment incorporates uneven rakes, with one side of a gable extending a greater distance than the other, sometimes changing the angle of slope in the process. Arches may be used for windows and doors, and, unlike their Tudor cousins, are rounded rather than pointed. Windows are usually clustered in groups on the fagade and are often multi -paned casement in type. Almost exclusively a residential style, English Revival buildings are nearly always asymmetrical in composition. SUMMARY /CONCLUSION: The Ramsey House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the English Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an example of the English Revival style in the Floral Park neighborhood "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values, • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. 2� - 392 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Primary # HRI NRHP Status Reviewer or number (assigned by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2207 North Flower Street City Santa Ana Zip 92706 *e. Other Locational Data: 002 - 082 -12 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) L- shaped in plan, this one -story, stucco -clad residence displays the picturesque asymmetry typical of the English Revival style. The building is capped with a steeply - pitched, cross - gabled roof terminating in shallow eaves and exposed rafter tails. Projecting from the fagade's north half is a front - gabled wing with a sixteen -light picture window framed by wood surrounds, centered on the gable. A canvas awning supported on each side by thin iron poles shelters the picture window. The front gable is filled with wide strips of horizontal wood siding, accented with scalloped trim. Punctuating the roof line is a front - gabled dormer with a double -hung sash window with wood frames, topped with a canvas awning and iron pole supports. Additional fenestration on the fagade and side elevations is provided by slightly recessed, six - over -six double -hung sash windows with wood surrounds, topped with canvas awnings supported by thin iron poles. Placed at a 45- degree angle from the intersection of the cross gables, a third gable with horizontal wood siding and thin bargeboards marks the entry, which is sheltered beneath a sloped shed roof with scalloped trim. Elevated on three steps and accessed via a diagonal walkway, the three -panel wood entry features an oval- shaped window recessed within a molded panel with decorative carving at each corner. Thin rectangular vents with horizontal louvers pierce the apexes of the side elevation gables, which are filled with horizontal wood siding. An attached brick chimney marks the north elevation. Alterations include the demolition of the original garage and a nonoriginal window opening that is not visible from the fagade. In excellent repair, the residence is otherwise highly intact and further enhanced by mature trees and landscaping. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ❑Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") P5b. Photo: (view and date) West elevation August 2008 *P6. Date Constructed /Age and Sources: ■historic 1935 /City of Santa Ana Building Permits *P7. Owner and Address: Michael & Resa McGowan 2207 N. Flower St. Santa Ana, CA 92706 *P8. Recorded by: L. Neumann and D. Howell- Ardila Sapphos Environmental, Inc. 430 North Halstead Street Pasadena, California 91107 *P9. Date Recorded: August 13, 2008 *P10. Survey Type: Intensive Survey Update *Attachments: []None []Location Map ❑Sketch Map ■Continuation Sheet ®Building, Structure, and Object Record []Archaeological Record []District Record ❑Linear Feature Record []Milling Station Record CRock Art Record []Artifact Record []Photograph Record [] Other (list) DPR 523A (1195) *Required information 25A -393 State of California —The Resources Agency Primary # _ DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 *CHR Status Code 5S1 -Kesource Name or 9: Hannay House B1. Historic Name: Ranney House B2, Common Name: Same 131 Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: English Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1935 September 20, 1935. Residence and garage constructed for $5,000. June 28, 1955. Alterations, $150. November 21, 2002. Tear off and re -roof with composition shingles, $6,720. November 7, 2003. Create second floor within existing attic; no modifications to building envelope, $28,240. *B7. Moved? ®No 13Yes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1895 -1965 Property Type: Single- family Residence Applicable Criteria: NR: C; CR: 3 (Discuss importance in terms of historical or architectural content as defined by theme, period, and geographic scope. Also address integrity) The Ranney House is architecturally significant as an intact example of the English Revival style. According to the original building permit, dated September 20, 1935, the residence and garage were constructed for Kenneth W Ranney at a cost of $5,000. From 1935 until at least the early 1960s, Ranney and his wife Olive resided in the home. Ranney, after graduating from the California Institute of Technology, worked as a plant supervisor for the Excelsior Creamery Co., a well -known dairy enterprise in Santa Ana presided over by Ranney's father, Walter. By 1947, Ranney had become president of Cal - Compack Foods Incorporated, which he ran from its location at 11206 Bolsa Road until at least the early 1960s. After the Ranney's occupancy, the residence changed hands on several occasions. (See Continuation Sheet 3 of 3.) B11. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 3.) B13. Remarks: *B14. Evaluator: Leslie J. Neumann *Date of Evaluation: August 12, 2008 (This space reserved for official comments.) Sketch Map U 11 2207 N. Flower St. 002- 082 -12 0 - 0 O Q N o DPR 5236 (1/95) *Required information 25A -394 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI It CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name or # (Assigned by recorder) Ranney House Recorded by Leslie J. Heumann and Deborah Howell - Ardila *Date August 12, 2008 3d Continuation ❑ Update *B10. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Ranney House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War 11 years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2008), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Ranney House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the English Revival style. Typical features of this style illustrated by the house include its asymmetrical composition; steeply- pitched, multi- gabled roof punctuated with a front - gabled dormer, the entry treatment, with the door and corresponding front gable set at a 45- degree angle; gable treatment, with horizontal wood siding trimmed with a scalloped edge; multi -light and six - over -six double -hung sash windows; and its overall emphasis on verticality. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history' of Santa Ana, and, as an intact example of the English Revival style in the Floral Park neighborhood, "is a good example of period architecture." Character - defining exterior features of the Ranney House that should be preserved include, but may not be limited to, materials and finishes (stucco and wood); roof configuration and detailing; original windows and doors where extant; attached chimney; architectural details such as the scalloped trim accenting the gables. B12. References (continued): Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921. Franklin, Don. "NW Santa Ana History: Roy Russell & Son, Builders." Unsourced article from the Santa Aria History Room, Historic House File, circa 1995. Harris, Cyril M. American Architecture: An Illustrated Encyclopedia, New York, WW Norton, 1998, Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses, New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form. " Washington DC: National Register Branch, National Park Service, US Dept of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. " Sacramento: March 1995. Pheasants, Mrs. J. E. History of Orange County California, volume 2. Los Angeles: J. R. Finnell & Sons, 1931, pp. 164 -166. Santa Ana and Orange County Directories, 1935 -1962, Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84, "The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies, "Orange County Register, September 15, 1981. "History of Floral Park." htto:// www.floral- oark.com /oage2.html. DPR 523L 25A -395 25A -396 QUEST" FOR Historic Resou ° ...,. C nniL%Mon Action IhKMRK, R Rt S COMWaSKIN MEETING DATE: NOVEMBER 6, 2014 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -49 FOR THE NISSON HOUSE LOCATED AT {STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske Yi TORIC RESOURCES CCAdW9ktd5, SON SECRETARY APPROVED ❑ As RecWrTwmended 0 As Amended ❑ Scat Public F leaning For C..,ONFFINUED 'TO Interim Lxr- _c,utwv ectc>r — — Acting Vianning %Aanager RECOMMENDED p ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with George J. Honer and Sherri L. Honer, property owners, for the structure located at subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, George and Sherri Honer, are requesting the approval of Historic Property Preservation Agreement No. 2014 -49 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Spanish Colonial style residence and garage located at The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B36 25A -397 HPPA No. 2014 -49 November 6, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Nisson House and categorized as Key November of 2014 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). A photo of the property is included with the agreement as well as a photo location map. The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Sobo36ske Associate Planner HS:jm hsWstorlc fnVmllls act agreements\ 25A -398 HPPA No. 2014 -49 November 6, 2014 Page 3 Attachments: Exhibit 1 — 500' Radius Map Exhibit 2 — Department of Parks and Recreation Form Exhibit 3 — Mills Act Agreement 25A -399 500' RADIUS H P PA- 2014 -49 Nisson House PLANNING AND BUILDING AGENCY r Ill EXECUTIVE SUMMARY NISSON HOUSE Santa Ana, CA 92706 NAME Nissen House REF. NO. ADDRESS CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1926 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT North Broadway NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 2, CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Mission /Spanish Colonial Revival The Mission /Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Mission Revival vocabulary, popular between 1890 and 1920, drew its inspiration from the missions of the Southwest. Identifying features include curved parapets (or espadana); red tiled roofs and coping; low- pitched roofs, often with overhanging eaves; porch roofs supported by large, square piers; arches; and wall surfaces commonly covered in smooth stucco. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama - California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low- pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets; and stuccoed walls. The Spanish vocabulary also includes arches; asymmetry; balconies and patios; window grilles; and decorative elements of wood, wrought iron, tile, or stone. SUMMARY /CONCLUSION: The Nissen House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as a structure with the distinguishing characteristics of an architectural style or period, the Spanish Colonial Revival (Municipal Code, Section 30 -2(a). It also qualifies for the Santa Ana Register of Historical Properties under Criterion 4(b), for its association with famous people in the history of the City, the Nissen family. Additionally, the house has been categorized as "Key' because it "has a distinctive architectural style and quality" as an example of the Spanish Colonial Revival style and "is associated with a significant person," Clarence A. Nissen and the Nissen family (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 2: It is associated with the lives of persons important in our past. It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 2D2: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # _ PRIMARY RECORD Trinomial NRHP Status Other Listings Review Code rce name(s) or number (assigned by recorder) P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. LISGS 7.5' Quad Date: *c. Address City Santa Ana Zip 92706 *e. Other Locational Data: Assessors Parcel Number Tract: Block: Lot: *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Spanish Colonial Revival styling distinguishes this two- story, single- family residence. Capped by a tiled, cross - gabled roof with shallow eaves, the building is sheathed in stucco characterized by a distinctive cobblestone texture. The fagade is "U "- shaped, with front gables topping the projecting east and west end wings. Centered below the west gable, a monumental arched window, multi -paned with an outline of small, rectangular lights, indicates that the living room is two stories in height. Adjacent to this wing, the central, open patio, defined by a waist -high wall, provides access to the primary entry, which faces east. The flat - headed wooden door is set into a shallow, raised archway with a tiled shed roof. Multi -light casement windows, grouped in three's and four's, occupy the lower stories of the central and east wings. A projecting wood- railed balcony is visible within arched openings on the upper story of the east wing. Two, single -paned windows are located in the upper central bay. Other notable features include triangular attic vents centered in the gable ends, an attached arcade set back on the east elevation and containing a secondary entry, and battered walls at the corners of each projecting wing, The attached garage is set back on the east. Although the building permit record indicates several room additions have been made including the treatment of the east wing and upper story balcony, the changes are in keeping with the style of the house and do not substantially compromise the integrity of the design. Landscaped with a front lawn, shrubbery, and a few mature trees, the property is in good condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P5a. rT'"j(+n I P5b. Photo: (view and date) North and east elevations 2014 W. Date Constructed /Age and Sources: ■historic 1926 1City of Santa Ana Building Permit *P7. Owner and Address: George J. and Sherri L. Honer Santa Ana, CA 90206 *P8. Recorded by: Leslie J. Neumann, Hally Soboleske City of Santa Ana *P9. Date Recorded: October 20, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979. *Attachments: ONone ❑Location Map ❑Sketch Map ®Continuation Sheet (Building, Structure, and Object Record DArchaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list)C� ��((�� DPR 523A (1 195) vT1EZD.62 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 2D1 *Resource Name or #: Nisson House Bi. Historic Name: Nisson House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single - family Residence *65. Architectural Style: Spanish Colonial Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed in 1926. October 27, 1926. Residence (8 rooms) and garage. $8,500. Honer, Herzig, and Farney, builders. December 12, 1933. Repair chimney. $20. December 31, 1936. Reroof for Clyde Walker. $42. April 25, 1942. Reroof residence. $45. April 2, 1947. Reroof. $81. (See Continuation Sheet 3 of 4.) *67. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *68. Related Features: None. B9a. Architect: Unknown b. Builder: Honer, Herzig and Farney *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1888 -1953 Property Type: Single- family Residence Applicable Criteria: 812, C13 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Nisson House is architecturally significant for its exemplification of the residential Spanish Colonial Revival style and historically significant for its association with the third owners of the property, the Clarence A. Nisson family. The house was constructed in 1926 at a cost of $8,500 for Ward Salley Lindley and his wife Edna Lindley. An automotive electrician who was born in 1885 in Iowa, Lindley was married, living in Los Angeles, and working at the General Ignitlion Company when he registered for the draft in 1917. He sold or perhaps traded to Clyde J. Walker in 1929; city directories show Walker's address in 1925 and Lindley's address in 1934 as 1024 South Main Street. Lindley died in 1940 in Arizona. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes *612. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) Sketch Map B13. Remarks: NOMM IIRR *614. Evaluator: Leslie J. Heumann �ya i *Date of Evaluation: July 5, 2005 4) C')- U j C� S (This space reserved for official comments.) Pa *..8.• i i Nisson House Ca) I NO l6/ I I U W m n DPR 523B (1195) *Required information 25A4®3 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Lindley - Walker - Nisson House *Recorded by Leslie J. Herrmann, Hally Soboleske *Date October 20, 2014 ❑x Continuation ❑ Update *136. Construction History (continued): April 11, 1983. Room addition (artist studio /workshop). November 20, 1984. Room addition. May 2, 1990. Convert bedroom into bath and add maid room on first floor, second floor addition, and open deck. First (105 square feet), second ($342 square feet), deck (50 square feet). $32, 000. *1310. Significance (continued): From 1929 to 1942, the house was the property of Clyde J. Walker and Geraldine I. Walker. Born in 1878 in California, Walker was vice - president and manager of the John McFadden Company ( "hardware, sporting goods, plumbing, painting, and sheet metal contracting) according to the 1923 city directory. By 1930, Walker had become the President of the Automobile Club of Orange County, a position he still held in 1940. Walker died in 1941 and his widow sold to Clarence A. and Vera M. Nissan. Clarence Arthur Nissan was born on October 19, 1890 in Santa Ana to a pioneer Santa Ana family. His father, Mathias Nissan, born in Germany in 1847 near the Danish border, had immigrated to the United States in 1873, arriving in Santa Ana in 1876. After working on various farms for a few years, Nissan purchased a 21 -acre tract at 2500 North Main Street in 1880. He cleared the land and unsuccessfully tried crops of grapes, followed by prunes and apricots. Realizing the potential of walnuts and Valencia oranges, he planted orchards; a report in 1921 indicated that eleven acres were devoted to walnuts, nine to Valencias and one to navels, the "commodious" family house (no longer extant) presumably occupying the remaining acreage (Armor, pages 452 -455). This property includes the site of the present day Discovery Museum. Understanding how vital water was to the future of Santa Ana, Mathias was a director and long -time president of the Santa Ana Valley Irrigation company. He was also a director of the California National Bank in Santa Ana, a director of the Santa Ana Steam Laundry, and a charter member of the Santiago Orange Growers Association in Orange. Mathias Nissan died in 1933, and his wife Charlotte died in 1938, leaving their estate to their two children, Estella and Clarence. After attending Santa Ana schools, Clarence Nissan followed his father into the citrus industry. A lifetime resident of Santa Ana, Clarence Nissan at one time owned fifty acres of land in Santa Ana and Orange and ten acres in Tustin a Redhill and Walnut Avenue, most of which was given over to orange groves. The Tustin property was given to Clarence by his father on the occasion of his marriage to Vera Montgomery in 1915; today is the site of one of the last two remaining orchards in Orange County, operated by Clarence's son and daughter -in -law, James Mathias (Matt) and Margaret (Peggy) Was Nissan. Clarence and Vera Nissan also had two older sons, Clarence Arthur, junior (Arthur), an attorney who was the only person in Orange County to pass the California bar examination in 1942 and who was the Tustin City Attorney in 1947, and Richard, a storekeeper. The family lived on Redhill until 1942, when they purchased in Santa Ana. Prominent in the social life of Santa Ana, the Nissons' many parties and receptions at were extensively reported in the Santa Ana Register. Also in 1942, the City of Santa Ana concluded a three -year long process of buying a ten and a half -acre orange grove lying adjacent to Santiago Park between Main Street and Santa Ana Boulevard from the Nissons for use as a public park. Clarence lived at until his death in September 1959 and Vera continued to live in the house until she passed away in September 1972. After a brief period of ownership by Steven and Kathryn Keiser, the property was acquired by Phyllis Soto Harbor in 1977, who owned it until 2000. The widow of a former mayor of Buena Park, Mrs. Harbor was responsible for the 1983 -1990 renovations to the house, which were accomplished in character with the Spanish Colonial Revival design, including matching the unique texture of the exterior plastering. The Nissan House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). `Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall,. the El Toro Marine Base during World War fl, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. DPR 523L 2sA15404 State of California — The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource *Recorded by Leslie J. Neumann, Holly Soboleske *B10. Significance (continued): or 8 (Assigned by recorder) Lindley - Walker - Nisson House *Date October 20, 2014 El Continuation ❑ Update In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War It years, Floral Park continued its development as numerous, smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2014) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Nissan House has been determined eligible for listing in the National Register of Historic Places as a contributor to a North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower Street. Comprising the northern end of the Floral Park neighborhood, North Broadway Park was subdivided in 1923. The Keeper of the National Register found that., "North Broadway Park reflects the City Beautiful planning movement in Southern California during the early twentieth century. The vernacular adaptations of period revival styles, curvilinear street patterns, street furniture, and landscape combine to create a cohesive and pleasant middle class suburban neighborhood environment which is unique in the early historical development of the city of Santa Ana. "' Under the regulations implementing the California Register of Historical Resources, the Nissan House has been listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. Its distinctive interpretation of the signature material of the style, stucco cladding, plus the incorporation such characteristics as an asymmetrical composition, tiled and gabled roof, arched openings, and patios are noteworthy in this regard. It also qualifies under Criterion 4(b), for its association with famous people, in particular, the Nissan family. Owners of the property for thirty years, the Nissan family arrived in Santa Ana prior to city incorporation, and three generations have contributed to the region's agricultural industry as successful cultivators of walnuts and oranges. The house also contributes to the historic character of the Floral Park neighborhood through its age, style, and scale. Additionally, the house has been categorized as "Key' because it "has a distinctive architectural style and quality" as an example of the Spanish Colonial Revival style and "is associated with a significant person or event in the city. "All original exterior features of the Nissan House are considered to be character defining and should be preserved. These features include, but may not be limited to: height and massing, materials and finishes (stucco, wood); roof configuration and treatment; design and composition; chimney; entry and entry patio; doors and windows; and architectural detailing (such as archways, attic vents, battered corners). *B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998, Marsh, Diann, Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. " Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84, "The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies," Orange County Register, September 15, 1981. "History of Floral Park. " (http : / /www. floral -park. comJpage2. html). Talbert, Thomas (editor -in- chief). Historical Volume and Reference Works Including Biographical Sketches of Leading Citizens, Volume I. Whittier, Historical Publishers, 1963, Armor, Samuel. History of Orange County. 1921. Pleasants, Mrs. J. E History of Orange County. Los Angeles: J. R. Finnell & Sons Publishing Co., 1931, Vol.. 2, page 80 and Vol. 3, page 142. Santa Ana and Orange County Directories, 1923 -1949. Santa Ana (Daily) Register, 1918 -1959 (newpapers.com), including: August 10, 1923. "And Santa Ana Grew: Mathias Nissan." November 25, 1942. "S.A. Man Passes Bar Examination." United States Federal Census, 1900, 1910, 1920, 1930, 1940 (ancestry.com). Birth and Death Index, World War I Draft Registration, etc. (ancestry. com) Honer, George J. and Sherri L. Santa Ana Register of Historical Properties Application Form, September 21, 1914. Determination of Eligibility, February 25, 198Q� 5A_5 of 5 DPR 523L L 25A -406 RE UE T FOR NIT R11C RESOURCES COMMISSION A rION H9TOPJC REBOURCES COMMSION MEETING oA'rE: NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -37, HISTORIC REGISTER CATEGORIZATION NO. 2014 -37, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -50 FOR PROPERTY LOCATED AT 2133 NORTH GREENLEAF STREET {STRATEGIC PLAN NOS. 5,2; 5,3} Prepared by Hally Soboleske- - HIEfrJW RE-SOURCES C MISS SECRETARY APPROVED El As Recommended El As Amended Set PubRic Hearing For CONTiNUED'TO -- - - - - -- ... — - -.. - — Interim Executive Dire' or Acting arrni lUlanager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -37 and Historic Register Categorization No. 2014 -37. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Stefan Wolff and Darlene Glenn, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Stefan Wolff and Darlene Glenn are requesting approval to designate an existing residence located at 2133 North Greenleaf Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 1,605 square foot, one -story Tudor Revival -style residence and detached garage on a 7,500 square foot residential lot located on Greenleaf Street between Santa Clara Avenue and Nineteenth Street (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B37 25A -407 HRCA /HRC No. 2014 -37 HPPA No. 2014 -50 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Stein House, has distinctive architectural features of the Tudor Revival style, and was built in 1923 by prolific builder, Roy Russell, for Mr. and Mrs. Carl and Helen Stein. Mr. Stein was the store manager for well -known clothier, Vandermast's Inc. Mrs. Stein was very active in the community as a member of the Lion's Club, Chamber of Commerce and Santa Ana Country Club. Character defining features of the Stein House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, massing, original windows (where extant), and original front door (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. 25A -408 HRCA /HRC No. 2014 -37 HPPA No. 2014 -50 November 20, 2014 Page 3 Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -125 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). r Hally Soba( ske Associate Planner HS:jm WHistoric InV141120 HRCftca- hrc14 -37 hppa14- 5D.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -409 500' RADIUS HRCA /HRC NO. 2014 -37 HPPA NO. 2014 -50 2133 NORTH GREENLEAF STREET STEIN HOUSE PLANNING AND BUILDING AGENCY L7, , 1 EXECUTIVE SUMMARY STEIN HOUSE 2133 North Greenleaf Street Santa Ana, CA 92706 NAME Stein House REF. NO. ADDRESS 2133 North Greenleaf Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1925 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Tudor Revival The Tudor Revival looked to medieval England for its inspiration. Signature features of the style include steeply pitched gables; decorative half- timbering; arched openings, often Tudor or Gothic in form; asymmetrical arrangements of building features; tall brick chimneys; and picturesque windows of leaded glass or diamond patterned lights. The more ambitious examples of the Tudor Revival were executed in brick or even stone; however, stucco over wood frame is quite common in the forgiving climate of southern California. The Tudor Revival was favored primarily for residential buildings, although small scale commercial buildings in the style also occur. Born in the late 19t" century, the Tudor Revival was associated with some Craftsman era building but was most popular during the 1920s and 1930s. SUMMARY /CONCLUSION: The Stein House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Tudor Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the combination of the Tudor Revival style in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) SSS: Individual property that is listed or designated locally. M411 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinoml� NRHP Status Code Other Listings _ Review Code Reviewer e name(s) or number (assiqned by recorder) Rilev -Stein House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 1812 N. Ross Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002 - 104 -04 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Riley -Stein House is designed in the Tudor Revival architectural style and was constructed in 1925 by builder, Roy Russell. Typical of the style, it is sheathed in stucco and topped with composition shingle. Two bays face the street, one slightly taller than the other. Both bays include tripartite wood windows with casements flanking a multi -paned fixed window. Additionally, each bay sports half- timbering and a diamond shaped attic vent. Three steps leads up to the recessed front entry with the steps covered in brick. The front door is made from heavy wood with a crescent shaped window in the upper third. The door is flanked by multi -paned sidelights. A bricked meandering path leads to the front entry. To the left of the house, a ribbon driveway leads to the garage which is in a complementary architectural style. The landscape is lush and well groomed. The property possesses a high degree of integrity. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) West facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1925 *P7. Owner and Address: Stefan Wolff and Darlene Glenn 2133 North Greenleaf St. Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ❑None ❑Location Map 0Sketch Map ®Continuation Sheet ■Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -412 *Required information State of California —The Resources Agency Primary #_... DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as darned by theme, period, and geographic scope. Also address integrity) The Stein House was built by prolific builder, Roy Russell who built many single family residences throughout Orange County. The first occupants were Carl and Helen Stein. Carl Stein was the store manager for well -known clothier's, Vandermast's, Inc. located at Fourth and Sycamore Streets. Mr. and Mrs. Stein were very active in the community. Mr. Stein was a member of the Lion's Club, the Chamber of Commerce, the Santa Ana Country Club, and often gave talks regarding the latest in clothing and fashion. Mrs. Stein entertained regularly at her home, and was known for her delightful party decorations. They had two children, Marcella and Richard. Helen passed away in 1948, and Carl then sold the house in 1949 to Mr. George Burns, and moved to Hawaii. Both are buried at Fairhaven Cemetery in Santa Ana. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5238 (1195) *1310. Significance (continued): 25A -413 Sketch Map Stein House 2133 N. Greenleaf St. - Resource name or w stem House 31. Historic Name: Stein House B2. Common Name: Same B3. Original Use: Single- family Residence B4, Present Use: Single- family Residence *B5. Architectural Style: Mission /SpanishColonial Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1923 November 17, 1925 Residence and garage by Roy Russell, $3,500 September 15, 1930 Add 2' to front of garage by George Burns October 8, 1957 Reroof June 25, 1964 Patio roof August 16, 1972 New family room and bath by B. Pompeo, owner September 27, 1988 Increase family room, add master bedroom and bath *B7. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Roy Russell *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as darned by theme, period, and geographic scope. Also address integrity) The Stein House was built by prolific builder, Roy Russell who built many single family residences throughout Orange County. The first occupants were Carl and Helen Stein. Carl Stein was the store manager for well -known clothier's, Vandermast's, Inc. located at Fourth and Sycamore Streets. Mr. and Mrs. Stein were very active in the community. Mr. Stein was a member of the Lion's Club, the Chamber of Commerce, the Santa Ana Country Club, and often gave talks regarding the latest in clothing and fashion. Mrs. Stein entertained regularly at her home, and was known for her delightful party decorations. They had two children, Marcella and Richard. Helen passed away in 1948, and Carl then sold the house in 1949 to Mr. George Burns, and moved to Hawaii. Both are buried at Fairhaven Cemetery in Santa Ana. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 5238 (1195) *1310. Significance (continued): 25A -413 Sketch Map Stein House 2133 N. Greenleaf St. State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Stein House *Recorded by Hally Soboleske *Date November 20, 2014 O Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The SteinHouse is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. 'When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War Il, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Stein House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Mission /Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it is a "good example of period architecture'. (Municipal Code, Section 30- 2.2). Character defining features include of the Stein House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, massing, original windows (where extant), and original front door. *612. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann, Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994, McAlester, Virginia and Lee. A Field Guide to American Houses, New York: Alfred A. Knopf, 1984, National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991, Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lando Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2 S " -414 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -37 TO PLACE THE PROPERTY LOCATED AT 2133 NORTH GREENLEAF STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -37 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -37) and categorization (Historic Resources Commission Categorization No. 2014 -37) of the Stein House, located at 2133 North Greenleaf Street , Santa Ana. B. The Stein House has distinctive architectural features of the Tudor Revival style, and was built in 1923 by prolific builder, Roy Russell. The first owner was Mr. and Mrs. Carl and Helen Stein. Mr. Stein was the store manager for well -known clothier, Vandermast's Inc. Mrs. Stein was very active in the community as a member of the Lion's Club, Chamber of Commerce and Santa Ana Country Club. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character - defining features of the Stein House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, massing, original windows (where extant), and original front door. E. The legal owners of the subject property are Stefan Wolff and Darlene Glenn. 25A -415 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -125 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -37 to place the Stein House, located at 2133 North Greenleaf Street , Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -37 placing the Stein House, located at 2133 North Greenleaf Street , Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. 25A -416 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 Sean H. Mill Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission members NOES: Commission members 'C ► •uu •� �I0u9- NOT PRESENT: Commission mem CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -417 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 112 -33 2133 North Greenleaf Stefan Wolff N TR 745 LOT 9 Street and Darlene Glenn Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -418 REQUEST Historic Resources Corny nission Acdon HISTORC RESC4.VRCEESC'X MEE" INGDAIE: NOVEMBER 20, 2014 Tn'LE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -51 FOR THE PROPERTY LOCATED AT 1812 NORTH HELIOTROPE DRIVE (STRATEGIC PLAN NOS. 5,2; 5, 3) Prepared by Hally Soboleske FIGTOW RESOURCES 9Ui1S.a9CAMd SECRE rARY APPROVED El As Recommended • As Amended • Set Public Hearing For CONTVM UED TO inter ... —. _. � _ ....._... im Execufive Director Acting P nning arrager RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with David P. Ko and Jeanette L. Ko, property owners, for the structure located at 1812 North Heliotrope Drive, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant The applicants, David and Jeanette Ko, are requesting the approval of Historic Property Preservation Agreement No. 2014 -51 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property consists of a two -story Monterey Revival- styled residence and detached garage located at 1812 North Heliotrope Drive. The site is within the Single Family Residential (R1) zoning district. Surrounding land uses are residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. EXHIBIT B38 25A -419 HPPA No. 2014 -51 November 20, 2014 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Bryte House and categorized as Key in September of 2009 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. Strateaic Plan Alianment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), it has been determined that the proposed project is not subject to CEQA. Therefore, no further action is required. Hally Sob leske Associate Planner HS:jm hsthlstorlc inVrnilfs act agreements V1812_N_HeliotropeA141120 hppal4- 51_1812NHeliotope.hrc Attachments: Exhibit 1- 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -420 HPPA NO. 2014 -51 1812 North Heliotrope Drive Bryte House PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY 1812 North Heliotrope Drive Santa Ana, CA 92706 NAME Bryte House REF, NO. ADDRESS 1812 North Heliotrope Drive CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1934 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 2D2 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Monterey Revival The Monterey Revival style looks back to nineteenth century Monterey, California, when newly arrived immigrants from New England added American Colonial elements to the Spanish Colonial adobe buildings built by the first settlers. In the Monterey Revival, stucco exteriors, instead of adobe, are often combined with wood or brick. Windows are often multi - light, either double -hung sash or casements in type. Roofs are usually side - gables, with a front - gabled extension of one or two stories at one end. The vast majority of Monterey Revival buildings are two stories in height, and nearly all feature a cantilevered balcony, shaded by the overhang of the principal roof and enclosed with a wood or wrought iron railing, across most or all of the upper story fagade. Primarily a residential style, the Monterey Revival emerged in the late 1920s and reached the height of its popularity in 1930. SUMMARY/ CONCLUSION: As a contributor to the North Broadway Park district, which has been determined eligible for listing in the National Register of Historic Places, the Bryte House has been listed in the California Register of Historical Resources. The Bryte House also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the transitional period in residential architectural design occurring in the mid to late 1930s. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an example of the transitional period in the mid to late 1930s in the Floral Park neighborhood "is a good example of period architecture" (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 2D2: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. EIMA 422 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings _ Review Code 1 of 4 Resource name(s) or Primary HRI # NRHP Status by recorder) Date P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA1725 Date: *c. Address 1812 North Heliotrope Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002- 094 -02 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Clad in smooth, hand - troweled stucco on the first floor, and twelve inch vertical tongue and groove wood siding on the upper floor. This two story Monterey Revival styled residence is capped with a low - pitched cross - gabled roof composed of asphalt shingle terminating in thin verge boards and shallow eaves. Its rectangular plan features a single projecting front - gabled wing of which frames a full length front porch with exposed beam supports. The fenestration pattern is symmetrical with a dark six paneled wood front door maintaining the center position on the first floor. The front door is flanked by two original gooseneck entry lanterns and is topped with a short wood pent roof for ornamentation. A set of French doors strides either side of the front door. These French doors are single paneled with three fixed square lights in each door, and large shutters flanking each set of doors. The second floor is comprised of the full length porch /balcony with simple 6x6" wooden supports. The balcony railing is wrought iron with decorative scrolling patterns on the lower third of the railing. Two sets of identical French doors mirror the form of the French doors on the first floor, each with matching shutters. The center of the top story is pierced by two single hung wood windows hung side -by -side and vertically symmetrical to the front door on the lower floor with a gooseneck lantern hung in- between them. A single brick chimney extends above the roofline on the southern side. The residence is highly intact. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object DSite ❑District DElement of District ❑Other P5b. Photo: (view and date) East elevation August 2009 *P6. Date Constructed /Age and Sources: ■historic 1934 1City of Santa Ana Building Permits *P7. Owner and Address: David and Jeanette Ko 1812 N. Heliotrope Dr. Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza Santa Ana, CA 92702 *P9. Date Recorded: August 12, 2009 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") *Attachments: ONone DLocation Map DSketch Map OContinuation Sheet ■Building, Structure, and Object Record ❑Archaeological Record ❑District Record DLinear Feature Record DMilling Station Record DRock Art Record DArtifact Record ❑Photograph Record D Other (list) DPR 523A(1/95) 25A -423 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# _ BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *CHR Status Code 2D2 Kesource Name or S: ciryte House B1. Historic Name: Bryte House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *65. Architectural Style: Monterey Revival *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1934 May 15, 1934. Residence and garage constructed for $6,500. May 9, 1950. 1 fixture for Dr. M.M. Bryte by Pacific $100. May 13, 1970. Electrical meter by Sa. A. Elect. *B7. Moved? ®No OYes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1895 -1965 Property Type: Single - family Residence Applicable Criteria: NR: C; CR: 2D2 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Bryte House is architecturally significant as an intact example of an Monterey Revival -style building in Floral Park. According to the original building permit, dated May 15, 1934, the residence and garage were constructed for Dr. Mervyn M. Bryte and his wife, Maxine for a cost of $6,500. Dr. Bryte was a dentist with an office located at 203 S. Cypress Street. He practiced from this office until the early 1970's. After that time, the property shifted ownership on numerous occasions. No major alterations have been made to this property. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps Harris, Cyril M. American Architecture: An Illustrated Enc clo edia. New York, WI// Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. (See Continuation Sheet 3 of 4.) B13. Remarks: *B14. Evaluator: HallySoboleske *Date of Evaluation: August 12, 2009 DPR 5238 (1195) *810. Significance (continued): (This space reserved for official comments.) 25A -424 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Bryte House *Recorded by Hally Soboleske *Date August 12, 2009 O Continuation 0 Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Bryte House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. in the early post -World War Il years, Floral Park continued its development as numerous smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Bryte House lies in the northern section of Floral Park historically known as North Broadway Park. Bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower Street, North Broadway Park, subdivided in 1923, has been determined eligible for listing in the National Register of Historic Places. The Keeper of the National Register found that "North Broadway Park reflects the City Beautiful planning movement in Southern California during the early twentieth century. The vernacular adaptations of period revival styles, curvilinear street patterns, street furniture, and landscape combine to create a cohesive and pleasant middle class suburban neighborhood environment which is unique in the early historical development of the city of Santa Ana. "' Under the regulations implementing the California Register of Historical Resources, the Bryte House, which is a contributor to the National Register district, has been listed in the California Register. The Bryte House also qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Monterey Revival style. Typical features illustrated by the house include its symmetrical composition; two -story, cross - gabled massing and configuration.; differentiation of cladding materials on first and second stories (with stucco on first story and vertical wood - cladding on the second); French doors flanked by false shutters; and covered porch. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history' of Santa Ana, and, as an intact example of the transitional period in the mid to late 1930s in the Floral Park neighborhood, `is a good example of period architecture." Character - defining exterior features of the Bryte House that should be preserved include, but may not be limited to, materials and finishes (stucco and wood); roof configuration and detailing; original windows and doors where extant; attached chimney; architectural details such as the decorative shutters and goose lamp wall lanterns. ' Determination of Eligibility, February 25, 1980, DPR 523L 25A -425 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial *Recorded by Hally Soboleske or # (Assigned by recorder) Bryte House *Date August 12, 2009 ❑O Continuation El Update B12. References (continued): McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form. " Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. "Sacramento: March 1995. Santa Ana and Orange County Directories, 1932 -1954. Whitten, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Alison Honer Dies at 84," The Santa Ana Journal, September 21, 1981. "Builder of Honer Plaza Dies, "Orange County Register September 15, 1981. "History of Floral Park." hilL: / /www .floral- parlccom /page2.htrrd. DPR 523L 25A -426 REQUESTFOR HISTORIC RESOURCESS COMMSS110N ACTION HE "OROf,: REFA-URCES CC7&UlMSSO N MEETING DATE NOVEMBER 20, 2014 TITLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -39, HISTORIC REGISTER CATEGORIZATION NO. 2014 -39, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -52 FOR PROPERTY LOCATED AT 2215 NORTH VICTORIA DRIVE (STRATEGIC PLAN NOS. 5,2; 5,3) Prepared by Hally Soboleske HIST ORE, RE;>P,AJRC :: a U)NIMBSKA SECRETARY APPROVED El As, Recommended CI As Amended ID Set Public Hearing For CONTINUED TO _.- - - s Interim Executive hector Acting annirqManager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -39 and Historic Register Categorization No. 2014 -39. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Alex L. Hart and Mason K. Nakamura, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Alex L. Hart and Mason K. Nakamura are requesting approval to designate an existing residence located at 2215 North Victoria Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 3,911 square foot, two -story Tiki -style residence and detached garage on a 22,500 square foot residential lot located on North Victoria Drive between Santa Clara Avenue and West Nineteenth Street (Exhibit 1). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or EXHIBIT B39 25A -427 HRCA /HRC No. 2014 -39 HPPA No. 2014 -52 November 20, 2014 Page 2 architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Kimes House, has unique and distinctive architectural features of the Tiki style, and was built in 1935 for Kenneth K. and Charlotte Kimes. Mr. Kimes made his fortune by building over 30 motels, and constructing the first motel across the street from Disneyland. His second wife, Sante, and his son Kenneth Jr. were both convicted of murder in a trial that shocked the nation. Although Sante passed away in March of this year, Kenneth Jr. remains in prison serving life plus 125 years. Character defining features of the Kimes House that should be preserved include, but may not be limited to, exterior materials including decorative wood beams, wood shake shingles and stone walls /chimney, massing and configuration, jalousie windows, landscape, and broad front yard setback (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Landmark" because it is "eligible for the National Register of Historic Places and the California State Register' and possesses cultural and architectural significance to the city. It is one of the only Tiki style residences in Santa Ana. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property ' ' HRCA /HRC No. 2014 -39 HPPA No. 2014 -52 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notificatioin The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -140 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally Sobopske Associate Aan ner HS:jm hs \Historic Info1141'120 HRC \hrca- hrc14 -39 hppa14- 52.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -429 500' RADIUS HRCA /HRC NO. 2014 -39 HPPA NO. 2014 -52 2215 NORTH VICTORIA DRIVE KIMES HOUSE PLANNING AND BUILDING AGENCY Imo, 1 , -- 1 EXECUTIVE SUMMARY KIMES HOUSE 2215 North Victoria Drive Santa Ana, CA 92706 NAME Kimes House REF. NO. ADDRESS 2215 North Victoria Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1961 LOCAL REGISTER CATEGORY: Landmark HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Tiki Tiki architecture is fanciful architecture that incorporates Polynesian themes. The word tiki refers to large wood and stone sculptures and carvings found in the Polynesian islands. Tiki buildings are often decorated with imitation tiki and other romanticized details borrowed from the South Seas. When soldiers returned to the United States after World War Il, they brought home stories about life in the South Seas. The best - selling books Kan -Tiki by Thor Heyerdahl and Tales of the South Pacific by James A. Mitchener heightened interest in all things tropical. Hotels and restaurants incorporated Polynesian themes to suggest an aura of romance. Polynesia n- themed, or tiki, buildings proliferated in California and then throughout the United States. The Polynesia fad reached its height in about 1959, when Hawaii became part of the United States. By then, commercial tiki architecture had taken on a variety of flashy Goodie details. Also, some mainstream architects were incorporating abstract tiki shapes into streamlined modernist design. Tiki architecture has many of these features: Tikis and carved beams, lava rock, imitation bamboo details, shells and coconuts used as ornamentation, real and imitation palm trees, imitation thatched roofs, A -fram shapes and extremely steep pitched roof, and waterfalls. SUMMARY /CONCLUSION: The Kimes House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 3 as it appears to be eligible to be placed on the National Register of Historic Places, the California State Register, has a cultural significance to the city, and has a unique architectural significance.Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Contributor to a district determined eligible for the National Register by consensus through Section 106 process. Listed in the California Register. 4 �� . - State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinorm NRHP Status Other Listings Review Code or number (assigned by recorder) Kimes House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2215 N. Victoria Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 399 - 111 -21 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Kimes House is a rare example of Tiki architecture in Orange County and certainly the City of Santa Ana. Constructed in 1961, the house itself is basically "U" shaped. The structure is two stories with a split floor plan, and clad in stucco with vertical wood beam accents and wood shake shingles for roofing. The roof is very steeply pitched and has exaggerated Dutch gables. A stained glass colored window is tucked away at the offset of roof pitches. A stone wall and pilasters ad wrought iron surrounds the property, and a wide chimney is sheathed in the same stone. The windows are all orginal jalousie windows trimmed with wood. The recessed front entry provides a covered porch area. The home has a detached three car garage in matching architecture, and a swimming pool. The landscape is original and part of the overall design of the home as the plantings include a variety of palms and tropical bushes. Overall, the home is in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other P5b. Photo: (view and date) West facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1960 *P7. Owner and Address: Alex L. Hart and Mason K. Nakamura. 2215 N. Victoria Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None *Attachments: ❑None ❑Location Map ❑Sketch Map ®Continuation Sheet ®Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1/95) 25A -432 *Required information SH.B. Nall of California —The Resources Agency Primary #_ DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 1S3 B9a. Architect: Unknown b. Builder: Unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C, CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Kimes House is highly valued for its architecture, and it also has a culturally significant history. It was built for Kenneth K. and Charlotte Kimes. Although Mr. Kimes's life began modestly as a melon picker throughout the state, he eventually saved enough money to purchase an income property, and then after time, another. Kimes became involved in the motel business, building over thirty motels. At first, he would construct and sell them, but later, he maintained the properties for income. He built the first motel across the street from the new attraction – Disneyland. He and his wife became very wealthy. They built this house as their "dream house ". The marriage didn't survive, and Kenneth remarried a woman named Santa. They had a son, Kenneth Jr., and together they lived a life of wealth and false society, crashing parties at various embassies and even the White House. They were accused of holding Mexican immigrants as housekeepers against their will. Santa went to prison, and Kenneth paid a fine. After Kimes died of a heart attack, Santa and her son were accused of murder and swindling an old woman. The story became a book entitled "The Mother, the Son, and the Socialite" by Adrian Havill. Both Santa and Kenneth Jr.were both sentenced to life in prison. The house was eventually sold to Mr. Parret. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *1314. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 523B (1195) *B10. Significance (continued): 25A -433 Sketch Map 2215 N. Victoria Drive 399 - 111 -21 r" a _I c* vd *Required information 'Resource Name or #: Kimes House B1. Historic Name: Kimes House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *B5. Architectural Style: Tiki *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1960 September 8, 1960. Residence and garage. $30,000 October 27, 1960. Swimming pool for K. Kimes February 9, 1961 One fixture for K. Kimes September 27, 1979 A/C unit for Parret. *B7. Moved? ■No ❑Yes ❑Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C, CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Kimes House is highly valued for its architecture, and it also has a culturally significant history. It was built for Kenneth K. and Charlotte Kimes. Although Mr. Kimes's life began modestly as a melon picker throughout the state, he eventually saved enough money to purchase an income property, and then after time, another. Kimes became involved in the motel business, building over thirty motels. At first, he would construct and sell them, but later, he maintained the properties for income. He built the first motel across the street from the new attraction – Disneyland. He and his wife became very wealthy. They built this house as their "dream house ". The marriage didn't survive, and Kenneth remarried a woman named Santa. They had a son, Kenneth Jr., and together they lived a life of wealth and false society, crashing parties at various embassies and even the White House. They were accused of holding Mexican immigrants as housekeepers against their will. Santa went to prison, and Kenneth paid a fine. After Kimes died of a heart attack, Santa and her son were accused of murder and swindling an old woman. The story became a book entitled "The Mother, the Son, and the Socialite" by Adrian Havill. Both Santa and Kenneth Jr.were both sentenced to life in prison. The house was eventually sold to Mr. Parret. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *1314. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 523B (1195) *B10. Significance (continued): 25A -433 Sketch Map 2215 N. Victoria Drive 399 - 111 -21 r" a _I c* vd *Required information SH.B. Nall of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Kimes House "Recorded by Hally Soboleske 'Date November 20, 2014 u Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Kimes House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897 - 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881- 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single - family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Kimes House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Tiki style. Additionally, the house has been categorized as "Landmark" because it is a "eligible for the National Register of Historic Places and the California State Register and posses cultural and architectural significance to the city. (Municipal Code, Section 30 -2.2). Character defining features include of the Kimes House that should be preserved include, but may not be limited to, exterior materials including wood shake shingles and stone walls /chimney, massing and configuration, jalousie windows, landscape, and broad front yard setback. "812. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lance Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderie Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930, Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2 SA -434 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11 /06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -39 TO PLACE THE PROPERTY LOCATED AT 2215 NORTH VICTORIA DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -39 PLACING SAID PROPERTY WITHIN THE LANDMARK CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -39) and categorization (Historic Resources Commission Categorization No. 2014 -39) of the Kimes House, located at 2215 North Victoria Drive, Santa Ana. B. The Kimes House has distinctive architectural features of the Tiki style of architecture due to its steep roofline, wood shake shingle roofing, and tropical landscape. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Landmark for its "Landmark" because it is a "eligible for the National Register of Historic Places and the California State Register and posses cultural and architectural significance to the city and for its association with Kenneth and Sante Kimes. D. Character- defining features of the Kimes House that should be preserved include, but may not be limited to, exterior materials including wood shake shingles and stone walls /chimney, massing and configuration, jalousie windows, landscape, and broad front yard setback. E. The legal owners of the subject property are Alex L. Hart and Mason K. Nakamura. F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. 25A -435 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Landmark category pursuant to Section 30- 2.2(1) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -140 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -39 to place the Kimes House, located at 2215 North Victoria Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -39 placing the Kimes House, located at 2215 North Victoria Drive, Santa Ana, within the Landmark category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -436 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: Commission mem NOES: Commission members ABSTAIN: Commission members ►• ► •��u .� a 1,.- CERTIFICATE OF ATTESTATION AND ORIGINALITY 1, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Date: Commission Secretary City of Santa Ana 25A -437 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 399 - 111 -21 2215 North Victoria Alex L. Hart N TR 755 LOT 22 Drive and Mason K. Nakamura Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -438 REQUEST FOR HISTOW REE URCE" COMMISSION A TI N FISI ° CRE— SA)URCESC IUEEFI `DAM NOVEMBER 20, 2014 TATLE: PUBLIC HEARING — HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -41, HISTORIC REGISTER CATEGORIZATION NO. 2014 -41, AND HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2014 -54 FOR PROPERTY LOCATED AT 2441 NORTH RIVERSIDE DRIVE {STRATEGIC PLAN NOS. 5,2; 5,3} Prepared by Hally Soboleske SECRET 'W' APPROVED * As Reccrnme nded * As Amended * Set Pubfic I-leahng For CONTINUED TO Interim Executive Dir6jctor Acting Ran n,g_,,anager 1. Adopt a resolution approving Historic Resources Commission Application No. 2014 -41 and Historic Register Categorization No. 2014 -41. 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Eric R. Carlson and John E. Baird, subject to non - substantive changes approved by the City Manager and City Attorney. Request of Applicant Eric R. Carlson and John E. Baird are requesting approval to designate an existing residence located at 2441 North Riverside Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. Project Location and Site Description The subject property consists of a 3,000 square foot, two -story Monterey Variant -style residence and detached garage on a 12,197 square foot residential lot located on Riverside Drive between Benton Way and North Flower Street (Exhibit 1). ANALYSIS OF THE ISSUES Historical Listing In March 1999, the City Council approved Ordinance No. NS -2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical EXHIBIT B40 25A -439 HRCA /HRC No. 2014 -41 HPPA No. 2014 -54 November 20, 2014 Page 2 property any building or part thereof, object, structure, or site having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30 -2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30 -2 of the Santa Ana Municipal Code. Staff analysis indicates the property meets eligible criteria for consideration of a historic designation. No known code violations exist on record for this property. The property, also recognized as the Henderson House, has distinctive architectural features of the Monterey Variant style, and was built in 1933 for Frank and Bertha Henderson. Mrs. Henderson was a schoolteacher and Mr. Henderson was a Santa Ana city employee who worked in the Finance Department, and later became Superintendent of Schools for the Santa Ana School District. Character defining features of the Henderson House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, and wood siding, original windows where extant, shutters, massing and articulation (Exhibit 2). It is recommended to be designated to the Santa Ana Register of Historical Properties and categorized as "Contributive" as it is a good example of period architecture. Mills Act Agreement Ordinance No. NS -2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 3). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alternations to the property 25A -440 HRCA /HRC No. 2014 -41 HPPA No. 2014 -54 November 20, 2014 Page 3 Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood. The president of this neighborhood association was notified by mail 10 days prior to this public hearing. In addition, a Floral Park Neighborhood representative was contacted to ensure that they were notified of the project and to see if there were any areas of concern. No areas of concern were identified by the neighborhood association, nor was there a request that the applicant present the project to a meeting of their members. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -138 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental Sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Hally S O ske Associate Planner HS:jm WHistoric InV112014 HRCftca- hrc14 -41 hppa14- 54.hrc Attachments: Exhibit 1 - 500' Radius Map Exhibit 2 - Department of Parks and Recreation Form Exhibit 3 - Mills Act Agreement 25A -441 "ll MAIM HRCA /HRC NO. 2014 -41 HPPA NO. 2014 -54 2441 NORTH RIVERSIDE DRIVE HENDERSON HOUSE PLANNING AND BUILDING AGENCY EXECUTIVE SUMMARY HENDERSON HOUSE 2441 North Riverside Drive Santa Ana, CA 92706 NAME Henderson House REF. NO. ADDRESS 2441 North Riverside Drive CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1933 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT Floral Park NEIGHBORHOOD Floral CALIFORNIA REGISTER CRITERIA FOR EVALUATION 1 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Monterey Variant The Monterey style variant is an eclectic mix of Spanish Colonial houses with Colonial Revival details. Its most defining characteristic is the broad second story balcony, usually cantilevered and covered by the main roof. While ceramic tiles were common in this variant, many roofs have wood shingles. SUMMARY /CONCLUSION: The Henderson House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Monterey Variant style. Additionally, the house has been categorized as "Contributive' because it "contributes to the overall character and history" Santa Ana, and, as an intact example of a Monterey Variant in the Floral Park neighborhood, "is a good example of period architecture' (Municipal Code, Section 30 -2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. EXHIBIT 2 25A -443 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI #_ PRIMARY RECORD Trinomi, NRHP Status Code Other Listings Review Code Reviewer Date Resource name(s) or number (assioned by recorder) Henerson House P1. Other Identifier: *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: *c. Address 2441 North Riverside Drive City Santa Ana Zip 92706 *e. Other Locational Data: Assessors Parcel Number 002 - 050 -10 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) The Henderson House is a fine example of the Monterey Variant style of architecture. The structure is sheathed in smooth stucco and capped by composition shingles. Characteristic of this style of architecture, the structure is two story with a cantilevered balcony over the front entry. Rafter tails are exposed. Board and batten siding covers the fagade on the upper story with a broad painted chimney rising above the roof top. The fenestration pattern is symmetrical with each window being wood six - over -six and lambstongue features. The balcoy supports are simple 4" x 4" posts with rectangular balusters and a simple rectangular rail. Two brick covered steps lead to the front entry that is flush with the facade. Landscape is drought tolerant. Overall, the house is in excellent condition. *P3b. Resource Attributes: (list attributes and codes) HP2. Single- family Property *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ■Element of District ❑Other *P11. Report Citation: (Cite survey report and other sources, or enter "none ") None P5b. Photo: (view and date) West facing elevation 2014 *P6. Date Constructed /Age and Sources: ■historic 1933 *P7. Owner and Address: Eric R. Carlson and Jhn E. Baird 2441 North Riverside Drive Santa Ana, CA 92706 *P8. Recorded by: Hally Soboleske 20 Civic Center Plaza M -20 Santa Ana, CA 92702 *P9. Date Recorded: November 20, 2014 *P10. Survey Type: Intensive Survey Update *Attachments: ONone ❑Location Map ❑Sketch Map ■Continuation Sheet ■Building, Structure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) DPR 523A (1195) 25A -444 *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *NRHP Status Code 5S3 "Resource Name or #: Henderson House 61. Historic Name: Henderson House B2. Common Name: Same B3. Original Use: Single- family Residence B4. Present Use: Single- family Residence *65. Architectural Style: Monterey Variant *66. Construction History: (Construction date, alterations, and date of alterations): Constructed 1933 October 2, 1933. Residence and garage for Frank Henderson. $6,000 May 24, 1951, Addiiton 1 room to existing residence by R.G. Simpson. June 13, 1951. Add playroom 12 x 14 to second story. June 8, 1979. Pool for Ron Morgan, owner. *67. Moved ?nNo ❑Yes ❑Unknown Date: Original Location: *68. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *610. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1901 -1954 Property Type: Single- family Residence Applicable Criteria: NR: B,C; CR: 2,3 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Henderson House was constructed in 1933 for Frank and Bertha Henderson and their two children, John and Mary. Mr. Henderson was a Santa Ana City employee who worked in purchasing in the Finance Department. Bertha was a teacher. Just prior to purchasing this house, Mr. Henderson became Superintendent of Schools for the Santa Ana School District. Mr. Henderson was a champion for teachers who became unemployed due to the Depression, working diligently to rehire them and securing federal funding (via Works Progress Administration) to to so. The Henderson's sold the house in 1951 upon retirement, and moved to Burbank, California. Mr. Henderson passed away in 1954. The next homeowners were Raymond and Alice Simpson, who owned the home for the next two decades until selling to Ron Morgan in 1979. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) B13. Remarks: *614. Evaluator: Hally Soboleske *Date of Evaluation: November 2014 DPR 523E (1/95) *610. Significance (continued): 25A -445 2441 North Riverside Drive 002 - 050 -10 State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name: Lacy- Murray- Ness -Ness House Kecoraea by Haoy SobolesKe 'Date November 20, 2014 ❑x Continuation ❑ Update Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Henderson House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897- 1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353 -356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco - styled Old Santa Ana City Hall, the El Toro Marine Base during World War II, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881 - 1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post -World War II years, Floral Park continued its development as numerous smaller, single- family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Henderson House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Mission /Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive' because it is a "good example of period architecture ". (Municipal Code, Section 30- 2.2). Character defining features include of the Henderson House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, and wood siding, original windows where extant, shutters, massing and articulation. "1312. References (continued): Harris, Cyril M. American Architecture: An Illustrated Enc clo edia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept, of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Armor, Samuel. History of Orange County. Los Angeles: History Record Company, 1921, page 989. Park Santiago Neighborhood Association. "The Gingerbread Lance Holiday Home Tour, 1999." Brochure. Rischard, Maureen McClintock. "People Behind Places: Enderle Center." Orange County Geneological Society Quarterly, December 1993, pages 4 -7. Santa Ana and Orange County Directories, 1905 -1930. Historic Maps, Santa Ana History Room, 1912, 1923, 1932, and 1955. Ancestry.com Newspapers.com (This space reserved for official comments.) DPR 523L 2 SA -446 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 ROH — 11/06/14 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2014 -41 TO PLACE THE PROPERTY LOCATED AT 2441 NORTH RIVERSIDE DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2014 -41 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On November 6, 2014, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2014 -41) and categorization (Historic Resources Commission Categorization No. 2014 -41) of the Henderson House, located at 2441 North Riverside Drive, Santa Ana. B. The Henderson House has distinctive architectural features of the Monterey style variant with Colonial Revival details, was built in 1933 for Frank and Bertha Henderson. Mr. Henderson was a Santa Ana city employee who worked in the Finance Department, and later became Superintendent of Schools for the Santa Ana School District; Mrs. Henderson was a schoolteacher. C. This home qualifies for listing on the Santa Ana Register of Historical Properties and is eligible for categorization as Contributive because it is "a good example of period architecture." D. Character - defining features of the Henderson House that should be preserved include, but may not be limited to, exterior materials including stucco, stucco texture, and wood siding, original windows where extant, shutters, massing and articulation. E. The legal owners of the subject property are Eric R. Carlson and John E. Baird. 25A -447 Resolution No. 2014 -XXX Page 1 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 F. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. G. The subject property meets the minimal standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30 -2 of the Santa Ana Municipal Code. H. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30- 2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under Section 15331, Class 31, as these actions are designed to preserve historic resources. Categorical Exemption No. 2014 -138 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2014 -41 to place the Henderson House, located at 2441 North Riverside Drive, Santa Ana, on the historical register, and B. Historic Register Categorization No. 2014 -41 placing the Henderson House, located at 2441 North Riverside Drive, Santa Ana, within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto; the report entitled "Historical Property Description ;" and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description," is on file in the Planning and Building Department, and is hereby approved and adopted, and together with the staff report and this resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this day of 2014. Sean H. Mill Chairperson 25A -448 Resolution No. 2014 -XXX Page 2 of 4 EXEMPT FROM FEES PURSUANT TO GOVERNMENT CODE § 6103 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ryan O. Hodge Assistant City Attorney AYES: Commission membe NOES: Commission members ABSTAIN: Commission membe NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on Commission Secretary City of Santa Ana 25A -449 Resolution No. 2014 -XXX Page 3 of 4 EXEMPT FROM FEES PURUSANT TO GOVERNMENT CODE § 6103 LEGAL DESCRIPTION APN Address Owner Names Legal Description 002 - 050 -10 2441 North Riverside Eric R. Carlson N TR 755 BLK LOT 3 TR Drive and John E. 755 LOT 3(LOT 1 ELY 57 Baird Exhibit A Resolution No. 2014 -XXX Page 4 of 4 25A -450 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: AMENDMENT TO AGREEMENT WITH Al PARTY FOR RENTAL AND INSTALLATION OF EQUIPMENT FOR ADDITIONAL EVENT {STRATEGIC PLAN NO. 5, 5C} CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 16' 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 an amendment to the agreement with Al Party for the rental and installation of equipment for city events, increasing the compensation by $2,939.06, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Parks, Recreation and Community Services Agency is responsible for providing several city events during the year. Recently, the City contracted with Al Party for the rental of equipment for the Fiestas Santa Ana event in September. City staff decided to use the same company for equipment rental for the SOMOS event in October. Therefore an amendment to the agreement that is in place for the Fiestas Santa Ana event is needed to add the SOMOS event and cost. In order to provide continuous service to the City, Al Party Rentals provided services for the event even though the parties were not able to bring this amendment to Council until after the event occurred. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #5, Promote a strong arts and culture infrastructure, Strategy C, Promote arts and culture by partnering with artist groups and merchants to hold events celebrating art in public plazas, parks and other City - controlled open space 25B -1 Agreement with Al December 2, 2014 Page 2 FISCAL IMPACT Party for Rental Equipment Funds are available in the Recreation Community Services Contract Services - Professional account (no. 01113230 62300). Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez, Executive Director Finance and Management Services Agency 25B -2 AMENDMENT TO AGREEMENT WITH Al PARTY RENTAL FOR PROVISION, INSTALLATION AND REMOVAL OF RENTAL EQUIPMENT THIS AMENDMENT, dated as of November 18, 2014, by and between Al Party Rental (hereinafter "Contractor ") and the City of Santa Ana, a charter city and municipal corporation (hereinafter "City "). RECITALS A. The parties entered into an Agreement ( #N- 201.4 -198) ("said Agreement ") for Contractor to provide, install, maintain, and remove equipment for a City - sponsored event. B. The parties desire to amend said Agreement to add another event, increase compensation and confirm extension of the Term thereof. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree to amend said Agreement as follows: 1. Section 1, Scope of Work, is hereby amended to include another event, the "Sunday on Main Open Streets" (SOMOS) which took place on October 5, 2014. In order to provide continuous service to the City, Contractor provided its services for such event, although the parties were not able to bring this Amendment to council until after the event took place. 2. Section 2, Compensation, is hereby amended to include expenses associated with the additional event in the amount of Two Thousand Nine Hundred Thirty Nine Dollars and Six Cents ($2,939.06) as set forth in the Invoice (Exhibit A), attached hereto and incorporated herein. Total compensation under said Agreement as amended shall not exceed Fifty One Thousand Nine Hundred Seventy Dollars and Six Cents ($51,970.06). 3. Section 3, Term, was amended and extended by a writing executed by the City Manager and City Attorney dated September 30, 2014, per the terms of said Agreement. 4. All other terms and conditions included in said Agreement shall remain unchanged and have the same force and effect. 25B -3 IN WITNESS WHEREOF, the parties hereto have executed this Amendment the date and year first above written. ATTEST: CITY OF SANTA ANA Maria D. Huizar David Cavazos Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: iJ � a Lisa 5torck Assistant City Attorney RECOMMENDED FOR APPROVAL: CONTRACTOR: Al Party Rentals Gerardo Mouet Executive Director of Parks, Recreation and Community Service 25B -4 By: Title: FRIA RT T OFL.FSr1ATE WITH STYLE 251 E FRONT STREET P 666.217.2789 COVINA, CA 91723 AIPARTYRC'NTAL.00M F 626.967.7572 Invoice �_�10/9/2014 T^'n13026 Customer * 6499 Job Desor. 10/5 EVENT-.SOMOS CITY OF SANTA ANA PARKS REO -, Date Out 10/512014 4 _ ( T � ��� C 'Q � i � �� Terms Aging Oate /! _ I, DUn1' # Due upon receipt llrL', 1U/9/2014 Y'aitl Wert1 4 ..� 11� i � � rwld Flora i � •..- ...,.........._..r- ._...,.. W �_h.�... I Ordered By: GEMA RAMIREZ L✓UTe Salesman: RENE MARTINEZ Delivery and Pickup Delivery : Sun 10/6/2014 6:30AM Contact: GEMA RAMIREZ Pickup Date: Sun 10/ 6/2014 4:OOPM Phone: 951.733 -7434 Location: MAIN STREET 5TH & WARNER Used at Address: 5TH & WARNER - CORNER ; SANTA ANA, CA 92707 Delivery Notes; DELIVER SUNDAY AT 6:30 AM -- COMPLETE BY 6 AM -- SET UP TABLES & CHAIRS EVENT SUNDAY 9AM -4PM PICKUP SUNDAY AT 4 PM -- COMPLETE BY 6 PM Qty -. Items. Rented Disc Amt Disc%- Each Price X13 CANOPY, 10'X10'PAGOOA WHT - -_ ... _,,... ..- .�__._e...- ..._......- _..,_� $0,00 $95.50 $1,216.50 $134.4a 13 -10' X 10 %0' WHITE PAGODAS MUST BE INSTALLED ON LEVEL GROUND. 46 CANOPY, . SASE STEEL $0.00 $5.50 $253:00 20 'TABLE, B. X 30" $0.00 $0.40 $160100 11- PER 10X10 - -NO LINENS 40 CHAIR, SAMS WHITE .$0.00 $1.110 $44.00 2- PER 10X10 MUST SE INSTALLED ON LEVEL GROUND ALL CHAIRS & TABLES MUST BE STACKED IN THE SAME AREA AS DELIVERED TO AVOID ADDITIONAL CHARGES CHAIR WEIGHT LIMIT IS 200LB$ 20 LABOR, TABLE SET UP $0.00 $1..50 $30.00 40 LABOR, . CHAIR SET UP $0,00 $0,50 $2090 1 DELIVERY, SUNDAY $0.00 $500:00 $500.00 1 PICKUP SUNDAY $0.00 $000.00 $500.00 4 CHAIR, SAMS WHITE $0.00 $17.00 $08100 .�Rontal Mlsc Ch$0.00 ^m5alo�6 $27 98.6�� F $134.4a 12 -� Total Amount: $2,939.06 626.967.0500 Phone Payment Due upon receipt Total Paid $0.00 I Total Due $2,939.06 626. 967 -7572 Fax -3Sto �MOdiFicati0n B' S POntadOil hu10 /012014 IM20 OMNI 6arPUtlm Oy Pwin4a4nank+I eyYlunN ,NNN.PWnFOI- ieplgl.vom C011W W"'.,,a1001 25B -5 r REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: DECEMBER 2, 2014 TITLE: APPROVED AGREEMENT WITH WKE, INC., FOR ❑ As Recommended ENGINEERING CONSULTING SERVICES Cl Amended [] O Or rdinance on 1" Reading FOR FAIRVIEW STREET BRIDGE ❑ Ordinance on ed Reading REHABILITATION (PROJECT NO. 15 -6827) ❑ Implementing Resolution (STRATEGIC PLAN NO. 6, 1, G) ❑ Set Public Hearing For CONTINUED TO ( L FILE NUMBER CITY MANAGE RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an agreement with WKE, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide engineering services for a two -year period expiring December 2, 2016, with the provision for one one -year extension exercisable by the City Manager, for a total agreement amount not to exceed $600,000. DISCUSSION Fairview Avenue is classified as north -south Major Arterial per the City's General Plan Circulation Element with three lanes in each direction, except at the bridge crossing over Santa Ana River. Currently, Fairview Bridge is striped with two lanes in each direction with no curb or sidewalk on the bridge. Ultimately, staff will seek Federal and Measure M2 funds to widen the bridge and Fairview Street to accommodate three lanes in each direction. Improvements will include widening the bridge to add sidewalk, curb, and barrier rails. Staff issued a Request for Proposals (RFP) for the Fairview Street Bridge Rehabilitation Improvement through the Orange County Register on July 16, 2014. The RFP was also posted on the City website. Three proposals were received, evaluated, and ranked by a review committee comprised of personnel from various City agencies. Ranking criteria included firm and personnel experience, understanding of need, relevant project experience, schedule, and references. The top two firms were selected for interview for final ranking. Staff rated the proposals as follows: Firm Score Proposed Fee WKE, Inc. 92.7 $559,661 Mark Thomas and Company 88.1 TTG Engineers 79.7 25C -1 Agreement with WKE, Inc., for Fairview Street Bridge Rehabilitation December 2, 2014 Page 2 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 WKE, Inc., based on its experience with similar bridge rehabilitation projects and familiarly with Caltrans requirements and City of Santa Ana bridges. The proposal contained a clear path toward achieving City goals and objectives, as required by the RFP. The $600,000 total agreement compensation is comprised of the $559,661 project fee and $40,339 for contingency. The contract approved by this Council action will be effective December 2, 2014, through December 2, 2016, with a provision for one one -year extension exercisable by the City Manager. STRATEGIC PLAN 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). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Select Streets Construction accounts (05917660 -66220 and 05917663- 66220). APPROVED AS TO FUNDS AND ACCOUNTS: d Mousa ipour Francisco Gutierrez E ecutive Director Executive Director Public Works Agency Finance & Management. Services Agency FM /EWG /ML Exhibit 1: Agreement 25C -2 CONSULTANT AGREEMENT FAIRVIEW STREET BRIDGE REHABILITATION DESIGN SERVICES RFP NO. 14 -001 THIS AGREEMENT, made and entered into this _ day of , 2014 by and between WKE 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 civil and structural engineering. B. 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 professional engineering design services for the Fairview Street Bridge Improvement, which includes bridge deck rehabilitation, incidental widening, sidewalk, railing, environmental documents, and regulatory permits. 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 engineering 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: 1. SCOPE OF SERVICES Consultant shall provide civil and structural engineering services for the Fairview Street bridge rehabilitation in compliance with Consultant's Proposal dated August 6, 2014, attached hereto as Exhibit A, The Consultant will provide an experienced, educated and professional team, whose Project Manager and staff shall be responsive and maintain excellent working relations with City staff. The Consultant shall be committed to provide adequate staffing levels at all times in order to adhere to established schedules. 2. COMPENSATION a. 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 as Exhibit A and incorporated herein by reference. The amount to be expended for services shall not exceed $559,661 during the term of this Agreement. b. Invoices i. The Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. ii. 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: 25C -3 I . Consultant's invoice number 2, Beginning and ending dates for services 3. City project number and/or name (Project 15 -6827) 4. Work site address /location (if applicable) 5. Tasks or deliverables completed, and percent of total services 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 set forth in the Recitals which may reasonably be expected by the City. d. City shall retain ton percent (10 %) of the contract price for each project until the completed project has been accepted and deliverables received by the City. e. No additional work shall be authorized unless a separate estimate is given for said work and the estimates is approved by the City in writing before the work is commenced. The Consultant will be required to provide detailed information of such 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. 3. TERIM The term of this Agreement shall commence on the date first written above and continue for a period of two (2) years, unless terminated earlier in accordance with Section 10, below. 4. 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 firrnish the City with all necessary copies of data needed to complete the review and approval process. 5. DELIVERY OF SERVICES Consultant agrees to provide schedule and deliverables as set forth in Consultant's Proposal (Exhibit A). 6. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: 25C -4 a. Commercial General Liability Insurance: Consultant shall maintain commercial general liability insurance naming the City, its officers, agents, volunteers, and employees as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 par occurrence. 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. 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 liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional Liability 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. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDE, MNITICATION 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 25C -5 operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. 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. 9. COMPLIANCE WITIi APPLICABLE LAWS AND REGULATIONS a. 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. b. Consultant certifies that it shall comply with the following regulations, as required by the Highway Bridge Rehabilitation and Rehabilitation (HBRR): 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 or 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. ii. 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, iii, 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. iv. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. v. Political Activity - None of the funds, materials, property, or services provided directly or 25C -6 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 ". vi. Non - Discrimination Clause - During the performance of this Contract, Consultant and its subconsultant shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition (e.g., cancer), age (over 40), marital status, and denial of family care leave. Consultant and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Consultant and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 (a -0 et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a -f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Contract by reference and made a part hereof as if set forth in full. Consultant and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement. Consultant shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Contract. vii. 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. viii. 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. ix. 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. x. 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. xi. 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. xii. 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. xiii. Consultant agrees that the State of California shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding 25C -7 through this Agreement xiv. 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. xv. Covenant Against Contingent Fees: The Consultant warrants that he /she has not employed or retained any company or person, other than a bona fide employee working for the consultant; to solicit or secure this contract; and that he /she has not paid or agreed to pay any company or person other than a bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any other consideration, contingent upon or resulting from the award, or formation of this contract. For breach or violation of this warranty, the local agency shall have the right to annul this contract without liability, or at its discretion; to deduct from the contract price or consideration, or otherwise recover the full amount of such fee, commission, percentage, brokerage fee, gift, or contingent fee. 10. ASSIGNMENT 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 with the prior written consent of City. Consultant must submit all subcontracts And other agreements that related to this Agreement to City. No subcontract or assigmnent shall terminate or alter the legal obligations of Consultant pursuant to this Agreement. 11. TERMINATION The City reserves the right to terminate the Agreement as follows: a. 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 date of termination. As a condition of such payment, the Executive Director may require Consultant to deliver to 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. 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 project's 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 project's manager or designee determines that Agreement services are performed as well and as frequently as required by this Agreement. 25C -8 12. 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 fwther 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. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. 14. 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. 15. CONFIDENTIALITY If Consultant receives information from the City 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 performance of this Agreement, and further agrees to exercise reasonable care to protect such information. "Confidential Information" shall include all nonpublic information in all forms: written, oral, visual, electronic, or any other means, Confidential information which is disclosed to either party by any subsidiary or agent is also covered by this Agreement. 16. PROFESSIONAL LICENSE Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.U. Box 1988 Santa Ana, California 92702 -1988 25C -9 Facsimile (714) 647 -6956 With courtesy copies to: Public Works Agency — Design Engineering City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 City Attorney City of Santa Ana 20 Civic Center Plaza (ivI -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -6515 To Consultant: WKE, Inc. 400 N. Tustin Avenue, #275 Santa Ana, CA 92705 Attn: Dan Weddell, PE Phone: (714) 953 -1020 18. MISCELLANEOUS 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 Agency frilly, 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, Q. 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. 25C -10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Cleric of the Council APPROVED AS TO FORM: SONIA CARVALHO City Attorney By Kyle . ellesen Deputy City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT Wei Koo, SE President WKE, Inc. 25C -11 I 0 25C -12 Fairview Street Bridge Rehabilitation RFP No. 14 -001 August 20, 2014 Ms, Mindy Ly Public Works Agency 20 Civic Center Plaza; 3rd Floor, Ross Annex Santa Ana, CA 92701 RE: RFP 14.001, City of Santa Ana, Fairview Street Bridge Rehabilitation Design Services Dear Ms. Ly: WKE, is a general engineering consultant based in the in the city of Santa Ana. WKE has assembled a team specifically tailored to successfully deliver the Fairview Street Bridge Rehabilitation over the Santa Ana River. The team has demonstrated success on providing bridge engineering services for similar HBP funded projects for the city of Santa Ana and the County of Orange requiring river construction, developing feasible and fundable alternatives that maintain traffic while accommodating safe pedestrian and bicycle access during construction, and managing the design of over 50 bridges with Caftrans oversight. WKE has built its reputation on completing complex transportation projects efficiently. We bring in -depth knowledge of project requirements, both technical engineering and regulatory /oversight processes, a history of successful projects for the city of Santa Ana, and a strong company commitment to successfully execute the project to meet the client's requirements, and Project Manager personal commitment to be responsive to the city Project Manager. The team members assigned to the project have extensive experience managing HBP funded bridge widening, replacement and rehabilitation projects for local agencies. Our HBP experience includes developing project concept through environmental clearances, and preparing Plans, Specifications and Estimates (PS &E) and providing engineering support during construction. Our extensive experience planning and designing HBP funded projects translates into efficiently run projects. WKE recently completed a similar HBP widening project, Foothill Boulevard over San Dimas Wash, incorporating bike lanes, shoulders and adding sidewalks on both sides of a busy two lane street. The team proposed for your project is substantially the same, and will transfer the knowledge and understanding directly to your project. Mr. Weddell, PE will serve as the Project Manager. Mr. Weddell has over 17 years of experience managing bridge and transportation projects for local agencies. He is personally responsible for successfully obtaining HBP funding of over 25 bridge projects and has managed the design of numerous HBP funded bridges, ranging from minor widening and rehabilitation to bridge replacement, with construction costs from $50,000 to $35 million. His in -depth knowledge of the Local Assistance Program Guide and Local Assistance Procedures Manual, and relationship with District 12 Local Assistance staff will ensure a trouble free project. iYr h L Dasign Sorvices for Fe Lviow Street Bridge Rebabikation Cover Letter I 1 25C -14 Fairview Street Bridge Rehabilitation RFP No. 1¢001 D The WKE Team involves -five subconsultants with expertise fundamental to delivering this project for the City, They are: • LSA Associates provides experience processing NEPA and CEQA documents with District 12 oversight as well as detailed knowledge on coordinating with the resource agencies involved on this project; • Civil Works Engineers (DBE), to provide support on general civil, hydraulics and drainage engineering, bringing their knowledge of USACE, and Orange County Public Works Flood Division; • Earth Mechanics, Inc. (DBE), brings a very experienced group of geotechnical engineers with experience working on hundreds bridges, including several for Santa Ana within the Santa Ana River; • Tatsumi and Partners (DBE), will provide architectural renderings and landscape design; • Coast Survey (DBE), will provide survey services. All of these firms are recognized experts in their respective fields, and have current working relationships with WKE on similar projects. The team has demonstrative experience in completing federally funded projects and has worked closely with Caltrans Local Assistance on numerous projects. The attached proposal demonstrates our knowledge, skill and innovative approach to completing the project for the City. The enclosed -fee proposal is valid for 90 days. With this highly skilled team that has worked together on similar federally funded projects, we are confident we will deliver the project within the City's schedule and funding resources. WKE iscommittedto exceedingthe 12.01 %Disadvantage Business Enterprise (DBE) goal established for this proposal as exemplified by our selection of four DBE subconsultants. We have reviewed the draft contract contained in the RFP and concur with the provisions with no exceptions. I am authorized to bind WKE to the terms of the proposal. If you have any further questions or concerns, please feel free to contact me at (714) 955 -1020, or at 400 North Tustin Ave, 4275, Santa Ana, CA 92705. We look forward to your favorable decision and the opportunity to continue participating in the selection process. Respectfully submitted, Dan Weddell, PE Project Manager Wei Koo, SE Principal -in- Charge 2 1 Cover Letter Design Services for ra rvlew Street arldge Rehabllltatien A07KE 25C -15 Fairview Street is a 6 -lane roadway, with a striped median and sidewalks that narrows over the Santa Ana River. Built in 1963, the bridge consists of an eight span cast in place T- Girder structure. Existing bridge width accommodates four 11' -0" lanes with 3' -6" side shoulders. The shoulder doubles as unprotected pedestrian walkways, causing many people to cross the river by walking down to the river bottom. As the deck geometry does not meet current AASHTO standards and is rated a 4 in the Bridge Inspection Report (BIR), the City plans on widening the bridge to bring it to minimum standard of 5' -0" sidewalks, new safety barrier rails, and T -0" shoulders. We understand the City also plans to widen the bridge with additional lanes to match the road sections on the approaches. WKE has successfully applied on behalf of our clients with Caltrans Local Assistance to add features such as sidewalks, turn lanes, through lanes, and bike lanes to HBP funded projects. In our extensive experience in developing HBP project scopes, we use traffic modeling, and Fairview Bridge over the Santa Ana River has a bridge deck condition rating of 3, indicating the decks in "poor condition ", triggering the bridge eligibility for funding. A visual inspection reveals a large network of cracks both on top of the deck as well as the soffit. The cracking below the deck shows signs of phosfluorescence, a telling sign that cracks extend through the entire deck depth allowing water to seep through. The extensive cracking and poor overall deck condition requires more than methacrylate overlay which essentially only seals existing cracks, and does not reduce new cracks from forming. It is recommended to place a layer of polyester concrete overlaid on the existing deck to protect the deck and prevent further damage due 'to water and traffic wear. Our engineers have developed plans for several bridge rehabilitations with polyester concrete overlay, including McFadden Street and Fifth Street both over the Santa Ana River. A key concern is to limit the depth of overlay to less than 2.5" to ensure adhesion, while also providing a smooth transition the approach asphalt concrete. We will evaluate the structure for the additional v,,idemnc, the bridge. �� b ©slgn Survicee for Fairvimw Stremt Brldge Rmhabirtation 25C -17 Understanding g andlncof Need I 11 Fairview Street Bridge Rehabilitations RFP No. 14 -001 '"" Having completed several HBP bridge widening projects, such as the Foothill Boulevard Bridge for the city of San Dimas, and the Fifth and McFadden Bridge over Santa Ana River 'for the city of Santa Ana. We thoroughly understand the scope of work as well as the challenges associated with a bridge widening for sidewalk and bikeway Improvements for project over flood control facility, Areas of special consideration include developing a cost effective bridge widening that maintains local traffic, minimizes construction in the river in order to streamline the County /Army Corps approvals, provides continuous access to the Santa Ana River Bike Trails, maintenance and access roads, and can obtain NEPA approval. Utilizing our years of experience working on similar structures in the Santa Ana River, we will anticipate and plan for potential roadblocks, delivering a successful project for the City. Based on the most recent Bridge Inspection Report, as -built plans, and field review we have compiled a list of technical and institutional challenges expected on this project which will be investigated and resolved by the WKE team. A summary of these challenges is listed below, and our innovative approach to addressing them follows: • Bridge Alignment • Seismic Analysis Bridge Aesthetics Bike Trail • Environmental Documentation (NEPA /CEC!A) BRIDGE ALIGNIVIEINT"; An 18' -0" widening is required to accommodate four 11' -0" lanes, 4' -0" shoulders, and 8' -0" sidewalks with Type 26 barriers on the outside. WKE, studied the roadway geometry, right of way constraints and constructability of the bridge widening, and have developed three widening options with bridge and approach geometric alignments to accommodate left turn movement, in detail that provide geometric alignments that provide all current turn movements, ease bridge constructability, minimize river disturbance, provide continuous bike, pedestrian, and maintenance access, minimize traffic, impact and simplify future widening to six lanes. Option 1 The RFP described a symmetric widening option by adding 9' -0" widening along both sides orF existing Fairview Bridge. Constructing symmetric widening Will require construction of new pier walls in Santa Ana River, including reconstructing existing debris walls. There are several site constraints on Fairview Street that will affect the widening option. The existing bridge has a narrow width, providing a 3'- 6" walking path on each side. By constructing the widening on both sides, it will essentially eliminate the walking path, and close pedestrian access over the bridge during construction. To avoid this, the bridge construction will have to proceed in two phases, constructing one side in each phase. The split phase construction will require the construction be spread over two summers with a winter shutdown period in between. This will lengthen the construction period by at least six months. Debris walls sit at the leading edge of all seven pier walls.The construction alongthe eastside of Fairview will require these debris wall be reconstructed. If the City proceeds with the six lane project on Fairview in the future, a symmetric widening will require the debris walls be reconstructed again. If the future widening is completed only on the west side of Fairview Bridge, the asymmetric widening will result in about a 13' -0 wide shift in the centerline, and additional right -of -ways will be required. Thus in either case, the future widening will carry additional cost. The WKE Team has examined other options to alleviate the aforementioned issues. Two additional options were examined and presented herein. 12 1 Understanding of Neod Design Services for Fairview Street Fridge Rehabilitation KE 25C -18 R/W Fairview Street Bridge Rehabilitation RFPNo.14 RA I ............ ii ii ii ii ii ii ii ii REHABILITATION WIDENING Option I - Symmetric Rehabilitation Widening; Maintain centerline & reconstruct debris wall. FUTUREIA Option I - Ultimate Symmetric 6 -bane Widening: Maintain centerline & reconstruct debris nose again. n. RyW ....... —! .................. . — ................... ---------------- Option I - Ultimate .isymmetric 6-Lane Widening: Shift centerline but maintain debris nose. ,Jfl<—E Dos 1 gn So rvl ce5 for Fi rview Stroet Bridge Re h a L 11 tatj on tjndersCqridinq of Need I 12 25C -19 Fairview Street Bridge Rehabilitation Option 2 Option 2 is to widen the bridge deck 18' -0" to the west of the existing bridge to accommodate 8' -0" sidewalks, 4' -0" shoulder safety /bike lanes, and concrete barriers on both sides of the bridge (See Exhibit A). This option shifts the centerline 9' -0" west of the current bridge centerline. This alignment takes advantage of the approach curve south of the bridge to make a smooth lane shift in the northbound direction. In the southbound direction, the outside lane will be on a tangent alignment with a small shift to adjust for a wider shoulder on the bridge. The west side widening requires re- grading of two of the four OC Flood Control Department maintenance access roads and relocation of two gates. Within the river, the west widening does not impact the existing debris noses or the storm drain outlet at the northwest corner. Not needing to re- construct the debris noses represents a significant cost reduction to this project. Minimizing construction in the river has several benefits such. as ensuring nationwide permit is applicable for the streambed alteration which will speeds up environmental and permit processing tasks, and reducing the construction time which will result in lower construction bids. In order to build the widening, traffic will be shifted to the east side. This will maintain one 3' -6" walkway during construction, allowing pedestrian access across the River. Upon completion of the widening, a new sidewalk along the east side will be added. This option can be built in the shortest time possible without a winter shutdown. A key benefit of a single sided widening to the west is the reduced life cycle cost when factoring in i future &•lane widening. A future single sided 28' -0" widening of the bridge to the east will create a 6 -lane structure that matches the approaches. (See Exhibit B) This provides 8' -0" sidewalks, 5-0" shoulder /bike lanes, six 11' -0" lanes and a 4' -0" median. The overall centerline shift will be 5' -0 ",which can smoothly be shifted within the median transition on the approaches. Another benefit of this option is to be able to build ultimate sections within existing right of way. As shown in Exhibit B attached with this proposal, the existing extra wide sidewalk is narrowed from 20' -0" to about 10' -0 ", which results in less encroachment on the park across the street. The trade -off for this option is a slight encroachment into the recently improved Fairview Triangle Habitat Restoration area as opposed to a larger encroachment at a future date. REHABILITATION WIDENING Op #Bean 2 - West Rehabilitation Widening: Shift centerline 9' -0" west and do not touch debris wall. Future ultimate widening would require debris wall reconstruction. 14 1 Understanding of Need Design Services for Fairview Street Bridge Rehabilitation AT K E 25C -20 I @ " kl Fairview Street Bridge Rehabilitation RFP No. 14-001 Exist � 18 ' n'2' 12' 11' | 11' 11' I5.| 0.5' STAGE 1 {}oGvn2~M/estsideRohab//itat/onVMden/ngStage7/Mainta/n°ast3'^0'shnp/dorx/h//eweots/de superstructure isconstructed. Option 2~VMos$kda Rehabilitation Widening Stage 2: Open new west sidewalk and construct east sidewalk. Note the debris wall remains untouched. FUTURE Option 2 - Ultima te 6-Lane Wdening to the East: Shift centerline 5'-0" east and re-con5truct debris wall, go Rehabilitation Understanding of Need I E Fairview Street Bridge Rehabilitation RFP No, 14-001 Option 3 Option 3 that we developed widens the bridge 18' -0" on the east side of the existing structure to provide four 11' -0" lanes, 4' -0" shoulders and 8' -0" sidewalks. Similar to option 2 above, the construction can be staged to maintain pedestrian access at all times. Option 3 maintains the curb line at the southeast corner and aligns northbound traffic with the 171h Street intersection. (See Exhibit C) An east side widening requires the existing debriswallsbe re- constructed underthe HBP funded safety project, which will result to a higher n �4 3 cost project and higher local match required for the safety project. The interim alignment for option 3 requires a longer transition towards 171h Street and creates an awkward shift in the southbound lanes to accommodate the northbound left turn to West 16 1h Street. The southbound approach transition to the bridge will require a longer approach sidewalk construction, or additional bridge barrier end treatments. In the ultimate 6 -lane condition, the westward centerline shift maintains the extra wide sidewalk on the southeast corner, and will further encroach into the park. (See Exhibit D) Exist- PROPOSED t C1 041 Z6' 9' 8' , 4,r 11' 11' ii REHABILITATION WIDENING —• Option 3 -- East Rehabilitation Widening: shift centerline 9' -0" east and reconstruct debris wall. Future ultimate widening would not touch debris wall, 35' Each of the three potential rehabilitation widenings have unique benefits as shown in the table below. Options 2 and 3 have shorter construction durations which minimizes traffic congestion and construction support costs. Where these options shine is when Life Cvcle Cost Analysis i Higher Bike Trail Detours Two Seasons viewing the rehabilitation as part of the larger ultimate six -lane bridge vision by the City; these two options have reduced life cycle costs and minimize impacts to the nearby park. Low low One Season One Season to ark None now,26'Take later * b' Take now, None later None now,12''rake later 1 b 1 Understanding of Need Design Services for Fairview Streot Bridge Rehabll'vtation A �, 25C -22 �w Fairview Street Bridge Rehabilitation v.•. RFP No. 111 SEISMIC ANALYSIS WKE is one of the few firms that have widened and retrofit bridges in this stretch of the Santa Ana River. An understanding of the river history is important to understanding the potential seismic collapse mechanisms of these bridges. In the mid 90's, this reach of the Santa Ana River was concrete lined, lowering the riverbed about 9' -0" from the original design grade of many of the structures, leaving the bottom of footing 4' -0" above ground. The river was lowering reduces the pile vertical and lateral capacity, and exacerbating liquefaction instability. The bridge was seismically retrofitted in the mid 90's as part of the riverbed lowering completed by the County. The retrofit included casing the exposed piles and adding pipe restrainers at the hinges. Many of these early retrofits did not include liquefaction as a consideration in overall bridge stability, both vertical and lateral. In our experience on Fifth Street and the old First Street bridges over the Santa Ana River, the pile concrete casing did not adequately address the bridge stability during an earthquake. In both cases, a 'foundation retrofit was required in addition to hinge restrainers. In the case of Fifth Street, we used innovative solution of micropiles for the foundation retrofit since these can be installed under low overhead clearance situations. WKE's past experience on these bridges drives our alternatives development and ensures a cost effective design is chosen from the start. BRIDGE AESTHETICS One of the keys to a successful project is the acceptance by the local community using the structure on a daily basis. This includes school children attending the Spurgeon Intermediate School, users of the Santa Ana Bike Trail, and visitors to the nearby parks. Our team will work with the :200*• WKE's enhanced Aesthetic design incorporated colored river rock finish and custom hand rails on concrete barriers for Foothill Boulevard Bridge over San Dimas Wash. City and members of the general community in a process to arrive at a design that respects the recent surrounding park improvements, provides a level of aesthetic detail beyond a standard Caltrans solution, and provides a project that enhances the community beyond the basic functionality of crossing over the Santa Ana River. Solutions may include the use of the open railing Type 80 concrete barrier, with the additional of architectural finish included in the bridge. On Foothill Blvd in relatively rural San Dimas, the Type 80 barrier was chosen with a colored river rock finish to pay tribute to the many rock walls and foundations of the surrounding craftsman homes. BIKE TRAIL The existing Orange County Regional Bike Path crosses underneath both ends of the Fairview Street. The jurisdiction of this bike trail is under the County of Orange Harbor, Beaches and Parks Division of the Resources and Development Management Department. They require that the trail be open at all times with maximum closures for construction activity of 15 minutes. Longer closures require bike detours which must be approved by the agency. This requirement will be difficult to meet during foundation construction as bents 2 and 7 are embedded in the bike path slope requiring extensive excavation. Aviable alternative is to detour bike traffic to the bottom of the river. We have 40V K Design Services for Fairview Street Bridge Rehabilitation Understanding of Noed 117 25C -23 Fairview Street Bridge Rehabilitation RFP No '1$ -001 detoured the bike path into the river bottom during summer construction on other projects in the area. Identification of construction staging, bike detours or developing alternate routes is important to gain approvals from the County. WKE has experience in working with the Harbor, Beaches and Parks Division on Memory Lane Bridge widening project, the Classell Avenue Bridge Widening projects as well as the McFadden. construction as was done on Fifth Street Rehab Maintaining the existing 12' -0" of vertical clearance over the bike paths under spans 1 and 8 is critical to the bike path operation. A wider bridge has the potential of reducing the vertical clearance. We will develop solutions to address the clearance. One alternative is to lower the bike path under the new bridge. This could be costly and difficuitto stage while maintaining bike traffic. Another option is to design a shallower bridge section to compensate for the bike path vertical curve, and deck cross slope. Matching the existing span lengths of 5T -6 ", the bridge could be designed with a depth of as little as 2' -6 ", providing the potential for an extra 1'- 6" of space over the bike path. This option could be built at less cost than the previous alternative. (a DvF�1'11 ENVIRONMENTAL CLEARANCE The City will be utilizing federal funds for the project; therefore, compliance with the National Environmental Policy Act (NEPA) will be required, in addition to compliance with the California Environmental Quality Act (CEQA). The California Department of Transportation (Caltrans) District 12 Office of Local Assistance will act as the lead agency for NEPA compliance as delegated by the Federal Highway Administration (FHWA) and the City will be the lead agency for CEQA compliance. The key environmental issues are discussed below. The first step in the environmental approval process is to complete the Preliminary Environmental Study (PES) checklist which is crucial to determining the technical studies required, as well as identifies the type of environmental documents. In our experience accurate layouts and cross sections are critical to approval of the PES by Caltrans. Our environmental experts and engineers will work closely together to develop the potential alignments to create an accurate Area of Potential Effect map prior to submittal to Caltrans. The technical reportswill be prepared forthe project based on the Caltrans Standard Environmental Reference (SER). The anticipated technical reports for the projectirclude: a Natural Environment Study Minimal Impacts (NESMI) with attached Bat Habitat Suitability Assessment and Jurisdictional Delineation Report a Section 4(f) and 6(f) Documentation: memorandums of no use or "De Minimus" findings a Historic Property Survey Report (HPSR) with attached APE map, Archeological Survey Report, records search, and Native American Consultation results a Paleontological Identification Report/ Paleontological Evaluation Report (PER /PIR) a Water Quality Assessment Report a Summary of Floodplain Encroachment Report a Noise Technical Memorandum for construction impacts 18 1 Understanding of Need Dmsign Services for Falrviow Street Bridge Rehabilitation if/7- K L 25C -24 lc Fairview Street Bridge Rehabilitation RFP No. 14 -001 The proposed widening does increase capacity on the bridge; therefore, a Noise Study Report and Air Quality Analysis/ Air Quality Conformity documentation will not be required. In addition, it is anticipated that the project footprint will be within City right of way; therefore, no potential historical resources will be within the Area of Potential Effects (APE) and a Historical Resources Evaluation Report will not be required, nor will a community impact or relocation impact document be required. Last, based on our review and preliminary completion of the Caltrans Questionnaire for Visual Impacts, no visual report or memo will be required. BIOLOGICAL RESOURCES AND JURISDICTIONAL WATERS PERMITS. The project area is built out and the Santa Ana River is lined with concrete in this area; therefore, there is limited suitable habitat for special status species. However, bridge structures are often used by bats for roosting and nesting, so a bat habitat suitability assessment will be conducted by a qualified bat biologist. This assessment will be incorporated into the Natural Environment Study (Minimal Impacts) (NESMI) for the project. for mitigation banks and in lieu fee mitigation over permittee responsible mitigation, and the project area is within the Current service area for some of these options. Anyrequired mitigation will meetthe requirementsof the Section 1602 Streambed Alteration Agreement from the California Department of Fish and Game (CDFW), the Section 401 Clean Water Act (CWA) Water Quality Certification from the Regional Water Quality Control Board (RWQCB) and the Section 404 CWA permit authorization from the USACE. Separate permit authorizations from USACE, RWQCB, and CDFW will be required to conduct gectechnical borings in the Santa Ana River. LSA will process these permits in coordination with the City. SECTION 4(%) AND CH. Caltrans /FHWA has previously determined that the Santa Ana River Trail (SARI) is subject to evaluation under Section 4(f) of the Transportation Act because it is a recreation area of regional significance, During construction, the portion of the SART that passes below the existing bridge may need to be if-E, Design Services for raiiVew Street Bridge Rehmblllt -ation Understanding of Need 119 25C -25 closed, restricted, or detoured. Similar impacts Fairview Street bridge passes over the Santa have been documented by LSA for several bridge Ana River, a tributary to projects, including the navigable waters of the U.S. recently completed First Therefore, a Jurisdictional Street Bridge project Delineation will be necessary in Santa Ana. LSA has to determine -the limits of the facilitated consultation waters of the United States between Caltrans, and State jurisdictional 1111 cities and county streambed within the project parks departments as limits. Because the Santa required under Section Ana River is completely 4(f). This process will concrete -lined in the project also be applicable to the area, it is expected that no proposed project, mitigationwill berequiredfor Newly constructed Fair,i;ew Triangle Habitat impacts to the river (bridge Restoration ,$ adjacent to so- uthwest ap,oroach The City received a abutments and pilings). However, if mitigation is Recreational Trails Program grant from FHWA and required, LSA will work with applicants and the the California Department of Parks and Recreation USACE to identify an appropriate mitigation ratio and improved Fairview Triangle into a trailside rest and mitigation bank or in lieu fee option, instead of a area with landscaping, seating, and interpretive comprehensive mitigation and monitoring plan. The signage. Through consultation with the City, it will 2008 USACE Mitigation Rule expresses a preference be confirmed whether or not this site is subject if-E, Design Services for raiiVew Street Bridge Rehmblllt -ation Understanding of Need 119 25C -25 Fairview Strut Bridge Rehabilitation S RPP No 14 -001 X3 to Section 6(f) of the Transportation Act, which is applicable to land improved with Land and Water Conservation Funds. During construction, a portion of the triangle may need to be closed. The project team will consult with Caltrans and the City to determine if impacts to this parcel need to be evaluated under Section 4(f) and /or 6(f). Compliance with Section 4(f) and 6(f), as applicable, will be demonstrated through letter correspondence between the City, Caltrans, and the County Parks Department. ENVIRONMENTAL DOCUMENT As described in the RFP, the project should qualify for a CEQA Categorical Exemption under Section 15302 of the CEQA Guidelines, which will be prepared by the City. Because the RWQCB and the CDFW are Responsible /Trustee Agencies under CEQA, they need to concur with the CEQA compliance for the project. Although we do not anticipate required mitigation for impacts to the Santa Ana River or other resources, our team is prepared to complete an Initial Study /Mitigated Negative Declaration (IS/ ivIND) to clear the project. As envisioned, the project meets the criteria for a NEPA Categorical Exclusion (CE) under 23 CFR771.117 (d) (3), Bridge rehabilitation, reconstruction or replacement or the construction of grade separation to replace existing at -grade railroad crossings, as long as the technical studies prepared for the project demonstrate that no substantial environmental impacts will occur. Based on our previous experience and knowledge of the area, substantial impacts will be avoided through implementation of appropriate avoidance, minimization, and /or mitigation measures. As required by Caltrans, a separate Categorical Exclusion will need to be prepared for the geotechnical borings within the Santa Ana River. A separate Categorical Exemption form may also be necessary, LSA will coordinate with the City and Caltrans for the Categorical Exclusion approval. 201 Understanding of Need Qoslyn Services for Fairview Street Bridge Reheblliwmn ifrK li 25C -26 C D Y.^. N a m d E W W r z `z 0 W 4 O 0 C H RZ W g I a N \ I\ r 1,....._ gw Jo �kNk o W m � a a G c O O k O M 25C -27 0 cai as 25C-28 8 uj uj IA -J'a ti �j iv w w J E z 0 z o s o 0 o a aZ o CL v m 25C -29 Z w 52 0. ti d s m .c N EL a rn m N N W Z °zLJ w I_..., 25C -30 z 0 w� t�Q z D ti m 0 5 ? ° ° o °o a J a a q cgCZ� J 50} Z °zLJ w I_..., 25C -30 z 0 w� t�Q z D ti m Fairview Street Bridge Rehabilitation WKE Team is ready to serve the City of Santa Ana and work actively to implement the safety improvement project for Fairview Bridge over Santa Ana River. Presented below is an anticipated design and construction schedule for the bridge and roadway improvements. The schedule refectsthe schedule compression strategies that we have used effectively on other projects in order to accelerate the design development. WKE will complete preliminary engineering phase five months after NTP. We anticipate the project will clear with CE /CE for NEPA and CEQA. We propose to begin engineering work concurrently City of San. Dimas 245 East Bonita Avenue San Dimas, CA 91773 (909) 394 —6245 Foothill Boulevard over San Dimas Wash Los Angeles River Avenue 19 over Arroyo Seco before final approval of the Environmental Documents. To eliminate risk to change in scope, the main design work will not begin until the technical studies have been completed. This strategy will allow final PS &E be completed by February 2016, and contract bid and award by early December 2016. The 24 month schedule allows 3 months for Construction E -76, and 4 months for bid and award. The construction will begin in the beginning of 2017. This will provide ample cushion for the contractor to begin construction in the river by April 2017, and complete the bridge project by end of 2017. City of Los Angeles. ; Caltrans District 7 1149 South Broadway; #750 100 South Main Street Los Angeles, CA 90015 Los Angeles; CA 90012 (213)847 -- 5b25 (213) 897.- 6926 t„ kn Iennalnr•ity nrw iinwaniit nalaha@dot.ca.aov First Street over . SR- 57 /SR -60 Confluence ,A IZ E Design Services for Gnirvlew Street Bridge Rehabilitation Schedule & Referents 130 25C -32 LLF §k //] �) \ \ \ \ • !w HIV 4; /b \\ z) §)) } §) 25C-33 v a W G � Q U) X WQW m ° 4 W w LU y� W W Q LL 25C -34 v �a}gd Qgmp� ~�iiNQ �oyy xa3 �av 2 25C -35 v a N a F C C q 01WLL `vM 3 m o v BaN a � Z LL 25C -36 r a « ¢ m CLL U¢ x� 7m 6 W¢ a y z q W 25C -37 v a .W= c a a Q Z Fd- s �}i p jut U d u. 25C -40 Z 4C m W G �yq d i ro ro z H W LL N Q T# N H 'ad Q V a y 'S LL 25C -41 ryL �n W e H�4 m�aRQ F c c y Q �j lL a Q O W u�6 a y LL 25C -42 w � rn N Q a m N LL N Q �mo >� wu�a a m p LL 25C -43 4 �J W � fC Q N �p Td 3 S N Q ~N iLL Q H )S m W U W d N a y LL 25C -44 a LWm dy4 ❑I C LL' N Q v F. W � d Q N .0 LL 25C -46 mW N c�c�Q Ir Ldi Q h yzero °a W�p �yN '^WQ �av Z u� 25C -47 EXHIBIT A -8 PAED and Final PS &E Fairview Ave over Santa Ana River SANTA ANA OTHER DIRECT COST SCHEDULE TRAVE OSICOMERCIAL PRINTING Trips Average Miles/Trip Total Miles Cost/Mile Total Cost Santa Ana - Caltrans Santa Ana - Santa Ana 2 20 20 10 40 200 775-72-26o $0.565 $113.00 Santa Ana - Santa Ana 10 10 100 $0.565 $56.50 $2.5 $0.08 $300 $288 Subtotal 192.10 PLOTSIREPRODUCTIONIPHO OSICOMERCIAL PRINTING Check Prints Submittals Total Plots CostlSheet Total Cost Printings 11 x 17 500 1440 1,940 $0.8 $1,552 22x34 8 -1.2 x 11 0 0 120 3600 120 3,600 $2.5 $0.08 $300 $288 Subtotal 27140.00 OVER T MAIL Average Deliveries Cost /unit Ovem ht Mails 20 $25.0 $500 Same Day Delivery Services 5 $65.0 $325 Subtotal $500 25C -48 EXHIBIT 10 -H COST PROPOSAL Consultant: WKE, Inc, Contract No,: 14.011 Date: 1 0/712 01 4 DIRECT LABOR Classlficationrritle Name Hours Actual Hourly Rate Total Principal In Charge Weill 17 $93.64 $1,591.88 Project Manager Den Weddell 206 $742$ $15,295.50 QA /CC Engineer Adam Wang 89 $83.28 $7,411,92 Senlor Project Engineer Vlnh Trinh 163 $73.19 $11,929.97 Project Englnoor Casey Weber 364 $53.85 $19,301,40 Engineer/Designer Akshay Garnet 377 $33.37 $12,580.49 Techniclan /Drafter Trag Doung 468 $34.03 $15,912.00 Clerical Eric Koo 30 $20.00 $600.00 $0.00 $0.00 $0.00 $9.00 $0.00 $9.00 $0.00 $0.00 LABOR COSTS a) Subtotal of Direct Labor Costs b) Anticipated Salary Increases (3 %Nr, 5 yearduratlon) FRINGE BENEFITS d) Fringe Ber lta (Rate: 40.75%) INDIRECT COSTS f) Overhead (Rate: 96.85 %a) h) General and Administrative (Rate: 0 %) FIXED FEE (Profit) (Rate: 10 %) OTHER DIRECT COSTS (ODC) 1) Travel /Mileage Costs m) Equipment Rental and Supplies (Including Melling and Reproductions) n) Permit Fees o)$ubconsullant Costs LPP 13 -01 $84,923.16 $2,561.84 c) TOTAL DIRECT LABOR COSTS $87,485.00 e) TOTAL FRINGE BENEFITS $35,650.14 g) Overhead $84,729 1) Gen and Admin $0 J) TOTAL INDIRECT COSTS $84,729 k) TOTAL PROFIT $20,786 $192 $2,640 $0 $0 p) TOTAL OTHER DIRECT COSTS $2,832 TOTAL COST $231,483 25C -49 �r CD N N P Y O 0 O Z N G 0 A G r R N c a i O 0 T U 0 .c � O A 'aO a, � o � Y � S] y 7 Q A J o 2 CL �r d% y 3 0 — � L h R T N r \ � L +' O o � o L U � U M L O � R� a b uJ R vo 16 N N .Nu 7m L "C 'CL TT o O b 0 0 0 2 x 2 2 2 2 mmmmmm C Q Q Q Q Q Q O Nmvin nor N N U/ 0 N W is } } ? } } Y V N d O O Ii'i CD � �wnn4EA�� N T R � II II II II II II E T 7 O � L a C9 im R wo II M M M M M M Q O m o � a N d V C d w a� v Tslnolnrrd; y ovo- mo Q x � o fR�� s m Y Q R 7 U U fV r N M V l!) !0 rr > "r }y r N M d N 0 N 0 0 0 0 0 0 zxxxxx EEEEE W W ui W W W N Y `w a w a 4 x t � II II 11 II II II II .Ci A m ,c o U o aRia o O `m l�rnti 1` ^_0 0 >. Q- o zi 7 L T L a a� L W E. a 0 0 0 0 Epriht°n lf?m 4o d R � fi 'A �w U M 25C -50 �-NMd'�lp N N N N t0 t� In I W W W W W 3 O t 4 M d � � r .L o Cq, o. (fir car ,h U 4 Y II II II 0 II II II A c O 7 > ro O s m In y W i m $ mm o � J E� a � m p O R W F R w U of v > 3 0 v "m c� +� m �NMIO V (O M h�Ff369 fR YY iH bi d� m= 0 7 T R7 m U M N rn � ro � er II II m N c o$_ o -I a d 0 `o M O 0 b JE N A W o x x 2 2 2 x to E E E E E E E E , .1 F- In I W W W W W 3 O t 4 M d � � r .L o Cq, o. (fir car ,h U 4 Y II II II 0 II II II A c O 7 > ro O s m In y W i m $ mm o � J E� a � m p O R W F R w U of v > 3 0 v "m c� +� m �NMIO V (O M h�Ff369 fR YY iH bi d� m= 0 7 T R7 m U M N rn � ro � er II II m N c o$_ o -I a d 0 `o M O 0 b JE N A W EXHIBIT 10 -H COST PROPOSAL Consultant: LSA Associates, Ino. Contract No.: 14 -011 Date: 1017/2014 DIRECT LABOR Classification/Title Name Hours Actual Hourly Rate Total Principal(OC) Rob McCann 25 $9844 $2,461.00 Principal (Biology) Art Homrighausen 22 $6931 $1,533.62 Prinolpal (Cultural) Deborah McLean 12 $56.25 $676.00 Associate (Env Load) Use Williams 204 $50.65 $10,373.40 Associate Ingri Cuon 70 $4040 $2,800.00 Senior Technical Specialist Terri Fallon 74 $38.62 $2,857,88 Senior Technical Speclallst Chrla Meloni 52 $32.69 $1,699.88 Senior Technical Specialist Jason Lul 40 $37.02 $1,480.80 Environmental Speclallst Erin Martinelli 60 $29.33 $1,759.80 Envvronmental Planner Carmen Lo 170 $27.76 $4,719.20 Assistant Environmental Planner Janet Cutler 34 $20,43 $694.62 GIs Justin Roos 109 $41,03 $4,47227 WP /Clerical Lauren Johnson 87 $25,34 $2,204.58 Office Assistant Litia Makakaufakl 12 $19.10 $229.20 LABOR COSTS a) Subtotal of Direct Labor Costa b) Anticipated Salary Increases (3 % /yr, 5 year dura0on) FRINGE BENEFITS d) Fringe Benefits (Rate: 91.85 %) INDIRECT COSTS 0 Overhead (Rate: 42.35 %) h) General and Adminlstralive (Rate: 48,68%) FIXED FEE (Profit) (Rate: 16 %) OTHER DIRECT COSTS (ODC) I) Travel /Mileage Casts M) Equipment Rantal and Supplies (Including Malling and Reproductions) n) Permit Fees o) Records Searches -PP 13 -01 $37,961.25 $1,14975 c) TOTAL DIRECT LABOR COSTS $39,111.00 e) TOTAL FRINGE BENEFITS $35,923A5 g) Overhead $16,564 1) Gen and Admin $19,039 )) TOTAL INDIRECT COSTS $35,603 IQ TOTAL PROFIT $11,064 $620 $1,395 $12,000 $1,200 p) TOTAL OTHER DIRECT COSTS $15,115 TOTAL COST $136,816 25C -51 a N 0 ro P P 0 z 6 v C N c O i i E �5 0 � U 0 r > ^m N >1 a v v02 T ' ? ° '6 O � 2 m r � a , � 4 to L II II O J r d N L O O a F o r U Ua N � .0 O w _ o L F h L w {� Y � � a E �+ a � o = U m 1 � R � Uo m m m m a, m �aa ❑ 09 0 e o,� 9 of mm c Q 4 4 4 4 Q O NM -t tP I- ma10i ai°imvmm R rrrrrr V d a L h m NON N In N L II II II II II II w Y L T Of Z o O a r m IM o l M M M M m m 0 d 4a d w U G h L R O � m L ° n CO N O N } N V n O M V a¢ R a V U a ^ N M d N t0 Y Y Y Y Y A �•- •Nmvu7m N N > > a 7 0 0 2 2 2 2 2 2 m ° m a° v E E E E E E L U wwww a �y o_ � II II II II II II II d � a V Oa m a 0 R &rnrnrnrnrnm F, N0 N O a= CL o F 3 L (n x M x x x F d ld 7 L tJ GPE Q P E wo 0 e r � =E U •.� UW M ^ N M d (O N O 25C -52 r >r }rr 12 E N 2 2 2 0 7 > > > > 2 2 2 2 2 2 E E E E E E wW"wwww 0 0 CD ^ L e m � 7 W V M p 8 C p M a p co 2U r y II II II II II II II O a - 7 i EXHIBIT 10 -H COST PROPOSAL Consultant: Civil Works Engineers Contract No.: 14 -011 Date: 1017/2014 DIRECT LABOR ClessiflcatlonRitle Name Hours Actual Hourly Rate Total Principal In Charge Marla Marston 51 $72.00 $3,672.00 Drainage Engineer Francois Zugmeyer 178 $53.50 $9,523.00 Roadway Engineer David Grantham 66 $49.00 $3,332.00 Junior Engineer Lander Phan 148 $36,50 $5,402.00 Clerical Clark Pilcher 8 $2650 $212.00 $0,00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 LABOR COSTS a) Subtotal of Direct Labor Costs b) Anticipated Salary Increases (3 % /yr, 5 year duration) FRINGE BENEFITS d) Fringe Benefits (Rate: 20% INDIRECT COSTS 0 Overhead (Rate: 120 %) h) General and Administrative (Rate: 0 %) FIXED FEE (Profit) (Rate: to %) OTHER DIRECT COSTS (ODC) 1) Travel /Mlleege Coate m) Equipment Rental and Supplies (Including Mailing and Reproductions) n) Permit Fees o) Subcansultant Costs LPP 13 -01 $22,141.00 $70300 c) TOTAL DIRECT LABOR COSTS $22,844.00 e) TOTAL FRINGE BENEFITS $4,568.80 g) Overhead $27,413 1) Gen and Admin $0 J) TOTAL INDIRECT COSTS $27,413 k) TOTAL PROFIT $5,483 $200 $350 $0 $0 p) TOTAL OTHER DIRECT COSTS $550 TOTAL COST $60,858 25C -53 r 0 N G N N O V' r 0 Z L b U >5 U C N O 0 O L 7 i } i1f � w A ? y � '6 O x N SJ y Q O .IJ.a f 6 I yN O 0 ¢ 0 a {d O V L m O m T N T � � 4a — ¢ r a 3 E 00 „G y a� L17 roN m8 U o T N N N ,M1N, 41 N m''m mmmTn 7 7 J 0 J J C Q Q Q Q Q Q b N M V 10 Sp I-� � da10i a`0i�vd U d m O b. 9 O, m W d'O tDM T O I/MIf� Ui tDM A d II II II II II I L A 6 a Lb o t9 a °e e•a° d D M M M M M M N Q � a V C + + + + + + N b T ro b V- N � AzwCpi covocn Ox��ca va fR U3 t �Q m v U N N N ro N N N rrrr }r o o 0 0 0 0 0; 2 7 x x x 2 Oaac'u� N N N d W E EE E E E E E, E N h N 2 -v W W W Ili W v r a 0 r � 0 Y F- A II II II II II II II A m t O. u o d a a O 4J �%MMMMMM N y o ao Y_ F n� r R N N M N M N T d O. w Y 3 z W V� N aNi e U 'a R W U M 25C -54 0 D O O O d 6 'x4 x�x'pO=xx EEEEEE wwwwww 9 O L O d m Er�m�aoo � OI N c0 4 O �U y ` II it II II II II T 7 .s a Lm N >s T U V M N N O O C E° C m ,O y m W V YJ W �n a V � C +� m oio�ri ui �i m= a= U m 16 4 U V r N M 7 N O 0 W O 0 F' m a rQ .v v o II II m y C � O — v A o n N Q O � a � W M 1.2 � E N ,LU O W EXHIBIT 10 -H COST PROPOSAL Consultant: Earth Mechanics, Inc. Contract No.: 14 -011 Date: 10/7)201 4 DIRECT LABOR Class lticallonri'lle Name Hours Actual Hourly Rate Total Project Manager 110 $76.50 $8,415.00 QArQC Engineer 20 $76,50 $1,530.00 Senior Project Engineer 216 $43.50 $9,396.00 Senior Staff Geologist 70 $32.50 $2,275.00 Staff Engineer 52 $26.60 $1,383,20 Soil Tech. 78 $32,00 $2,496.00 Cledoai 2 $16.15 $32.30 $0.00 $0.00 $0,00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 LABOR COSTS a) Subtotal of Direct Labor Costs b) Anticipated Salary Increases (3 %/yr, 5 year duration) FRINGE BENEFITS d) Fringe Benefits (Rate: 24%) INDIRECT COSTS f) Overhead (Rate: 148,42 %) h) General and Adminlatrative (Rate: 0 %) FIXED FEE (profit) (Rate: 10 %) OTHER DIRECT COSTS (ODC) 1) Travel /Mileage Coats rn) Equipment Rental and Supplies (Including Malting and Reproductions) n) Penult Fees 0) Subconsullant Costs LPP 13 -01 $25,527.50 $709.50 c) TOTAL DIRECT LABOR COSTS $26,297.00 a) TOTAL FRINGE BENEFITS $6,311.28 g) Overhead $39,030 1) Gen and Admin $0 I) TOTAL INDIRECT COSTS $39,030 k) TOTAL PROFIT $7,164 $150 $17,695 $0 $0 P) TOTAL OTHER DIRECT COSTS $17,845 TOTAL COST $96,647 25C -55 N_ O N m r Y' O r z° w ro 0 f C mCm N O AM b O U 0 V L r O w+ T T 7 3 N O , 2 N , m i U Q U) II II Q tti J � N L 0 A O a i 0 m O O O 9l 5 +L+ 2 Q m i N `n m N 0 9 _Ta i N 7 O U t N N i � N �m d 3� m Uo r y}r Sr T T T T a 0 x °x ° 0 x °x°x 2° 4 m> i WX l . • 'C011ewwew Consultant: Coast Survey Contract No.: 14 -011 Date: 10/7/2014 DIRECT LABOR ClassifloatlonfTltle Name Hours Actual Hourly Rate Total Survey Manager 4 $66.00 $28470 Projerl Surveyor 16 $00.76 $812.18 Survey Analyst 31 $40.20 $1,246.20 Party Chief 44 V1,5.76 $2,013.44 Chairman 44 $40.51 $1,782.44 $0.00 $0.00 KOO $0.00 $0.00 $0.00 $0.06 $0.00 $0.06 $0.00 K00 LABOR COSTS a) Subtotal of Direct Labor Costs b) Anticipated Salary Increases (3 % /yr, 5 year duration) FRINGE BENEFITS d) Fringe Benefits (Rats: 27% INDIRECT COSTS f) Overhead (Rate: 160.23 %) h) General and Administrative (Rate: 0 %) FIXED FEE (Profit) (Rate: 10 %) OTHER DIRECT COSTS (DOC) 1) Travel /Mileage Costs m) Equipment Rental and Suppilas (Including Mailing and Reproductions) n) Permit Fees a) Subconsultant Costs LPP 13 -01 $6,11824 $36.76 c) TOTAL DIRECT LABOR COSTS $6,155.00 e) TOTAL FRINGE BENEFITS $1,681.85 9) Overhead $9,247 1) Gen and Admin $0 J) TOTAL INDIRECT COSTS $9,247 k) TOTAL PROFIT $1,706 $o $3,495 $0 $0 p) TOTAL OTHER DIRECT COSTS $3,495 TOTAL COST $22,265 25C -57 a N_ Gl N 09 d T O r O z m C O u c :d 7 C O V' O O r 4 U .00 } {0 � w >. L � m r o O =° v � Q @ � y 7 N Q If 11 g N L Q Q d 100 0 C U M L) c 0) 3 S O L F°- 01 a w r � \ O o- w o � o i N 7 @ 00 `w � O � > j 07 d d 7 J 0 A v UQ r N N N N N FN, TT TTT_T 2 2 L 2 2 2 a mm mmol m C Q d Q d Q 4 O N M C M D r N� N a 0 •' d' O 01 � M fp T V� 3 dam' } 64 N N � FPr bT E9 H >1 N II II II II II II L i 0 t ,o m i W o a e o 0 0 y.°mmmmm M Q @ 0 d Q � a 0) OS 0 c + + + + ++ N N A N w N O l' TN eI' OCS C'M I- MR t j 0> Q a 0 R U N M d' M W rrr " }rr J J 7 4 J J S T 2 2 2 2 w ai Bi r d (D EEEEEE 'u N � N t W W W W W W } =a�rN OOtlCS M T 0 m II II II II II II It >h N i L a 0 O d ly o p 0>Urnrnmmmrn N J m ° a ° 3 >1 d CL r O ro L W y� U O1 00 r � la � 0 V W ri rrrrrr� 25C -58 Y Y Y T Y N N 4 V ✓" E E E E E E EisEEE U E UI N N N i W W W W W W 0 O L O � d E a rn N Er 'dcy?pp 1@@ I P 4 b 0 M 4 f9 63 �U Il II II II II II II II C V A 0 N b o � L LOU y O L N U N O J L U N N =E .O - m N W s v IIi Im G V �o J V �Ct °u�o 0 4 v(6 m 6 1 � T � J O � 2 V � R R u d' N ttl N R @ @ m °S 0. O w W @ N U y O d O a m �6 p 4 0 B a io U o � a J @ E N aw EXHIBIT 10 -H COST PROPOSAL Consultant: Tatsumi & Partners Contract ND: 14 -011 Date: 10/7(201 DIRECT LABOR Classificatio0?itle Name Hours Actual Hourly Rate Total Principal in Charge 4 $103.00 $412.00 Associate 10 $47,25 $472.50 Tech Skiff III 39 $41.90 $1,618.50 Tech staff II 76 $39.00 $2,964.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.60 $0.00 $0.00 LABOR COSTS a) Subtotal of Direct Labor Costs h) Anticipated Salary Increases (S % /yr, 5 year duration) FRINGE BENEFITS d) Fringe Benefits (Rate: 18 -A) INDIRECT COSTS f) Overhead (Rats: 108°/x) h) General and Administrative (Rata: 0%) FIXED FEE (Profit) (Rate: 10 %) OTHER DIRECT COSTS (ODC) 1) TravellMileage Costs m) Equipment Rental and Supplies (Including Mailing and Reproductions) U) Permit Fees a) Subconsultant Casts LPP 13 -01 $5,467.00 $162.00 c) TOTAL DIRECT LABOR COSTS $5,629.00 e) TOTAL FRINGE BENEFITS $1,013,22 g) Overhead $6,079 1) Gen and Admin $0 1) TOTAL INDIRECT COSTS $6,070 k) TOTAL PROFIT $1,272 $750 $250 $0 $0 p) TOTAL OTHER DIRECT COSTS $1,000 TOTAL COST $14,994 25C -59 I N h O (U w f6 N r CD 0 v Z O U 70 c %n c U O a c 0 � U C } a dm V� ? M b O N S a � HY O =4 N � II it a J G N L O d � Q R O C U N � Qr h d 3 o 2 Q N L �° d A w r \ � O w O � Q �+ a` u O = U W Qm Ln v N o >a A0) 3 J U � wo r T T T T S S m m m m �T OI = Q 4 G 4 d 4 O NM srN (Dh R N N N N N N v ar FL 0 L {OM 6M0 >, my oro 0 N O If It II II II II d L T 7 �O o U to M LL o 0 0 o n o gS M M M M M M NO N Y o a Q1 ro c + + + + + + N M w {{pp 7YL MtNO 0� MbY OSuer lam& s ; CD d as u iC U c-NM 4' {O fo } } } } o J J 0 o 0 2 2 2 2 2 5 E E E E E E E E E E m E .N .N 11 . _9 V, wwwwww d a rn b E2 O A n u u 11 n n 11 tip QI — yy {6 t°o U L Q Q. o p 16 � MMMORM+O+ O H E2 N 0 d ° T L C6 x a x x x a A L Q � v r 7 L W d �a w� � m V 'L U ri 25C -60 ID- � N 0 N M V M b td N N t�J N f6 YYYY >?� > > a > > 2 2 2 T 2 2 N N N N m m m m m m E E E E E E I�L1 W W W W U1 r O O L � EY°o° °moo �, m•��uNr�bv O Y L II II II II II II II A c L � 7 @ O ° u W 0 � N C L N i y U N m O _AU N Qhi f0 tpOOU .Y O c L J v W � N p O N �w v x x x x x x C rJ .00 N m O U O O M w M ro m M h h M M f0 [V dl 0 T � O �x V Ol N U d4 •-NM d'4� cp irYrri m a 0 m h c2 ° ) v (1 N C N � — J p N R O � O J W O N o w EXHIBIT 10 -H COST PROPOSAL Consultant: LSA Associates Inc. Contract No.: 14.011 Data: 10 /7/2014 DIRECT LABOR Class Ificatloarrltle Name Hours Actual Hourly Rate Total Principal (CC) Rob MoCann 26 $98.44 $2,461.00 Principal(Biology) Art HOmnghausen 22 $69,71 $1,533.62 Principal (Cultural) Deborah McLean 12 $5625 $675.00 Associate (Env Lead) Lisa Williams 204 $50.89 $10,373,40 Associate Ingri Coon 70 $40.00 $2,800.00 Senior Technical Specialist Tarr! Fulton 74 538.62 $2,857.88 Senior Technical Specialist Chris Melon[ 52 $32.69 $1,699.88 Senior Technical Specialist Josiah Lui 40 $37,02 $1,480,80 Environmental Specialist Erin Martinelll 60 $29.33 $1,759.80 Enivronmental Planner Carman to 170 $27,76 $4,719.20 Assistant Environmental Planner Janet Cutler 34 $20.43 $694.62 GIS Justin Rocs 109 $41,03 $4,472.27 WP /Clerical Lauren Johnson 67 $26,34 $2,204,58 Office Assistant Litia Makakauf9kl 12 $19.10 $229.20 LABOR COSTS a) Subtotal of Direct Labor Costs b) Anticipated Salary Increases (3 0lolyr, 5 year duration) FRINGE BENEFITS d) Fringe Benefits (Rate: 91.85% INDIRECT COSTS f) Overhead (Rate: 42.35 %) h) General and Administrative (Rate: 46.68 %) FIXED FEE (Profit) (Rota: 10 %) OTHER DIRECT COSTS (ODC) 1) Travel /Mlleage Caste m) Equipment Rental and Supplies (Including Mailing and Reproductions) n) Permit Fees o) Records Searches LPP 13 -01 $37,961.25 $1,149.75 c) TOTAL DIRECT LABOR COSTS $39,111.00 e) TOTAL FRINGE BENEFITS $35,923.45 g) Overhead $16,564 1) Gen and Admin $19,039 J) TOTAL INDIRECT COSTS $35,603 k) TOTAL PROFIT $11,064 $520 $'1,395 $12,900 $1,200 p) TOTAL OTHER DIRECT COSTS $16,115 TOTAL COST $136,816 25C -61 0 N_ O e- N f6 C] Q d- p Z O A J C M C O 0' ym T} T T T T 0 0 0 9 0 3 m 2 i S S 2 T .. o y a m�rnm mm m ¢ ¢ 4 ¢ 4 d L V C N M lt* M (p h r� � w m v v a4Qi a1°i w N N T O .S N N N K T p D. N V iqq�vOyy f�SO O T 4 t6 II II O II II II II II J L N � 7 O e � p p v0 0 d� ar C U n U W o .° o 0 o a 000 Q) pM MMmMM E2 N N a 46 2.o O `ry h A d T V N es C + Z o d id a — �e Ta L 7 w 0 U y m d%p,�cn i�,OhWNON f9 S m N t rn R a � m v� v U� U a'� N NMd 47O 0 z° 0 0 0 s° E E E E E E N N '7� N WWwWWw } UI N O = O~ r II II II N - T a v o aria c E Q m m rn r N o O O p F- c� v T >r 7 L U G w E om�" y U d o w $j A m 7 U .N Uw M m rn3 . e 0 m o o d Ip 000 25C -62 O N N W (0 N N >rYN }N-YY 0 0 ] > > 3 z r x °z °M EEEMEMEOE � wwwwww 7 O t O V d C G C N w C M p 0.(p 00o 0 Y � II II II II II II T 0 Y P 7 5 O � a y W � N 3 S � c 7 L V C m O L ea w LU C 7 r O �+ 4i m 9 VOi0 N gg 0 h � �c O o �x V m U 4 �-NMd Ip ro i6 t6 IO N N N ' YY >YY? N d 0 m 0 l0 N II II N N N M c y o m m a Qo N Q U d N Q W EXHIBIT 10 -H COST PROPOSAL Consultant: Civil Works Engineers Contract No.: 14-011 Date: 10/7/201 DIRECT LABOR Classlflcatlonn'Itle Name Hours Actual Hourly Rate Total Principal In Charge Marla Marston 37 $72-00 $2,664.00 Drainage Engineer Francois Xugmeyer 150 $53.50 $8,025.00 Roadway Engineer David Grantham 99 $49.00 $4,651.00 Junior Engineer Lander Pham 148 $3U0 $5,402,00 Clerical Clark Pitcher 8 $26.50 $212.00 $0.00 $0.00 $0.00 $0.60 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 LABOR COSTS a) Subtotal of Direct Labor Costs b) Anticipated Salary Increases (3 % /yr, 5 year duratlon) FRINGE BENEFITS d) Fringe Benefits (Rate: 20%) INDIRECT COSTS I) Overhead (Rate: 120 %) h) General and Administrative (Rate: 0%) FIXED FEE (Profit) (Rate: 10%) OTHER DIRECT COSTS (ODC) 1) Travel /Mileage Costs m) Equipment Rental and Supplies (Including Mailing and Reproductions) n) Permit Fees o) Subconsultant Casts LPP 13 -01 $21,154.00 $672.00 C) TOTAL DIRECT LABOR COSTS $21,826.00 a) TOTAL FRINGE BENEFITS $4,365,20 g) Overhead $26,191 1) Can and Admin $0 )) TOTAL INDIRECT COSTS $26,191 k) TOTAL PROFIT $5,236 $200 $350 $0 $0 p) TOTAL OTHER DIRECT COSTS $550 TOTAL COST $58,171 25C -63 0 N C O r N W d l'^ O z c 0 U C y 0 U _ c y UL 7 `- L } N 0 W T A N � m 'S = o� xI � m A � 7 L II II O A J W N L O d O` yd a M o U N d m Q R L F d 7n UI r L F1 O i o as O o L U O a� R m t6 � N d b a 7 J +J ,J f5 W Uo t- N N N N Ali N J 3 0 J 7 a x 2 x x x x .,� wwrnaww Q'a'¢ N M u. R m N W N N W rr } }rr U1 m d O o. 0 L O W O h o N Q M h M M V �- � OI o N hi u'i r L yr vp «n en av v� d 9. b Q II II II II 11 11 d A L 7 0 0 Q _ N M W a o 0 0 0 0 >' p M M M M M M N O � o U) m L V C L d) A ro w d b' T4}O W OhU y,� WMI+MSO� L of IU Q m :1 U N �NMd'�n c0 a:=== 2 E E E E N E E E E E E E W W W WI W W N } N yy- O x s� +� F Y II II If (I II II II B R Va 0 a�i a o Q y y 3 � D T F L L CL y } � t L w C�C ao e o 0 o d o C O M N O U O y U d o � v � N aE O bw U Ni r N M V If) M�p N N EN N N N D 25C -64 } } Y Y r Y 0 0 0 0 0 0 xsxsxx E E E N N N E E E E_ E E �1 w wwww Wua O t o d OR 7 9 o 0 � w °n.��oM a w II II II II II II II ` o C � m t A � d E W N 5 L E j g v v p O N IN O O V r = L J EN h E � W � ,IIJP « M M M M rc W C 3 Rm� (D O N C] h (h U �co M,hMmvi; R � 0 V m V Q a �Nm�r'�nco N m a 0 ,d c Y3 II II Iv m � m a U N C � O J 1 E O J E I] O �O d 7 T M AOF a � E N y p W EXHIBIT 10 -H COST PROPOSAL Consultant: Earth Mechanics, Inc. Contract No.: 14011 Date: 10/7/2014 DIRECT LABOR ClasslFlcatlonlTltle Name Hours Actual Hourly Rate Total Project Manager 7 $76.50 $535.50 WOO Engineer 20 $76.50 $1,530.00 Senior Project Engineer 255 $43.60 $11,136.00 Senior Staff Geologist 70 $32.50 $2,275.00 Staff Engineer 52 $26.60 $1,383.20 Soil Tech. 78 $32100 $2,496.00 Clerical 2 $1615 $32,30 $0.00 $0.00 $0.00 $0.00 $0.00 $0,00 $0.00 $6.00 $0.00 LABOR COSTS a) Subtotal of Direct Labor Coats b) Anticipated Salary Increases (3 %(yr, 5 year duration) FRINGE BENEFITS d) Fringe Benefits (Rate: 24 %) INDIRECT COSTS I) Overhead (Rate: 148,42 %) h) General and Administrative (Rate: 0 %) FIXED FEE (Profit) (Rate: 10 %) OTHER DIRECT COSTS (ODC) 1) Travei/Mlleage Costs m) Equipment Rental and Supplies (Including Malting and Reproductions) r) Permit Fees c) Subconaultant Costs -PP 13 -D1 $19,388,00 $685.00 c) TOTAL DIRECT LABOR COSTS $19,973.00 e) TOTAL FRINGE BENEFITS $4,793.52 g) Overhead $29,844 1) Gen and Admin $0 J) TOTAL INDIRECT COSTS $29,644 k) TOTAL PROFIT $5,441 $150 $17,595 $0 $0 p) TOTAL OTHER DIRECT COSTS $17,845 TOTAL COST $77,696 25C -65 Q N C 4 r— Z 2 C C U c N c O U c a Q' 0 � U o A b =m « ro 7 ¢ N LO II II R J G y (] O *' a }Gq 6 yr U y C 0 a° O x O L F M T r � � Q u- ` m O a L N 7 0 00 L M m ro M yAfH R N d R .oa V itl � Uo r^ mm•N @m@ 7 7 0 0 0 0 0 0 0 0 0 0 S S x 2 T S . O NM�I'hMti u }r } }rr a d C L r mm crM Q <Y to m M r A 7+ R L Q II II II 11 II II d R A L C d IM N R W 3:0 0�0 0 0 y O M M M M m M 4 N Q a d G e + + + + + + Lo R .T1 R w Y N � UMMW+ -nl M cti X al N d N 9 G U s �-N M•�W 10 t0 �' NM d'tn 10 rrrir "i 0 0 0 0 0 0 T TS'2p 2�Tt � N N Ui N Ui m@midmm E E- E E E N N Y0 N N wwwwww a O = t � O ~ � II II II II II II II R T N G � aRi a o O d U u� In �n In In In +' m mco roco M � � 3 G O T�a F 7 g L Q � } L W R% 6o a pN 00 in004 � U tll o Y V 3 @ U N R w U ME r N M V 0 0 25C -66 N tU N N N (0 d w W w w w w r Q M d � rn E i I°q�orN OOw C7 r- W 'o d�mN �Uu�y3,�ia .d1 > O 7 N sS � y w 3 n 0 O V E am a o� w r v w i > � o u @ yC n O @ o 7 2 G rn R U Ti W M � isr O C N u @ c „m `o G_ @ O J a @ Q O O M O O a � E o w r >0>0 o E2 @ �o 0 @ a 2TT-SOS 2 'Q' E E E E E E c d w W w w w w r Q M d � rn E i I°q�orN OOw C7 r- W 'o d�mN �Uu�y3,�ia .d1 > O 7 N sS � y w 3 n 0 O V E am a o� w r v w i > � o u @ yC n O @ o 7 2 G rn R U Ti W M � isr O C N u @ c „m `o G_ @ O J a @ Q O O M O O a � E o w EXHIBIT 10 -H COST PROPOSAL Consultant: Coast Survey Contract No.: 14.011 Date: 10/7/2014 DIRECT LABOR ClasslflcatlonITltle Name Hours Actual Hourly Rate Tote] Survey Manager 4 $66.00 $264.00 Project Surveyor 16 $50.76 $812.16 Survey Analyst 31 $40.20 $1,248.20 Party Chief 44 $45.76 $2,013.44 Chainman 44 $40.51 $1,782.44 $0.00 $0.00 $0.00 $0.00 $0.66 $0.66 $0.00 $0.06 $0.00 $0.00 $0.00 LABOR COSTS a) Subtotal of Direct Labor Costs b) Anticipated Salary Increases (3 % /yr, 5 year duration) FRINGE BENEFITS d) Fringe Benefits (Rate: 27 %) INDIRECT COSTS 0 Overhead (Rate: 150.23 %) h) General and Adminlstrative (Rate: 0 %) FIXED FEE (Profit) (Rate: 10 %) OTHER DIRECT COSTS (ODC) 1) Travel /Mileage Costs m) Equipment Rental and Supplies (Including Melling and ReproductlonB) n) Permit Fees o) Subconsultant Costs LPP 13 -01 $6,118.24 $30.70 0) TOTAL DIRECT LABOR COSTS $6,155.00 e) TOTAL FRINGE BENEFITS $1,661.86 g) Overhead $9,247 I) Gen and Admin $0 J) TOTAL INDIRECT COSTS $9,247 Ic) TOTAL PROFIT $1,796 $0 $3,495 $0 $0 p) TOTAL OTHER DIRECT COSTS $3,495 TOTAL COST $22,265 25C -67 0 N Q 0 O C1 Z O U C m c 0 7 Q N U 0 R � Y O Y v d R ,9 a T ao 2 O N L II II m J Y W N L Q p o f0 P � U M N 4 0 2 O R L F d N O w Y O o 7+ a L N 7 O 4 U .c R � to 0 J M w U Y U R d R R T T T T?n T 0 0 O > > 0 0 0 0 0 0 0 xxzzxx m m m m �rn �rn ❑ aa O NM V to Ol`• ro N N N N N W m r }rrrr W Vi d d O a 0 T C V V O N N = rs+ ran ea � vi• w m O!� ro p II II II II II II o N A Ti 7 c S 'o(� 47 U 0 Q1 R m W G T A w i N d O O 12 O a2ei �so�s��� s � a4+ a W U cV N M V �0 rp N M V N (O T 12 L) E xxxx00 E E E E E E W W W W W W v _ o a= O t m �+ Ip � II II (1 II II II II s R T N W o4 aroia e 0 d UOn Opwrnmrn � E a H 0 a) D T ? Q R 3 L ryl . x x x x a L Q O m sW EQ�Q O O O b 0 y U d c ro � 3 R W �w U ai 25C -68 0 �-N Md t0 W N N t6 N R N W W W W W W 7 4 r 4 n v E7°'Oi�O000 CI++ m O O oOo oO t o�� % II II 11 II II II II 0 � o Oy R N W 07 gj s � m � O „1y U '0000 V 4_ no YC � E = R O 4 Y W O ro � R N W O1 7 � .00 V R G � N � N ?` m 0 3 x W rn ro 4 U d• .- N M V 0 0 r Er�i; 0 a N 0 a UJ O J I m m 0 m � c O Q 0 E W o a 'o 'o 'R 0 0 x 3:3: R m W W W W W W 7 4 r 4 n v E7°'Oi�O000 CI++ m O O oOo oO t o�� % II II 11 II II II II 0 � o Oy R N W 07 gj s � m � O „1y U '0000 V 4_ no YC � E = R O 4 Y W O ro � R N W O1 7 � .00 V R G � N � N ?` m 0 3 x W rn ro 4 U d• .- N M V 0 0 r Er�i; 0 a N 0 a UJ O J I m m 0 m � c O Q 0 E W EXHIBIT 10 -H COST PROPOSAL Consultant: Tatsumi & Partners Contract No.: 14 -011 Date: 10/7/201 DIRECT LABOR Classlflcatlonfritle Name Hours Actual Hourly Rate Total Principal In Charge 4 $103.00 $412.00 Associate $162.00 10 $47.25 $472.50 Tech Staff 111 FRINGE BENEFITS 39 $41.50 $1,018,60 Tech Staff ll e) TOTAL FRINGE BENEFITS 76 $39.00 $2,964.00 f) Overhead (Rate: 108 %) $0.00 $6,079 h) General and Administrative (Rate: 0%) 1) Gon and Admin $0.00 j) TOTAL INDIRECT COSTS $0.00 FIXED FEE (Profit) $0.00 k) TOTAL PROFIT $1,272 OTHER DIRECT COSTS (DOC) $0.00 1) Travel /Mlleage Costs $0.00 m) Equipment Rental and Supplies (Including Melling and Reproductions) $250 $0.00 n) Permit Foes $0 $0.00 $0 $0.00 $1,000 $0.00 $0.00 $0.00 LABOR COSTS a) Subtotal of Direct Labor Costs $5,467.00 b) Anticipated Salary Increases (30/dyr, 5 year duration) $162.00 c) TOTAL DIRECT LABOR COSTS $5,629.00 FRINGE BENEFITS d) Fringe Benefits (Rate: 18 %) e) TOTAL FRINGE BENEFITS $1,013.22 INDIRECT COSTS f) Overhead (Rate: 108 %) g) Overhead $6,079 h) General and Administrative (Rate: 0%) 1) Gon and Admin $0 j) TOTAL INDIRECT COSTS $6,079 FIXED FEE (Profit) (Rate: 10M) k) TOTAL PROFIT $1,272 OTHER DIRECT COSTS (DOC) 1) Travel /Mlleage Costs $750 m) Equipment Rental and Supplies (Including Melling and Reproductions) $250 n) Permit Foes $0 a) Subconsultant Costs $0 p) TOTAL OTHER DIRECT COSTS $1,000 LPP 13 -01 TOTAL COST $14,994 25C -69 T C) N N O T O N O V' O 2 N C 0 U C O i C D a' 0 �U E >- r � Y A � D M 0 � 2 N ON N q If II s R U N L Q Q O a N O ,fJ U m C N tlf � 2 O m L A N L N N M °- Aa O ° r U a V � N lV � d A In U .p r y +N+ N 61 N N N (tl N R N N aaaaaa 2 Z Z S= T �? m rn rn m m rn n > > > > > > C Nava¢¢ p Nm vnmr L N d d p Q Q fD 4. MN: ci6 fo In T R L p II II II II II II A oL_ C Z 01 .D m m m M m m a� 0 d Q r a N d U C L A w w m R OZ 64 4Pr � Hi U} 6g O V^ V d N ro v i0 U a } } } } }} "NM d a(O 2 2 2 2 0 2 E E E E E E W W w W W W W v N y_ a IL j N nl (fl O O O c oS O s � 0 O ~ �' II II II II II 11 II a d — 'O a U O wa 1 N o O Ql U m rn m rn m rn- .W N N 0 fY A � Q P V F- L A (V � Q N } � s L W R a 0 0 o n o Q U�? hv�u> oc7o a r U. c7 R U 0 ° Y Y Y Y Y Y~ 25C -70 rNM V'NfD N 0 0 0 0 0 0 2'2'pp a o �, ''SppS22 N W N� N EgEE,E2 - - N r �q W W W W W W 3 O Off L ° }coo D'�m o0 ^0 0 c dV N°OR .O ap+ ILO II II II II II II II }' o T. - tl y m W N m ra 7 O O y,�Nmm<000U a� O � L d O E m N N tm C °3 �I U top M t°O C? IOC, r � T lQ � a= v o, U V 4 } } } } } } m cN° �"fPr 0 Q: d 0 td 0 a N d J 0 L, 0 m a In 0 N O 0 0 N E W EXHIBIT B ADDITIONAL INSURED .ENDORSEMENT Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1, The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702; its officers, employees, agents and volunteers are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and Is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included, 4. With respect to the additional insureds, this insurance shall not be canceled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective , this endorsement form as a part of Policy # Issued to Named Insured Date: Countersigned by Authorized Representative of Insurer Or Insurance Agent 25C -71 25C -72 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: APPROVE A MEMORANDUM OF UNDERSTANDING BETWEEN OCTA AND CITY OF SANTA ANA FOR THE 17TH STREET GRADE SEPARATION (STRATEGIC PLAN NO. 6, 1, G) CITY MANAGE CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager to execute the Memorandum of Understanding between the Orange County Transportation Authority and the City of Santa Ana defining the roles and responsibilities for preparation of a Project Report Equivalent and Environmental Document for the 17th Street Grade Separation at the Los Angeles -San Diego -San Luis Obispo Rail Corridor. The City of Santa Ana, in cooperation with the Orange County Transportation Authority (OCTA) and the Southern California Regional Rail Authority (SCRRA), proposes to construct a grade separation at the 17th Street grade crossing along the Los Angeles -San Diego-San Luis Obispo ( LOSSAN) corridor. The LOSSAN corridor is operated and maintained by Metrolink with operating rights assigned to Amtrak and the Burlington Northern Santa Fe Railway. The 17th Street grade separation will provide a safe and uninterrupted crossing for traffic and pedestrians at the at -grade railroad tracks. This crossing is on the California Public Utilities Commission Grade Separation Priority List of highest priority regional locations for grade separations. In addition, 17th Street is one of the City's most important east -west arterials, providing the local community with mobility and connectivity. A Project Study Report Equivalent (PSRE) was prepared and approved by OCTA in July 2012. The report consists of alternative options and preliminary alignments, including potential utility, environmental, and right - of—way impacts, and cost estimates. The purpose of the report is to ensure appropriate consideration is given to the project benefits, impacts, and safety improvements on a regional basis. The outcome of the PSRE resulted in three alternatives, and the undercrossing of 17th Street at both the railroad corridor and Lincoln Avenue is the leading option at an estimated cost of $55 million. The next step in this project is to complete the technical studies and the environmental document. After that is done, the project would become eligible for funding to complete the design engineering, right -of —way acquisition, and construction phases. 2501-1 MOU for 17th Street Grade Separation December 2, 2014 Page 2 To move forward with the technical studies and environmental document, staff recommends approving the Memorandum of Understanding (MOU) with OCTA. The MOU specifies that OCTA will be the lead for preparation of the Project Report Equivalent and Environmental Document (PRE /ED), and the City will be the lead for the California Environmental Quality Act process. OCTA will be engaging a consultant to complete the PRE/ED. The City will participate in project meetings, provide design review and support to the consultant, and will review and approve the PRE /ED. STRATEGIC PLAN 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). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. This project phase will be funded by OCTA with Measure M2 sales tax and state and/or federal funds. Executive Director Public Works Agency FMNVEG /JG Exhibit 1: MOU 25D -2 1 2 3 4 s 6 7 8 9 1a 11 12 13 14 1s 14 tT 18 19 20 21 22 23 24 2s 26 EXHIBIT 1 MEMORANDUM OF UNDERSTANDING NO;C- 4.1772 BETWEEN ORANGE COUNTY TRANSPORTATION AUTHORITY AND CITY OF SANTA ANA FOR SEVENTEENTH STREET GRADE SEPARATION PROJECT The Following Memorandum of Understanding ( "MOU ") is effective 2014, entered into by and between the Orange County Transportation Authority, 550 South Main Street, PO. Box 14184, Orange, California 92862 -1584, a public corporation of the State of California (hereinafter referred to as "AUTHORITY) and the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701 (hereinafter referred to as "CITY ") with regard to the following matters: RECITALS: WHEREAS, CITY and AUTHORITY wish to define roles and responsibilities to prepare Project Report Equivalent and Environmental Document (PRE/ED) for the grade separation at the 17�h Street grade crossing along the Los Angeles -San Diego -San Luis Obispo (LOSSAN) corridor as defined in the Exhibit A, "Project Description, Seventeenth Street Grade Separation Project" (hereinafter referred to as "PROJECT "). WHEREAS, AUTHORITY agrees to take the lead on the preparation of the PRE /ED for the PROJECT; and WHEREAS, the CITY is the lead agency for the California Environmental Quality Act (CEOA) and the California Department of Transportation (Caltrans) is the lead agency for the National Environmental Protection Act (NEPA) for the PROJECT; and NOW, THEREFORE, it is mutually understood and agreed by AUTHORITY and CITY as follows: Page 1 of 5 2501-3 MEMORANDUM OF UNDERSTANDING NO. CA -1772 7 ARTICLE 1. COMPLETE AGREEMENT 2 This MOU, including all exhibits and documents incorporated herein and made applicable by s reference, constitutes the complete and exclusive statement of the term(s) and condition(s) of the 4 agreement between AUTHORITY and CITY and it supersedes all prior representations, s understandings and communications. The invalidity in whole or part of any term or condition of this G Agreement shall not affect the validity of other terms or conditions. 7 ARTICLE 2. RESPONSIBILITIES OF AUTHORITY a AUTHORITY agrees to the following: 9 A. AUTHORITY agrees to take the lead on the preparation of the PRE /ED documents for the ro PROJECT. n B. AUTHORITY agrees to submit PRE /ED to CITY for review and approval for the PROJECT, 12 ARTICLE & RESPONSIBILITIES OF CITY 13 CITY agrees to the following: 74 A. CITY agrees to attend Project Development Team, environmental, .design, and public. 15 Outreach meetings for the PROJECT. 16 R CITY agrees to provide design review support and approval, including but not limited to, 17 geometrics, construction staging, traffic management plan, right -of -way, utilities, and drainage for the is PROJECT. is C. CITY agrees to take the lead to complete and file the Statutorily Exemption (SE) form forthe 20 PROJECT. 21 D. CITY agrees to assist in providing input and support necessary to complete the Categorical 22 Exclusion (CE) and studies for the PROJECT. 23 E. CITY agrees to review, approve, and sign the PRE /ED prepared by AUTHORITY for the 24 PROJECT. 25 ARTICLE 4, DELEGATED AUTHORITY 26 The actions required to be taken by CITY in the implementation of this MOU are delegated to Page 2 of 5 2501-4 MEMORANDUM OF UNDERSTANDING NO. C -4 -1772 I its City Manager, or his /her designee, and the actions required to be taken by AUTHORITY in the 2 implementation for this MOU are delegated to its Chief Executive Officer, or his designee. 3 ARTICLE 7. ADDITIONAL PROVISIONS 4 The AUTHORITY and CITY agree to the following mutual responsibilities for PROJECT: 5 A. Term of A reement — All work under this MOU shall be completed no later than November 6 30, 2018, unless terminated earlier, or extended, by mutual written consent by both Parties. 7 B. This MOU may only be modified or amended In writing. All modifications, amendments, 8 changes and revisions of this MOU in whole or part, and from time to time, shall be binding upon the 9 parties, so long as the same shall be in writing and executed by AUTHORITY and CITY. Is C. This MOU shall be governed by and construed with the federal, state and local laws. 11 AUTHORITY and CITY warrant that in the performance of this MOU., it shall comply with all applicable 12 federal, state and local laws, statutes and ordinances and all lawful orders, rules and regulations 13 promulgated thereunder.. 14 D. Either party shall be excused from performing its obligations under this Agreement during is the time and to the extent that it is prevented from performing by an unforeseeable cause beyond its 16 control, including but not limited tot any incidence of fire, flood; acts of God; commandeering of material, 17 products, plants or facilities by federal, state or local government; national fuel shortage; or a material Is act or omission by any party; when satisfactory evidence of such cause is presented to that other party, 19 and provided further such nonperformance is unforeseeable, beyond the control and is not due to the ZU fault or negligence of the party not performing. 21 2a, 23 i 24 / 25 26 I Page 3 of 5 2501-5 MEMORANDUM OF UNDERSTANDING NO. C- 4.1772 1 E. Any notice sent by first class mail, postage paid, to the address and addressee, shall be 2 deemed to have been given when in the ordinary course it would be delivered. The representatives of 3 the parties who are primarily responsible for the administration of this MOU, and to whom notices, 4 demands and communications shall be given are as follows: s To CITY. To AUTHORITY: 6 City of Santa Ana Orange County Transportation Authority 7 20 Civic Center Plaza 550 South Main Street g RO, Box 1988 P. 0, Box 14184 9 Santa Ana, CA 92701 Orange, CA 92883 -1584 10 Attention: Jason Gabriel, Principal Civil Attention: Bridget Carman, Senior Contract it Engineer Administrator 12 E- mail :jgabriel @c,santa- ana.ca.us E -mail: bcarman @octa.net 13 Telephone: (714) 847 -5400 Telephone: (714) 580 -5478 14 If there are any changes in the above names and /or addresses, the party desiring to make 15 such change shall give a written notice to the other respective party within five (5) days of such 16 change. 17 / is / 19 / 20 / 21 J 22 / 23 / 24 / 25 / 26 % Page 4 of 5 2501-6 1 z a 4 s e 7 s 9 10 11 12 13 14 15 1G 17 18 19 20 21 22 23 F MEMORANDUM OF UNDERSTANDING NO, C -4 -9772 IN WITNESS WHEREOF, the parties hereto have caused this Memorandum of Understanding No. C -4 -1772 to be executed on the date first above written, CITY OF SANTA ANA By: David Cavazos City Manager ATTEST: By: Maria D, Huizar City Clerk APPROVED AS TO FORM: By: l .r Sonia . Carvalho City Attorney Date: //_ 9 -0--I� ORANGE COUNTY TRANSPORTATION AUTHORITY Darrell Johnson Chief Executive Officer APPROVED AS TO FORM: By: ennard R. Smart, r, General Counsel APPROVAL RECOMMENDED: By Jim Bell, P.E. Executive Director, Capital Programs ATTACHMENT: Exhibit A , "Project Description, Seventeenth Street Grade Separation Project" Page 5 of 5 25D -7 MEMORANDUM OF UNDERSTANDING, NO. C4-1772 EXHIBIT A PROJECT DESCRIPTION PROJECT DESCRIPTION Seventeenth Street Grade Separation Project Seventeenth Street in the City of Santa Ana, is a major east -west arterial street that crosses the LOSSAN rail corridor Metrolink tracks at an at -grade crossing adjacent to the intersection with Lincoln Avenue. Seventeenth Street has an average daily vehicle volume of 43,000, and the LOSSAN rail corridor has an average rail volume of 75 trains per day. The project proposes to construct a highway -rail grade separation to improve rail, roadway operation, and safety at this grade crossing. Seventeenth Street Grade Separation Project Limits The 17th Street at -grade crossing is at milepost (MP) 174.70 California Public Utilities Commission (CPUC) Crossing No. 101OR- 174.70, Federal DOT Crossing No. 026699P, on the SCRRA Orange Subdivision tracks, located in the City of Santa Ana, in the vicinity east of Interstate 5, and is operated and maintained by Metrolink with operating rights by Amtrak and the BNSf- Railway (BNSF). 25D -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 2, 2014 TITLE: RIGHT OF ENTRY AND LICENSE AGREEMENT WITH CORBIZ, LLC, TO CONSTRUCT AND MAINTAIN IMPROVEMENTS IN THE ALLEY NORTH OF SECOND STREET (STRATEGIC PLAN NO. 3,4,A) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1e1 Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Right of Entry and License Agreement with Corbiz, LLC, to install and maintain improvements within the alley north of Second Street between Broadway and Sycamore Street. DISCUSSION Corbiz, LLC, (Corbiz) has requested use of the space in the public alley adjacent to the Southern Counties Gas Company (SCG) Building at 207 West Second Street. The space used as an existing utility area will be improved to include a proposed patio area as shown on Exhibit 1. The recommended action would allow for the improvements to be constructed and maintained within that space. The north- south, dead -end alley situated between the SCG Building and the Santora Building at 207 North Broadway has long been an underutilized public space subject to criminal activity and trash accumulation. During the last few years, the owner of the SCG Building, Corbiz, has constructed improvements within the alley, including removal of the outdated northerly archway, reconstruction of the stairs and access ramp, installation of drainage improvements, and replacement of the pavement tiles. These alley improvements were performed in conjunction with a significant upgrade of adjacent Corbiz properties, including the remodel and retrofit of the SCG building and reconstruction of the adjacent parking lot at 214 North Sycamore Street. A portion of the alley adjacent to the recessed part of the SCG Building previously contained a walled - off patio area. The wall and other improvements were removed by a former tenant. However, Corbiz has requested approval to re- institute the patio area within the public alley by constructing a low block wall topped with a wrought iron fence and gas lamps as shown in Exhibit 2. In addition, a utility area was previously constructed under a building permit within the alley adjacent to the SCG Building. 25E -1 Right of Entry and License Agreement to Construct Improvements in Alley north of Second Street December 2, 2014 Page 2 of 2 With the exception of uses and improvements allowed under the City Outdoor Dining Ordinance, private improvements are typically not allowed within public street or alley rights -of -way. Because Corbiz is interested in leasing to tenants for uses other than restaurants, it has requested that the use of the patio space not be contingent upon adjacency to a food establishment. Staff recommends permitting the proposed patio improvements to help activate the alley. Because the patio area improvements will be constructed and maintained by Corbiz, a license agreement as shown in Exhibit 3, for a revocable encroachment permit is required along with insurance and a surety bond. The license agreement will incorporate the existing utility area. The space for both areas will be leased to Corbiz at a rate consistent with the City's Outdoor Dining Ordinance and City Council adopted fee resolution. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet 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 A (provide a safe and inviting public environment in the downtown [including the Wellness Corridor] through enhanced amenities, improved way - finding, and engaging street/sidewalk design and lighting). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from further review per section 15303. Statutory Exemption ER No. 2014 -148 will be filed for this project. FISCAL IMPACT The revenue from the lease payments will be received into the Public Works General Fund - Rental of Property revenue account (01117002- 57960). 4 PA Mousavipour Executive Director Public Works Agency EWG/TH Exhibits: 1. Location Map 2. Rendering 3. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez S� Executive Director Finance & Management Services Agency 25E -2 EXISTING PARKING LOT i SANTORA � BUILDING L 207 NORTH III BROADWAY L I I I I I -- BUILDING LINE ® UTILITY AREA SANTA ANA City Council Agenda Oote- P`J December 2, 2014 mecs"Aw& 2ND ST I SOUHTERN COUNTIES GAS COMPANY I BUILDING W 207 WEST a SECOND STREET P J 0] lL PROMENADE ��lill ]ll Title, RIGHT OF ENTRY AND LICENSE AGREEMENT WITH CORBIZ, LLC, TO CONSTRUCT AND MAINTAIN IMPROVEMENTS IN ALLEY NORTH OF SECOND STREET 25E -3 o� Tz 25E -4 4'iF�S k'4X is `�'t ,., , r- t i `qtr 25E -6 RIGHT OF ENTRY AND LICENSE AGREEMENT (201 W. Second Street, Santa Ana, CA) THIS RIGHT OF ENTRY AND LICENSE AGREEMENT ( "Agreement') is made and entered into this 2 "d day of December 2014 by and between 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 referred to as the "City "), and Corbiz, LLC, a California limited liability company (herein referred to as "Licensee "), with respect to the following: RECITALS: A. Licensee owns and intends to make available for lease the building located on that certain property located at 207 West Second Street, Santa Ana, CA (hereinafter `Building "), B. City owns or has an easement for public alley purposes in, over, and upon the north/south alley north of Second Street between Broadway and Sycamore Street (hereinafter "Alley") which abuts the west side of the Building. C. Licensee desires a license to maintain a permitted utility enclosure; as well as construct and maintain an outdoor patio area, both within a portion of the Alley adjacent to the recessed portion of the Building (hereinafter referred to as "License Area " or the "Premises "), as described in Exhibit A and depicted in Exhibit B, attached hereto and incorporated by reference. D. Licensee has previously obtained a permit from the City permitting the construction of a utility enclosure (including within the enclosure, an eight foot high block wall, three electrical panels, water main manifold and gas meters) within a portion of the Alley as shown in Exhibit A and identified as "Utility Area," and such permitted use may continue notwithstanding the termination of this Agreement. NOW, THEREFORE, for good and valuable consideration, Licensee and City do hereby agree as follows: 1. RIGHT OF ENTRY AND LICENSE (a) The City hereby grants to Licensee a personal, non- exclusive, revocable (as provided herein) license (the "License ") upon each of the covenants and conditions set forth herein for the period commencing on December 3; 2014 after execution of this License (hereinafter "Commencement Date "), for a five (5) year term ending on December 31, 2019, subject to annual renewal or cancellation by the Executive Director of Public Works, or his designee, as herein set forth, a license to operate an outdoor patio space of approximately 924 Exhibit 3 1 25E -7 square feet (hereinafter referred to as "Patio Area ") in the portion of the public Alley adjacent to certain real property located at 207 West Second Street, in the City of Santa Ana, County of Orange, State of California, more particularly described in "Exhibit A" attached hereto and incorporated herein by reference. The Patio Area may be referred to as the "Premises" herein. This License is made subject arid subordinate to the prior and continuing right of Licensor to use the Premises or the use of the public right -of -way. (b) Provided that all of the terms and conditions of this Agreement are fully satisfied as of the Commencement Date of this Agreement, City hereby grants to Licensee and its employees, agents and contractors the non - exclusive, non - assignable, personal, revocable right (as provided herein) and license to install and maintain within the Patio Area a three foot six inch high combination block wall/wrought iron fence, eight - 96" tall gas lamp lighting fixtures with supporting gas supply line, and brick pavers to match the existing adjacent Alley surface. Utilities to serve a potential fire pit and a water feature are also included within the permitted uses of the Premises. Except for the rights and uses expressly granted and permitted under this Agreement, it is expressly understood that this Agreement does not in any way whatsoever grant or convey any other rights of possession, any easement interest or other cognizable property interest in said Premises. (o) Licensee may not use the Patio Area to dispense food and beverage products unless and until Licensee (or its tenant) applies for and secures an outdoor dining license agreement in compliance with the City's Outdoor Dining Ordinance Standards and Procedures on file with the City's Public Works Agency. Should Licensee (or its tenant) secure an outdoor dining license agreement for the use of the Patio Area, Licensee (or its tenant) may use the Patio Area for outdoor dining and this Agreement shall become null and void and Licensee (or its tenant) shall follow the rules and regulations pertaining to the Outdoor Dining Ordinance (Santa Ana Municipal Code Section 33 -168 through 33 -180) and any agreements issued thereunder. 2. LICENSE AND RENEWAL FEE Licensee shall pay to the City a License fee equivalent to the Outdoor Dining Application Fee of $1,208.57. Every year hereafter, the Licensee may renew the License subject to a License renewal fee at a rate equivalent to the Outdoor Annual License Fee to as set by the resolution of the City Council, as amended from time to time, for the use of the Premises. The current License renewal fee for fiscal year 2014/2015 is $0.79 per square foot of the Premises. 2 25E -8 Payment of this License fee to the City shall be made payable to the order of the "City of Santa Ana" and delivered to the Transportation & Development Services Division of the Public Works Agency. 3. EQUIPMENT (a) Licensee shall, at its sole cost and expense, furnish all required physical barriers or other design elements, consistent with the City Municipal Code, City Building Code and any related regulations, around the Premises in such a manner to ensure that use of the Premises will not cause a safety hazard to pedestrians. (b) All equipment and furnishings and the cost of their installation and maintenance shall be provided at the sole expense of Licensee. All such equipment which is affixed to the Premises shall be used in the Premises, shall be deemed to be Licensee's personal property, and shall be removed immediately by Licensee at the termination of this License Agreement. (c) Licensee shall not modify the public alley in any manner without prior written approval of the Executive Director of the City's Public Works Agency or his designee ( "Executive Director"). (d) Concurrent with removal of Licensee's fixtures and equipment, Licensee, at its own expense, shall return the Premises to substantially the same or better condition as the Premises existed as of the Commencement Date to the reasonable satisfaction of the Executive Director. 4. UTILITIES The LICENSEE shall pay all charges for fuel, gas, water, electricity, telephone services, and any other utilities necessary to carry on the operations of Licensee within the Premises. Licensee may apply to the City's Building and Safety Division for a permit to supply electricity, water and /or natural gas to the Patio Area. Such permit would include a lighting plan which abides by the requirements in pertinent City codes and regulations. 5. PREMISES MAINTENANCE AND MAINTENANCE DEPOSIT (a) Licensee at its own expense shall keep the Premises in a clean and sanitary condition and upon expiration of this License Agreement, or upon earlier termination of this 3 25E -9 License Agreement, 'shall return the Premises to the City in substantially the same or better condition as the Premises existed as of the Commencement Date. (b) Upon execution of the License Agreement, Licensee shall provide a sidewalk maintenance deposit in the form of a cash deposit in the amount of One Thousand Dollars ($1;009.00). Said deposit shall be held by the City, without liability for interest, as security for the faithful performance by Licensee of terms, covenants and conditions of this Agreement pertaining to Licensee's maintenance of the public sidewalk, Alley, paving and fixtures. Dining the term of this License Agreement, the City shall have the right, at its option, to appropriate and apply the entire maintenance deposit or so much thereof as may be necessary to compensate the City for all repairs to the alley surface due to breach of this maintenance covenant on the part of Licensee. Should the entire deposit or any portion thereof be appropriated and applied by the City hereunder, Licensee shall, upon written demand of the City, forthwith remit to the City sufficient amount to restore said maintenance deposit to the original sum deposited. Licensee's failure to do so within five (5) business days after receipt of such demand shall constitute a breach of this Agreement. The rights and remedies granted to City pursuant to this Paragraph are in addition to City's other remedies as provided in this License Agreement and by law. The deposit will be refunded upon termination of the License Agreement after an inspection of the condition of the alley surface, paving and fixtures by the City's Public Works Agency. 6, GARBAGE AND RUBBISH Licensee's management shall keep the Premises clear of litter and graffiti. No boxes, barrels, supplies or rubbish in any Bonn shall be kept, piled or stored in the Premises unless approved in writing by City. As required by the City, Licensee shall provide standard garbage receptacles, shall place therein all garbage and refuse, and shall arrange with the City's Sanitation Division or other approved contractor for collection from an approved location at Licensee's expense. 9 25E -10 7. ALTERATIONS AND REPAIRS Licensee accepts the Premises in the condition they now are, and City shall not be required to make any alterations, improvements or repairs therein or thereon. Licensee hereby waives any and all rights, if any it may have, to any expressed or implied warranties concerning the condition of Premises. Licensee shall not make any changes or remove any portion of the Premises without first securing the prior written consent of the Executive Director, which consent shall not be unreasonably withheld or delayed. All such approved changes or removals shall be at the sole expense of Licensee. 8. SIGNS AWNINGS UMBRELLAS MUSIC AND MERCHANDISE Licensee shall be allowed to install and use awnings or free - standing umbrellas provided they meet the City's Building Code with any required permits for placement and maintenance. No signs or advertising matter of any kind shall be displayed in the Premises, except as approved by the City's Planning Department and in compliance with the City's Building Code, obtaining any required permits. Unamplified musical instruments or sound reproduction systems are permitted in the Premises, but shall be maintained at sufficiently low volumes so as not to unduly intrude on neighboring businesses, residents, or users of the public right -of -way beyond the Premises. 4. CONDUCT Licensee shall at all times conduct its business or operate its business within the Premises in a quiet and orderly manner to the satisfaction of the City so that same shall not become or constitute a nuisance either public or private. 10. MECHANICS' LIENS Licensee shall keep said Premises and every estate, right, title and interest therein, or in or to any part thereof, at all times during the terra of this License Agreement, free and clear of any mechanics liens, and other liens, and liens for labor, services, supplies, equipment, or material incurred by it, and Licensee will at all times fully pay and discharge and wholly protect, defend and hold harmless the City on account of said liens, or claims, or assertions, or filing thereof. City reserves the right, at its sole cost and expense, at any time, to post and maintain on the Premises or any part thereof, any notices of non - responsibility or other notices as my be 5 25E -11 desirable to protect the City against liability. In addition to, and not as a limitation of City's other rights and remedies under this Agreement, should Licensee fail, within ten (10) days of written request from City, either to discharge any lien or to bond for any lien, or to defend, indemnify, and hold harmless City from and against any loss, damage, injury, liability or claim arising out of a lien, then City, at its option, may elect to pay such lien, or settle or discharge such lien and any action or judgment related thereto and all costs, expenses and attorney fees incurred in so doing shall be paid to City by Licensee upon written demand. 11. INGRESS AND EGRESS The City reserves the right with reasonable prior notice to Licensee to enter upon the Premises covered by this License Agreement for purposes of inspection and maintenance as provided herein, at any and all times during the term of this License Agreement, No merchandise may be stored or displayed in the Premises 12, TAXES The Licensee shall exonerate, indemnify, and hold harmless the City from and against; and shall defend the City from and against, and shall assume full responsibility for, payment of all wages or salaries and all federal, state, and local taxes or contributions imposed or required under the Unemployment Insurance, Social Security, Income Tax laws, Workers' Compensation laws, or other laws with respect to the Licensee's employees engaged in the performance of Licensee's obligations and operations hereunder. This Agreement may create a possessory interest in public property which is subject to taxation. In the event such interest is created, Licensee shall pay any and all taxes levied on such interest. Licensee shall pay any and all taxes upon personal property and improvements belonging to said Licensee and upon its possessory interests, if any, and Licensee shall pay all sales and other taxes levied against the operation of said business. 13. INSURANCE Prior to commencing occupancy of the Premises or commencing construction of any improvements on the Premises, Licensee shall procure and maintain at Licensee's own cost and expense for the duration of the License Agreement, the following insurance against claims for 6 25E -12 injuries to persons or damages to property which may arise from or in connection with the condition of the Premises or the possession, occupancy, operation and use of the Premises by Licensee, Licensee's agents, representatives, employees, or subcontractors. (a) Minimum Limits of Insurance. Licensee shall maintain limits of insurance coverage in the following minimum amounts: 1. Commercial General Liability: One Million Dollars ($1,000,000.00), combined single limit per occurrence for bodily injury and property damage. 2. Workers' Compensation and Employers' Liability: Workers' Compensation limits as required by the Labor Code of the State of California and Employers' Liability limits of One Million Dollars ($1,000,000.00) per accident. It is understood that Worker's Compensation and Employer's Liability shall be maintained for "Premises" whenever its required by law for construction, maintenance, or License occupancy. 3. Personal Property Insurance: Property insurance shall be provided for all Licensee's contents, inventory, equipment, and for any improvements or betterments made by Licensee to the Premises. Licensee shall obtain and keep in force during the term of this License Agreement a policy or policies of insurance covering loss or damage to such equipment, improvements or betterments located in, on, or upon the Premises, in the amount of at least one hundred percent (100 %) of the frill replacement value thereof, as the same may exist from time to time, against all perils included within the classification of fire, extended coverage endorsement, vandalism, and malicious mischief endorsement. The City shall bear no responsibility for any loss, damage, or destruction of Licensee's equipment, improvements or betterments, even if Licensee fails to procure and maintain the personal property insurance required hereunder. (b) Other Insurance Provisions. Insurance carriers providing coverages shall be "admitted carriers" as determined by the State of California. Licensee shall procure an endorsement for the comprehensive 7 25E -13 commercial general liability policy naming the City of Santa Ana, its elected and appointed boards, officers, ,agents and employees as additional insureds with primary coverage, on a City- approved Special Endorsement form, attached hereto as Exhibit C. City shall be provided at least thirty (30) days written notice of any change in the terms ofinsurance. (c) Verification of Coverage. Licensee shall furnish the City with certificates of insurance required by this clause, and the City's duly executed Special Endorsement form, All verifications of coverage shall be in a form satisfactory to the City Attorney's Office of City. The certificates are to be signed by a person authorized by that insurer to bind coverage on its behalf. Evidence of personal property insurance shall expressly provide for coverage of the outdoor dining area. (d) Increase in Required Insurance Coverages. City may increase the dollar amount of coverage required under any of the policies described above, upon prior written notice to Licensee. 14, GOVERNING LAW This License shall be governed by and construed in accordance with the laws of the State of California, with venue in Orange County. 15. COMPLIANCE WITH LAWS AND ORDINANCES Licensee shall conduct its business in accordance with all the laws, ordinances, rules and regulations, applicable to such business as from time to time adopted by City, County, State and the United States. 16. PERMITS AND LICENSES The Licensee shall be required to obtain any and all permits or licenses that may be required from time to time in connection with the services to be performed under this License Agreement to comply with Licensee's covenant under Section 15 above. 3 25E -14 17. PROHIBITION AGAINST TRANSFER Except as provided below, Licensee shall not assign, sublease, hypothecate, or transfer this Agreement or any interest therein directly or indirectly, by operation of laws or otherwise. Any attempt to do so shall be null and void, and any assignee, sublessee, hypothecatee or transferee shall acquire no right or interest by reason of such attempted assigmnent, hypothecation or transfer. Notwithstanding the foregoing Licensee may sublease, assign or transfer its rights under this Agreement to any tenant to Whom Licensee leases the Building. However, the Premises shall not be leased independently or separately from the Building. Upon sale of the Building, this Agreement shall automatically terminate. Any subsequent Building owner may meet with the City to request a License Agreement for the Premises with terms similar to this Agreement. 18. WAIVERS A waiver by the City of any breach of any term, covenant or condition contained herein shall not be deemed to be a waiver of any subsequent breach of the same or any other term, covenant or condition contained herein, whether of the same or a different character. 19. HOLDOVER Any holding over by Licensee after the expiration or any termination of this License Agreement or by any extension or renewal thereof shall not constitute a renewal or extension of the tern hereof 20. HOLD HARMLESS Licensee agrees to defend, indemnify and hold harmless the City of Santa Ana, members of its City Council, boards and commissions, officers, agents, volunteers and employees (hereinafter, collectively "the City "), from and against all loss, damage, cost, expense, liability, claims, demands, suits, attorneys' fees and judgments ( "Claims ") arising from or in any manner connected to Licensee's possession, occupancy or use of the Premises and/or arising from or in any manner connected to the condition of the Premises and Licensee's business, activities, operations, services or work conducted in, on or about the Premises. Licensee further agrees to indemnify, defend and hold harmless the City from and against all Claims arising from or in any manner connected to the furnishing or supplying of any work, 9 25E -15 services, materials, equipment or supplies by any persons, nuns, corporations or other entities in connection with this License Agreement or Licensee's operations. Without limiting the generality of the foregoing, Licensee agrees that City shall not be liable for any injury to Licensee's business or any loss of income therefrom, or for damage to the goods, wares, merchandise, improvements or other property of Licensee, Licensee's officers, agents, employees, contractors, invitees, or customers, or any other person in, on or about the Premises, or personal injury or death of Licensee, its officers, agents, employees, contractors invitees, and customers. Notwithstanding the foregoing, Licensee shall not be required to defend, indemnify or hold harmless City for any Claims arising from the gross negligence or wrongful conduct of City. 21, INDEPENDENT CONTRACTOR It is understood and agreed that Licensee, in the performance of this License Agreement, will be acting in a wholly independent capacity and not as agents, employees; partners, or joint ventures of the City. This Agreement does not create a tenancy of any nature whatsoever between the City and Licensee. 22, TERMINATION In the event Licensee hereto fails to, or refuses to, perform any of the provisions hereof at the time and in the manner required hereunder, Licensee shall be deemed in default in the performance of its obligations under this License Agreement. If such default is a monetary default which is not cured within a period of three (3) business days after receipt of written notice of default from the City to Licensee, specifying the nature of such default and the steps necessary to cure such default, the City may terminate this License Agreement forthwith by giving to the defaulting party written notice thereof. If such default is a non - monetary default which is not cured within ten (10) business days after written notice of default from City to Licensee, specifying the nature of such default and the steps necessary to cure such default, the Executive Director may suspend, terminate, or revoke this License Agreement forthwith by giving to the defaulting party written notice thereof. 10 25E -16 Either patty shall have the option at any time, without cause, of terminating this License Agreement on One Hundred Eighty (180) days written notice. Upon any termination, the Licensee shall pay to the City that portion of the compensation specified in paragraph 3 hereof unpaid by Licensee prior to the effective date of termination. 23. NOTICES All notices, demands, requests, or approvals to be given under this License Agreement, shall be given in writing and shall be deemed served when delivered personally, or by a recognized overnight commercially courier or seventy -two (72) hours after the deposit thereof in the United States Mail, postage prepaid, registered, or certified, addressed as hereinafter provided. TO CITY: Clerk of The Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, California 92702 With courtesy copy to: TO LICENSEE: Alfonso G. Cordero Corbiz, LLC 17531 Von Karman Avenue Irvine, CA 926 t 4 Executive Director of the Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Any party hereto may, from time to time by notice in writing served upon the other party as aforesaid, designate a different mailing address or a different person to whom all such notices or demands are thereafter to be addressed. 24. INVALIDITY; 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. 25. RECITALS. Recitals A through D above are incorporated in and made a part of this Agreement.. 11 25E -17 IN WITNESS WHEREOF, the parties hereto have entered into this Agreement as of the date first set forth above. ATTEST: CITY OF SANTA ANA Maria D. Huizar David Cavazos Clerk of the Council City Manager APPROVED AS TO FORM: Sonia R. Carvalho City Attorney r � c- Corbiz, LLC Lisa Storck Assistant City Attorney Recommended for Approval: Fred Mousavipour Executive Director - PWA Alphonso G. Cordero Managing Member, Corbiz, LLC 12 25E -18 fl EXISTING PARKING LOT �i SANTORA r BUILDING DING L J 207 NORTH III BROADWAY i m L I I f I I BUILDING LIME VTLRYAWA srUHTERN COUNTIES GAS COMPANY j BUILDING 207 WEST SECOND STREET FLEET 2ND ST. 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All-horized }, epr,, ^%,nM;(7.r REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 2, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2014 -33 FOR A TYPE 47 ALCOHOL BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2014-34 TO ALLOW AFTER -HOURS OPERATION UNTIL 2:00 A.M., CONDITIONAL USE PERMIT NO. 2014-35 TO ALLOW A BANQUET USE, AND CONDITIONAL USE PERMIT NO. 2014 -42 TO ALLOW AN INDOOR COMMERCIAL RECREATION USE FOR THE COPPER DOOR AT 225% NORTH BROADWAY — ALVIN OH, APPLICANT {STRATEGIC PLAN NOS. 3,2; 3,4) J CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: =9000:491 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 °' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2014 -33, Conditional use Permit No. 2014 -34 as conditioned, Conditional Use Permit No. 2014 -35 as conditioned, and Conditional Use Permit No. 2014 -42 as conditioned. PLANNING COMMISSION ACTION On November 24, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -33 for a Type 47 Alcoholic Beverage Control license in order to sell beer, Wine and distilled spirits for on- premise consumption; Conditional Use Permit No. 2014 -34 as conditioned to allow business operations until 2:00 a.m.; Conditional Use Permit No. 2014 -35 as conditioned to allow a banquet use; and Conditional Use Permit No. 2014 -42 as conditioned to allow an indoor commercial recreation use by a vote of 5:0 (Alderete and Yrarrazaval absent) for the Copper Door located at 225'/2 North Broadway in the Transit Zoning- Downtown (SD84) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION The Copper Door is requesting a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer, wine and distilled spirits to patrons at the restaurant, to remain open until 2:00 a.m., to operate as a banquet facility, and to allow indoor entertainment in the form of billiard tables. The restaurant will be a full service eating establishment that will hold approximately 20 seats at the bar and 247 within the 5,842 square foot space. A 100 square foot outdoor dining area is also proposed. Full -sized plans are available for public viewing in the Clerk of the Council Office. 31A-1 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 December 2, 2014 Page 2 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) and Objective No. 4 (continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining, and entertainment destination). FISCAL IMPACT There is no fiscal impact associated with this action Karen Haluza Interim Executive Director Planning & Building Agency HS:rb ha:Copperpoor /wp14- 33.34.36&42 Copper Dwr.m Exhibit: A. Planning Commission Staff Report 31A-2 F)Ila GfIVIing fmoIMllt6ss, loo AAdoin PLAd ,,A &h91INGa COMMISSION ME11f flING DA1 "E: NOVEMBER 24, 2014 TIId II E:„ PUBLIC HEARING - FILED BY ALVIN OH FOR CONDITIONAL USE PERMIT NO. 2014 -33 FOR A TYPE 47 ALCOHOL BEVERAGE CONTROL LICENSE, CONDITIONAL USE PERMIT NO. 2014 -34 TO ALLOW AFTER -HOURS OPERATION UNTIL 2:00 A.M., CONDITIONAL USE PERMIT NO. 2014 -35 TO ALLOW A BANQUET USE, AND CONDITIONAL USE PERMIT NO. 2014 -42 TO ALLOW AN INDOOR COMMERCIAL RECREATION USE FOR THE COPPER DOOR AT 225'/2 NORTH BROADWAY {STRATEGIC PLAN NOS. 3,2; 3,4) F„rj,,).ared dy Hally Soboleske 11311 ANIIOINGd C01MIMIISSIIOIN q.Gn:CRE III MARY AI ,11_T, (:)ff 1_I1) C7 A Iteconlil el ded, I l As Arno nded " - ;el P111 lic Nn uuq Fol 7 'taff RGi c mmrr�fidation _OIN I .IINUED "10 2. Adopt a resolution approving Conditional Use Permit No. 2014 -34 as conditioned to allow business operations until 2:00 a.m. 3. Adopt a resolution approving Conditional Use Permit No. 2014 -35 as conditioned to allow a banquet use. 4. Adopt a resolution approving Conditional Use Permit No. 2014 -42 as conditioned to allow an indoor commercial recreation use. DISCUSSION Request of Applicant Alvin Oh, representing the the Copper Door restaurant, is requesting approval of a conditional use permit (CUP) for a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer, wine and distilled spirits at the restaurant. Establishments that sell alcoholic beverages require a conditional use permit pursuant to Section 41 -196 of the Santa Ana Municipal Code (SAMC). The applicant is also requesting CUP's to allow the business to remain open until 2:00 a.m., to allow a banquet use to host private events, and to allow an indoor commercial recreation use in the form of billiards. Establishments that are open between 12:00 midnight and 7:00 a.m., that have banquet facilities for private events, and which provide indoor commercial recreation require a respective CUP pursuant to Section 41 -2007 of the SAMC. EXHIBITA 31A-3 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 2 Project Location and Site Description The Copper Door restaurant is currently located within the historic 1925 Pacific Building's basement at the southeast corner of Broadway and Third Streets. The lot is approximately 6,251 square feet in size and is developed with a two - story, 18,000 square foot commercial building with a full basement. The restaurant occupies a 5,842 square foot suite in the basement underneath Chapter One: The Modern Local restaurant. The Pacific Building was placed on the Santa Ana Register of Historical Properties in 2001 as a Key structure. Surrounding land uses include a City -owned parking structure to the north, commercial /office land uses to the south and east, and a private parking lot to the west. Residential land uses are approximately 185 feet to the west (Exhibits 1, 2, and 3). Although overconcentration criteria are not applicable to on -sale ABC licenses, a review of the project vicinity indicates there are currently 15 ABC licenses located within 500 feet of the project site in addition to the proposed license. These ABC licenses include three Type 41 licenses (on -sale beer and wine), nine Type 47 ABC licenses (on -sale beer, wine and distilled spirits), one Type 42 license (public premise beer and wine only), one Type 48 (public premise beer, wine and distilled spirits), and one Type 23 license (brewery). However, this information does not affect the analysis or recommendation contained in this report. Proiect Description The Copper Door restaurant currently occupies a 5,842 square foot space in the basement of the Pacific Building. The building has traditionally contained a mixture of commercial uses, including retail, office and service uses. The Copper Door was established in 2010 and possesses a Type 40 ABC license for beer sales that was approved via a Land Use Certificate in the 1980s when the previous tenant, Broadway Billiards, was established. After a fire in 2012 and substantial water damage, the Copper Door rehabilitated the space to include a restaurant use that began operations earlier this year. In conjunction with the restaurant, the applicant is requesting approval of a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer, wine, and distilled spirits to patrons at the restaurant and to remain open until 2:00 a.m. The restaurant will be a full service eating establishment that will hold approximately 20 seats at the bar, and 247 within its approximate 1,800 square foot dining room. A 100 square foot outdoor dining area is also proposed. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. Overall alcohol storage and display areas will contain approximately 24 square feet, which is less than five percent of the floor area and is consistent with the SAMC requirement of maintaining five percent or less of the gross floor area of the restaurant for alcohol storage and display (Exhibits 4 and 5). The applicant also proposes to provide a banquet use that would allow the closure of the restaurant to the general public in order to host private parties. 31A-4 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 3 To enhance the dining experience and to provide an additional amenity at the restaurant, the applicant is requesting approval to allow two pool tables (approximately 600 square feet) and a stage area for live music and /or DJ's (approximately 225 square feet). Project Background The Pacific Building was constructed in the Classical Revival style in 1925. The building has been occupied by a variety of retail, restaurant and office uses on the upper floor, with Broadway Billiards occupying the basement from 1970 until it vacated in 2010. The Copper Door began occupying the site in 2010 and operated as a bar (Type 40 ABC) with billiards and music. In conjunction with the new restaurant, they would like to maintain the music and pool tables. Replacement of an existing Type 40 ABC license with a Type 47 ABC license is appropriate as a Type 40 ABC license allows for the service of beer without a kitchen facility. A facility that possesses a Type 47 ABC license will be a bona fide eating establishment and is consistent with other downtown businesses. The Copper Door restaurant is an independently owned and operated restaurant that serves lunch and dinner seven days a week. The restaurant features a variety of hamburgers, hot and cold sandwiches, including sliders and flatbreads, and a variety of hot and cold appetizers. The proprietor, Alvin Oh, has been involved with other company start -ups, with this his first restaurant endeavor. General Plan and Zoning Consistency The General Plan land use designation for the site is District Center (DC). District Center areas are designed to serve as anchors for the City's commercial corridors, and to accommodate major development activity. District Centers are to be developed with an urban character including a mix of office, commercial and residential land uses including other restaurants with ABC licenses. The project site is consistent with this General Plan land use designation. The zoning for the site is the Transit Zoning Code /Specific Development No. 84 (SD -84). The SD- 84 zoning district allows for retail and service uses such as restaurants, making the proposed use consistent with the zoning code. 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 will contribute to the general well being of the neighborhood or community. 31A-5 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 4 • 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 a use. • That the proposed use will not adversely affect the General Plan of the City or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit requests, staff believes that the following findings of fact warrant approval of the conditional use permits. Conditional Use Permit No. 2014 -33 — Type 47 ABC license: The Copper Door restaurant is requesting approval of an upgrade from a Type 40 ABC license to a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise consumption of beer, wine, and distilled spirits. The applicant intends to sell alcoholic beverages as an ancillary service to the primary restaurant use. They also propose a 100 square foot outdoor patio to the rear of the building at grade. Staff has reviewed the applicant's request and has determined that the proposed establishment is in compliance with the standards for establishments selling alcoholic beverages. The proposed alcoholic beverage license will provide for an ancillary service to the restaurant's customers by allowing them the ability to purchase beer, wine, and distilled spirits with their food. The Type 47 ABC license is only issued to restaurants that meet the State's standards as a bona fide eating establishment indicating that alcohol sales are not intended to be the primary use of the business. Conditions have been placed on the alcoholic beverage control license, which further emphasize the sales of alcohol as an ancillary use. The proposed license for the on -sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed upon the alcoholic beverage control license that will mitigate any potential negative or adverse impacts that could be created by the use. In addition, the use will occur within the premises in accordance with the standards of the State Department of Alcoholic Beverage Control. 31A-6 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 5 • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full - service restaurant. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant selling beer, wine and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code for restaurants selling alcohol with their meal. The facility will be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the restaurant will use less than five percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the Santa Ana Municipal Code. • The proposed use will not adversely affect the General Plan. The granting of this Conditional Use Permit supports several policies contained in the General Plan, Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full - service restaurants offers additional dining options for Santa Ana residents and visitors. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The Pacific Building has undergone a significant rehabilitation effort representing a large capital investment. Tenanting this building with a full - service restaurant use further supports the rehabilitation of this commercial property. Policy 4.2 of the Land Use Element encourages the retention and reuse of historical buildings and sites. The Pacific Building is listed on the Santa Ana Register of Historical Properties. The rehabilitation and tenanting of this building supports its retention and reuse. Conditional Use Permit No. 2014 -34 — After Hours Operation: Santa Ana Municipal Code (SAMC) Section 41 -2007 (Table 2A) requires a conditional use permit for any eating establishment with hours of operation between 12:00 a.m. and 7:00 a.m. The proposed hours of operation for Copper Door restaurant are 11:00 a.m. to 2:00 a.m., seven days a week which is consistent with the operating hours of other downtown restaurants. The Copper Door restaurant proposes to be open for lunch and dinner. They also propose a 100 square foot outdoor patio that would be closed at midnight. The proposed after -hours operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer meals after 12:00 midnight, thereby providing an additional dining option within the downtown area. This will benefit the community by providing a restaurant with an additional and complementary food - related amenity. The after -hours operation is consistent with that of other restaurants in the downtown and offers customers another late night dining alternative. Conditions have been placed on the after -hours permit that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 31A-7 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 6 • The proposed after -hours operation is consistent with other restaurants operating in the downtown, and provides an additional food option for local residents and visitors. The after -hours operation will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. In addition, no outdoor dining activity is proposed so all activities will be located within the premises. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer after -hours meals to their patrons. Moreover, the late night hours allows the restaurant to remain economically viable and contributes to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. The after - hours operation will contribute to the success of downtown by widening the time frame that food service is available thereby encouraging customers to stay longer in the area. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant open after 12:00 midnight pursuant to Chapter 41 of the Santa Ana Municipal Code. • The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant that operates after hours will provide a dining service to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval, in conjunction with the operational standards for the proposed Type 47 ABC license will help maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Copper Door restaurant is located in a commercial corridor and is compatible with surrounding land uses. A restaurant with after -hours operations provides a dining service to the residents of Santa Ana. Conditional Use Permit No. 2014 -35 — Banquet Use: The Copper Door also proposes to operate an ancillary banquet facility, which would allow a portion of the restaurant to be closed to the general public for private events. Per the SAMC, banquet facilities must have a kitchen facility, sanitation facilities, and a licensed security guard for every 100 persons in attendance per event. As proposed, the project meets or exceeds the standards for a banquet use. The allowance of a banquet facility at the Copper Door will be consistent with other restaurants in the area and will result in a facility that maintains a stronger economic viability due to the ability to host private events. 31A-8 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 7 • The proposed banquet facility will provide an ancillary service to the restaurant and their customers by providing a space to host special functions. This will benefit the community by providing the Copper Door with an additional and complementary food - related amenity within the City. Conditions have been placed on the CUP that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. • The proposed banquet facility at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. In addition, a banquet facility at this location will provide an ancillary service to the community, and will occur within the premises and is incidental to the primary restaurant use. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer banquet facility for special events and private parties. Moreover, the banquet use will allow the restaurant to remain economically viable and contribute to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on restaurants operating a banquet use pursuant to Chapter 41 of the Santa Ana Municipal Code. • The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with a banquet facility will provide an additional dining service to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operation standards for the proposed banquet will maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Copper Door restaurant is located in a commercial corridor and is compatible with surrounding land uses. Conditional Use Permit No. 2014 -42 — Indoor Commercial Recreation: Santa Ana Municipal Code (SAMC) Section 41 -2007 (Table 2A) requires a conditional use permit for any establishment that provides indoor commercial recreation. The Copper Door restaurant proposes to offer two pool tables for patron use, and a 225 square foot stage area for live music performances and /or DJ's. 31A-9 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 8 • The proposed indoor commercial recreation operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer an additional amenity to their patrons, thereby benefiting the community by providing a restaurant with an additional and complementary amenity. The proposed billiard tables and music is consistent with other restaurants in the downtown. Conditions have been placed on the indoor commercial recreation use that will mitigate any potential impacts created by the use and ensure it will not negatively affect the surrounding community. • The proposed billiard tables and music offerings provide an additional dining amenity for local residents and visitors. The recreation activity will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. In addition, no recreational activity will take place outdoors. • The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to offer additional service that will enhance the appeal of the restaurant. Moreover, the indoor recreation will provide another way for the restaurant to remain economically viable and contribute to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. The indoor recreation will contribute to the success of downtown by providing additional options at the restaurant that complement the dining related amenities available thereby encouraging customers to stay longer in the area. • As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a restaurant with an indoor commercial recreation use pursuant to Chapter 41 of the Santa Ana Municipal Code. • The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant that operates billiards and provides music during meals will provide additional dining amenities to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval, in conjunction with the operational standards for the proposed Type 47 ABC license, will help maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Copper Door restaurant is located in a commercial corridor and is compatible with surrounding land uses. A restaurant with indoor commercial recreation provides an additional dining amenity to the residents of Santa Ana. 31A -10 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 9 Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages and after -hours operation in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines 'reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by State ABC and Business and Professions Code, should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation. The project at 225'/2 North Broadway is located in Reporting District No. 165. This reporting district is 20 percent higher than the average number of reported crimes in all reporting districts. Although the crime rate is 20 percent higher, the Police Department contends that the operational standards and proposed conditions of approval will mitigate any potential negative impacts to the surrounding community. As a result, conditions of approval are included as required by the SAMC that will address any concerns. Public Notification The project site is located within the boundaries of the Downtown Neighborhood Association and the Lacy Neighborhood Association, and is within the Downtown National Register Historic District. Staff contacted the presidents of the Downtown Neighborhood Association and the Lacy Neighborhood Association to ensure they were notified of this project and to identify any areas of concern. Tish Leon of the Downtown Neighborhood Association supports the proposed project, and Jose Leal, the Lacy Neighborhood president, did not have any concerns at this time. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. 31A-1 1 CUP Nos. 2014 -33, 2014 -34, 2014 -35 & 2014 -42 November 24, 2014 Page 10 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 private structures and facilities when there is no expansion of the existing use, but allows the operation, repair, maintenance, permitting, or leasing of existing structures. Categorical Exemption Environmental Review No. 2014 -59 will be filed for this project. 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) and Objective No. 4 (continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining, and entertainment destination. Cnnrliminn Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2014 -33, Conditional Use Permit No. 2014 -34 as conditioned, Conditional Use Permit No. 2014 -35 as conditioned and Conditional Use Permit No. 2014 -42 as conditioned. Hally Sobo esk� e Associate Planner HS:jm hs:Copperpoor /cup14- 33,34 &42 Copper Door. 112414.pc Attachments: Exhibit 1 —Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo (Entry) Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Operational Standards for On -Sale Establishments 31A -12 SEVENTEENTH ST. Gc O] � so- „R2 P� ■ mJ ��E ft2 P p p suss soss R2 P P O 1,,.1° FIRST m L SPd SPd rLL rrL W -3 SP -3 L� sr' SP3 l SP-3 r", ` r l 1V }�,Jole oc or Z of N or Al GBJ LACddIXlMRALr CR COMMR ALRERDRMAL R1 SNC FAMILYF DB AL -8 KFNNGMMIIFICATON CC COVHdJMEYi� F2 TMFAMILYFESMCE GW CCMMEROALMUR MAIN Mi UC TINDUS AL. m MULRR- EMSWMULMI Ci OOMMUNITYCOMMHUAL M2 HWYINDUS AL FAMILYFOMCE Cl-MD CfXv1M.CDMMFRDAUMU`. MDIS U MO MIUTARIOPQiMN5 RA 9JWJ NAFARfMB C2 GEJ LODMMH AL 0 OF SHCE FE RESDU AL STATE 0 CBJ LWSNE P F FEMONAL m 3 RGDE4a0 MT CU CCNP LMINESARR MILLAGE PCD F NN®CCMMUNIWDEVD_01WE sp S-EDRCi RAN G RANNED910FflN MTER Sim FLANNED EEIDENMLDE OfMEW Cs AR ALCOMMEFUAL CUP-2014-33,34,35, & 42 �- COPPER DOOR 225 1/2 NORTH BROADWAY - — = 500 FEET T' = 1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y VICINITY MAP 3 f W13 I I II :ulvvlvF�I�z - ___7R 3RD W.,"m MULTI - F A M I L Y RESIDENCE 1ST COMM. } O ¢ O COMM. cc m MULTI- FAMILY RESIDENCE � I UJ PARKING STRUCTURE STREET COMM. J w } V J J � z � w � V � I UJ PARKING STRUCTURE STREET COMM. COMMERCIAL 2ND COMMERCIAL STREET COMMERCIAL STREET CUP-2014-33,34,35i, & 42 COPPER DOOR. 225 1/2 NORTH BROADWAY s4° P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31A -14 CUP - 2014 -33, 34, 35, & 42 THE COPPER DOOR 225 % NORTH BROADWAY EXHIBIT 3 31A-15 .E �X H 10 1,14 31A-lb Cf) co UJ NO W 0 U3 x 0 0 70 LLJ LU 0 ct� CL z Cl. uj Q H U-J Ul 0 Ln < o < CO u Ai'd3dOW 1M30VrOV .E �X H 10 1,14 31A-lb Cf) co 0 Ln - -.. ..... IMP �_ 1 ' Interior Material o— m � n,.. a,vr•.. noo, „o,aao —O on, O ... O J 0w0ex�0w0�e 0 ------ Nil rl7r$ ` 000000 r ° , WMEMOt t - , .eM.x n•� " = I •.. w. ,....m e. m. r - - -- SEfi9 Sq. Ft. y °a�w°'� --� p •., w..,.. m• `QCy =1111 O�»m, _„ ® iDa —vi 7 — ..__ Lower Level Floor Plan Historic Building 9 ...- ......_.._... q (State &_(..ocal Reglstery) ,i<' =,� -o° noon sm nqu�n EXHIBIT 5 31A -17 EXHIBIT 5 31A -17 Sec. 41 -196. Establishments selling alcoholic beverages. Operational standards for on -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41 -196 1. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after -hours operations pursuant to Santa Ana Municipal Code Chapter 41. 4. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 5. The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. 6. All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. 7. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those 21 and older. 8. Queuing lines shall be managed in an orderly manner and all disruptive and /or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. EXHIBIT 6 31'Af- -418 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. All stanchions or barriers located on public property must be approved by the Public Works Agency. 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free ", "two for the price of one', or "all you can drink for..." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an entertainment permit pursuant to Santa Ana Municipal Code ( "SAMC ") Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12 -1 and 12 -2. 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. 312A 4 19 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 ll, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A timed- access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual that has been approved by the Police Department, addressing at a minimum the following items: a. Procedures for handling obviously intoxicated persons. b. The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. C. Procedures for handling patrons involved in fighting, arguing or loitering about the building, and /or in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s). d. Procedures for verifying the age of patrons for purposes of alcohol sales. e. Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. f. 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. 31 J20 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. 31A421 ROH - 11/24/14 RESOLUTION NO. 2014 -42 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING: CONDITIONAL USE PERMIT NO. 2014 -33 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE; CONDITIONAL USE PERMIT NO. 2014-34 AS CONDITIONED TO ALLOW AFTER -HOURS OPERATION; CONDITIONAL USE PERMIT NO. 2014-35 AS CONDITIONED TO ALLOW A BANQUET USE; AND, CONDITIONAL USE PERMIT NO. 2014-42 AS CONDITIONED TO ALLOW AN INDOOR COMMERCIAL RECERATION USE FOR THE PROPERTY LOCATED AT 2251/2 NORTH BROADWAY BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of: Conditional Use Permit No. 2014 -33 to allow a Type 47 Alcoholic Beverage Control (ABC) license; Conditional Use Permit No. 2014 -34 to allow after -hours operations until 2:00 a.m.; Conditional Use Permit No. 2014 -35 to allow a banquet use; and, Conditional Use Permit No. 2014 -42 to allow an indoor commercial recreation use for the property located at 2251/2 North Broadway. B. Santa Ana Municipal Code Section 41 -2007 requires a conditional use permit for: the sale of alcoholic beverages for on -site consumption, businesses operating between the hours of 12:00 a.m. and 7:00 a.m., banquet uses, and indoor commercial recreation. C. On November 24, 2014, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2014 -33, Conditional Use Permit No. 2013 -34, Conditional Use Permit No. 2014 -35, and Conditional Use Permit No. 2014 -42. D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2014 -33 to allow for a Type 47 ABC license: Resolution No. 2014 -42 31A-22 Page 1 of 12 Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed alcohol beverage license will provide an ancillary service to restaurant customers by allowing them the ability to purchase beer, wine and distilled spirits with their food. This will thereby benefit the community by providing a restaurant with an additional and complementary food - related amenity. Standards have been placed on the alcoholic beverage control license that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed license for the on -sale consumption of alcohol at this location will not be detrimental to persons residing or working in the vicinity because the applicable standards for an on -sale alcoholic beverage control license will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and is incidental to an established bona fide eating establishment 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 restaurants in the area that also offer full alcoholic beverages for sale to their guests and other visitors. Additionally, the ABC license will allow the restaurant to be economically viable and contribute to the success of the City of Santa Ana's economy. 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 imposed on a restaurant selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility has the kitchen facility necessary to be considered a bona fide restaurant use and is eligible to obtain a restaurant related alcoholic beverage control license. Additionally, the restaurant will utilize less than five percent of the gross floor area for the storage of alcoholic Resolution No. 2014 -42 31A-23 Page 2 of 12 beverages, which is below the maximum threshold established by the 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 1.8 of the Land Use Element encourages a balance of land uses to address basic community needs through encouraging commercial services. Approval of The Copper Door will provide additional dining and retail uses within the Downtown, which is a primary commercial area of the city. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for various goods and services, and this facility proposes a new food establishment in the downtown area. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The Pacific Building has undergone a significant rehabilitation effort representing a large capital investment. The re- tenanting of this building with a full - service restaurant use further supports the rehabilitation of this commercial property. Policy 4.2 of the Land Use Element encourages the retention and reuse of historical buildings and sites. The Pacific Building is listed on the Santa Ana Register of Historical Properties. The rehabilitation and re- tenanting of this building supports its retention and reuse. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operational standards for the proposed Type 47 ABC license are intended to maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Copper Door restaurant will be located in a commercial corridor and is compatible with surrounding land uses. Restaurants with an ancillary alcohol license provide a dining service to the residents of Santa Ana. E. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2014 -34 to allow for after hours operation: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? Resolution No. 2014 -42 31A-24 Page 3 of 12 The proposed after -hours operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer meals after 12:00 midnight, thereby providing an additional dining option within the downtown area. This will benefit the community by providing a restaurant with an additional and complementary food - related amenity. The after -hours operation is consistent with that of other restaurants in the downtown and offers customers another late night dining alternative. Conditions have been placed on the after -hours permit that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed after -hours operation is consistent with other restaurants operating in the downtown, and provides additional food choices for local residents and visitors. The after -hours operation will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. In addition, the after -hours dining will occur within the premises and will not create adverse impacts. 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 after - hours meals to their patrons. Moreover, the late night hours allows the restaurant to remain economically viable and contributes to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. The after -hours operation will contribute to the success of downtown by widening the time frame that food service is available thereby encouraging customers to stay longer in the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a Resolution No. 2014 -42 31A-25 Page 4 of 12 restaurant open after 12:00 midnight pursuant to Chapter 41 of 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 that operates after hours will provide a dining service to the residents of Santa Ana, nearby employees, and outside visitors. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval, in conjunction with the operational standards for the proposed Type 47 ABC license will help maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Copper Door restaurant will be located in a commercial corridor and is compatible with surrounding land uses. A restaurant with after -hours operations provides a dining service to the residents of Santa Ana. F. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2014 -35 to allow for a banquet use: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed banquet facility will provide an ancillary service to the restaurant and their customers by providing a space to host special functions. This will benefit the community by providing the Copper Door with an additional and complementary food - related amenity within the City. Conditions have been placed on the CUP that will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed banquet facility at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will Resolution No. 2014 -42 31A-26 Page 5 of 12 mitigate any potential negative or adverse impacts created by the use. In addition, a banquet facility at this location will provide an ancillary service to the community, and will occur within the premises and is incidental to the primary restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer banquet facility for special events and private parties. Moreover, the banquet use will allow the restaurant to remain economically viable and contribute to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on restaurants operating a banquet use pursuant to Chapter 41 of 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 a banquet facility will provide an additional dining service to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Operation standards for the proposed banquet will maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Copper Door restaurant is located in a commercial corridor and is compatible with surrounding land uses. G. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41 -638, have been established for Conditional Use Permit No. 2014 -42 to allow an indoor commercial recreation use: Resolution No. 2014 -42 31A-27 Page 6 of 12 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed indoor commercial recreation operation will provide an ancillary service to the restaurant customers by allowing them the ability to offer an additional amenity to their patrons, thereby benefiting the community by providing a restaurant with an additional and complementary amenity. The proposed billiard tables and music is consistent with other restaurants in the downtown. Conditions have been placed on the indoor commercial recreation use that will mitigate any potential impacts created by the use and ensure that it will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed billiard tables and music offerings provide an additional dining amenity for local residents and visitors. The recreation activity will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the permit that will mitigate any potential negative or adverse impacts created by the use. In addition, no recreational activity will take place outdoors. 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 offer additional service that will enhance the appeal of the restaurant. Moreover, the indoor recreation will provide another way for the restaurant to remain economically viable and contribute to the overall success of the downtown area in which it is located, helping to decrease the number of vacant tenant spaces that may affect the economic viability of the site. The indoor recreation will contribute to the success of downtown by providing additional options at the restaurant that complement the dining related amenities available thereby encouraging customers to stay longer in the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a Resolution No. 2014 -42 31A-28 Page 7 of 12 restaurant with an indoor commercial recreation use pursuant to Chapter 41 of 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 that operates billiards and provides music during meals will provide additional dining amenities to the residents of Santa Ana. Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Conditions of approval, in conjunction with the operational standards for the proposed Type 47 ABC license, will help maintain a safe and attractive environment in Santa Ana. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The proposed Copper Door restaurant is located in a commercial corridor and is compatible with surrounding land uses. A restaurant with indoor commercial recreation provides an additional dining amenity to the residents of Santa Ana. H. 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 private structures and facilities when there is no expansion of the existing use, but allows the operation, repair, maintenance, permitting, or leasing of existing structures. Categorical Exemption Environmental Review No. 2014 -59 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2014 -33; Conditional Use Permit No. 2014 -34 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein; Conditional Use Permit No. 2014 -35 as conditioned in Exhibit B attached hereto and incorporated as though fully set forth herein; and, Conditional Use Permit No. 2014 -42 as conditioned in Exhibit C attached hereto and incorporated as though fully set forth herein. These decisions are based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated November 24, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2014 -42 31A-29 Page 8 of 12 ADOPTED this 24th day of November, 2014 by the following vote: AYES: Commissioners: Bacerra, Bauer, Gartner, Mill, Nalle (5) NOES: Commissioners: None (0) ABSENT: Commissioners: Alderete, Yrarrazaval (2) 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, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2014 -42 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on November 24, 2014. Date: Planning Commission Secretary City of Santa Ana Resolution No. 2014 -42 31A-30 Page 9 of 12 EXHIBIT A Conditions for Approval of Conditional Use Permit No. 2014 -34 (After -Hours Operation) Conditional Use Permit No. 2014 -34 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC ") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 3. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 4. There shall be no amplified sound used outside the building. 5. A Trash Program and submittal of a notarized and recorded Reciprocal Trash Agreement shall be provided prior to issuance of a Certificate of Occupancy. 6. Sign permits (both permanent and temporary) are under separate submittal. 7. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. 8. The restaurant may remain open until 2:00 a.m., and all restaurant activities must take place within the premises. Resolution No. 2014 -42 31A-31 Page 10 of 12 Conditions for Approval of Conditional Use Permit No. 2014 -35 (Banquet Use) Conditional Use Permit No. 2014 -35 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC ") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 3. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 4. There shall be no amplified sound used outside the building. 5. A Trash program and submittal of a notarized and recorded Reciprocal Trash Agreement shall be provided prior to issuance of a Certificate of Occupancy. 6. Sign permits (both permanent and temporary) are under separate submittal. 7. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. Resolution No. 2014 -42 31A-32 Page 11 of 12 EXHIBIT C Conditions for Approval of Conditional Use Permit No. 2014 -42 (Indoor Commercial Recreation) Conditional Use Permit No. 2014 -42 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC ") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 3. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 4. There shall be no amplified sound used outside the building. 5. A Trash Program and submittal of a notarized and recorded Reciprocal Trash Agreement shall be provided prior to issuance of a Certificate of Occupancy. 6. Sign permits (both permanent and temporary) are under separate submittal. 7. Special events are subject to a Land Use Certificate where such activities will take place outside of the restaurant building. Resolution No. 2014 -42 31A-33 Page 12 of 12 31A-34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 2, 2014 TITLE RESOLUTION AMENDING RESOLUTION 2000 -037 REGARDING FRENCH COURT PERMIT PARKING DISTRICT {STRATEGIC PLAN NO. 5, 4) -CITY MANAGEFV RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$'' Reading ❑ Ordinance on 2 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution amending and superseding the French Court Permit Parking District Resolution 2000 -037. DISCUSSION The City's permit parking program was established to limit intrusion of non - residential and commuter parking into residential neighborhoods. The French Court Permit Parking District was initially created in 1993 and subsequently expanded in 2000 to include the French Court, French Park, and Santa Ana Triangle Neighborhoods. Owners of residential properties west of the French Court Permit Parking District have noted a lack of available parking on their streets and asked to participate in the City's permit parking program. Consistent with established City policies, sufficient petitions were received from residents of 19th Street between Broadway and Main Street to meet the criteria for permit parking. Inquiries have also been received from residents of nearby streets. Therefore, to establish an area that accommodates any future requests, staff recommends amending the existing French Court Permit Parking District boundary to include the area bounded by Broadway, Main Street, 17th Street, and Buffalo Avenue (Exhibit 1). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from further review. Categorical Exemption ER No. 2014 -96 will be filed for this report. 55A -1 Resolution Amending Resolution 2000 -037 French Court Permit Parking District December 2, 2014 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. N)-O �i✓ Fr 4d Mouialvipo6r Executive Director Public Works Agency FM /EWG /FO Exhibits: 1. Map — French Court Permit Parking District 2. Resolution 55A -2 BUFFALO AVE. 17TH s 0 m m EXISTING FRENCH COURT PERMIT PARKING DISTRICT y�oaApa PROPOSED EXPANSION TO FRENCH COURT PERMIT PARKING DISTRICT 0 0 SANTA ANA PWA CITY COUNCIL FRENCH COURT AGENDA DATES Dec. 2. 2014 PERMIT PARKING DISTRICT PAGE 1 OF 1 EXHIBIT 1 55A -3 55A -4 Jxs 12 -02.14 RESOLUTION NO, 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING AND SUPERCEDING RESOLUTIONS NO. 93 -090, NO. 94 -012, AND RESOLUTION 2000 -037 REGARDING THE FRENCH COURT PERMIT PARKING DISTRICT 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 does find, determine and declare as follows: a. Pursuant to Article XI (commencing with Section 36 -480) of Chapter 36 of the Santa Ana Municipal Code, the City Council of the City of Santa Ana is authorized to adopt resolutions establishing permit parking districts wherein parking restrictions apply to all vehicles except vehicles which have been issued parking permits pursuant to said Article; b. The French Court residential neighborhood is in need of parking restrictions to protect its integrity from the intrusion of vehicular parking incidental to commercial and governmental activities, to allow for adequate emergency vehicle access, to counter the visually blighting effect of highly intensive on- street parking, and to discourage overcrowding of dwelling units; C. It is necessary to extend such parking restrictions and corresponding permit parking system beyond the French Court neighborhood proper in order to protect nearby areas from increased demand for on- street parking due to the parking restrictions in the French Court neighborhood; d. The City Council of the City of Santa Ana, by its Resolution No. 93 -090, dated November 1, 1993, and later amended by Resolution 94 -012 and Resolution 2000 -037, established the French Court Parking District; e. The Council does now desire to make certain changes to those regulations to extend the parking limitation hours; and f. It is the intent of this Council that this resolution replaces and supercedes Resolutions 93 -090, 94 -012, and 2000 -037. Section 2: The French Court Permit Parking District is hereby established, to consist of four neighborhoods in the City of Santa Ana: the Santa Ana Triangle Neighborhood bounded on the north and east by the Santa Ana Freeway, on the south Resolution No. 2014 -XXX 55A -5 Page 1 of 4 by Seventeenth Street, and on the west by Main Street; the French Court Neighborhood bounded on the north by Seventeenth Street, on the east by Penn Way, on the south by Washington Avenue and on the west by Main Street; the French Park Neighborhood bounded on the north by Washington Avenue, on the east by Poinsettia Street, on the south by Civic Center Drive, and on the west by Main Street; and the new additional neighborhood bounded on the north by Buffalo Avenue, by the east by Main Street, on the south by 17th Street and on the west by Broadway, as more particularly depicted in `Exhibit 1', attached hereto and incorporated herein by reference; provided said district does not include any street on its outer boundary and said district does not include Seventeenth Street and Washington Avenue and sections of any street abutting non- residential uses within said district's boundary. Section 3. Permit parking restrictions shall apply to all portions of the French Court Neighborhood, unless excluded by section 2 of this Resolution. Permit parking restrictions shall apply to those portions of the French Park Permit Parking District as are determined to be in need of such restrictions by the Executive Director of the Public Works Agency. The Executive Director of the Public Works Agency is authorized to post appropriate signs giving notice of permit parking restrictions in those portions of the District where permit parking restrictions apply. Section 4. The parking restrictions imposed pursuant to said Article XI and this resolution shall apply to any block within the French Court Permit Parking District only after a petition signed by the owners of sixty -six percent (66 %) or more of the residential lots abutting such block have filed a petition with the Executive Director of the Public Works Agency expressing their desire for such parking restrictions, and after signs indicating the parking restrictions on such block have been erected in accordance with said Article XI. Section 6 . No person shall park or stop any vehicle on any portion of any street, at any time, within the French Court Permit Parking District as to which signs have been erected indicating the application of permit parking restrictions and the specific nature of the parking limitation, except persons and vehicles exempted from such parking restrictions pursuant to said Article XI and this resolution. Section 6. Persons entitled to a permit to park in locations subject to permit parking restrictions pursuant to this resolution include and are limited to the following: a. Any person who Is licensed to drive a motor vehicle and who resides in a single - family dwelling located on a lot in the District which does not have more than one dwelling unit located on it, provided that not more than three permits may be issued at any one time to the residents of any one such dwelling unit. b. Any person who is licensed to drive a motor vehicle and who resides in a multiple - family dwelling located on any lot in the French Court Permit Parking District which does not have more than four dwelling units located Resolution No. 2014 -xxx Page 2 of 4 'P�PM Jxs 12 -02 -14 on it, provided that not more than one permit may be issued at any one time to the residents of any one such dwelling unit; and provided further, that the Executive Director of the Public Works Agency may waive the foregoing limitation on the number of dwelling units on a lot if he determines that its application in a particular case would cause extreme hardship on the residents of such dwelling units due to a severe inadequacy of on -site parking. Section 7. The Executive Director of the Public Works Agency is authorized to establish rules for the issuance of guest parking permits to residents of the District and to issue or deny such permits in accordance therewith. Such rules shall be designed to limit guest parking privileges as appropriate to provide sufficient parking for resident parking permit holders. Such rules may be revised from time to time, as circumstances require, Section 8. This resolution shall amend and replace Resolutions No. 93 -090, 94 -012 and 2000 -037. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: a?ffoval C ie Assistant City Attorney AYES: Councilmembers NOES /_1:1'11F:11►p NOT PRESENT: Councilmembers Councilmembers Councilmembers 2014. Miguel A. Pulido Mayor 55A -7 Resolution No. 2014 -XXX Page 3 of 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 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Resolution No. 2014 -xxx Page 4 of 4 Clerk of the Council City of Santa Ana y � • BUFFALO AVE. 17TH s 0 m m EXISTING FRENCH COURT PERMIT PARKING DISTRICT y�oaApa PROPOSED EXPANSION TO FRENCH COURT PERMIT PARKING DISTRICT 0 0 SANTA ANA PWA CITY COUNCIL FRENCH COURT AGENDA DATES Dec. 2. 2014 PERMIT PARKING DISTRICT PAGE 1 OF 1 EXHIBIT 1 55A -9 55A -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: ADOPTION OF A RESOLUTION DESIGNATING OCTOBER 26 OF EACH YEAR AS REPUBLIC OF VIETNAM DAY CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 181 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Direct staff to prepare resolution in support of Republic of Vietnam Day as referred by Item 85A on the November 18, 2014 City Council Agenda. The attached resolution designates the date of October 26 of each year as the Republic of Vietnam Day to honor the Republic of Vietnam and recognize the enormous sacrifices and contributions of its army, people, elected and governmental officials as well as the American soldiers, the Vietnam War Veterans, and the allied armies and their families. DISCUSSION The City of Santa Ana has a diverse population of more than 23,000 Vietnamese Americans including those families and individuals who are Vietnamese refugees from the Republic of Vietnam who fled their country as a result of the Vietnam War. In the Vietnam War, which ended in April 1975, the Government of the Republic of Vietnam and its armed forces, people, elected and governmental officials struggled continuously and bravely to defend and protect the freedom, life, and property of the people, and to safeguard the Republic and new born democratic government. During the War, the United States and its allied armies also made enormous contributions and sacrifices in protecting freedom, democracy, life and property of the Vietnamese people and the Republic of Vietnam. An organized effort by the Steering Committee for Republic of Vietnam Day Resolution is presently underway to designate October 26 of each year, as Republic of Vietnam Day to honor the Republic of Vietnam, and to commemorate the contributions and sacrifices of the army, people, elected and government officials of the Republic of Vietnam as well as American soldiers, Vietnam War veterans, allied armies and their families. October 26 was selected as an appropriate date because October 26, 1956 was the day the first Constitution of the Republic of Vietnam was proclaimed in Vietnam, initiating the very first time that a true democracy was established in the history of the Vietnamese people. 55B -1 Adoption of a Resolution Designating October 26 of Each Year as a Republic of Vietnam Day December 2, 2014 Page 2 STRATEGIC PLAN No direct relation to the City's Strategic Plan. FISCAL IMPACT There is no fiscal impact associated with this action. Exhibit 1: Resolution 55B -2 LAR/1212/14 RESOLUTION NO, 2014 -XXX RESOLUTION ESTABLISHING OCTOBER 26TH OF EACH YEAR, AS THE REPUBLIC OF VIETNAM DAY TO HONOR AND COMMEMORATE THE CONTRIBUTIONS AND SACRIFICES OF ELECTED AND GOVERNMENTAL OFFICIALS FROM THE REPUBLIC OF VIETNAM, AND THOSE COMMUNITY MEMBERS FROM THE REPUBLIC OF VIETNAM AS WELL AS AMERICAN SOLDIERS, VIETNAM WAR VETERANS, ALLIED ARMIES, AND THEIR FAMILIES. 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. WHEREAS, the City of Santa Ana has a diverse population of more than 23,000 Vietnamese Americans including those families and individuals who are Vietnamese refugees from the Republic of Vietnam who fled their country as a result of the Vietnam War; B, WHEREAS, during the Vietnam War the Government of the Republic of Vietnam and its armed forces, people, elected, and governmental officials struggled continuously and bravely to defend and protect the freedom, lives, and property of the people, to safeguard the Republic and the new born democratic government created after the reestablishment of independence from French colonial rule; C. WHEREAS, during the Vietnam War against the invasion of the Vietnamese Communists, the United States and its allied armies from Australia, South Korea, Thailand, New Zealand, and Philippines also made enormous contributions and sacrifices in protecting freedom, democracy, lives, and property of the Vietnamese people and the Republic of Vietnam; D. WHEREAS, the Vietnamese American community with a population of nearly two million, consisting of many industrious and talented members, after four decades of integration has matured with numerous successes in all fields from culture to education, Resolution No, 2014 -XXX Page 1 of 2 55B -3 business and politics, science and technology, electronics and internet, trading and financing, court and military, and has contributed a significant effort to the maintaining of the development, and protecting the fabric of the American society at the local, state and federal government levels; E. WHEREAS, the Steering Committee for Republic of Vietnam Day Resolution is leading the effort to designate October 26 of each year as Republic of Vietnam Day, the City of Santa Ana recognizes the struggle to defend and protect freedom, democracy, lives and property of the people and the Republic of Vietnam, and the enormous sacrifices and contributions of the army, people, elected and governmental officials and their families during the Vietnam War and therafter; and F. WHEREAS, even in the United States, the sacrifices of more than 58,000 American soldiers and the contributions of about three million former servicemen and servicewomen as well as their families during the Vietnam War should continue to be honored, appreciated and recognized. Section 2. The City Council of the City of Santa Ana designates the date of October 26th of each year, as the Republic of Vietnam Day to honor and commemorate the contributions and sacrifices of elected and governmental officials from the Republic of Vietnam, and those community members from the Republic of Vietnam_ as well as American soldiers, Vietnam War veterans, allied armies, and their families. Section 3. If any surcharge or fee, section, subsection, sentence, clause, phrase or word of this Resolution is for any reason held to be invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Resolution. The City Council hereby declares that it would have passed and adopted this Resolution, and each and all provisions hereof, irrespective of the fact that one or more provisions may be declared invalid. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of December, 2014. Resolution No, 2014 -XXX Page 2 of 2 Miguel A. Pulido Mayor 55B -4 APPROVED AS TO FORM: , t�Y1 t 4-v�onia R. Carvalho, City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY 1, 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 Date: Clerk of the Council City of Santa Ana 55B -5 Resolution No. 2014 -XXX Page 3 of 2 55B -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: APPROVE THE BUDGET CALENDAR FOR FISCAL YEAR 2015 -16 {STRATEGIC PLAN NO. 4, 1} r I i L4 r CITY MANAGER RECOMMENDED ACTION Approve the Budget Calendar for fiscal year 2015 -2016. DISCUSSION CLERK OF COUNCIL USE ONLY: 0=0900, ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER On March 18, 2014 the City Council adopted a Five -Year Strategic Plan which includes guiding principles such as fiscal responsibility, collaboration, and transparency as well as Goal 4 which is to ensure the City's Financial Stability. An objective of Goal 4 is to maintain a stable, efficient and transparent financial environment. In an effort to meet the Strategic Plan guiding principles, goals and objectives, the Finance and Management Services Agency, in collaboration with the City Manager's Office, has developed a budget calendar to promote public awareness and transparency in the development of the 2015 -16 Budget. The budget calendar highlights key dates for the Finance, Economic Development, & Technology Committee meeting, Community Budget Outreach and Strategic Plan Updates per the Sunshine Ordinance, Community Budget and Capital Improvement Program Hearings, and Work Study Session. The budget calendar commences December 2, 2014 and ends with the adoption of the 2015 -16 budget tentatively scheduled for June 16, 2015. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City 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. Executive Director Finance and Management Services Agency ME 65A -1 65A -2 City of Santa Ana FY 2015 -16 Budget Calendar December 2, 2014 Present Preliminary Calendar & Process to City Council for Approval February 17, 2015 Preliminary FY 14 -15 Budget Status and Five - Year General Fund Forecast Update March 9, 2015 FEDT Committee: City Manager's FY15 -16 Trial Budget & Prelim Capital Improvement Program (CIP) Includes Water and Sewer March 30, 2015 Sunshine Ordinance Budget Outreach Meeting Includes Strategic Plan Update and CIP April Community Budget Hearings Includes Strategic Plan Update April Preliminary Seven -Year Capital Improvement Program Presentation to Planning Commission May 19, 2015 City Manager's Proposed FY 15 -16 Budget Work - Study Session Includes CIP, Miscellaneous Fees, and Personnel Reso June 2, 2015 Tentative Budget/CIP Ordinance Adoption June 16, 2015 Final Budget/CIP Ordinance Adoption July 1, 2015 Start of the New Fiscal Year 65A -3 65A -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 2, 2014 TITLE: AUTHORIZE STAFF TO PREPARE DOCUMENTS FOR PROPOSED WATER AND SEWER RATE ADJUSTMENTS {STRATEGIC PLAN NO. 6, 1, H} 0 CITY MANAGE 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 Authorize and direct staff to prepare all required documents necessary to proceed with notification of proposed water and sewer rate adjustments in compliance with Proposition 218 requirements, including, but not limited to, all of the following: a) Prepare and mail proposed rate adjustment notices to all Santa Ana property owners in compliance with Proposition 218 requirements; b) Schedule a public hearing at a future Council meeting; c) Prepare all other documents required to proceed with water and sewer rate adjustments. DISCUSSION Background The City owns and operates a water system and a sewer collection system that provides services to a population of over 330,000. The City water system currently consists of 500 miles of mains, 10 reservoirs, 7 pumping stations, and 19 active wells. The City sewer system consists of 390 miles of main, 19 miles of Orange County Sanitation District (OCSD) lines (some of which are maintained by the City), 8,000 manholes, and 2 lift stations. In June 2011, the City Council directed staff to perform a comprehensive examination of City assets, capital needs, and financial condition of both the water and sanitary sewer enterprises. At that time, the most recent rate study had been performed in 1995. On October 3, 2011, upon completion of a competitive bid process, the City awarded a contract to Black & Veatch Corporation (B &V) to perform the comprehensive analysis and develop a financial plan to address the City's long -term water and sewer infrastructure needs. 65B -1 Authorize Staff to Prepare Documents for Proposed Water and Sewer Rate Adjustments December 2, 2014 Page 2 Capital Improvement PrOgram During the review of available asset records and operational data to develop a comprehensive repair and replacement (R &R) program for the City, the following observations were made: • Average age of the water and sewer systems is 50 years • Life expectancy for water and sewer mains range from 40 to 60 years • More than 70% of the water system was installed pre -1980s • More than 85% of the sewer system was installed pre -1980s • Average age of water pipe breakage is 35 to 45 years • Current replacement rate for water /sewer lines is less than the industry standard of 1% of total system miles per year. A risk -based analysis to determine the risk of failure, the consequence of failure, and a business - risk exposure (BRE) rating for each asset was conducted. The analyses concluded the following: • Approximately 13 miles of water lines (5% of the system), costing $35.3 million, have a high probability of failure in the next 5 years • Approximately 62 miles of sewer lines (15% of the system), costing $29 million, has a high probability of failure in the next 5 years The proposed Capital Improvement Programs (CIP) for the water and sewer utilities incorporate the critical R &R projects identified by the risk assessment as well as a ramp -up of annual R &R replacements. (See Exhibit 1, Table 7; and Exhibit 2, Table 8.) The studies also examined the impact to the City in a scenario where CIP activities are deferred. Using a methodology developed by the American Society of Civil Engineers (ASCE), the cost impacts to Santa Ana households, businesses, and local economy were estimated. These potential costs would be in addition to the cost of replacing the asset and possible fines issued by oversight agencies. Included in the projections are items such as claim payments made for temporary relocation or property damage, impacts to businesses due to main failures /spills, and the economic loss due to lost water supply, loss of jobs, and business closures. (See Exhibit 1, Table ES -3; and Exhibit 2, Table ES -3.) Financial Plan To support the proposed water and sewer CIPs, the financial analysis recommends issuing revenue bonds. For the water CIP, an estimated $24 million in debt financing is needed; for the sewer CIP, the amount is $18.2 million. As part of the analysis, existing reserve levels were examined to determine if changes were required. To maintain the programs on a solid financial footing, it is recommended that the utilities maintain a working capital reserve of 90 days of operations and maintenance plus a $1 million emergency reserve. Staff also recommends that as the CIP backlogs are reduced and the systems regain financial stability, an R &R reserve be established for each utility. Annual funding of the reserves would gradually build to a level equal the depreciation of the system. 65B -2 Authorize Staff to Prepare Documents for Proposed Water and Sewer Rate Adjustments December 2, 2014 Page 3 The proposed rate adjustments outlined below support the recommended CIP plans and allow the utilities to meet all financial goals: Combined water & sewer rate increase of 3.2% per year (March 2015, July 2015, July 2016, July 2017, and July 2018), comprised of - Water Utility rate increase, 2.8 % per year - Sewer Utility rate increase, 8.8% per year Rate Design The City requested that B &V examine alternative rate structures to increase revenue stability. Currently, the City's water utility only recovers approximately 8% of revenues through the fixed base charge. For the sewer utility, there is no fixed base charge. However, an estimated 80% of the cost to run the utilities is fixed. Rate structures that are heavily dependent on usage levels cannot provide sufficient funds to cover fixed costs. Phasing in water rate adjustments over the next 5 years will help the City reach a 16% fixed cost recovery level by 2018. The consultant determined cost -of- service rates for FY 2018 and then phased in rates for each preceding year. The recommended water rate structure consists of an increasing fixed base service charge and a commodity rate (Exhibit 1, Tables ES -5 and ES -6). For the sewer utility, increased revenue stability will be achieved through the introduction of two fixed charges: a capital recovery charge and a lateral repair program charge. The capital recovery charge covers the capital needs of the utility. The lateral repair program charge funds sewer lateral repair work performed by the City. The sewer rate structure maintains a commodity charge and adds a new Fats, Oils, and Greases monthly charge applicable to food establishment services only (Exhibit 2, Table ES -5). Typical Bill Impact The financial impact of the proposed revenue adjustments and rate structure changes on the typical customer was evaluated. The overall increase in the combined typical bill of a single - family residential customer will be less than $0.07 per day (based on 1500 cubic feet of water used per month). When compared to neighboring cities, the typical Santa Ana customer pays significantly less for water and sewer services than more than half of its neighbors (Exhibit 1, Figure ES -7; Exhibit 2, Figure ES -6). 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 H (complete waterlwaste water rate study to ensure adequate resources to capture critical long -term capital needs). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. L• MW Authorize Staff to Prepare Documents for Proposed Water and Sewer Rate Adjustments December 2, 2014 Page 4 FISCAL IMPACT Funds for the costs to prepare and mail notices are available in the Water Enterprise Fund (Accounting Units 06017644 and 06017645). re Mousavipour Executive Director Public Works Agency FM /NS APPROVED AS TO FUNDS AND ACCOUNTS Fran \M f Francisco Gutierrez �N Executive Director Finance & Management Services Agency Exhibits: 1. Water Financial Plan Report 2. Sewer Financial Plan Report L• r R�, City of Santa Ana, CA i, ` 1 ''r Table of Contents Executive Summary Summary of Findings and Recommendations 1 GuidingPrinciples .......................................................................................................................... ..............................1 Water Enterprise Capital Program .......................................................................................... ..............................2 WaterEnterprise Financial Plan .............................................................................................. ..............................6 Water Utility Cost of Service Allocations .............................................................................. ..............................8 ProposedWater Rates .................................................................................................................. ..............................9 Introduction........................................................................................................................... .............................14 Background.......................................................................................................................................... .............................14 Purpose.................................................................................................................................................. .............................14 Scopeof Work ..................................................................................................................................... .............................15 Overview of Legal and Industry Best Practices for Cost -Of- Service Studies ............. .............................15 Proposition13 ................................................................................................................................ .............................15 Proposition218 ............................................................................................................................. .............................15 Proposition26 ................................................................................................................................ .............................16 GovernmentCode Section § 54999. 7 .................................................................................... .............................16 Generally Accepted Rate - Setting Standards ...................................................................... .............................16 Disclaimer............................................................................................................................................. .............................17 WaterRate Study .................................................................................................................. .............................18 Revenue and Revenue Requirements ........................................................................................ .............................18 Accounts and Customer Usage Projections ........................................................................ .............................18 RevenueProjections .................................................................................................................... .............................19 Operation and Maintenance Projections ............................................................................. .............................21 CapitalImprovement Program ............................................................................................. ............................... 23 CapitalFund Financing ............................................................................................................... .............................31 OperatingFund Financing ......................................................................................................... .............................33 Summary of Revenues, Expenditures, and Obligations ................................................ .............................36 Test Year Revenue Requirements .......................................................................................... .............................39 CostOf Service Allocations ............................................................................................................ .............................40 FunctionalCost Components ................................................................................................... .............................40 Allocation to Cost Components ............................................................................................... .............................41 Unitsof Service .............................................................................................................................. .............................46 Costof Service All ocations ........................................................................................................ .............................49 Proposed Rate Adjustments., Existing Rates ......................... BLACK & VEATCH I Table of Contents Lm � '� 53 53 WATER RATE STUDY I City of Santa Ana, CA ProposedRates .............................................................................................................................. .............................53 RevenueSufficiency ..................................................................................................................... .............................57 TypicalBill Impacts ...................................................................................................................... .............................58 Summary............................................................................................................................................. ............................... 60 Appendix A: Refurbishment & Replacement Program ........................................... .............................62 Capital Asset Valuation and Refurbishment and Replacement Needs Evaluation Methodology.. 63 Methodology................................................................................................................................. ............................... 63 Development of Asset Class Library ..................................................................................... .............................63 Development of Refurbishment and Replacement Schedules and Costs ................... .............................65 Development of Valuation of Capital Assets ........................................................................... .............................66 Capital Asset Inventory, Asset Class Library and Replacement Schedule Database Development66 AssetInventory .............................................................................................................................. .............................66 InventoryData Sources .............................................................................................................. .............................66 Asset Class Library Contents .................................................................................................... .............................67 WaterInfrastructure System ................................................................................................... .............................67 Non - System- Specific Assets ..................................................................................................... .............................70 Refurbishment Intervals and Schedule ............................................................................... .............................71 Capital Asset Valuation and Schedule of R &R Needs and Estimated Costs ............... .............................72 Capital Asset Valuation Summary .......................................................................................... .............................72 Total System Capital Asset Schedule of R &R Needs ....................................................... .............................72 Appendix B: Water CIP Prioritization Process ........................................................... .............................76 Introduction....................................................................................................................................... ............................... 77 CIPfor Outside Plant Assets .......................................................................................................... .............................77 General Assumptions and Observations .................................................................................. .............................79 WaterCollection System CIP Analysis ...................................................................................... .............................80 WaterSystem Statistics ............................ ................. .......... ---- .... -- ............................................................. ..... 80 WaterMain Break Statistics ..................................................................................................... .............................89 Probability of Failure Analysis (PoF) .............................................................................. ............................... 107 Consequence of Failure Analysis (CoF) .......................................................................... ............................... 116 BusinessRisk Exposure ( BRE) ........................................................................................... ............................... 120 Appendix C: Replacement Cost Calculation - All Assets within City ServiceArea ........................................................................................... ............................... ............................123 Introduction........................................................................................................ ............................... ............................124 Water Distribution System R &R Prioritization ................................................................ ............................... 126 BRE Replacement Prioritization ............................................................................................. ............................... 127 R &R Strategy Groups and CIP Budgeting ................................................ ............................... ............................130 GIS Improvement Opportunities ....................................................................................... ............................... 134 Planning Recommendations ............................................................................................... ............................... 134 ii NOVEMBER 2014 65B -7 City of Santa Ana, CA I WATER RATE STUDY Assessment Recommendations....... ...... ......................................................................................................... . 134 Replacement /Rehabilitation Recommendations ....................................................... ............................... 135 Water System Capital Improvements Program ............................................................... ............................... 135 Appendix D: City -Owned Mains Analysis .................................... ............................... ............................136 RevisedAnalysis ................................................................................................ ............................... ............................137 BusinessRisk Exposure ( BRE) ........................................................................................... ............................... 137 Inspection and Replacement Cost Calculation ................................. ............................... ............................139 BRE Replacement Prioritization ............................................................ ............................... ............................140 R &R Strategy Groups and CIP Budgeting ........................................... ............................... ............................143 Water System Capital Improvements Program .............................. ............................... ............................146 BLACK & VEATCH I Table of Contents \m w • ff WATER RATE STUDY I City of Santa Ana, CA LIST OF TABLES Table ES - 1: Annual Inspection and Replacement Schedule Based on Risk Profile ..... ............................... 6 Table ES - 2: Economic Impact of Delaying Proposed CIP ....................................................... ............................... 7 Table ES - 3: Proposed Revenue Adjustments .............................................................................. ............................... 8 Table ES - 4: Proposed Rates for Scenario 1 - FY 14/15 and FY 15/ 16 ............................. ............................... 9 Table ES - 5: Proposed Rates for Scenario 1- FY 16/17 through FY 18/ 19 .................... .............................11 Table ES - 6: Typical Monthly Bills for City Customers (Rates Effective March 1, 2015) ........................12 Table - 1: Average Number of Accounts ......................................................................................... .............................19 Table - 2: Projected Billed Water Volumes ................................................................................... .............................19 Table - 3: Existing Rates (Effective July 1, 2010) ....................................................................... .............................20 Table - 4: Revenues under Existing Rates in Thousands of Dollars ................................... .............................21 Table - 5: Operation and Maintenance Expenses in Thousands of Dollars ..................... .............................22 Table - 6: Annual Inspection and Replacement Schedule Based on Risk Profile .......... .............................29 Table - 7: Capital Improvement Program based on System Risk Profile in Thousands of Dollars..... 31 Table - 8: CIP Financing Plan in Thousands of Dollars - Status Quo Scenario ............... .............................32 Table - 9: CIP Financing Plan in Thousands of Dollars - Scenario 1 ................................... .............................32 Table - 10: Operating Fund Financing Plan in Thousands of Dollars - Status Quo Scenario .................34 Table - 11: Operating Fund Financing Plan in Thousands of Dollars - Scenario 1 ......... .............................35 Table - 12: Economic Impacts of Delaying the Proposed CIP ................................................. .............................37 Table - 13: Proposed Rate Adjustments .......................................................................................... .............................38 Table - 14: Total Costs to be Recovered from Rates - Scenario 1 ........................................ .............................40 Table - 15: Cost of Service Allocation Table - 16: Allocation of 0 &M Expenses in Thousands of Dollars to Functional Cost Components... 44 Table - 17: Allocation of Net Capital Costs in Thousands of Dollars to Functional Cost Components46 Table - 18: Units of Service for TY 18/ 19 ....................................................................................... .............................47 Table - 19: Unit Costs of Services with Costs in Thousands of Dollars ............................... .............................49 Table - 20: Allocation of COS to Customer Classes ..................................................................... .............................50 Table - 21: Comparison of Adjusted COS with Revenues under Existing Rates ............. .............................52 Table - 22: Proposed Rates for Scenario 1 - FY 14/15 and FY 15/ 16 ................................ .............................54 Table - 23: Proposed Rates for Scenario 1- FY 16/17 through FY 18/ 19 ....................... .............................55 Table - 24: Volumetric Cost Recovery over Tiers for FY 18/ 19 ............................................ .............................57 Table - 25: Revenues under Proposed Rates for TY 18/19 (Effective March 1, 2015) - Scenario 1..57 Table - 26: Typical Bi- Monthly Bills - Scenario 1, FY 14/15 Proposed Rates ................. .............................58 Table A - 1: Water System Expected Useful Lives ....................................................................... .............................68 Table A - 2: Wells, Meters and Valves Replacement Costs ...................................................... .............................68 v om NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Table A - 3: Water Pumps and Hydro Generator Replacement Costs ................................. .............................69 Table A - 4: Tanks, Chemical Feed and Misc. Replacement Costs ......................................... .............................69 Table A - 5: Water Pipe Replacement Sizes and Costs .............................................................. .............................70 Table A - 6: Non System- Specific Expected Useful Lives .......................................................... .............................70 Table A - 7: Generator Replacement Costs - 2012 dollars ...................................................... .............................70 Table A - 8: Misc, Assets Replacement Costs - 2012 dollars .................................................. .............................71 Table A - 9: Assets Refurbishment Intervals and Costs - 2012 dollars .............................. .............................71 TableA - 10: Asset Valuation by System ......................................................................................... .............................72 TableA - 11: Total Modeled R &R 30 Year Costs .......................................................................... .............................74 Table B - 1: Pipe Vintages by Install Decade ........................................................... .......................... ......................... 84 Table B - 2: Water Mains Listed by Install Decade and Pipe Material ................................ .............................87 Table B - 3: Water Mains Listed by Pipe Diameter and Material .......................................... .............................88 Table B - 4: Water Main Breaks by Pipe Install Decade and Material ................................. .............................90 Table B - 5: Number of Breaks per Mile by Decade Pipe Installed and Material ............ .............................96 Table B- 6: Number of Breaks by Pipe Diameter and Material .............................................. .............................97 Table B - 7: Number of Breaks per Mile of Pipe by Diameter and Material ................... ............................100 Table B - 8: Impacts on Breaks /Mile by Material ....................................... ............................... ............................105 Table B - 9: Summary of PoF Criteria used in this Anal ysis ................... ............................... ............................113 Table B - 10: Summary of CoF Criteria used in this Study ...................... ............................... ............................118 Table C - 1: Water Pipe Replacement Costs (2012 dollars) ................... ............................... ............................124 Table C - 2: Partial List of Water Main Pipe Segments Ranked by BRE Score ............... ............................127 Table C - 3: Water System R &R Summarizations and Recommendations ...................... ............................133 Table C - 4: Water System Capital Improvements Program [*1 ............ ............................... ............................135 Table D - 1: Partial List of Water Mains Ranked by BRE Score with Non -City owned Mains Removed .................................................................................... ............................... ............................140 Table D - 2: City -owned Water System R &R Summarizations and Recommendations .........................145 Table D - 3: City -owned Water System Capital Improvements Program [ *] ................. ............................146 BLACK & VEATCH I Table of Contents 65B -10 V WATER RATE STUDYJ City of Santa Ana, CA LIST OF FIGURES Figure ES - 1: Distribution of Pipe Materials by Install Decade ............................................. ............................... 3 Figure ES - 2: Criticality Heat Map Graphic by Cost and R &R Strategy Groups .............. ............................... 5 Figure ES - 3: Projected Revenues and Revenue Requirements - Status Quo [*] .......... ............................... 7 Figure ES - 4: Monthly Single Family Residential Bills (5/8" meter and 15 HCF usage) - Rates as of October25, 2014 ............................................................................................................................. .............................13 Figure - 1: Distribution of Pipe Materials by Install Decade ................................................... .............................24 Figure - 2: Distribution of Breaks by Pipe Material and Install Decade ............................. .............................24 Figure - 3: Age of Pipe at Time of Break by Material ................................................................. .............................26 Figure - 4: Criticality Heat Map Graphic by Cost and R &R Strategy Groups .................... .............................28 Figure - 5: Map of City-owned Mains color -coded by Strategy Group ( A- Z) .................... .............................30 Figure - 5: Projected Revenues and Revenue Requirements - Status Quo: No Revenue Increases [ *] Figure - 6: Water Cost of Service Concepts .................................................................................... .............................42 Figure - 7: Monthly Single Family Residential Bills (5/8" meter and 15 HCF usage) - Rates as of October25, 2014 ............................................................................................................................. .............................61 Figure A - 1: Annual Capital Asset R &R Needs for Water and Sewer Assets over 30 -Yr Period ........... 73 Figure A- 2: Annual Capital Asset R &R Needs for the Water System .................................. .............................74 Figure B - 1: Example Risk Heat Map Graph Relating PoF and CoF Scores ...................... .............................79 Figure B - 2: Water Mains Material by Miles and Percentages .............................................. .............................80 Figure B- 3: Map of Water Mains Color -Coded by Pipe Material .......................................... .............................81 Figure B -4: Water Pipe Diameters by Miles Installed .............................................................. .............................82 Figure B- 5: Map of Water Mains Color -Coded by Pipe Diameter ........................................ .............................83 Figure B - 6: Annual and Cumulative Miles of Installed Pipe by Year ................................. .............................85 Figure B - 7: Map of Water Mains Color -Coded by Pipe Install Decade ............................. .............................86 Figure B - 8: Water Mains by Install Decade and Pipe Material ............................................ .............................87 Figure B - 9: Water Mains by Mipe Diameter and Material ..................................................... .............................89 Figure B - 10: Water Main Breaks by Pipe Install Decade and Material ............................ .............................90 Figure B - 11: Map Showing the Distribution of Water Mains and Breaks based on Pipe Installation Decade................................................................................................................................................. .............................91 Figure B - 12: Map Showing Water Mains and Breaks based on Pipe Material (All Pipe Materials)..93 Figure B - 13: Map Showing Water Mains and Breaks based on Pipe Material (Asbestos Concrete only) ..................................................................................................................................................... .............................94 Figure B - 14: Map Showing Water Mains and Breaks based on Pipe Material (Cast Iron only) .......... 95 Figure B- 15: Number of Breaks per Mile by Decade Pipe Installed and Material ........ .............................96 NOVEMBER 2014 65B -11 City of Santa Ana, CA I WATER RATE STUDY Figure B - 16: Number of Breaks by Pipe Diameter and Material ........................................ .............................98 Figure B - 17: Map Showing the Distribution of Water Mains and Breaks based on Main Diameter.99 Figure B - 18: Number of Breaks per Mile of Pipe by Diameter and Material ............... ............................100 Figure B - 19: Number of Breaks per Year per 100 Miles of Installed Pipe .................... ............................101 Figure B - 20: Map Showing the Location of Breaks Color -Coded by Break Year Since 1990............102 Figure B - 21: Map Showing Water Mains by the Number of Breaks per Segment ..... ............................104 Figure B - 22: Several Maps Showing Selective Soil characteristics and Main Breaks by Main BRE Heat Map Graphic by Main Replacement Cost (2012 dollars) .......... ............................126 Material............................................................................................................................................ .............................10 6 Figure B - 23: Breaks per 100 miles per Year by Cohort Group ........... ............................... ............................108 Figure B - 24: Percentage of Water System Pipelines by Cohort Group .......................... ............................109 Map of Mains Color -Coded by Strategy Group ( A- Z) ....... ............................... ............................132 Figure B - 25: Map of Water Mains Color -coded by Cohort Rank ........ ............................... ............................110 Figure D - 1: Figure B - 26: Water Pipeline Historical Break Rate by Installation Decade ................. ............................111 137 Figure B - 27: Distribution of Water Pipeline PoF Scores ....................... ............................... ............................114 Map of City - Wwned Water Mains Color Coded by BRE Scores ................. ............................138 Figure B - 28: Map of Water Mains Color -coded by Total PoF Score . ............................... ............................115 Figure D - 3: Figure B - 29: Water System Pipelines CoF Scores by Diameter .......... ............................... ............................116 Figure B - 30: Distribution of Water Pipeline CoF Scores ....................... ............................... ............................118 Figure B - 31: Map of Water Mains Color -Coded by CoF Scores .......... ............................... ............................119 Figure B - 32: Distribution of Water Pipeline BRE Scores ...................... ............................... ............................120 Figure B - 33: Water System BRE Heat Map Graphic by Miles of Main ............................ ............................121 Figure B - 34: Map of Water Mains Color -Coded by BRE Scores .......... ............................... ............................122 Figure C - 1: BRE Scores and Costs for Water Distribution System .... ............................... ............................125 Figure C- 2: BRE Heat Map Graphic by Main Replacement Cost (2012 dollars) .......... ............................126 Figure C - 3: BRE Heat Map Graphic by Cost and R &R Strategy Groups .......................... ............................131 Figure C - 4: Map of Mains Color -Coded by Strategy Group ( A- Z) ....... ............................... ............................132 Figure D - 1: Water System BRE Heat Map Graphic by Miles of City -owned Water Mains... ............... 137 Figure D - 2: Map of City - Wwned Water Mains Color Coded by BRE Scores ................. ............................138 Figure D - 3: BRE Scores and Costs for City -Owned Water Distribution System ......... ............................139 Figure D - 4: BRE Heat Map Graphic by City -Owned Main Replacement Cost (2012 dollars) ...........140 Figure D - 5: BRE Heat Map Graphic by Cost and R &R Strategy Groups for City -owned Mains........ 143 Figure D - 6: Map of City -Owned Mains Color -Coded by Strategy Group (A- Z) ............ ............................144 BLACK & VEATCH ( Table of Contents 65B -12 vii City of Santa Ana, CA I WATER RATE STUDY Executive Summary This report was prepared for the City of Santa Ana (City) to document a multi -year financial plan, the cost of service analysis and the design of a rate structure for the City's Water Enterprise. The specific goals of the study were to: • Review and evaluate existing policies and procedures affecting utility rates; • Evaluate the adequacy of projected revenues under existing rates to meet projected revenue requirements; • Develop a Rehabilitation and Replacement (R &R) Program that will identify major capital expenditures for the Water system; • Create a sound financial plan for the Water Enterprise covering a five -year study period for both ongoing operations and planned capital improvements; • Allocate projected Fiscal Year (FY) revenue requirements to the various customer class in accordance with the respective service requirements; and • Develop a suitable rate schedule that produces revenues adequate to meet financial needs while recognizing customer costs of service and local and state policy considerations such as Proposition 218 and Senate Bill x7 -7 (SBx7 -7). SUMMARY OF FINDINGS AND RECOMMENDATIONS A number of factors influence the financial condition of the Water Enterprise. Rates charged for service at a minimum should be adequate to cover operating and repair and replacement costs and to meet outstanding debt covenant requirements. Sound financial operations also include maintaining a capital reserve to address unplanned and emergency capital requirements. Financing major capital expenditures is dependent upon the policies and practices of the City. Cash financing capital expenditures minimizes the cost of the improvements. While debt financing increases the cost, it spreads those costs over the life of the facility, allocating the costs to the actual users of the facility. Changes in the financing of capital expenditures may affect the financial condition of the Water Enterprise and any necessary rate adjustments. The City of Santa Ana has engaged Black & Veatch to review the financial condition of the Water Enterprise, to conduct a cost of service analysis, and to design water rate schedules that address cost -of- service and revenue stability issues. This is the City's first comprehensive review of needs since 1995. Summarized herein are the principal findings and recommendations of the study. Guiding Principles It is the intent of the City to operate its Water Utility as business enterprises. As part of this philosophy, the City asked Black & Veatch to provide comments and recommendations on the following guiding principles: • Should the Water Utility be operated as a "neutral" enterprise? In general, enterprise funds are defined as self- supporting entities. These funds have separate revenue streams based on provided services, which allows them to have the capacity to issue revenue - backed bonds and generate sufficient revenues to cover operational and capital costs. Although city enterprises BLACK & VEATCH I Executive Summary 65B -13 WATER RATE STUDY I City of Santa Ana, CA provide distinct services to its rate - payers, they are also dependent on services provided by General Fund operations. For example, most water departments share human resources, finance, and legal services with other city departments. As such, it is a common practice to allocate shared General Fund costs to all benefiting departments. With respect to the City, the Water Enterprise Fund currently pays its proportionate portion of allocated General Fund costs as determined through the City's indirect cost allocation model. These General Fund costs are business costs that allow the utilities to provide services to the City's residents. • What is a prudent level of operating reserves? The City is formulating a formal operating reserve policy. In light of this, Black & Veatch recommends that the City establish a 90 -days target for an operating reserve. This benchmark is a typical one used by many utilities, including many of the City's surrounding communities. The recent collapse of the nation's financial markets, coupled with the uncertainty of Southern California's water supply situation has led to a change in this benchmark level. Ratings agencies such as Moody's and Standard's & Poor's are now suggesting that utilities have operating reserves between 180 and 360 days' worth of operating expenses. An alternative reserve policy approach is to maintain approximately 90 days of operating expenses together with a $500,000 to $1,000,000 emergency reserve. Higher reserve levels helps the City attain better bond ratings, which in turn, leads to lower borrowing costs. Black & Veatch's proposed long -term financial plan provides a path for meeting the 90 -day operational level and establishing a $1,000,000 emergency reserve. • What is an appropriate level for capital reserves? Capital reserves, such as those for rehabilitation and replacement (R &R) are typically not well- funded in the industry. It has only been within the last decade or so that agencies are seeing the ramifications of not having adequate R &R reserves on hand to address aging infrastructure needs. In the absence of a depreciation study or condition assessment, a general guideline is for utilities to set aside an amount equivalent to one year of depreciation expense. This reserve amount calls for a physical transfer of cash to a reserve account — it is not the same as the depreciation expense recorded on the Income Statement. The latter is not a cash requirement, unlike the former situation. Black & Veatch recommends that as the Water Utility becomes financial stable, R &R reserve funds should be established and funded. As cash is available, the annual funding level should eventually equal one -year of depreciation expense (approximately $2.3 million). Water Enterprise Capital Program Figure ES 1 illustrates the distribution of the City's water mains by installation decade and pipe material. The mains included in the analysis are for "potable" use and do not include the Metropolitan Water District lines that serve the City and are within the City's boundaries. Of the approximately 508 miles of mains in the system, over 70 percent was installed pre 1980 and the average age of the pipes in the system is 50 years. From Figure ES 1 it is clear that the City will soon face a major reinvestment period as water mains reach the end of their useful life. In the absence of any condition assessments, the industry standard for main replacement is 1 percent of the system per year. If we apply this approach to the City's system, the result is an annual replacement rate of 5 miles of mains. The City is currently replacing at a rate of 0.5 percent. 2 65B -14 01161V MUMV40FB1 City of Santa Ana, CA I WATER RATE STUDY Figure ES - 1: Distribution of Pipe Materials by Install Decade 700 a v LL `0 600 a c 500 0 0 400 1930Pre 1930s 1940s 1950s 1960s 1970s 1980s 1990s 2000s 2010s LINK MAC MCI MCMLC ECYL MIDI MPVC WSTL PUNK AC= Asbestos Concrete CYL = Pre-stressed Concrete STL — Steel Cl = Cast Iron DI = Ductile Iron LINK = Unknown CMLC = Cement Mortar -Lined & Coated Steel PVC= Poly Vinyl Chloride A natural next step in evaluating the condition of assets is to examine break history. The City has only maintained records on break history since the 1990s in the Geographic Information System (GIS). Records from 1990 to 2012 show that the City averages 45 to 50 breaks per year. Black & Veatch examined the number of breaks per mile per decade of pipe installation and by material in order to gain a better understanding of the trends in break history. Figure ES 2 shows that almost 68 percent of the breaks have occurred in Cast Iron pipe, 19 percent in Asbestos Cement (AC) and 7 percent in Ductile Iron (DI). Additionally, 58 percent of the breaks have occurred in pipe installed in the 1950 -60s; however, the City only installed 43 percent of all pipes during these two decades. BLACK & VEATCH I Executwe iuni mary 65B -15 3 rr 1 1 171 r= �r 1930Pre 1930s 1940s 1950s 1960s 1970s 1980s 1990s 2000s 2010s LINK MAC MCI MCMLC ECYL MIDI MPVC WSTL PUNK AC= Asbestos Concrete CYL = Pre-stressed Concrete STL — Steel Cl = Cast Iron DI = Ductile Iron LINK = Unknown CMLC = Cement Mortar -Lined & Coated Steel PVC= Poly Vinyl Chloride A natural next step in evaluating the condition of assets is to examine break history. The City has only maintained records on break history since the 1990s in the Geographic Information System (GIS). Records from 1990 to 2012 show that the City averages 45 to 50 breaks per year. Black & Veatch examined the number of breaks per mile per decade of pipe installation and by material in order to gain a better understanding of the trends in break history. Figure ES 2 shows that almost 68 percent of the breaks have occurred in Cast Iron pipe, 19 percent in Asbestos Cement (AC) and 7 percent in Ductile Iron (DI). Additionally, 58 percent of the breaks have occurred in pipe installed in the 1950 -60s; however, the City only installed 43 percent of all pipes during these two decades. BLACK & VEATCH I Executwe iuni mary 65B -15 3 WAFER RAI"E Si JOYS City of Santa Ana, CA Figure ES - 2: Number of Breaks per Mile of Pipe by Installed Decade and Material mAc ■CI it YCYL ■DI ■PVC HSTL HUNK AC= Asbestos Concrete CYL = Pre-stressed Concrete STL — Steel Cl = Cast Iron DI = Ductile Iron LINK = Unknown CMLC = Cement Mortar -Lined & Coated Steel PVC = Poly Vinyl Chloride In order to produce an R &R program, Black & Veatch conducted a high -level asset condition review using City - provided Geographic Information System (GIS) data and available condition reports for the water system. Black & Veatch evaluated the available data and held two workshops with engineering and maintenance staff to develop weighting factors for the asset assessment. Combining the condition reports and workshop results, Black & Veatch determined the Probability of Failure (PoF) and the Consequence of Failure (CoF). The PoF is a measurement of the likelihood that a particular asset will fail. The PoF score is arrived at by weighing factors such as the physical properties of the asset (material, age, etc.), the conditions of the surrounding environment (soil conditions, earthquake faults, etc.), and operational history. The CoF assesses the relative importance of each pipe in terms of delivery levels of service, economics, and health and safety. Criteria weighed in determining a CoF score include, but are not limited to, pipe size, critical customer impacts, and proximity to major roads. The product of the PoF and the CoF results in the Business Risk Exposure (BRE) — the higher the BRE score, the higher the likelihood that the asset requires attention. Without detailed condition assessment information, Black & Veatch cannot quantify the absolute risk of failure; instead, the analysis conducted herein provides a picture of the relative risk of failure. In other words, the analysis indicates which assets are more likely to fail in relation to other system assets. On its own, the BRE score is not sufficient to develop a Capital Improvement Program (CIP). Consequently, Black & Veatch developed R &R strategies reflecting how public agencies tend to conduct work — 4 65B -16 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY grouping projects by area. Based on criticality criteria (PoF and CoF), Black & Veatch developed a list of projects to address immediate system needs over the next 5 years. As shown in Figure ES 3 and explained in more detail in Appendices A through D, the City's water system has approximately 0.08 miles ($0.2 million, 2012 dollars) of mains that are in extremely critical condition (red zone - highest risk of failure). Examining the next tiers of criticality, the City has another 1.35 miles ($3.2 million, 2012 dollars) of mains in highly critical condition (gold zone), and 3.30 miles ($7.2 million, 2012 dollars) of mains that are danger of imminent failure (yellow and green zones). Figure ES - 3: Criticality Heat Map Graphic by Cost (2012 dollars) and R &R Strategy Groups 10 L 9 M 8 LL 4- 7 O 6 v = 5 0) 3 4 41 3 h C 2 O V 1 Probability of Failure 1 2 3 4 5 6 7 8 9 10 MPFO.3 $0.7 $0.1 $0.1 $0.0 $0.0 $0.0 $0.3 $1.3 $6.1 $0.2 $0.0 $0.0 $0.2 $0.6 $1.2 $2.8 $0.0 $0.0 $1.9 $0.0 $0.7 $0.3 $2.3 $6.1 $6.4 $0.1 $0.0 $0.0 $0.0 $0.0 $3.3 $1.1 $4.6 $16.4 $9.2 $0.2 $2.3 $0.0 $0.9 $0.0 $0.5 $4.3 $3.0 $2.1 $16.9 $2.5 $14.8 $10.9 .4 $0.0 $0.8 $20.9 $17.5 $11.7 $55.7 $6.7 $44.8 $21.3 0.9 $0.9 $5.4 $4.1 $1.9 $3.9 $22.0 $1.2 $4.8 $3.1 ` $4.2 $0.9 $0.9 $38.7 $25.1 $15.3 $91.4 $12.8 $35.5 $18.9 $11.5 $3.4 $4.9 $1.7 $6.01 $9.2 $75.2 1 $24.5 1 $54.3 $47.4 $26.8 $4.0 $3.0 Millions of Dollars Extremely High Probabi l ity and Consequence Very High Probability and Consequence C High Probability and Consequence D Moderate Probability and Consequence E Extremely High Probability and Lowto Moderate Consequence F High Probability and Lowto Moderate Consequence Lowto Moderate Probability and Extremely High Consequence Lowto Moderate Probability and High Consequence y Unknown Z Low Criticality Total Cost: $888.8 Table ES 1 summarizes the results of the preliminary asset condition evaluation and indicates that over the next 5 years, the City should invest approximately $11.2 million (2012 dollars) in its water system to catch -up with deferred activities (replacement of assets prioritized as "critical', "very high likelihood of failure ", "high likelihood ", "very high consequence of failure' and "high consequence'). The $888.8 BLACK & VEATCH I Executive Summary 5 6513-17 vv,KfsF f2aiF SYUUYI City of Santa Ana, CA million value in Figure ES 3 represents the cost of repairing or replacing the portion of main impacted. It does not represent the replacement cost of the entire system. Black & Veatch has spread out the critical projects identified for the CIP over five years. Table ES -1: Annual Inspection and Replacement Schedule Based on Risk Profile (2012 Dollars) Years $213,400 $213,400 $213,400 Year2 $1,624,500 $1,624,500 $1,837,900 Year3 $831,000 $2,189,800 $3,020,800 $4,858,700 Year4 $2,189,800 $2,189,800 $7,048,500 Year 5 $4,190,500 $4,190,500 $11,239,000 Total $1,044,400 $6,498,000 $11,239,000 $1,752,000 After the 5 -year period, Black & Veatch recommends that the CIP include annual R &R distribution system projects and addressing non - distribution system (booster stations, reservoirs, etc.) assets. Table ES 2 summarizes a proposed CIP for the next 5 -year period. At a minimum, Black & Veatch suggests that the City invest approximately $10 million annually into infrastructure needs. Table ES - 2: Annual R &R Schedule for FY 19/20 through FY 23/24 (2014 Dollars) Yearl $5,000,000 $1,007,300 $1,153,300 $717,100 $7,877,700 $7,877,700 Year2 $5,000,000 $1,430,200 $1,223,100 $1,376,900 $9,030,200 $16,907,900 Year3 $5,000,000 $1,470,500 $1,703,000 $1,471,800 $9,645,300 $26,553,200 Year4 $5,000,000. $1,752,000 $4,439,100 $1,520;100 $12,711,200. $39,264;400 Year $5,000,000 $1,809,500 $1,596,800 $2,227,800 $10,634,100 $49,898,500 Total $25,000,000 $7,469,500 $10,115,300 $7,313,700 $49,898,500 Water Enterprise Financial Plan In developing the financial plan for the Water Enterprise, Black & Veatch analyzed the level of revenue adjustments needed to support the operational and capital needs of the utility. As a point of comparison, Black & Veatch also analyzed the impact on the utility should the City elect to forego rate increases and maintain the same level of infrastructure investment. As seen in Figure ES 4, the Water Enterprise does have sufficient cash reserves on hand to meet ongoing 0 &M obligations and address baseline infrastructure needs. By FY 15/16, the Water Enterprise's revenue requirements will exceed revenues and will require the Enterprise to dip into its working capital reserve. The annual deficit cash position continues through the study period, ending with a ($9.1 million) balance. 3 M \I • A001yP414WOM City of Santa Ana, CA Figure ES -4: Projected Revenues and Revenue Requirements — Status Quo [ *] Status Quo: Projected Revenue and ROVue Requirements $80,000 in $000's $70,000 $60,000 $50,000 $40,000 $30,000 $20,000 $10,000 $0 - $10,000 FY 14/15 FY 15/16 FY 16/17 FY 17/18 FY 18/19 ® O &M Expenses o Water Purchase V-J Annual Capital Outlay -- Debt service to Capital Projects -qb--Revenue Target Cash Balance Cash Balance [ *] FY 14/15 revenues include one -time receipt of funds from water bond refinancing activities. Delaying CIP activities does stretch out available cash; however, continued deferral of needed CIP projects also increases the probability, consequence and cost of asset failure. As a rough approximation, Black & Veatch estimated the cost of continuing to defer CIP projects using the methodology set forth in the American Society of Civil Engineers' (ASCE's) 2012 Failure to Act Economic Report for Water (FAC Report). The FAC Report notes that in addition to the actual repair /replacement costs, there are costs associated with payment of claims to impacted households and businesses. Additionally, if projects are deferred by several years, there is an economic loss due to lost water supply, loss of jobs, lost work days, business closures, traffic delays, street repairs, etc. Table ES 3 summarizes the cost of not executing the proposed CIP using the FAC Report methodology. Note that Table ES 3 does not include the cost of replacing the asset or the cost of regulatory fines. Table ES -3: Economic Impact of Delaying Proposed CIP Households $366,000 - $1,314,600 Businesses $917,100- $3,286,500 Local Economy $4,463,100 - $15,994,300 Total $5,747,000 - $20,595,400 BLACK & VEATCH I Executive Summary Total household claim payments. Total business claim. payments. Range depends on the severity of breaks. Includes impacts such as road closures, cost of sinkhole repairs, addressing health & safety issues, etc. 65B -19 7 a i °_ i P2,11 i City of Santa Ana, CA Black & Veatch recommends that the Water Enterprise initiate a program that will help establish recommended reserve balances for both its operational and capital needs over the planning period, as well as a $1 million emergency fund. Given the current level of R &R activity, establishing an emergency fund to address unexpected main breaks would be prudent. For the analyses conducted herein, forecasted operations and maintenance (0 &M) expenses are based on an inflation rate of 2 percent for personnel, 4 percent for benefits, 3 percent for maintenance, 2 percent for general and administrative (G &A), and 5 percent for utilities. • Status Quo Scenario. Under the Status Quo Scenario, implementing no revenue increases over the planning period results in the Water Enterprise running an annual deficit starting in FY 15/16. By the end of the planning period, the annual deficit position grows to ($9.8 million) and the ending fund balance is ($9.1 million). • Scenario 1. The implementation of annual revenue increases allows the Water Enterprise to maintain a positive balance in the Operating Fund while still executing the proposed CIP. The City last raised rates for the Water Enterprise in 2011. Since that time, the cost of purchased water has increased almost 25 percent. The Water Enterprise has been able to absorb these increases by deferring CIP activities; however, this is no longer a viable or sustainable option. Table ES 3 summarizes the proposed revenue adjustments for the proposed scenario examined. All increases are effective July 1 of the fiscal year, except for FY 14/15, which has a March 1, 2015 effective date. Table ES -4: Proposed Revenue Adjustments FY 14/15 March 1 2.8% FY 15/16 July 1 2.8% FY 16/17 July 1 2.8% FY 17/18 July 1 2.8% FY 18/19 July 1 2.8% The above revenue adjustments assume that purchased water costs will remain at current levels. Black & Veatch recommends that the City handle pricing increases from Metropolitan Water District of Southern California (MWD) and the Orange County Water District (OCWD) and /or changes in the basin pumping percentage via a pass- through charge. Water Utility Cost of Service Allocations 8 • The revenue requirements for a selected Test Year (TY) are allocated to customer classes utilizing a cost causative approach endorsed by the American Water Works Association (AW WA). • Customers are classified to reflect groups of customers with similar service requirements who can be served at similar cost. Each class represents a particular type of service requirement. 65B -20 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY In this analysis, there are six primary cost components: (1) base flow, or volume costs, (2) maximum day cost, (3) peak hour costs, (4) customer billing costs, (5) fire protection, and (6) reclaimed water. Proposed Water Rates At the request of the City, Black & Veatch has examined alternative rate schedules based on the proposed CIP. In addition, the City asked Black & Veatch to examine the level of cost recovery through the basic service charge. Under the current rate schedule, the City recovers approximately 8 percent of its revenues through the basic service charge. According to Best Management Practice (BMP) 11 as set forth by the California Urban Water Conservation Council (CUWCC), utilities should strive to have no more than 30 percent of its user charge revenues from the meter charge. Using this guideline, the City requested Black & Veatch to propose a set of rate schedules that would gradually increase the fixed component recovery over a 5 -year period. Black & Veatch conducted its cost -of- service (COS) analysis and determined that the level of costs recovered through the basic service charge is closer to 17 percent. To minimize ratepayer impacts, the proposed rate schedules illustrated a phased approach to reaching the COS levels by FY 18/19. To maintain a rate structure that encourages conservation, Black & Veatch examined the incremental costs associated with Tier 2 levels of service. We are recommending that the City move from a 15 percent rate differential to a 20 percent differential between Tier 1 and Tier 2 rates. The rate schedule shown in Tables ES 4 and ES 5 is for Scenario 1 and reflects the rates for the entire study period. Cost recovery for each year using the proposed rate structure achieves essentially 100 percent for each customer class. BLACK & VEATCH I Executive Summary [INTENTIONALLY LEFT BLANK] 65B -21 7 WATER RATE STUDYI City of Santa Ana, CA Table ES - 5: Proposed Rates for Scenario 1- FY 14/15 and FY 15/16 5/8" $7.00 $7.40 $0.40 $9.05 $1.65 3/4" $11.00 $16.05 $5.05 $19.65 $3.60 1" $16.40 $30.50 $14.10 $37.30 $6.80 1.5" $23.40 $47.85 $24.45 $58.50 $10.65 2" $46.40 $88.25 $41.85 $107.95 $19.70 T. $116.60 $146.05 $29.45 $178.60 $32.55 4" $186.60 $290.45 $103.85 $355.20 $64.75 6" $280.00 $463.70 $183.70 $567.10 $103.40 [ *]Multi - Family per unit charge $4.20 $4.45 $0.25 $5.45 $1.00 Tier 1 (0 -44 HCF) $2.73 $2.78 $0.05 $2.79 $0.01 Tier 2 (> 45 HCF) $3.15 $3.35 $0.20 $336 $0.01 Recycled Water $2.18 $2.22 $0.04 $2.23 $0.01 10 <4" $14.00 $18.20 $4.20 $18.75 $0.55 4" $18.00 $23.40 $5.40 $24.10 $0.70 6" $24.00 $31.20 $7.20 $33.80 $2.60 8" $32.00 $41.60 $9.60 $42.90 $1.30 10" $38.00 $49.40 $11.40 $50.90 $1.50 12" $44.00 $57.20 $13.20 $58.95 $1.75 65B -22 NOVEMBER 2914 City of Santa Ana, CAI WATER RATE STUDY Table ES - 6: Proposed Rates for Scenario i - FY 16/17 through FY 18/19 5/8" $10.70 $1.65 $12.35 $1.65 $13.90 $1.55 3/4" $23.25 $3.60 $26.80 $3.55 $30.20 $3.40 1" $44.10 $6.80 $50.90 $6.80 $57.30 $6.40 1.5" $69.15 $10.65 $79.85 $10.70 $89.85 $10.00 2" $127.65 $19.70 $147.30 $19.65 $165.80 $18.50 3" $211.15 $32.55 $243.70 $32.55 $274.30 $30.60 4" $419.95 $64.75 $484.70 $64.75 $545.55 $60.85 6" $670.50 $103.40 $773.90 $103.40 $871.05 $97.15 [* ] M u Iti- Family per unit charge $6.40 $0.95 $7.40 $1.00 $9.50 $2.10 Ter 1 (0 -44 HCF) $2.81 $0.01 $2.82 $0.01 $2.83 $0.01 Tier 2 (> 45 HCF) $3.37 $0.01 $3.38 $0.02 $3.40 $0.01 Recycled Water $2.24 $0.01 $2.25 $0.01 $2.26 $0.01 <4" $19.30 $0.55 $19.85 $0.55 $21.00 $1.15 4" $24.80 $0.70 $25.50 $0.70 $27.00 $1.50 6" $36.40 $2.60 $39.00 $2.60 $41.50 $2.50 8" $44.20 $1.30 $45.50 $1.30 $48.00 $2.50 10" $52.40 $1.50 $53.90 $1.50 $57.00 $3.10 12" $60.70 $1.75 $62.45 $1.75 $66.00 $3.55 BLACK & VEATCH t.,: I 65B -23 WATER RATE STUDYI City of Santa Ana, CA Finally, Table ES 6 presents typical monthly bills for different customers in hundred cubic feet (hcf) per month. A comparison to surrounding cities for a single - family residential customer using 15 hcf (monthly) is shown in Figure ES 5. Table ES - 7: Typical Monthly Bills for City Customers (Rates Effective March 1, 2015) Single Family Residential 76.7% 5/8" 15 $4441 $45.40 $0.99 2.2% Commercial 9.60% 2" 50 $171.51 $199.94 28.43 16.6% Industrial 0.18% 6" 500 $1,707.61 $1,899.11 $191.50 11.2% 12 [INTENTIONALLY LEFT BLANK] 65B -24 NOVE City of Santa Ana, CA I WA 1; R RA T r 1 ;lUD', Figure ES - 5: Monthly Single Family Residential Bills (5/8" meter and 15 HCF usage) — Rates as of October 25, 2014 Water Bill City of Stanton South Coast WD East Orange CWD Retail Zone ._. City of Placentia City of Cypress Laguna Beach CWD City of San Clemente - •..+...� -• City of Newport Beach Serrano WD •-- .a-- .- .v..�- Mesa WD -. City of San Juan Capistrano _ City of Brea .......... .. .. _ City of Fullerton City of Long Beach City of La Habra '•,,. - Yorba Linda WD City of Santa Ana (Proposed) City of Seal Beach - City of Garden Grove City of Fountain Valley City of Santa Ana (Existing) Moulton Niguel WD City of Westminster -- - - - - -- -- -- - - -- -_- - - - -- City of Buena Park City of La Palma L Santa Margarita WD City of Huntington Beach City of Anaheim City of Orange Irvine Ranch WD - - - - - -- City of Tustin J -. "NOW a Average Survey Bill= $53.63 $0 $10 $20 $30 $40 $50 $60 $70 $80 $90 $100 BLACK & VEATCH I Executive 5:: 65B -25 13 WATER RATE STUDY I City of Santa Ana, CA Introduction This report was prepared for the City of Santa Ana (City) to document a multi -year financial plan, the cost of service analysis and the design of a rate structure for the City's Water Enterprise. This is the first comprehensive evaluation of the City's capital and financial needs since 1995. The specific goals of the study were to: • Review and evaluate existing policies and procedures affecting utility rates; • Evaluate the adequacy of projected revenues under existing rates to meet projected revenue requirements; • Develop a Rehabilitation and Replacement (R &R) Program that will identify major capital expenditures for the Water system; • Create a sound financial plan for the Water Enterprise covering a five -year study period for both ongoing operations and planned capital improvements; • Allocate projected Fiscal Year (FY) revenue requirements to the various customer class in accordance with the respective service requirements; and • Develop a suitable rate schedule that produces revenues adequate to meet financial needs while recognizing customer costs of service and local and state policy considerations such as Proposition 218 and Senate Bill x7 -7 (SBx7 -7). BACKGROUND The City of Santa Ana is one of the oldest Cities in Orange County incorporated in 1886. It encompasses 27.5 square miles and is located approximately 35 miles southeast of downtown Los Angeles. The City is the governmental center of Orange County with a population of roughly 324,500 (2010 US Census). The City owns and operates through the Department of Public Works two self- supporting enterprises: Water and Sewer. The Water Enterprise serves residential, commercial, industrial, institutional and irrigation customers by providing potable and reclaimed water. To serve its customers, the Water Enterprise obtains water from two primary sources: local groundwater from the Orange County Water District (OCWD) and import water from the Metropolitan Water District of Southern California (MWD). Groundwater production accounts for roughly 65 to 70 percent of the water supply and MWD imported water supplies provide the remaining 30 to 35 percent. The City maintains about 500 miles of transmission and distribution mains, eight reservoirs with a storage capacity of 49.3 million gallons, seven pumping stations, nineteen wells, and seven import connections. The City also receives recycled water after advanced treatment from the Orange County Water District facility, Green Acres Project. PURPOSE The purpose of this report is to present the findings obtained from Black & Veatch Corporation's (Black & Veatch's) study of Water's rate structure and alternatives, financing, and capital needs. The capital needs were based on the R &R Program evaluation as well as additional reviews of planned system improvements. The study develops a financial plan that projects operating revenue, expenses and capital financing costs for the City's Enterprise Funds over a five -year planning period ending June 30, 2019. As part of the plan, future revenues under existing rates, operation and maintenance expense, 14 65B -26 T10047d74;iDFC! City of Santa Ana, CA principal and interest expense on bonded debt, and capital improvement requirements are considered. Annual projections of customers, water use, revenues, and expenditures have been made using historical data for the next five years. SCOPE OF WORK Black & Veatch was retained by the City to develop a multi -year financial plan, conduct a cost of service analysis and design rates for both of its enterprises. The results of a study of the projected revenues, revenue requirements, costs of service, and rates for water service are presented herein. For purposes of this report, the study period is the five fiscal years beginning July 1, 2014 and ending June 30, 2019. Based on Proposition 218, agencies may not set rates in excess of 5 -year increments. Unless otherwise noted, references in this report to a specific year are for the City's year ending June 30. To avoid confusion between calendar and fiscal years, the term FY refers to the year beginning July 1 and ending June 30. Black & Veatch has projected revenues and revenue requirements for the study period based on a review of historical factors and the each enterprise's operating and capital budgets and financial policies. The study of revenue requirements recognizes projected operation and maintenance (0 &M) expense, establishment and /or maintenance of reserve funds, and capital financing requirements. Capital financing requirements include payments on outstanding bond issues as well as capital improvement expenditures met from annual revenues and available reserve funds. The Water Enterprise's cost of service used the American Water Works Association (AWWA) Manual M1. This allocation methodology produces cost of service allocations recognizing the projected customer service requirements for the City. Proposed rates are designed in accordance with allocated cost of service and local policy considerations. The extent to which the existing rate structure recovers revenues from customer classes in accordance with cost of service allocations is also evaluated. OVERVIEW OF LEGAL AND INDUSTRY BEST PRACTICES FOR COST -OF- SERVICE STUDIES Rate - setting procedures in California require that agencies responsible for imposing property- related charges must demonstrate a nexus between the cost of providing services and the services or benefits received. The state of California considers water and wastewater services as property - related fees and as such, subject to state constitutional and statutory requirements. Presented in the next few sections are brief summaries of the relevant laws governing the Study. Proposition 13 Government Code Section §50076, adopted in 1979 provides that "special taxes shall not include any fee which does not exceed the reasonable cost of providing the service or regulatory activity for which the fee is charged." Proposition 218 California voters approved Proposition 218 in November 1996. This voter - approved initiative added Articles XIIIC and D to the California Constitution. Article MID Section 2(e), is a definition of a "fee ". Essentially, as defined by Proposition 218, a fee is "any levy other than an ad valorem tax, a special tax, or an assessment, imposed by an agency upon a parcel or upon a person as an incident of property ownership, including a userfee or charge for a property related service ". Until 2006, sewer charges were BLACK & VEATCH I Introduction 15 65B -27 WATER RATE STUDY City of Santa Ana, CA considered property related services while water charge were not defined as property - related until the 2006 California Supreme Court decision in Bighorn- Desert View Water Agency v. Verjil. After this decision, water charges are now considered as property - related fees and any new or increased water charges must comply with the substantive and procedural requirements of Proposition 218. The substantive requirements include: • Revenues derived from the fee or charge cannot exceed the funds required to provide the property related service. • Revenues derived from the fee or charge cannot be used for any other purpose other than for which the fee or charge was imposed for. • A property - related fee or charge cannot exceed the proportional cost of service attributable to the parcel. Proposition 26 California voters approved Proposition 26 in November 2010. Included in the language of proposition, which amended California Constitution Article XIII C, Section 1, is a definition of "tax ". Essentially, as defined by Proposition 26, a tax is any "levy, charge, or exaction of any kind imposed by a local government' with specifically outlined exceptions. These exceptions are: • A charge imposed for a specific benefit conferred or a privilege granted directly to the payor that is not provided to those not charged, and which does not exceed the reasonable costs to the local government of conferring the benefit or granting the privilege, and • A charge imposed for a specific government service or product provided directly to the payor that is not provided to those not charged, and which does not exceed the reasonable costs to the local government of providing the service or product. Proposition 26 establishes that the "...local government bears the burden of proving by a preponderance of the evidence that a levy, charge, or other exaction is not a tax, that the amount is no more than necessary to cover the reasonable costs of the governmental activity, and that the manner in which those costs are allocated to a payor bear a fair or reasonable relationship to the payo's burdens on, or benefits received from, the governmental activity." Government Code Section §54999.7 Under this section, rate - setting activities by public agencies are directed to follow cost -of- service principles and states that fees for "...for public utility service, other than electricity or gas, shall not exceed the reasonable cost of providing the utility service." It also provides that these fees will be "established in consideration of service characteristics, demand patterns, and other relevant factors." Generally Accepted Rate - Setting Standards The American Water Works Association (AWWA) and Water Environmental Federation (WEF) are the industry organizations tasked with providing guidance on the operation and management of water and wastewater utilities. AWWA and WEF have established a general set of principles used to guide the development of water and wastewater rates. These principles were developed to provide a consistent approach and minimum standards to rate - setting procedures. It is important to note that both AWWA and WEF observe that there is no prescribed single approach for establishing cost -based rates. Rather, 16 M \• • NOVEMBER 2014 City of Santa Ana, CA .`. agencies must exercise judgment to align rates and charges with local conditions and requirements, as well as applicable state law. Black & Veatch has used the guidelines contained in the AWWA and WEF documents and followed the applicable State law, including Proposition 218, to conduct the analyses contained herein. DISCLAIMER In conducting our study, we reviewed the books, records, agreements, and customer sales and financial projections of the Water Enterprise as we deemed necessary to express our opinion of the operating results and projections. While we consider such books, records, documents, and projections to be reliable, Black & Veatch has not verified the accuracy of these documents. The projections set forth in this report below are intended as "forward- looking statements ". In formulating these projections, Black & Veatch has made certain assumptions with respect to conditions, events, and circumstances that may occur in the future. The methodology utilized in performing the analyses follows generally accepted practices for such projections. Such assumptions and methodologies are reasonable and appropriate for the purpose for which they are used. While we believe the assumptions are reasonable and the projection methodology valid, actual results may differ materially from those projected, as influenced by the conditions, events, and circumstances that actually occur. Such factors may include the City's ability to execute the capital improvement program as scheduled and within budget, regional climate and weather conditions affecting the demand for water, and adverse legislative, regulatory or legal decisions (including environmental laws and regulations) affecting the ability of any of the enterprise's ability to manage the system and meet water quality, waste discharge, and /or other regulatory or environmental requirements. BLACK & VEATCH I Introdurt,?, [INTENTIONALLY LEFT BLANK] 65B -29 IIA WATER RATE STUDY I City of Santa Ana, CA Water Rate Study REVENUE AND REVENUE REQUIREMENTS To meet the costs associated with providing water services to its customers, the Water Enterprise derives revenue from a variety of sources including water sales charges, basic service charges, reconnection fees, penalties, tag fees, rental of property, interest earned from the investment of available funds, and other miscellaneous revenues. The level of future revenue generated in the study is projected through a combination of an analysis of historical and future system growth in terms of number of accounts and water consumption. With revenue derived from the various sources, the Water Enterprise meets the cash requirements of operation and maintenance (0 &M); principal, interest, and reserve payments on revenue and other bond indebtedness; and recurring annual capital expenditures for replacements, system betterments, and extensions not debt financed. Operation and maintenance expenses are those expenditures necessary to maintain the system in good working order. Routine annual capital expenditures, which include equipment replacements, consist of recurring annual replacements, minor extensions, and betterments which are normally revenue financed. Other capital costs include principal and interest payments, bond covenant - required payments, and cash financed capital improvements. Accounts and Customer Usage Projections To forecast revenue, the customer accounts and billed water sales volume needs to be determined within the Water Enterprise's service area. Billed water is incorporated into the equation by projecting the average number of customer accounts illustrated in Table 1 and assessing an average use per account to produce the billed water volumes shown in Table 2. Based on the Urban Water Management Plan, discussions with City staff and the impact of the drought, water growth is estimated to remain constant at 15,948,300 hundred cubic feet (HCF) or 36,612 acre -feet (AF) between FY 14/15 and FY 18/19. The City under State mandate must comply with Senate Bill x7 -7, which stipulates a mandatory reduction of 20 percent water used by 2020 for all water purveyors in California. The City is at near built - out conditions and increase in water flow will result of increased density or infill of vacant properties. [INTENTIONALLY LEFT BLANK] 65B -30 NOVEMBER 2014 City of Santa Ana, CA I WATER RAT: STUDY Table - 1: Average Number of Accounts ESTIMATED I PROJECTED NUMBER OF ACCOUNTS CUSTOMER CLASS I FY 13/14 1 FY 14/15 1 FY 1S/16 I FY 16/17 1 FY 17/18 FY 18/19 Single Family Residential 35,491 35,491 35,491 35,491 35,491 35,491 Multi - Family Residential 3,633 3,633 3,633 3,633 3,633 3,633 Commercial 4,442 4,442 4,442 4,442 4,442 4,442 Industrial 84 84 84 84 84 84 Institutional 539 539 539 539 539 539 Irrigation 438 438 438 438 438 438 Outside City 45 45 45 45 45 45 Recycled Water 20 20 20 20 20 20 Fire Service 1,594 1,594 1,594 1,594 1,594 1,594 Total Accounts 46,286 46,286 46,286 46,286 46,286 46,286 Table - 2: Projected Billed Water Volumes Revenue Projections The City generates revenue from basic service charges, water sales, reconnection fees, penalties, tag fees, rental of property, interest earned from the investment of available funds, and other miscellaneous revenues. Since revenue generated outside of basic service charges and water sales are not subject to rate increases, we have excluded them from this portion of the analysis. These additional revenue sources are incorporated later in the cash flow portion of the report. BLACK & VEATCH I Water Rate Study 65B -31 Single Family Residential 6,261,100 6,073,900 6,073,900 6,073,900 6,073,900 6,073,900 Multi - Family Residential 4,654,300 4,515,100 4,515,100 4,515,100 4,515,100 4,515,100 Commercial 2,878,900 2,792,800 2,792,800 2,792,800 2,792,800 2,792,800 Industrial 697,700 676,900 676,900 676,900 676,900 676,900 Institutional 1,276, 700 1,238,500 1,238,500 1,238,500 1,238,500 1,238,500 Irrigation 570,300 553,200 553,200 553,200 553,200 553,200 Outside City 12,200 11,800 11,800 11,800 11,800 11,800 Recycled Water 88,800 86,100 86,100 86,100 86,100 86,100 Total Billed Volume 16,440,000 15,948,300 15,948,300 15,948,300 15,948,300 15,948,300 Revenue Projections The City generates revenue from basic service charges, water sales, reconnection fees, penalties, tag fees, rental of property, interest earned from the investment of available funds, and other miscellaneous revenues. Since revenue generated outside of basic service charges and water sales are not subject to rate increases, we have excluded them from this portion of the analysis. These additional revenue sources are incorporated later in the cash flow portion of the report. BLACK & VEATCH I Water Rate Study 65B -31 WATER RATE STUDY I City of Santa Ana, CA The Water Enterprise's revenues are composed of two parts: a basic bimonthly service charge and a commodity charge. The bimonthly service charge is a fixed amount based on meter size that is designed to recover fixed costs, which do not vary with the volume of water used by a customer such as meter reading, customer billing, and debt service. The commodity charge is an amount based on units of consumption, which is measured by the number of hundred cubic feet of water consumed during the billing cycle. Included in the commodity charge are the costs associated with water purchases. Since the Water Enterprise has traditionally reviewed rates on an annual basis, any increases from the Orange County Water District and /or MWD for purchased water have been incorporated in July. Summarized in Table 3 are the current water rates for all customer classes. Table - 3: Existing Rates (Effective July 1, 2010) 5/8" $7.00 3/4" $11.00 V. $16.40 1.5" $23.40 2" $46.40 $14.00 3" $116.60 $14.00 4" $186.60 $18.00 6" $280.00 $24.00 8" $32.00 30" $38.00 12" $44.00 [ "]Multi- Family per unit charge $4.20 Tier 1(0 -44 HCF) $2.73 Ter 2 (Over 45 HCF) $3.15 Recycled Water $2.18 Incorporating the existing water rates with the number of accounts and customer usage projections, water sales revenue under existing rates is tabulated as shown in Table 4. The anticipated revenue 20 NOVEMBER 2014 65B -32 City of Santa Ana, CA I WATER RATE STUDY generated is expected to remain constant at $49,784,700 throughout the study period. Reclaimed water is primarily used to meet landscape irrigation needs. Table - 4: Revenues under Existing Rates in Thousands of Dollars Single Family Residential 19,011.3 18,494.2 18,494.2 18,494.2 18,494.2 18,494.2 Multi - Family Residential 13,991.2 13,605.8 13,605.8 13,605.8 13,605.8 13,605.8 Commercial 9,456.1 9,193.8 9,193.8 9,193.8 9,193.8 9,193.8 Industrial 2,228.4 2,163.1 2,163.1 2,163.1 2,163.1 2,163.1 Institutional 4,169.6 4,050.5 4,050.5 4,050.5 4,050.5 4,050.5 Irrigation 1,844.4 1,791.7 1,791.7 1,791.7 1,791.7 1,791.7 Outside City 37.2 36.0 36.0 36.0 36.0 36.0 Recycled Water 206.9 201.0 201.0 201.0 201.0 201.0 Fire Service 248.6 248.6 248.6 248.6 248.6 248.6 Total Revenue $51,193.7 ' $49,784.7 $49,784.7 $49,784.7 $49,784.7 $49,784.7 Operation and Maintenance Projections In order to adequately adjust rates, it is necessary to project operation and maintenance (0 &M) expenses. Summarized in Table 5 are Waters projected O &M expenditures. These expenditures include costs related to personnel (including additional staff), contract services, operating supplies, utilities and general administrative. The forecasted expenditures are based Black & Veatch and City staffs expertise and knowledge. The table to the right summarizes key assumptions for inflation rates used in the C &M expense projections. The levels of adjustment illustrated on the right are consistent with recent increases seen throughout the area. For the purposes of this study, no escalation factor is applied to imported water sources. The volatility of water supply and wholesale costs are not within the City's control; as such, the City should be handling purchased water and pumped water increases via a pass- through mechanism. The OCWD is responsible for managing the groundwater basin from which the City pumps. In FY 13/14, the City's basin pumping percentage (BPP) was 70 percent and OCWD's budgeted BPP for FY 14/15 is 72 percent. It is OCWD's intent to increase the BPP to 75 percent and increase its water supply portfolio through increasing capacity at the Groundwater Replenishment System (GWRS) and purchasing water from the Huntington Beach Desalination Project. For the purposes of this Study, due to severe drought conditions, Black & Veatch is estimating an average 68 percent for the study period. BLACK & VEATCH I Water Rate Study 65B -33 21 22 WATER RATE STUDY I City of Santa Ana, CA Table - 5: Operation and Maintenance Expenses in Thousands of Dollars EST. PROJECTED O &M EXPENSES ($000'S) DESCRIPTION FY 13/14 1 FY 14/15 1 FY 15/16 FY 16/17 1 FY 17/18 1 FY 18/19 Water Production & Supply Salaries & Benefits 1,363.2 1,377.0 1,412.4 1,448.8 1,486.3 1,524.7 Contractual Services 11,147.5 11,565.3 12,581.0 12,900.5 13,229.7 13,569.0 Commodities 11,063.3 10,475.5 10,475.5 10,475.5 10,475.5 10,475.5 Administration 986.7 999.5 1,018.6 1,038.1 1,058.1 1,078.5 Routine Capital Outlay 231.7 373.2 373.2 373.2 373.2 373.2 Subtotal $24,792.4 $24,790.5 $25,860.7 $26,236.1 $25,622.8 $27,020.9 Water Systems Maintenance Salaries & Benefits 1,408.0 1,474.3 1,512.8 1,552.7 1,593.7 1,636.0 Contractual Services 221.8 718.1 788.6 804.6 820.9 837.5 Commodities 642.5 719.5 719.5 719.5 719.5 719.5 Administration 811.0 822.1 833.4 845.0 856.9 869.0 Routine Capital Outlay 54.7 592.1 2,733.6 592.1 592.1 592.1 Subtotal $3,138.0 $4,326.1 $6,5829 $4,513.9 $4,583.1 $4,654.1 Miscellaneous Operating Expenses Commodities 61.2 0.0 0.0 0.0 0.0 0.0 Administration 9,720.2 9,262.7 9,308.1 9,354.4 9,401.7 9,449.9 Subtotal $9,781.4 $9,262.7 $9,308.1 $9,354.4 $9,401.7 $9,449.9 Water Quality & Measurement Salaries & Benefits 1,188.1 1,232.9 1,264.4 1,296.8 1,330.2 1,364.6 Contractual Services 113.6 834.3 913.1 931.7 950.6 970.0 Commodities 690.4 781.7 781,7 781.7 781.7 781.7 Administration 172.3 175.3 178.0 180.8 183.7 186.7 Routine Capital Outlay 57.7 141.2 141.2 141;2 141.2 141.2 Subtotal $2,222.1 $3,165.4 $3,278.4 $3,332.2 $3,3824 $3,444.2 Water Administration & Engineering Salaries & Benefits 595.6 1,122.5 1,149.7 1,177.7 1,206.5 1,236.1 Contractual Services - 526.2 1,018.5 1,118.9 1,141.5 1,164.6 1,188.1 Commodities 91.2 79.7 79.7 79.7 79.7 79.7 Administration 1,260.0 1,287.6 1,313.1' 1,339.1 1,365.6 1,392.7 Routine Capital Outlay 0.0 50.4 50.4 50.4 50.4 50.4 Subtotal 2,473.0 3,559..7 3,711.8 3,788.4 3,866.8 3,947.0 Total O &M Expense $42,406.9 $45,104.4 $48,746.9 $47,225.0 $47,861.8 $48,516.1 65B -34 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY In addition, there are two one -time increases in FY 15/16 — one under routine capital outlay to cover vehicle and heavy equipment needs and one under contract services. The latter adjustment reflects the City's move to comply with the Prevailing Wage laws in order to qualify for grants and low- interest loans administered by the State. The projected impact to contract services to address the Prevailing Wage laws is 10 percent. Total 0 &M is projected to increase from $45,104,400 in FY 14/15 to $48,516,400 in FY 18/19. Capital Improvement Program While 0 &M expenses cover day -to -day operations, the Water Enterprise incurs additional capital expenditures to replace existing water facilities or installed new facilities for planned future growth. As a result, the Water Enterprise requested Black & Veatch to assist with developing a long -term R &R Program that identifies future water system needs and upgrades. Black & Veatch conducted a high -level asset condition review using City - provided Geographic Information System (GIS) data and available condition reports for the water system. Black & Veatch evaluated the available data and held two workshops with engineering and maintenance staff to develop weighting factors for the asset assessment. Overview of Asset Information Figure 1 illustrates the distribution of the City's water mains by installation decade and pipe material. The mains included in the analysis are for "potable" use and do not include the MWD lines that served the City and are within the City's boundaries. Of the approximately 508 miles of mains in the system, over 70 percent was installed pre 1980 and the average age of the pipes in the system is 50 years. From Figure 1 it is clear that the City will soon face a major reinvestment period as water mains reach the end of their useful life. In the absence of any condition assessments, the industry standard for main replacement is 1 percent of the system per year. If we apply this approach to the City's system, the result is an annual replacement rate of 5 miles of mains. The City is currently replacing mains at a rate of 0.5 percent per year. BLACK & VEATCH I Water Rate Study [INTENTIONALLY LEFT BLANK] 65B -35 24 �VRYEH R.", I c S7U7`I City of Santa Ana, CA Figure -1: Distribution of Pipe Materials by Install Decade d d 0 600 a c � 500 O 400 v i a I m 300 N c L 200 1 1 , , , , 0 1930Pre 1930s 1940s 1950s 1960s 1970s 1980s 1990s 2000s 2010s LINK MAC MCI MCMLC MICYL MIDI MPVC MISTL MUNK AC= Asbestos Concrete CYL = Pre-stressed Concrete STL — Steel Cl = Cast Iron DI = Ductile Iron LINK = Unknown CMLC= Cement Mortar -Lined & Coated Steel PVC= Poly Vinyl Chloride Replacing assets based on a depreciation life does not address site - specific conditions that may lead to increased break frequencies. Breaks may occur due to a number of reasons including age, soil conditions, corrosive environments, and lack of maintenance. Figure 2 illustrates the number of breaks by material and decade installed for the City's system. [INTENTIONALLY LEFT BLANK] 65B -36 NOVEMBER 2014 City of Santa Ana, CA 1 WATER RATE STUDY Figure - 2: Distribution of Breaks by Pipe Material and Install Decade AC = Asbestos Concrete CYL = Pre - stressed Concrete STL— Steel Cl = Cast Iron DI = Ductile Iron UNK= Unknown CMLC = Cement Mortar -Lined & Coated Steel PVC = Poly Vinyl Chloride Developing an R &R Program based on the results of Figures 3 and 4 would indicate that at a minimum, the City should be prioritizing replacement work for all lines installed in the 1950s through the 1960s, which represents almost 44 percent of the miles of mains in the system. Black & Veatch also examined the age of the pipe at the time of a detected break. Figure 3 summarizes our findings of this analysis using data from 1990 forward. The City did not track this information prior to 1990. As Figure 3 illustrates, the majority of breaks occur in two groupings: between 34 and 39 years old and between 42 and 46 years of age. These periods correspond to installations dates between 1975 to 1980 and 1968 to 1972, respectively. BLACK & VEATCH 1 Water Rate Study [INTENTIONALLY LEFT BLANK] 65B -37 ?5 26 Figure - 3: Age of Pipe at Time of Break by Material • 10 io `0 8 d E E 6 z 4 2 0 WATER RATE STUDY I City of Santa Ana, CA MAC MCI MCMLC MCYL ■DI aPVC n °m m °m Z AC= Asbestos Concrete CYL = Pre-stressed Concrete STL — Steel Cl = Cast Iron DI = Ductile Iron UNK = Unknown CIVIC = Cement Mortar -Lined & Coated Steel PVC = Poly Vinyl Chloride In the next part of the work, Black & Veatch conducted further analyses to refine the conclusions reached above and incorporated asset management methodologies to develop the suggested R &R Program. Refinement of Asset Evaluation The methodologies employed in developing asset management programs all revolve around managing risks. For example, while a Pipe "X" may have a high probability of failure, the impact of its failure (the consequence) is very low. So, from a risk perspective, would it be better to let Pipe "X" fail, or should you just go ahead and spend the money to repair it? Implementing a robust asset management system can help answer these types of questions. The City is starting to develop its own asset management system and as a first step, Black & Veatch conducted a number of meetings to help assess the City's perspective on risk and failure. Combining the condition reports and workshop results, Black & Veatch determined the Probability of Failure (PoF) and the Consequence of Failure (CoF). The product of the PoF and the CoF results in the Business Risk Exposure (BRE) —the higher the BRE score, the higher the likelihood that the asset requires attention. Without detailed condition assessment information, Black & Veatch cannot quantify the absolute risk of failure; instead, the analysis conducted herein provides a picture of the relative risk of failure. In other words, the analysis indicates which assets are more likely to fail in relation to other system assets. On its own, the BRE score is not sufficient to develop a Capital Improvement Program (CIP). Consequently, Black & Veatch developed R &R strategies reflecting how public agencies tend to conduct work — M \, • NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY grouping projects by area. Based on criticality criteria (PoF and CoF), Black & Veatch developed a list of projects to address immediate system needs over the next 5 years. After the 5 -year period, the suggested CIP is split between annual R &R distribution system projects and addressing non - distribution system (booster stations, reservoirs, etc.) assets. At a minimum, Black & Veatch suggests that the City invest approximately $8 million annually into infrastructure needs. Appendix D contains a suggested level of investment for non - distribution system assets. As shown in Figure 4 and explained in more detail in Appendices A through D, the City's water system has approximately 0.08 miles ($0.2 million, 2012 dollars)of mains that are in extremely critical condition (red zone — highest risk of failure). Examining the next tiers of criticality, the City has another 1.35 miles ($3.2 million, 2012 dollars) of mains in highly critical condition (gold zone), and 3.30 miles ($7.2 million, 2012 dollars) of mains that are danger of imminent failure (yellow and green zones). The $888.8 million value in Figure 4 represents the cost of repairing or replacing the portion of main impacted. It does not represent the replacement cost of the entire system. P,LACK & VEATCH I Water Rate Study [INTENTIONALLY LEFT BLANK] 65B -39 27 28 WATER RATE STUDY I City of Santa Ana, CA Figure - 4: Criticality Heat Map Graphic by Cost and R &R Strategy Groups 10 L 3 9 LL 8 4- 7 O 6 v C 5 d! 3 4 a (1) 3 N 2 O V 1 Probability of Failure 1 2 3 4 5 6 7 8 9 10 $0.8 $0.3 $0.3 X1.3 $0.7 561 $0.1 $0.2 $0.1 $0.0 $0.0 $0.0 $0.0 $0.0 $0.2 $0.6 $0.3 $2.3 $6.1 4 $6.4 y0 1 $0.1 $0.0 $0.0 $0.0 $0.0 $1.9 $0.0 $0.0 $0.0 $0.7 $3.3 $1.1 $4.6 $16.4 $9.2 $0.2 $2.3 $0.0 $0.9 $0.0 $0.5 $4.3 $3.0 $2.1 $16.9 $2.5 $14.8 $10.9 $3.4 $0.0 $0.8 $20.9 $17.5 $11.7 $55.7 $6.7 $44.8 $21.3 $10.9 $0.9 $5.4 $4.1 $1.9 $3.9 $22.0 $1.2 $4.8 $3.1 $4.2 $0.9 $0.9 $38.7 $25.1 $15.3 $91.4 $12.8 $35.5 $18.9 $11.5 $3.4 $4.9 $1.7 $6.0 $9.2 $75.2 $24.5 $54.3 $47.4 $26.8 $4.0 $3.0 Millions of Dollars Extremely High Probability and Consequence Very High Probability and Consequence High Probability and Consequence Moderate Probability and Consequence Extremely High Probability and Low to Moderate Consequence High Probability and Low to Moderate Consequence Lowto Moderate Probability and Extremely High Consequence Low to Moderate Probability and High Consequence Unknown Low Criticality Total Cost: $888.8 Table 6 summarizes the results of the preliminary asset risk evaluation and indicates that over the next 5 years, the City should invest approximately $11.2 million (2012 dollars) in its water system to catch -up with deferred activities. Figure 5 identifies the color -coded areas on a map of the City. Black & Veatch has spread out the critical projects identified for the CIP over five years. M L� �M NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Table - 6: Annual Inspection and Replacement Schedule Based on Risk Profile Yearl $213,400 $213,400 $213,400 Year2 $1,624,500 $1,624,500 $1,837,900 Year3 $831,000 $2,189,800 $3,020,800 $4,858,700 Year4 $2,189,800 $2,189,800 $7,048,500 Year 5 $4,190,500 $4,190,500 $11,239,000 Total $1,044,400 $10,194,600 $11,239,000 The capital projects shown in Table 7 is for FY 14/15 through FY 18/19 and consist of capital projects planned for design and construction during the study period. A full discussion regarding the development of the R &R program and recommendations developed by Black & Veatch are provided later in this report. Table 7 includes planned expenditures for the advanced metering infrastructure (AMI) project, which will allow the City to measure and collect customer usage in real time and inspections to support the R &R Program. Table 7 also proposes normal (annual) R &R projects required to keep the system maintained. The annual level of R &R projects assumes that the City will replace over the Study period is approximately 3 miles of main per year; thereafter, the City should increase activities to target at least 5 miles of mains annually. Replacing 5 miles of main per year equates to a 100 -year replacement life. Completing the suggested critical R &R projects by the end of the study period, and maintaining the 5 miles /year replacement rate thereafter will help the City keep up with infrastructure needs. It is important to note that differences between the values proposed in Table 6 for the R &R critical projects and those in Table 7 reflect an annual CIP inflation cost as well as inclusion of engineering /design /construction management costs and the City's trench cut fee. This fee is imposed on all activities that cut into the City's streets and increases significantly if work is done on streets under the paving moratorium. The Water Enterprise estimates that the majority of work to be performed under the Critical Projects category will be conducted on streets under the moratorium. BLACK & VEATCH Water Rate Study [INTENTIONALLY LEFT BLANK] 65B -41 29 WATER RATE STUDY I City of Santa Ana, CA Figure - 5: Map of City -owned Mains color -coded by Strategy Group (A -Z) r— rj ni , -Id Fs_LHt- liz, — v 0 3,000 6,000 12,000 Ft Main by BRE Score — Group A Probability of Failure Grou B 1 2 3 6 5 6 ) B 9 10 p Group C d m -- Group D ? 9 — Group E LL 9 Group F ] — GroupG y 6 — GroupH c s Group W @i City Boundary c 4 T RailRoads 0 ' $a0 ;S477A$3A O $4.3 V 1 30 PSUSM WSUS0.1 0 Sae $0. 0 So.], 513 SL3 59.E $0.1 $23 $a0 ;S477A$3A Sas $4.3 $16.9 $25 $10.8 S88 $SA $20.9 $55.] $6.] $MA $0.1 $nk $910 *1591,4 $L2 $128 $0.8 $35S $0n $4.9 $3B.r $1] $]93 $24.5 $50.3 $3A M1111on5 a wlam Ta U ,: 5aeae 65B -42 /ANA W E s City of Santa Ana, CA Water I Wastewater System Analysis - 2012 IYl � l li / Water Distribution System BRIE Scoring by Grid 02 City -Owned Mains Only BLACK &VEATCH Building a world of difference! NOVEMBER 2014 City of Santa Ana, CAI lN, \TF. is Rn CE 51 U DY Table - 7: Capital Improvement Program based on System Risk Profile in Thousands of Dollars 3,582.2 5,208.8 0.0 0.0 8,738.8 Total Capital Expenditures $3,064.2 $10,462.2 $12,244.9 $13,059.3 $14,476.3 $17,529.8 From FY 14/15 through FY 18/19, the Water Enterprise is projecting expenditures totaling $67,772,500. As part of the financial plan analyses, an annual inflation allowance of 3 percent beginning in FY 15/16 was included in the above capital improvement project costs. Capital Fund Financing A proposed financing plan for the Water Enterprise's CIP is shown in Table 8 and Table 9. Table 8 summarizes the plan in the event that the City elects to forego revenue adjustments, execute the proposed CIP but omit the annual R &R projects, and cash finance all activities (Status Quo Scenario). Table 9 is the proposed financing under the assumption that the City will elect to propose revenue adjustments (Scenario 1). Financing for the CIP is anticipated to come from a combination of funds on hand, transfers from water sales revenues derived from rates, grants, and bond proceeds. The Water Enterprise currently maintains a capital fund that is used to finance CIP projects as well as to separate the commingling of rate and connection funds. The capital fund generates revenue from developer fees, transfers and debt proceeds (as appropriate). With new development in City slowing dramatically, the Water Enterprise will depend on rate revenue and bond proceeds (as necessary) to execute planned CIP projects. BLACK & VEATCH I Water Rate Study [INTENTIONALLY LEFT BLANK] 65B -43 41 �9:(�11iMIiH4_1 911_1 ■11419a�lNiNIiC1�9:U)14Q CUSTOMER CLASS Advanced Metering Infrastructure 0.0 0.0 3,278.2 3,376.5 3,477.8 R &R - Annual Projects 0.0 0.0 5,352.5 0.0 5,057.2 Well 32 Rehabilitation 0.0 0.0 0.0 5,177.3 0.0 Inspections 0.0 0.0 314.8 0.0 1,300.6 R &R- Critical Projects 3,064.2 10,462.2 3,299.4 4,505.5 4,640.7 3,582.2 5,208.8 0.0 0.0 8,738.8 Total Capital Expenditures $3,064.2 $10,462.2 $12,244.9 $13,059.3 $14,476.3 $17,529.8 From FY 14/15 through FY 18/19, the Water Enterprise is projecting expenditures totaling $67,772,500. As part of the financial plan analyses, an annual inflation allowance of 3 percent beginning in FY 15/16 was included in the above capital improvement project costs. Capital Fund Financing A proposed financing plan for the Water Enterprise's CIP is shown in Table 8 and Table 9. Table 8 summarizes the plan in the event that the City elects to forego revenue adjustments, execute the proposed CIP but omit the annual R &R projects, and cash finance all activities (Status Quo Scenario). Table 9 is the proposed financing under the assumption that the City will elect to propose revenue adjustments (Scenario 1). Financing for the CIP is anticipated to come from a combination of funds on hand, transfers from water sales revenues derived from rates, grants, and bond proceeds. The Water Enterprise currently maintains a capital fund that is used to finance CIP projects as well as to separate the commingling of rate and connection funds. The capital fund generates revenue from developer fees, transfers and debt proceeds (as appropriate). With new development in City slowing dramatically, the Water Enterprise will depend on rate revenue and bond proceeds (as necessary) to execute planned CIP projects. BLACK & VEATCH I Water Rate Study [INTENTIONALLY LEFT BLANK] 65B -43 41 32 WATER RATE STUDY I City of Santa Ana, CA Table -8: CIP Financing Plan in Thousands of Dollars - Status Quo Scenario Table - 9: CIP Financing Plan in Thousands of Dollars- Scenario 1 � P PROJECTED ICAPITAL I1419a�DIiW IiP1�7a17179671PFInnrlr.7� Capital Improvements 3,064.2 10,462.2 12,244.9 13,059.3 14,476.3 17,529.8 Beginning Balance 9,961.5 9,609.4 5,476.9 5,841.0 1,085.2 1,210.3 Sources of Funds $3,064.2 $10,462.2 $13,324.9 $13,059.3 $14,476.3 $17,529.8 Debt Proceeds 0.0 0.0 0.0 0.0 0.0 0.0 Transfers from Operating Fund 2,534.9 5,900.4 9,500.0 9,500.0 9,500.0 9,500.0 Interest Income 177.2 771 56.6 34.6 11.5 7.6 Total Sources of Funds $12,673.6 $15,587.0 $15,033.5 $15,375.6 $10,596.7 $10,717.9 Uses of Funds Capital Improvements 3,064.2 10,462.2 9,192.5 14,290.4 9,386.4 10,402.0 Debt Issuance Expenses 0.0 0.0 0.0 0.0 0.0 0.0 Total Uses of Funds $3,064.2 $10,462.2 $9,192.5 $14,290.4 $9,386.4 $10,402.0 Ending Balance 9,609.4 5,476.9 5,841.0 1,085.2 1,210.3 315.9 Table - 9: CIP Financing Plan in Thousands of Dollars- Scenario 1 � Uses of Funds PROJECTED CAPITAL Capital Improvements 3,064.2 10,462.2 12,244.9 13,059.3 14,476.3 17,529.8 Beginning Balance 9,961.5 9,609.4 5,476.9 23,647.6 18,147.3 11,167.6 Sources of Funds $3,064.2 $10,462.2 $13,324.9 $13,059.3 $14,476.3 $17,529.8 Debt Proceeds 0.0 0.0 24,000.0 0.0 0.0 0.0 Transfers from Operating Fund 2,534.9 5,900.4 7,350.0 7,350.0 7,350.0 7,350.0 Interest Income 177.2 77.2 145.6 209.0 146.6 61.1 Total Sources of Funds $12,673.6 $15,587.0 $36,972.5 $31,206.6 $25,643.9 $18,578.7 Uses of Funds Capital Improvements 3,064.2 10,462.2 12,244.9 13,059.3 14,476.3 17,529.8 Debt Issuance Expenses 0.0 0.0 1,080.0 0.0 0.0 0.0 Total Uses of Funds $3,064.2 $10,462.2 $13,324.9 $13,059.3 $14,476.3 $17,529.8 Ending Balance 9,609.4 5,476.9 23,647.6 18,147.3 11,167.6 1,048.9 �� imEfl NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Based on the proposed CIP summarized above, the Water Enterprise will need to issue debt through revenue bonds in FY 15/16 under Scenario 1 to allow the utility to catch up with deferred activities. The proposed debts is indicated above assume the following service terms: 20 -year payment period, 5.5 percent annual interest rate, 2 percent issuance expense, and issuance of a surety bond equal to 2.5 percent of the nominal debt issuance. Operating Fund Financing Summarized in Tables 10 and 11 are the proposed long -term operating financial plans for the Water Enterprise under each scenario. Table 10 summarizes the financial results should the City elect to carry out the CIP in the absence of revenue adjustments (Status Quo Scenario) and Table 11 shows the plan for the preferred option (Scenario 1). The intent of the financial plan is to generate sufficient funds to cover short-term and long -term expenses. Sources of revenue include water sales under existing rates, additional revenues realized from proposed rate adjustments, miscellaneous revenue and interest earnings on available balances. As mentioned, other miscellaneous revenue includes meter installations and turn -on charges, trust agency revenue, and security fee charges. Uses of funds include operation and maintenance expenses (including water purchases), routine capital outlay, debt service payments, and transfers to other funds such as the capital fund. The projected water revenue under existing rates represents service and commodity charges at current rate levels that are subject to rate adjustments. Based on the existing revenue indicated, additional annual revenue adjustments are necessary to meet operating fund requirements and fiscal policy objectives. Adjustments are typically assumed to become effective July 1 of each fiscal year, except for FY 14/15 increases, which are planned for March 1. Initial analyses indicate that steady rate increases are needed for the next five years as shown on Lines 2 through 6 on each table. Any changes to the capital- financing policies and /or CIP may alter these results since the operating fund helps supplement funds for traditional repair and replace projects. The resulting dollar impact of the proposed revenue adjustments are illustrated on Line 7. In addition to rate revenue, other operating and non - operating charges contribute to the income of the Water Enterprise. Typically, these revenue sources are minimal and volatile and are thus considered a constant in the revenue projections. There is a one -time revenue bump in FY 14/15 that represents the refinancing of the 2004 Water Revenue Bond. Non - operating sources include interest income from the operating fund. Interest income is calculated using an interest rate of 1 percent in order to be conservative. BLACK & VEATCH I water Rate Study [INTENTIONALLY LEFT BLANK] 65B -45 33 34 WATER RATE STUDY I City of Santa Ana, CA Table -10: Operating Fund Financing Plan in Thousands of Dollars — Status Quo Scenario M �l i • NOVEMBER 2014 PROJECTED Revenue 1 Revenue from Existing Rates 51,193.9 49,784.8 49,784.8 49,784.8 49,784.8 49,784.8 Year Month Inc. 2 FY 14/15 4 0.0% 0 0 0 0 0 3 FY 15/16 12 0.0% 0 0 0 4 FY 16/17 12 0.0% 0 0 5 FY 17/18 12 0.0% 0 6 FY 18/19 12 0.0% 7 Increase from Adjustments 0 0 0 0 0 0 8 Total Rate Revenue 51,193.9 49,784.8 49,784.8 49,784.8 49,784.8 49,784.8 9 Other Operating Revenue 3,090.3 19,722.3 1,528.4 1,528.4 1,528.4 1,528.4 10 Interest Income 294.9 254.6 - 229.6 139.0 52.0 0.0 11 Total Other Operating Rev. 3,385.2 19,976.9 1,758.0 1,667.4 1,580.4 1,528.4 12 Total Revenue $54,579.1. $69,761.7 $51,542.8 $51,452.2 $51,365.2 $51,313.2 Revenue Requirements 13 O &M Expenses 24,068.0 22,236.4 23,555.8 24,674.2 24,934.2 25,588.5 14 Water Purchase 17,994.8 21,711.1 21,892.7 21,393.9 21,770.7 21,770.7 15 Routine Capital Outlay 344.1 1,156.9 3,298.4 1,156.9 1,156.9 1,156.9 Debt Service 16 Existing Debt 1,712.4 12,496.4 1,575.1 1,574.5 1,577.9 1,578.1 17 Proposed Debt 0.0 0.0 0.0 0.0 0.0 0.0 18 Total Debt Service 1,712.4 12,496.4 1,575.1 1,574.5 1,577.9 1,5781 Transfers 19 Transfer to Capital Fund 2,534.9 5,900.4 9,500.0 9,500.0 9,500.0 9,500.0 20 Transfer to NPDES Fund 1,446.8 1,493.5 1,493.5 1,493.5 1,493.5 1,493.5 21 Total Transfers 3,981.7 7,393.9 10,993.5 10,993.5 10,993.5 10,993.5 22 Total Revenue Requirements $48,101.0 $64,994.7 $61,315.5 $59,793.0 $60,433.2 $61,087.7 Operating Fund Balance 23 Net Cash Balance 6,478.1 4,767.0 (9,772.7) (8,340.8) (9,068.0) (9,774.5) 24 Beginning Fund Balance 16,598.4 23,076.5 27,843.5 18,070.8 9,730.0 662.0 25 Cumulative Fund Balance $23,076.5 $27,843.5 $18,070.8 $9,730.0 $662.0 ($9,112.5) Target Minimum Fund Balance 26 (25% O&M) + $1M Emergency 11,371.6 11,836.4 12,206.5 12,359.3 12,516.3 12,677.6 M �l i • NOVEMBER 2014 City of Santa Ana, CA 1 MATER RATE STUDY Table -11: Operating Fund Financing Plan in Thousands of Dollars— Scenario 1 BLACK & VEATCH I Water Rate Si udy 65B -47 35 Revenue 1 Revenue from Existing Rates 51,193.9 49,784.8 49,784.8 49,784.8 49,784.8 49,784.8 Year Month Inc. 2 FY 14/15 4 2.8% 464.7 1,394.0 1,394.0 1,394.0 1,394.0 3 FY 15/16 12 2.8% 0.0 1,433.0 1,433.0 1,433.0 1,433.0 4 FY 16/17 12 2.8% 0.0 0.0 1,473.1 1,473.1 1,473.1 5 FY 17/18 12 2.8% 0.0 0.0 0.0 1,514.4 1,514.4 6 FY 18/19 12 2.8% 0.0 0.0 0.0 0.0 1,556.8 7 Increase from Adjustments 0.0 464.7 2,827.0 4,300.1 5,814.5 7,371.3 8 Total Rate Revenue 51,193.9 50,282.6 52,816.6 54,401.1 56,033.1 57,714.1 9 Other Operating Revenue 3,090.3 19,722.3 1,528.4 1,528.4 1,528.4 1,528.4 10 Interest Income 294.9 256.9 252.8 202.9 167.2 139.6 11 Total Other Operating Rev. 3,385.2 19,979.2 1,781.2 1,731.3 1,695.6 1,668.0 12 Total Revenue $54,579.1 $70,228.7 $54,393.0 $55,815.2 $57,294.9 $58,824.1 Revenue Requirements 13 0 &M Expenses 24,068.0 22,236.4 23,555.8 24,674.2 24,934.2 25,588.5 14 Water Purchase 17,994.8 21,711.1 21,892.7 21,393.9 21,770.7 21,770.7 15 Routine Capital Outlay 344.1 1,156.9 3,298.4 1,156.9 1,156.9 1,156.9 Debt Service 16 Existing Debt 1,712.4 12,496.4 1,575.1 1,574.5 1,577.9 1,578.1 17 Proposed Debt 0.0 0.0 1,171.5 2,008.3 2,008.3 2,008.3 18 Total Debt Service 1,712.4 12,496.4 2,746.6 3,582.8 3,586.2 3,586.4 Transfers 19 Transferto Capital Fund 2,534.9 5,900.4 7,350.0 7,350.0 7,350.0 7,350.0 20 Transfer to NPDES Fund 1,446.8 1,507.5 1,578.4 1,622.5 1,668.0 1,714.7 21 Total Transfers 3,981.7 7,407.9 8,928.4 8,972.5 9,018.0 9,064.7 22 Total Revenue Requirements $48,101.0 $65,008.7 $60,421.9 $59,780.3 $60,466.0 $51,167.2 Operating Fund Balance 23 Net Cash Balance 6,478.1 5,220.0 (6,028.9) (3,964.1) (3,171.1) (2,343.1) 24 Beginning Fund Balance 16,598.4 23,076.5 28,296.5 22,267.6 18,303.5 15,132.4 25 Cumulative Fund Balance $23,076.5 $28,296.5 $22,267.6 $18,303.5 $15,132.4 $12,789.3 Target Minimum Fund Balance 26 (25 %O &M) +$1M Emergency 11,371.6 11,836.4 12,206.5 12,359.3 12,516.3 12,677.6 BLACK & VEATCH I Water Rate Si udy 65B -47 35 36 WATER RATE STUDY i City of Santa Ana, CA Projected total 0 &M expense is shown on Line 13. The O &M expenses shown represent expenses associated with operating the water system minus the water purchases. Since water purchases represent a significant amount of 0 &M expense when utilized, it is recommended that it be extracted from O &M expenditures to demonstrate the significance. Routine capital outlay is shown on Line 15. Routine capital outlay is typically set aside to purchase minor equipment, less than $5,000, such as furniture, parts, and minor equipment. Debt service on proposed bond issues is shown on Line 17. All proposed bond issues are forecasted with 20 -year terms at an initial 5.5 percent. To date, the Water Enterprise has one outstanding bond debt obligation and one long -term note. There is a one -time debt payment in FY 14/15 that represents the defeasance of the 2004 Water Revenue Bonds. Transfers to the capital fund are shown on Line 19. Funds transferred to the capital fund are used for capital projects. Line 20 shows the transfer payment to cover the Water Enterprise's share of the National Pollutant Discharge Elimination System (NPDES) MS -4 requirements. Lines 23 through 25 summarize the impact to the ending fund balance for the Water Enterprise. A minimum target of 25 percent of 0 &M expenses plus any encumbrances serves as the minimum level of working capital that Water sets to have on hand for operational purposes. In addition to the minimum target of 25 percent of O &M expenses, Black & Veatch recommends that the City set aside $1 million for an emergency fund. The initial funding level of the emergency reserve represents the approximate cost for repairing a major main break. Given the number of mains that are in immediate need of replacement, Black & Veatch believes that establishing an emergency reserve fund is a prudent measure. Although it is not shown on Tables 8 and 9 for the Study Period, Black & Veatch also recommends that as funds become available, the City should establish an R &R fund to address future replacement needs. Annual funding levels for this reserve should increase to reach a minimum level equivalent to one - year's depreciation expense. Summary of Revenues, Expenditures, and Obligations To maintain financial viability as an enterprise fund, the Water Enterprise's annual revenues must be sufficient to satisfy three elements: 1. Adequate cash flow to cover 0 &M, capital and debt obligations 2. Meet debt service coverage (DSC) covenants 3. Maintain reserve funds Long -term financial viability requires meeting all three elements. The need for revenue adjustments is either "cash flow" driven or "debt service coverage" driven depending on which of the first two elements creates the larger adjustment. Based on the analyses of revenues and revenue requirements, it is evident that the Water Enterprise needs are "cash- flow" driven and a rate revenue increase is needed in order to meet revenue requirements and working capital reserve as a standalone enterprise. As shown in Figure 5, should the City elect to maintain the status quo (no rate increases), the Water Enterprise runs into a significant cash deficit position by the end of the 5 -year period. M �l m• NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Figure -6: Projected Revenues and Revenue Requirements – Status Quo: No Revenue Increases [ *] a us uo: Projected Revenue and Revenue Requirements $80,000 in $000's $70,000 $60,000 $50,000 $40,000 $30,000 $20,000 $10,000 $0 - $10,000 FY 14/15 FY 15/16 FY 16/17 FY 17/18 FY 18/19 � O &M Expenses ® Water Purchase 6...d Annual Capital Outlay ® Debt service � Capital Projects -01ho-Revenue Target Cash Balance —*--Cash Balance [ *I FY 14/15 revenues include one -time receipt of funds from water bond refinancing activities. In the event that the City should elect to delay CIP activities, it does allow the Water Enterprise to stretch out available cash; however, continued deferral of needed CIP projects also increases the probability, consequence and cost of asset failure. As a rough approximation, Black & Veatch estimated the cost of continuing to defer CIP projects using the methodology set forth in the American Society of Civil Engineers' (ASCE's) 2012 Failure to Act Economic Report for Water (FAE Report). The FAC Report notes that in addition to the actual repair /replacement costs, there are costs associated with payment of claims to impacted households and businesses. Additionally, if projects are deferred by several years, there is an economic loss due to lost water supply, loss of jobs, lost work days, business closures, traffic delays, street repairs, etc. Table 12 summarizes the cost of not executing the proposed CIP using the FAE Report methodology. Table 12 does not include the cost of replacing the asset. Table -12: Economic Impacts of Delaying the Proposed CIP Households $366,000 - $1,314,600 Businesses $917,100 - $3,286,500 Local Economy $4,463,100 - $15,994,300 Total $5,747,000 - $20,595,400 BLACK &VEATCH Water Fate Study M Ll • Total household claim payments. Total business claim payments. Range depends on the severity of breaks. 37 38 WATER RATE STUDY I City of Santa Ana, CA Based on the analyses of revenues and revenue requirements, it is evident that regardless of the level of CIP activity, the Water Enterprise needs a rate revenue increase in order to meet revenue requirements and working capital reserve as a stand -alone enterprise. The suggested adjustments are summarized below for Scenario 1 in Table 13 and are shown on Lines 2 through 6 of Table 12. Table -13: Proposed Rate Adjustments FY 14/15 March 1 2.8% FY 15/16 July 1 2.8% FY 16/17 July 1 2.8% FY 17/18 July 1 2.8% FY 18/19 July 1 2.8% With these adjustments, the Water Enterprise should be able to accomplish its objectives under the assumption that no significant change occurs. Without the proposed revenue adjustments, the Water Enterprise may have trouble meeting debt covenant requirements and will run into cash flow difficulties. While the financial plan should be a working document, the City will need to re- examine the rate structure prior to FY 18/19 to verify it is still adequate. The revenue requirements of Water consist of system 0 &M expenses, routine capital outlay for minor expenditures on equipment not financed from bond proceeds, debt service requirements on existing and proposed bonded debt, transfers to other funds, and reserve requirements to ensure that debt service coverage, rate covenant requirements, and adequate levels of working capital are met. As shown on Line 22 in Tables 10 through 11, total revenue requirements for the Water Enterprise fluctuate during the study period and can be correlated with inflationary factors, different R &R funding levels, and additional debt service requirements. Under the Status Quo, the total revenue requirements range from $64,994,700 in FY 14/15 to $61,087,700 in FY 18/19. For Scenario 1, total revenue requirements range from a low of $60,421,900 in FY 15/16 to a high of $65,008,700 in FY 14/15. Subtracting total revenue requirements from total revenues results in the projected annual operating fund surpluses or deficits shown on Line 23. As of July 1, 2013, it was estimated that a beginning balance of $16.6 million was available for use in this fund. The ending balance is shown on Line 25, while the minimum ending balance of 25 percent of operation and maintenance expense plus an emergency reserve is shown on Line 26. Applying a cumulative revenue adjustment of 14.8 percent (Scenario 1) over the 5 -year period should allow the Water Enterprise to maintain the desired target level of ending year -end balances, meet minimum working capital and satisfy minimum debt service requirements. The financial objectives and targets are not met under the Status Quo. 65B -50 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY It should be recognized that the indicated percentage revenue increase discussed above are overall revenue increases. The results of the cost of service analysis presented later in this report may indicate that rate increases may vary from this average for the various customer classes with some classes receiving a greater than average increase, while others receive a less than average increase or perhaps a decrease. Test Year Revenue Requirements In analyzing the Water Enterprise's cost of service for allocation to customer classes, the annual revenue requirements for FY 18/19 is selected as the Test Year (TY) requirements to demonstrate the development of cost -of- service water rates. BLACK & VEATCH I Water Rate Study [INTENTIONALLY LEFT BLANK] 65B -51 40 WATER RATE STUDY I City of Santa Ana, CA COST OF SERVICE ALLOCATIONS The revenue requirements to be derived from rates and charges for water service are summarized in Lines 1 through 13 of Table 13. 14 analyzing the Water Enterprise's cost of service for allocation to customer classes, the annual revenue requirements for FY 18/19 and Scenario 1 were selected as the Test Year requirements to demonstrate the development of cost of service water rates. In determining the cost of service to be met from charges for water service, we deduct income received from other sources that not subject to rate adjustments from the total revenue requirements. As a result, the total cost of service to be recovered from rates is shown on Line 13, Column 3. Table -14: Total Costs to be Recovered from Rates — Scenario 1 Functional Cost Components In developing an equitable rate structure, revenue requirements are allocated to the various customer classifications according to the cost of service rendered. Allocations of these requirements to customer classes of water should take into account water flow, the number of customers, and other relevant factors. Customers are classified to reflect groups of customers with similar service requirements who can be served at similar cost. Each class represents a particular type of service requirement. For the purposes of 65B -52 NOVEMBER 2014 Column Reference [1] [2] [3] Revenue Requirements 1 O &M Expenses (Table 11, Line 13) 25,588,500 0 25,588,500 2 Water Purchase (Table 11, Line 14) 21,770,700 0 21,770,700 3 Debt Service 0 3,586,400 3,586,400 4 Transfers (Table 11, Lines 189 20) 0 9,064,700 9,064,700 5 Routine Capital (Table 11, Line 15) 0 1,156,900 1,156,900 6 Subtotal $47,359,200 $13,808,000 $61,167,200 Less Revenue Requirements met from Other Sources 7 Other Operating Revenue (Table 11, Line 9) 1,528,400 0 1,528,400 8 Interest Income (Table 11, Line 10) 139,600 0 139,600 9 Subtotal $1,668,000 $0 $1,668,000 Adjustments 10 Annual Cash Fund Balance (Table 11, Line 23) 2,343;100 0 2,343,100 11 Annual Rate Increase (Table 11, Line 7) 0 0 0 12 Subtotal $2,343,100 $0 $2,343,100 13 Cost of Service to be Recovered from Rates $43,348,100 $13,808,000 $57,156,100 Functional Cost Components In developing an equitable rate structure, revenue requirements are allocated to the various customer classifications according to the cost of service rendered. Allocations of these requirements to customer classes of water should take into account water flow, the number of customers, and other relevant factors. Customers are classified to reflect groups of customers with similar service requirements who can be served at similar cost. Each class represents a particular type of service requirement. For the purposes of 65B -52 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY the cost of service analysis, the customer classifications in this study include single family and multi- family residential, commercial, industrial, irrigation, reclaimed water and fire protection. These customer classes were assumed to exhibit similar types of system load characteristics. The cost -of- service methodology first allocates costs to functional cost components, then to cost categories, and subsequently distributes the costs to customer classes. In this analysis, there are seven primary cost categories: (1) base flow, or volume costs, (2) maximum day cost, (3) peak hour costs, (4) meter services, (5) customer and billing costs, (6) fire protection, and (7) recycled water (RW). Allocation to Cost Components In this report, Black & Veatch analyzes the cost of providing water service by system function in order to properly allocate the costs to the various classes of customers and subsequently design rates. As a basis for allocating costs of service among customer classes, we have separated costs into the following four basic functional cost components: (1) "Base'; (2) "Extra Capacity'; (3) "Customer'; and (4) "Direct Assignment" In order to provide service to its customers at all times, the City must be capable of not only providing the total amount of water used, but also meet peak or maximum rates of demand. • Base costs include the purchase of water, regulatory fees, debt service costs, water treatment, energy, administration, and operating and maintenance costs of the System associated with service to customers to the extent required for a constant, or average annual rate of use. • Extra Capacity costs represent those operating costs incurred in meeting demands in excess of average, and capital related costs for additional plant and system capacity beyond that required for the average rate of use. • Customer costs are those elements that tend to vary in proportion to the number of customers connected to the system. These include meter reading, billing, collecting and accounting, and maintenance and capital costs associated with meters and services. • Directly assigned costs are costs specifically identified as, those incurred to serve a specific customer group(s). The separation of costs of service into these principal categories facilitates allocating such costs to the various customer classes based on the respective service requirements of each class. This Study uses the base -extra capacity allocation method. Figure 6 illustrates some of the base - extra capacity concepts for water systems. BLACK & VEATCH I Water Rate Study 65B -53 41 Figure - 7: Water Cost of Service Concepts 6—U Max Day Extra Capacity Annual Average Day Treatment Plant WATER RATE STUDY City of Santa Ana, CA Black & Veatch has allocated each element of cost to functional cost components using the parameter or parameters having the most significant influence on the magnitude of that element of cost. We allocate O &M and general and administrative (G &A) expense items directly to appropriate cost components, while the allocation of capital and replacement costs uses a detailed allocation of related capital investment. The separation of costs into functional components provides a means for distributing such costs to the various classes of customers based on their respective responsibilities for each particular type of service. For volume - related cost allocations, the first step in determining the allocation percentages is to assign system ax Day peaking factors. The Base element is equal to the average uu a capacity Water Mains daily demand (ADD) and assigned a value of 1.0. The City's maximum day (Max Day) demand is estimated to be 1.50 times the ADD. Thus, the Max Day is assigned a value of 1.50. The maximum instantaneous usage is approximated by the maximum hourly (Max Hour) usage and is estimated to be 2.0 times the ADD. Thus, Max Hour is assigned a value of 2.0. These peaking factors are based on a combination of historic billing data and discussions with City staff. Cost components that are solely Base - related, are allocated 100 percent to Base. Cost components that are designed to meet Max Day requirements, such as reservoirs, are allocated to Base and Max Day factors as follows: Base = (1.0/1.50) x 100 = 66.7% Max Day = (1.50 —1.0) /1.50 x 100 = 33.3% Cost components that are designed to meet Max Hour design requirements, such as Distribution, are allocated in a similar fashion, as follows: Base = (1.0/2.00) x 100 = 50.0% Max Day = (1.50 -1.0) /2.00 x 100 = 25.0% Max Hour = (2.00 — 1.50)/2.00x 100 = 25.0% Fire Protection A direct cost to the water system is fire protection. Fire protection consists of those costs associated with having the capability to provide public (municipal fire hydrants) and private (individual fire sprinklers) fire suppression services. While a small amount of water is actually consumed for fire suppression and fire training, the water system is still designed to accommodate relatively large flows of water for short durations at suitable pressure. Therefore, when allocating 0 &M and capital expenses to 42 NOVEMBER 2014 65B -54 City of Santa Ana, CAI WATER RATE STUDY the four basic functional costs factors, a pro rata share of 0 &M and capital expenses is directly assigned to the fire protection category. Allocation of Operation and Maintenance Expenses Table 15 summarizes the allocation percentages used in Table 16. Table 16 shows the allocation of 0 &M expense to cost functions. Where possible, percentage allocations use data gathered from employee time cards and discussions with staff. Additionally, Black & Veatch reviewed the City's budgeting process to understand budget line items and internal cost allocation schemes with respect to different operating sections within the Water Enterprise. 0 &M costs such as general and administrative expenses (G &A) are distributed to functional cost components based on the average of the other line item costs. The net operation and maintenance expense to be recovered for water sales is derived by deducting funds available from other sources from the total Test Year expense. Net Test Year operation and maintenance expense of $43,348,100 (Table 14, Line 13, Column 1) is shown allocated to the six primary cost components on Line 28. Note that routine capital outlay is excluded from 0 &M expenses as these expenses can be deferred based on the financial state of the enterprise. Allocation of 0 &M expenses to the different functional components uses average time spent by staff executing different services. Expenses incurred because of specific activities are allocated directly to that cost component. Table - 15: Cost of Service Allocation Percentages Base 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% Max Day 66.7% 33.3% 0.0% 0.0% 0.0% 0.0% 0.0% Max Hour 50.0% 25.0% 25.0% 0.0% 0.0% 0.0% 0.0% Meters 0.0% 0.0% 0.0% 100.0% 0.0% 0.0% 0.0% Billing 0.0% 0.0% 0.0% 0.0% 100.0% 0.0% 0.0% Administration 32.2% 10.0% 10.0% 20.0% 20.0% 2.5% 5.25% Source of Supply 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% Pumping Plant 50.0% 25.0% 25.0% 0.0% 0.0% 0.0% 0.0% Treatment 66.7% 33.3% 0.0% 0.0% 0.0% 0.0% 0.0% T &D 52.4% 40.0% 7.6% 0.0% 0.0% 0.0% 0.0% Hydrants 0.0% 0.0% 0.0% 0.0% 0.0% 100.0% 0.0% Net Plant 58.9% 22.8% 15.0% 1.9% 0.1% 1.3% 0.1% Average 80.0% 14.9% 5.0% 0.0% 0.0% 0.2% 0.2% BLACK & VEATCH i Water Rate Study 65B -55 43 4a, WATER RATE STUDY I City of Santa Ana, CA Table - 16: Allocation of O &M Expenses in Thousands of Dollars to Functional Cost Components EXTRA CAPACITY CUSTOMER DII MAX MAX BASE DAY HOUR METERS I BILLS FIRE 65B -56 NOVEMBER "O I Water Production & Supply Personnel (Source of 1 supply) 1,524.7 1,524.7 0.0 0.0 0.0 0.0 0.0 0.0 Contractual 2 (Source of supply) 13,569.0 13,569.0 0.0 0.0 0.0 0.0 0.0 0.0 Commodities 3 (Source of supply) 10,475.5 3,613.6 0.0 0.0 6,861.9 0.0 0.0 0.0 Cross Charges 4 (Source of Supply) 1,078.5 1,078.5 0.0 0.0 0.0 0.0 0.0 0.0 5 Subtotal $26,647.7 $19,785.8 $0.0 $0.0 $6,861.9 $0.0 $0.0 $0.0 Water System Maintenance Personnel 6 (T &D) 1,636.0 857.3 654.4 124.3 0.0 0.0 0.0 0.0 Contractual 7 (T &D) 837.5 438.8 335.0 63.7 0.0 0.0 0.0 0.0 Commodities 8 (T &D) 719.5 377.0 287.8 54.7 0.0 0.0 0.0 0.0 Cross Charges 9 (T &o) 869.0 455.4 347.6 66.0 0.0 0.0 0.0 0.0 10 Subtotal $4,062.0 $2,128.5 $1,624.8 $308.7 $0.0 $0.0 $0.0 $0.0 Miscellaneous Operating Expense Contractual 11 (T &D) 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Cross Charges 12 (T &D) 9,449.9 4,951.7 3,780.0 718.2 0.0 0.0 0.0 0.0 13 Subtotal $9,449.9 $4,951.7 $3,780.0 $718.2 $0.0 $0.0 $0.0 $0.0 Water Quality & Measurement Personnel 14 (Treatment) 1,364.6 909.7 454.9 0.0 0.0 0.0 0.0 0.0 Contractual 15 (Treatment) 970.0 646.7 323.3 0.0 0.0 0.0 0.0 0.0 Commodities 16 (Treatment) 781.7 521.1 260.6 0.0 0.0 0.0 0.0 0.0 Cross Charges 17 (Treatment) 186.7 124.5 62.2 0.0 0.0 0.0 0.0 0.0 65B -56 NOVEMBER "O I City of Santa Ana, CA •.VATER RATE STUDY 18 Subtotal $3,303.0 $2,202.0 $1,101.0 $0.0 $0.0 $0.0 $0.0 $0.0 Water Administration & Engineering Personnel 19 (Adman) 1,236.1 398.1 123.6 123.6 247.2 247.2 30.9 65.5 Contractual 20 (Admin) 1,188.1 382.6 118.8 118.8 237.6 237.6 29.7 63.0 Commodities 21 (Admin) 79.7 25.7 8.0 8.0 15.9 15.9 2.0 4.2 Cross Charges 22 (Admin) 1,392.7 448.5 139.3 139.3 278.5 278.5 34.8 73.8 23 Subtotal 3,896.6 1,254.9 389.7 389.7 779.2 779.2 97.4 206.5 24 Total $47,359.2 $30,322.9 $6,895.5 $1,416.6 $7,641.1 $779.2 $97.4 $206.5 Less Other Revenue Miscellaneous Revenues 25 (Average) 1,668.0 1,335.6 242.9 83.4 0.0 0.0 3.4 2.7 Other Adjustments 26 (Average) 2,343.1 1,876.2 341.2 117.2 0.0 0.0 4.8 3.7 27 Subtotal $4,011.1 $3,211.8 $584.1 $200.6 $0.0 $0.0 $8.2 $6.4 Net Operating 28 Expenses $43,348.1 $27,111.1 $6,311.4 $1,216.0 $7,641.1 $779.2 $89.2 $200.1 Allocation of Capital Costs The estimated investment in water and recycled system facilities is allocated to appropriate cost components as a basis for the further distribution of capital related costs to the various customer classes. The allocation of estimated plant investment serving water customers for the Test Year is shown in Table 17. The total plant investment of $60,328,538 shown on Line 8 represents the estimated Test Year original cost less accumulated depreciation of plant in service. The allocation of specific items of investment to the cost categories, as shown, is made on the basis previously described. For example, source of supply items are related to flow and these investment costs are assigned to the volume cost component and further delineated by whether the asset is common -to -all or primarily serves specific customers. The water treatment is designed primarily on the basis of treatment plant flow and is also assigned to the volume cost function. Elements within this category, such as storage facilities are assigned to the max hour category because such facilities are designed for this purpose. BLACK & VEATCH i Water Rate Study 45 65B -57 46 WATER RATE STUDY I City of Santa Ana, CA Table -17: Allocation of Net Capital Costs in Thousands of Dollars to Functional Cost Components Units of Service The total cost responsibility of each class of service may be established by developing unit costs of service for each cost function and assigning those costs to the customer classes based on the respective service requirements of each. To properly recognize the cost of service, each customer class is allocated its share of base, maximum day and peak hour costs. The number of units of service required by each customer class provides a means for the proportionate distribution of costs previously allocated to respective cost categories. Summarized in Table 18 are the estimated units of service for the various customer classes. M LI � • NOVEMBER 2014 Source of Supply 1 (Source of Supply) 22,321.2 22,321.2 0.0 0.0 0.0 0.0 0.0 0.0 Pumping Plant 2 (Pumping Plant) 384.2 192.2 96.0 96.0 0.0 0.0 0.0 0.0 Treatment 3 (Treatment) 5,496.0 3,664.0 1,832.0 0.0 0.0 0.0 0.0 0.0 Transmission & Distribution 4 (T &D) 29,312.0 15,359.5 11,724.8 2,227.7 0.0 0.0 - 0.0 0.0 Meters & Services 5 (Meters) 1,099.2 (0.0) 0.0 0.0 1,099.2 0.0 0.0 0.0 Hydrants 6 (Hydrants) 732.8 (0.0) 0.0 0.0 0.0 0.0 732.8 0.0 General Plant 7 (Admin) 983.2 368.8 98.3 98.3 196.6 196.6 24.6 52.1 8 Total $60,328.5 $41,905.6 $13,751.1 $2,422.0 $1,295.8 $196.6 $757.4 $52.1 Less Other Revenue 9 Misc. Revenues 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Other 10 Adjustments 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 11 Subtotal $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 12 Net Plant 60,328.5 41,905.6 13,751.1 2,422.0 1,295.8 196.6 757.4 52.1 13 Capital Costs $13,808.0 $9,579.4 $3,147.4 $554.3 $296.6 $45.0 $173.4 $11.9 Units of Service The total cost responsibility of each class of service may be established by developing unit costs of service for each cost function and assigning those costs to the customer classes based on the respective service requirements of each. To properly recognize the cost of service, each customer class is allocated its share of base, maximum day and peak hour costs. The number of units of service required by each customer class provides a means for the proportionate distribution of costs previously allocated to respective cost categories. Summarized in Table 18 are the estimated units of service for the various customer classes. M LI � • NOVEMBER 2014 W rN F w u `a V♦ O W N m F m w a � vl ul O vl D O N r O r N vl m u x ti m m ry -ii 6 N v h ^1 0 0 0 � 0 0 0 0 m n N n N n N m m m b N y N N N M N N b N N b N m' g m o m Q m o m a Q r m °m v ry m � rNi v x m Q ry m m 'T N v b b � vl ul O vl D O N r O r N vl m u x ti m m ry -ii 6 N v h ^1 N I M I Z� T a x ° Q m ^ m ry m m N N N V U d H O w V1 n N m N v h ^1 N I M I Z� b 1 io 06 v a c a v c v N u 65B -59 a in v v yv 2 F 4 M U m 48 WATER RATE STUDY I City of Santa Ana, CA The cost of service responsibility for base costs varies with the volume of water requirements and may be distributed to customer classes on that basis. Extra - capacity costs are those costs associated with meeting peak rates of water use, and are distributed to customer classes based on their respective system capacity requirements in excess of average requirement rates. Customer costs, which consist of meter related costs, billing, collection and accounting costs, are allocated based on the number of equivalent meters and bills. Private fire protection costs are allocated on the basis of equivalent fire hydrants. The estimated units of service for the various customer classifications are shown below. Estimates of test year annual water requirements, shown in Column 1, are based on the projections of total water sales from Table 4. Average daily use of all water sales, which is simply , Column 1 divided by 365 days, is presented in Column 2. Columns 3 Meter Size EM through 8 represent the estimated maximum day and peak hour 5/8" x 3/4" 1.00 capacity factors for each customer class. - -- 3/4" 1.50 In the overall rate setting process there is a need to establish a base - -- 1" 2.50 level of cost for which the cost of larger customers can be measured. _ 1.5" 5.00 Customer - related meter and service costs are allocated based on the 2" _8.00 number of equivalent 5/8" meters because the 518" meter is the most 3" 15.00 prevalent meter size found in many water utilities. Included in the development of meter cost ratios is the direct cost of the various categories of labor involved in the installation, fringe benefit related overheads and other appropriate administrative overheads applicable to the labor costs, all direct materials and supplies costs, and the cost of equipment used in the installation. 4" 25.00 6" 50.00 8" 80.00 10" 115.00 12" 165.00 Generally, equivalent meter cost ratios should be used when assigning elements of costs specifically related to meters among the various sizes of meters used by the customer in the system. The Water's base meter size is a %" meter, so the equivalent meter ratios use the base unit of a '' %" meter. The equivalent meter ratios used in this study are shown to the right. Customer billing and accounting costs are distributed to classes based on number of bills for each customer class in Columns 9 through 11. Direct charges for fire protection are found in Column 12 and those for reclaimed water are in Column 13. In accordance with M1 standards and typical engineering design, the provision of the maximum hour component addresses peak system needs, in addition to those posed by fire protection requirements. To the extent possible, actual system and billing data by customer class to derive maximum day capacity factors. Generating maximum hour data can be time consuming and may not be readily available. For the purposes of the analyses, we used a peak hour to average day ratio of 1.5 to calculate the maximum hour capacity factor. As a check on the validity of our assumptions, we calculated a diversity ratio for the system. This ratio is a measure of the total non - coincidental to coincidental demand. Based on the projections for FY 18/19, the max day ratio of non - coincidental to coincidental demand is 1.26 and the max hour ratio is 1.12. The calculated system diversity ratio is within the typical range of 1.10 to 1.40. \• • NOVEMBER 2014 City of Santa Ana, CAI WATER, i2Ai E STUDY Cost of Service Allocations Costs of service are allocated to the customer classes by application of unit costs of service to respective service requirements. Unit costs of service are based upon the total costs previously allocated to functional components and the total number of applicable units of service. Dividing the costs allocated to functional cost components by the respective total units of service requirements develops unit costs of operation and maintenance expense, and net capital costs. Unit Costs of Service Table 19 presents total Test Year 0 &M expense and net capital costs allocated to functional cost component as taken from Tables 16 and 17. Table -19: Unit Costs of Services with Costs in Thousands of Dollars 1 2 3 4 5 Net Operating Expense (Table 16, line 28) Capital Costs (Table 17, Line 13) Total Cost of Service ($000's) Units of Service in 000's (Table 18, Line 13) Cost per Unit 43,348.1 27,111.1 6,311.4 1,216.0 7,641.1 779.2 89.2 200.1 13,808.0 9,579.4 3,147.4 554.3 296.6 45.0 173.4 11.9 $57,156.1 $36,690.5 $9,458.8 $1,770.3 $7,937.7 $824.2 $262.6 $212.0 15,862.2 40.1 23.0 122.0 $2.31 $235.68 $76.81 $65.05 per per per HCF HCF /day HCF /day per EM 268.2 7.3 86.1 $3.07 $36.13 $2.46 per hydran per per bill t - HCF Distribution of Costs of Service to Customer Classes The customer class responsibility for service is obtained by applying the unit costs of service to the number of units for which the customer class is responsible. Table 20 illustrates this process, in which the unit costs of service are applied to the customer class units of service. BLACK & VEATCH i 'a`/a'a. °: 49 65B -61 50 WATER RATE STUDY I City of Santa Ana, CA Table - 20: Allocation of COS to Customer Classes 65B -62 NOVEMBER 2014 per per per per HCF HCF /day HCF /day per EM per bill hydrant per HCF Cost per Unit 1 (Table 19, Line 5) $2.31 $235.68 $76.81 $65.05 $3.07 $36.13 $2.46 Single Family Residential Units 2 (Table 18, Line 1) 6,073,900 15,809 9,984 41,033 212,946 0 0 Allocation of costs of service 3 (Line 2 x Line 1) 20,871.8 14,049.4 3,347.7 150.7 2,669.4 654.6 0.0 0.0 Multi Family Residential Units 4 (Table 18, Line 2) 4,515,100 5,567 4,948 53,431 21,798 0 0 Allocation of costs of service 5 (Line 4 x Line 1) 15,678.7 10,443.8. 1,311.9 380.1 3,475.9 67.0 0.0 0.0 Commercial Units 6 (Table 17, Li8e 3) 2,792,800 9,564 3,826 18,905 26,652 0 0 Allocation of costs of service 7 (Line 6 x Line 1) 10,319.7 6,460.0 2,254.1 293.9 1,229.8 81.9 0.0 0.0 Industrial Units 8 (Table 18, Line 4) 676,900 2,689 1,020 974 504 0 0 Allocation of costs of service 9 (Line 8 x Line 1) 2,342.5 1,565.7 633.7 78.3 63.3 1.5 0.0 0.0 Institutional Units 10 (Table 18, Line 5) 1,238,500 4,581 1,357 4,803 3,234 0 0 Allocation of costs of service 11 (Line 10 x Line 1) 4,370.9 2,864.7 1,079.6 104.3 312.4 9.9 0.0 0.0 Irrigation Units 12 (Table 18, Line 61 553,200 1,895 1,895 2,462 2,628 0 0 Allocation of costs of service 13 (Line 12 x Line 1) 2,039.8 1,279.6 446.5 145.5 160.1 8.1 0.0 0.0 65B -62 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Outside City Units 14 (Table 18, Line 7) 11,800 31 18 63 270 0 0 Allocation of costs of service 15 (Line 14 x Line 1) 40.8 27.3 7.2 1.4 4.1 0.8 0.0 0.0 Recycled Water Units 16 (Table 18, Line 8) 0 0 0 349 120 0 86,100 Allocation of costs of service 17 (Line 16 x Line 1) 235.1 0.0 0.0 0.0 22.7 0.4 0.0 212.0 Public Fire Protection Units (Table 18, Line 18 10) 0 1,104 5,518 0 0 5,000 0 Allocation of costs of service 19 (Line 18 x Line 1) 864.5 0.0 260.1 423.8 0.0 0.0 180.6 0.0 Private Fire Protection Units (Table 18, Line 20 11) 0 501 2,504 0 0 2,269 0 Allocation of costs of service 21 (Line 20 x Line 1) 392.3 0.0 118.0 192.3 0.0 0.0 82.0 0.0 TOTAL COSTS OF SERVICE 22 ($000's) $57,156.1 $36,690.5 $9,458.8 $1,770.3 $7,937.7 $824.2 $262.6 $212.0 Adequacy of Existing Rates to Meet Costs of Service Presented in Table 21 is a comparison of the allocated cost of service and revenue under existing rates for the system in total. Adjustments to the allocated cost of service take place in Column 2. For the Water Enterprise, the cost of public fire protection is allocated to all customers because it is viewed as a general benefit to all and therefore reallocated to the other customer classes based on allocated cost. The last column indicates the approximate adjustment rate levels necessary to recover 100 percent of the allocated costs of service. BLACK & VEATCH I Water Rate Study 65B -63 51 52 WA I FE STUDY I City of Santa Ana, CA Table - 21: Comparison of Adjusted COS with Revenues under Existing Rates [INTENTIONALLY LEFT BLANK] LI M • 'Tel 101134.1 10 Column Reference [S] [2] [31 [4] [5] Single Family 1 Residential 20,871,800 336,700 21,208,500 18,494,200 14.7% Multi - Family 2 Residential 15,678,700 253,000 15,931,700 13,605,800 17.1% 3 Commercial 10,319,700 166,500 10,486,200 9,193,800 14.1% 4 Industrial 2,342,500 37,800 2,380,300 2,163,100 10.0% 5 Institutional 4,370,900 70,500 4,441,400 4,050,500 9.7% 6 Irrigation 2,039,800 0 2,039,800 1,791,700 13.8% 7 Outside City 40,800 0 40,800 36,000 13.3% 8 Recycled Water 235,100 0 235,100 201,000 17.0% 9 Subtotal $55,899,300 $864,500 $56,763,800 $49,536,100 14.6% Public Fire 10 Protection 864,500 (864,500) 0 0 0.0% Private Fire 31 Protection 392,300 0 392,300 248,600 57.8% 12 Subtotal $1,256,800 ($864,500) $392,300 $248,600 57.8% 13 Total Water System $57,156,100 $0 $57,156,100 $49,784,700 14.8% [INTENTIONALLY LEFT BLANK] LI M • 'Tel 101134.1 10 City of Santa Ana, CA I WATER RATE STUDY PROPOSED RATE ADJUSTMENTS The initial consideration in the derivation of water rate schedules for utility service is the establishment of equitable charges to the customers commensurate with the cost of providing that service. While the cost of service allocations to customer classes should not be construed as literal or exact determinations, they offer a guide to the necessity for, and the extent of, rate adjustments. Practical considerations sometimes modify rate adjustments by taking into account additional factors such as the extent of change from previous rate levels, existing contracts, and past local policies and practices. Existing Rates A summary of existing water rates was presented earlier in Table 3. The existing rates consist of a basic service charge, which varies by meter size, and a separate commodity charge applicable to each hundred cubic feet of billed water sales. The commodity charge uses a tier structure. Proposed Rates The costs of service analysis described in preceding sections of this report provide a basis for the design of rates. At the request of the City, Black & Veatch has examined alternative rate schedules based on the proposed CIP. The purpose of alternatives were to determine the impact on rates should the City adopt the CIP plan. In addition, the City asked Black & Veatch to examine the level of cost recovery through the basic service charge. Under the current rate schedule, the City recovers approximately 8 percent of its revenues through the basic service charge. According to Best Management Practice (BMP) 11 as set forth by the California Urban Water Conservation Council (CUWCC), utilities should strive to have no more than 30 percent of its user charge revenues from the meter charge. Using this guideline, the City requested Black & Veatch to propose a set of rate schedules that would gradually increase the fixed component recovery over a 5- year period. Black & Veatch conducted its COS analysis and determined that the level of costs recovered through the basic service charge is closer to 16 percent. To minimize ratepayer impacts, the proposed rate schedules illustrated on Tables 22 and 23 use a phased approach to reach the COS levels by FY 18/19. Meter and fire protection charge rates presented in Tables 22 and 23 are rounded to the nearest 5 cents. Design of Service Charge The service charge and the fire protection charge, reflects the estimated cost of service rate in FY 18/19. It includes the allocated cost of billing, meter service, and some elements of water supply (fixed costs charged by MWDOC). Because the City does not charge fire departments for public fire hydrant service, the industry standard for recovering this cost is via the meters and services component of the water user charge. Black & Veatch has reflected the cost of public fire protection in the proposed meter charges. The service charges for FY 14/15 through FY 17/18 reflect a gradual shift towards the FY 18/19 total fixed revenue recovery rate about 16 percent. BLACK & VEATCH I Water Rate Study 53 65B -65 54 WATER RATE STUDY I City of Santa Ana, CA Table - 22: Proposed Rates for Scenario 1- FY 14/15 and FY 15/16 5/8" $7.00 $7.40 $0.40 $9.05 $1.65 3/4" $11.00 $16.05 $5.05 $19.65 $3.60 1" $16.40 $30.50 $14.10 $37.30 $6.80 1.5" $23.40 $47.85 $24.45 $58.50 $10.65 2" $46.40 $88.25 $41.85 $107.95 $19.70 3" $116.60 $146.05 $29.45 $178.60 $32.55 4" $186.60 $290.45 $103.85 $355.20 $64.75 6" $280.00 $463.70 $183.70 $567.10 $103.40 [ *]Multi - Family per unit charge $4.20 $4.45 $0.25 $5.45 $1.00 Tier 1 (0 -44 HCF) $2.73 $2.78 $0.05 $2.79 $0.01 Tier 2 (> 45 HCF) $3.15 $3.35 $0.20 $3.36 $0.01 Recycled Water $2.18 $2.22 $0.04 $2.23 $0.01 <4" $14.00 $18.20 $4.20 $18.75 $0.55 4" $18.00 $23.40 $5.40 $24.10 $0.70 6" $24.00 $31.20 $7.20 $33.80 $2.60 8" $32.00 $41.60 $9.60 $42.90 $1.30 10" $38.00 $49.40 $11.40 $50.90 $1.50 12" $44.00 $57.20 $13.20 $58.95 $1.75 M �l • • NOVEMBER 2014 Cityof Santa Ana,CA I WATER RATE STUDY Table - 23: Proposed Rates for Scenario 1- FY 16/17 through FY 18/19 5/8" $10.70 $1.65 $12.35 $1.65 $13.90 $1.55 3/4" $23.25 $3.60 $26.80 $3.55 $30.20 $3.40 1" $44.10 $6.80 $50.90 $6.80 $57.30 $6.40 1.5" $69.15 $10.65 $79.85 $10.70 $89.85 $10.00 2" $127.65 $19.70 $147.30 $19.65 $165.80 $18.50 3" $211.15 $32.55 $243.70 $32.55 $274.30 $30.50 4" $419.95 $64.75 $484.70 $64.75 $545.55 $60.85 6" $670.50 $103.40 $773.90 $103.40 $871.05 $97.15 [ *]Multi - Family per unit charge $6.40 $0.95 $7.40 $1.00 $9.50 $2.10 Tier 1 (0 -44 HCF) $2.81 $0.01 $2.82 $0.01 $2.83 $0.01 Tier 2 (> 45 HCF) $3.37 $0.01 $3.38 $0.02 $3.40 $0.01 Recycled Water $2.24 $0.01 $2.25 $0.01 $2.26 $0.01 <4" $19.30 $0.55 $19.85 $0.55 $21.00 $1.15 4" $24.80 $0.70 $25.50 $0.70 $27.00 $1.50 6" $36.40 $2.60 $39.00 $2.60 $41.50 $2.50 8" $44.20 $1.30 $45.50 $1.30 $48.00 $2.50 10" $52.40 $1.50 $53.90 $1.50 $57.00 $3.10 12" $60.70 $1.75 $62.45 $1.75 $66.00 $3.55 BLACK & VEATCH Vater Rate--, 65B -67 5.5 56 WATER RATE STUDY I City of Santa Ana, CA Design of Volumetric Charges Any proposed rate structure should provide for full cost recovery. However, in addition to this fundamental requirement, the design of water rate structures should also meet the following objectives: • Mitigate revenue volatility • Promote water conservation • Minimize excessive customer bill impacts Consequently, water rate design must balance financial management, long -range planning, and public policy considerations. Since the City's last rate increase, Southern California has experienced severe drought conditions. As a result, consumer awareness regarding the need to conserve water is very high. Moreover, the increased use of water - efficient devices (toilets, dishwashers, washers, etc.) has helped customers conserve. The proposed tier breakpoints reflect general usage patterns of the City's single - family residential customers as well as rate setting industry standards and AWWA household usage survey data. AWWA survey data indicate that typical indoor residential water consumption is roughly 50 to 60 gallons per person per day. In Santa Ana, the typical residential family size is 4.3 persons per household according to data from the California State Department of Finance (2014). Thus, the approximate monthly residential water use can range from 6,500 gallons per month to 7,700 gallons per month (or 8.6 hcf to 10.3 hcf per month). The US EPA notes that indoor use can vary from 30 to 70 percent of total billed usage. The variance depends on local conditions including lot size, population density, and water scarcity. For the City, examining the peak winter to summer usage data reveals that the indoor /outdoor ratio for the single - family residential is about 40 percent, which corresponds to a monthly usage of about 21.5 hcf. Thus, including an allowance for outdoor irrigation, it is reasonable to maintain the Tier 1 breakpoint at 22 HCF per month. The pricing differentials between tiers are based on factors similar to the maximum day and peak hour peaking factors described earlier in this report as well as local and non -local water supply costs. Non - local water supply costs also include expenses related to distribution and administration costs. In addition, changing the mix of water supplies through the tiers also contributes to the differentials. Black & Veatch has utilized a combination of these factors as well as peak demand considerations in setting the proposed tier pricing. The units of water included in Tier 1 are priced at the lowest rate since it represents the City's least expensive source of water — local supply. As water consumption increases beyond the base tier, water supplies to meet this demand lead to greater investments by the City in alternate sources of supply, yet at much higher costs per acre foot. The use of peaking factors reasonably represents the relationship between higher water consumption and increasing water supply costs. Table 24 illustrates the distribution of base, max day and max hour costs recovered over the tiers. �I M • • [01t•1ri4u11111 lIN City of Santa Ana, CA - � 1 11 j )':' Table - 24: Volumetric Cost Recovery over Tiers for FY 18/19 Tier 1 80% 40% 5% 100% Tier 2 20% 60% 95% 0% To maintain a rate structure that encourages conservation, Black & Veatch examined the incremental costs associated with Tier 2 levels of service. We are recommending that the City move from a 16 percent rate differential to a 20 percent differential between Tier 1 and Tier 2 rates. Design of Private Fire Protection The design of private fire protection connection charges is essentially the same as that for the base fee. The difference is that for private fire connections, the industry standard is to designate the 6" diameter connection as having a flow equivalency of 1.0. Revenue Sufficiency Presented in Table 25 is a comparison of Test Year allocated cost of service with revenues under the suggested water rate structure. Test year costs of service are obtained from Table 20 and the proposed rates recover essentially 100 percent of the total cost of service. Note that for FY 14/15 through FY 17/18, the rates were also designed so that each customer class recovers its proportionate cost of service (about 100 percent). Table - 25: Revenues under Proposed Rates for TY 18/19 (Effective March 1, 2015) — Scenario 1 mm mok � 0 11 Column Reference [S] [2] 131 1- Single Family Residential 21,208,500 21,247,600 100.2% 2 Multi- Family Residential 15,931,700 15,917,700 99.9% 3 Commercial, 10,486,200 10,465,800 99,8% 4 Industrial 2,380,300 2,382,000 100.1% 5 Institutional 4,441,400 4,472,300 100.7% 6 Irrigation 2,039,800 2,049,000 100.5% 7. Outside City 40,800 40,900 100.2% 8 Recycled Water 235,100 235,000 100.0% 9 Subtotal $56,763,800 $56,810,300 100.1% 10 Public Fire Protection 0 0 0.0% 11 Private Fire Protection 392,300 394,100 100.5 °% 12 Subtotal $392,300 $394,100 100.5% 13 Total System $57,156,100 $57,204,400 100.1% BLACK & VEATCH I Water Rate Study \I M • 57 58 \WATER RATE STUDY I City of Santa Ana, CA Typical Bill Impacts Presented in Table 25 is a comparison of typical bills for different customer classes at varying levels of water use. The table compares the existing customer bill to the proposed rate option presented for FY 14/15. Table - 26: Typical Bi- Monthly Bills - Scenario 1, FY 14/15 Proposed Rates Single Family Residential 5/8" 0 7.00 7.40 0.40 5.71% 1 9.73 10.18 0.45 4.66% 2 12.45 12.96 0.51 4.06% 3 15.18 15.74 0.56 3.68% 4 17.91 18.52 0.61 3.42% 5 20.64 21.30 0.66 3.22% 6 23.36 24.08 0.72 3.07% 7 26.09 26.86 0.77 2.96% 8 28.82 29.64 0.82 2.86% 9 31.54 32.42 0.88 2.78% 10 34.27 35.20 0.93 2.71% 12 39.72 40.76 1.04 2.61% 14 45.18 46.32 1.14 2.53% 16 50.63 51.88 1.25 2.46% 18 56.09 57.44 1.35 2.41% 20 61.54 63.00 1.46 2.37% 22 66.99 68.56 1.57 2.34% 24 72.45 74.12 1.67 2.31% 26 77.90 79.68 1.78 2.28% 28 83.36 85.24 1.88 2.26% 30 88.81 90.80 1.99 2.24% 32 94.26 96.36 2.10 2.22% 34 99.72 101.92 2.20 2.21% 65B -70 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY 36 105.17 107.48 2.31 2.19% 38 110.63 113.04 2.41 2.18% 40 116.08 118.60 2.52 2.17% 42 121.53 124.16 2.63 2.16% 44 126.99 129.72 2.73 2.15% 46 133.30 136.42 3.12 2.34% 48 139.60 143.12 3.52 2.52% 50 145.91 149.82 3.91 2.68% 52 152.22 156.52 4.30 2.82% 54 158.53 163.22 4.69 2.96% 56 164.84 169.92 5.08 3.08% 58 171.14 176.62 5.48 3.20% 60 177.45 183.32 5.87 3.31% 62 183.76 190.02 6.26 3.41% 64 190.07 196.72 6.65 - 3.50% 66 196.38 203.42 7.04 3.59% 68 202.68 210.12 7.44 3.67% 70 208.99 216.82 7.83 3.75% Multi - Family Residential 4 units 10 44.07 45.60 1.53 3.47% 50 155.71 160.22 4.51 2.90% 100 313.41 327.72 14.31 4.57% 150 471.11 495.22 24.11 5.12% 200 628.81 662.72 33.91 5.39% Commercial 2" 25 114.58 159.45 44.88 39.17% 50 185.31 232.37 47.06 25.39% 75 264.16 316.12 51.96 19.67% 100 343.01 399.87 56.86 16.58% BLACK & VEATCH I Water Rate Study 65B -71 59 60 WATER RATE STUDY I City of Santa Ana, CA 500 1,604.61 1,739.87 135.26 8.43% Industrial 6" 500 1,838.21 2,123.22 285.01 15.50% 1,000 3,415.21 3,798.22 383.01 11.21% 5,000 16, 031.21. 17,198.22 1,167.01 7.28% 10,000 31,801.21 33,948.22 2,147.01 6.75% Figure 7 presents a comparison of a monthly Santa Ana single - family residential bill (5/8" meter and 15 HCF usage) to those in surrounding cities. SUMMARY Based on the results of the analyses conducted herein, Black & Veatch recommends that the City implements, at minimum, the revenue adjustments proposed in Table 11. These revenue increases are based on the City executing the proposed CIP program, which includes the suggested R &R improvements noted in Appendices A through D. Additionally, the revenue increases allow the City to reach the suggested minimum working capital and emergency reserve levels by the end of the study period. [INTENTIONALLY LEFT BLANK] 65B -72 NOVEMBER 20' City of Santa Ana, CAI (WATER RATE STUDY Figure -8: Monthly Single Family Residential Bills (5/8" meter and 15 HCF usage) — Rates as of October 25, 2014 Water Bill City of Stanton South Coast WD East Orange CWD Retail Zone City of Placentia City of Cypress Laguna Beach CWD City of San Clemente City of Newport Beach Serrano WD Mesa WD City of San Juan Capistrano City of Brea City of Fullerton City of Long Beach City of La Habra Yorba Linda WD _ City of Santa Ana (Proposed) City of Seal Beach �. City of Garden Grove City of Fountain Valley City of Santa Ana (Existing) Moulton Niguel WD nrerers�w/ City of Westminster City of Buena Park i City of La Palma Santa Margarita WD - - - -- - -- - - I City of Huntington Beach - }, CittyofO Orange , City of Orange Irvine Ranch WD j City of Tustin Average Survey Bill = $53.63 $0 $10 $20 $30 $40 $50 $60 $70 $80 $90 $100 BLACK & VEATCH I Water Rate Study 65B -73 61 62 WATER RATE STUDY I City of Santa Ana, CA Appendix A: Refurbishment & Replacement Program 65B -74 i![�Pl�ul•7��'i�F�! City of Santa Ana, CA I WATER RATE STUDY As part of the scope of work conducted for this study, Black & Veatch assisted the City in developing an appropriate Refurbishment and Replacement (R &R) level of funding for the Water Enterprise. The following sections outline the approach undertaken for this effort and the basis for the suggested levels and timing of R &R activities. CAPITAL ASSET VALUATION AND REFURBISHMENT AND REPLACEMENT NEEDS EVALUATION METHODOLOGY The purpose of identifying future Refurbishment and Replacement (R &R) needs and costs is to estimate the required level of capital funding needed to maintain the Water utility infrastructure systems in sound operable condition and to meet the level of service expectations of the City over the next several years (defined as "modeling period" within this analysis). Black & Veatch used a 30 years modeling period for the analysis conducted herein. Methodology In this section, Black & Veatch outlines the approach that was used projecting future capital asset R &R schedules; estimated costs for the Water infrastructure managed by the City; and value of installed City assets. Utility Historical Asset Performance Black & Veatch conducted an R &R needs evaluation using an industry- accepted approach to project the R &R activities over a 30 -year period to support the development of a reserve funding strategy and financial recommendations. By projecting the expected useful life and intervals between major refurbishment of assets from their original installation year, then aggregating all R &R activities for each year, Black & Veatch developed an estimate of capital expenditure needs and then used these estimates as input to the development of appropriate funding strategies. A methodical and consistent approach to evaluating R &R activities involves using an asset class library, as described below to manage the inputs of projected R &R by each class and associated estimated costs. The graphic to the right illustrates Black & Veatch's approach. 4 Class Based Useful Life Adjust for Utility Use /Duty • Adjust for Age • Calculate Remaining Useful Life Condition & Performance Adjustment • Adjust Remaining Useful Life r Target Replacement Year • Risk Based Lowest • Remaining Useful Life Medium /Long-Tern Needs Refurbishment & Replacement Schedule • Implementation Scheduled • Budget Development of Asset Class Library Black & Veatch undertook a review of each asset inventory for the City's water assets. Based on this review, Black & Veatch developed a draft asset class listing for input into the Asset Class Library described below. "Asset Classes" are logical units of assets. in the context of R &R modeling, asset classes are those assets having a similar function, cost structure, and useful lives and refurbishment intervals. The Asset Class Library provides the listing of asset classes and the various components that define the R &R schedule for the particular asset including; useful lives, refurbishment program definitions and intervals and replacement schedules and estimated costs. Black & Veatch developed a draft Asset Class Library based on our knowledge of similar systems and specific asset types. The draft Asset Class Library BLACK & VEATCH I Appendix A: Refurbishment & Repia ' F,,' 63 65B -75 64 WATER RATE STUDY I City of Santa Ana, CA was then refined through collaboration with the City staff with system- specific familiarity, to reflect the best appropriate information for use in the R &R analysis. The components of each of the asset classes were presented in detail in draft form, then finailized based on discusion of the asset class details, and any follow -up research on costs, types of assets and related information. Using this method, the resulting class library developed for the City incorporates Black & Veatch's experiences with other agencies, as well as City- specific experience with each asset class. For the City's asset class library, Black & Veatch developed the following elements, which are available forviewing within the Comprehensive Asset Management Prioritization System (CAMPS). Expected useful lives For each defined asset class, and for each specific asset where required, appropriate expected useful lives were developed for these assets. Black & Veatch defines useful life as the number of years of normal use that can be expected prior to replacement becoming necessary. It should be noted that some assets would be expected to fail before and after the estimated useful life, however, this approach provides planning level funding needs when averaged over a 5, 10, 15, or 20 year smoothing period. These estimates are based on our industry experience, manufacturers' estimates, previous literature research, and our work for other agencies. Adjusted useful lives, based on Condition Monitoring The expected useful life of the asset is an average expected life for that asset class, as described above. The CAMPS database contains the functionality for the City to identify assets that are in need of immediate or near -term (next 1 -2 years) replacement, by indicating a condition rating of '1' within the asset registry. Similarly, CAMPS contains the functionality for Staff to indicate assets as being in very good condition, using a rating of '3' within the asset registry. Presented below are examples of each of these cases illustrating how users can adjust the expected useful life of a specific asset to reflect a more detailed knowledge of the assets. Case #1: Asset with an Assessed Condition Rating of 1 (Poor Condition) A pump (associated with a pump station) was placed in service in 2002, with a class life of 30 years. At the time of the analysis, 2012, the pump is 10 years old and should be expected to operate effectively for another 20 years. If the pump has been assessed at a poor condition (rating = 1), then an adjustment is made to indicate more urgent replacement, or analysis year+ 1 year. Algorithm used by the CAMPS model: tt If Condition Rating =1, then use current year + 1 for Replacement Year Case #2: Older Asset with an Assessed Condition Rating of 3 (Excellent, or like new condition) A pump was placed in service in 1987, with the same class life of 30 years. In this case, the pump is 25 years old and expected to last until 2017. If the pump has been assessed at a like new condition (rating = 3), then an adjustment is made to extend the life of the asset an additional 50% of its class life (or 15 years) to a target replacement of 2032. 65B -76 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Algorithm used by the CAMPS model: ■ If Condition Rating = 3, then compare (calculate Remaining Useful Life = Replacement Year - Current Year) with (calculate (50% x Useful Life) + Current Year) and use largest value for Replacement Year. To continue to refine and improve these class -based useful life estimates, which have a large impact on funding strategy analysis, Black & Veatch recommends initiating an infrastructure risk analysis and condition - monitoring program. Leading asset management practices within the infrastructure management industry are to monitor the condition of assets, using a prioritization approach. Such an approach may consist of beginning with those assets where assets are past or nearing the end of their expected useful. Another key element in risk management would be to conduct condition monitoring on those assets posing the greatest risk to the City, should the asset fail. Provided later in this report is further discussion of risk analysis and condition monitoring. Refurbishment programs, intervals and cost Most asset classes require various capital refurbishments on a cyclic basis in order to sustain or extend the asset's useful lives. Pump stations, for example, can be expected to undergo pump refurbishment, motor overhaul, replacement of electric components, and mechanical overhaul at intervals shorter than the cycle for the replacement of assets themselves. Appropriate refurbishment intervals and costs that are considered major (non - operational /annual) expenditures, were developed for specific asset classes. Replacement costs For each asset class and for specific assets where required, Black & Veatch estimated the base -year (FY2013) replacement cost. Black & Veatch's estimates are based on the experience of our engineers, construction cost estimates recently prepared for other clients, industry standards, and our experience with other agencies. Where possible, replacement costs, were defined in terms of unit costs to facilitate the class -based estimating approach (examples include dollars per foot of various types of pipe, dollars per gallon for storage facilities, and dollars per square foot for buildings of various classes). For Governmental Accounting Standards Board (GASB) 34 compliance, Black & Veatch has included factors to include ancillary costs such as planning, design, site development, and internal administrative costs where appropriate for the types of assets. The Asset Class Library, along with the asset inventory were the key input for projecting capital asset R &R needs. DEVELOPMENT OF REFURBISHMENT AND REPLACEMENT SCHEDULES AND COSTS Black & Veatch used its Comprehensive Asset Management Prioritization System (CAMPS) Model in conjunction with risk profile analysis to develop the R &R schedules presented in this report. The R &R schedules project the capitalized refurbishment, and replacement costs (in 2012 dollars) needed to sustain the water infrastructure managed by the City. Black & Veatch then escalated costs for each BLACK & VEATCH I Appendix A: Refurbishment & Replacement Program 65 65B -77 m WATER RATE STUDY I City of Santa Ana, CA specific R &R activity to the expected year of R &R expenditure. Next, we then summed the total estimated R &R costs for all assets and each modeled year to project future capital funding needs and to develop reserve fund development strategies. DEVELOPMENT OF VALUATION OF CAPITAL ASSETS Black & Veatch also used the CAMPS tool to calculate a current depreciated value for each capital asset within the asset inventory based on the Reproduction Cost New Less Depreciation (RCNLD) methodology. This methodology values assets at their current reproduction costs (2012 Dollars) and calculates depreciation based on this estimated cost, the original year in service, reasonable estimates of useful lives, using a straight -line approach. Reasonable estimates of expected useful lives are determined using the same approach described previously, including the use of class lives and adjustments to class lives based on condition assessment data. Presented below are examples of valuation calculations. Case #1: Valuation based on Class Life A 20 hp pump and motor (associated with a pump station) was placed in service in 2002, with a class life of 15 years. At the time of the analysis, 2012, the pump is 10 years old, approximately 2/3 of its expected useful life. The asset is valued at $16,000 and has depreciated approximately 2/3 of its value, using a straight -line approach. The current 2012 value for this asset would then be approximately $5,333. Case #2: Valuation based on Condition Rating A 20 hp pump and motor (associated with a pump station) was placed in service in 2002, with a class life of 15 years. At the time of the analysis, 2012, the pump is 10 years old, but staff has assessed the condition of the asset as poor (condition rating of 1). With the adjustment of the expected useful life according to the algorithm described in the Adjustments to Useful Life Based on Condition Monitoring discussion above, the asset has approximately 1/15 of its original value, or approximately $1,067. Financial, land and intangible assets were not included in the inventory or in this analysis. CAPITAL ASSET INVENTORY, ASSET CLASS LIBRARY AND REPLACEMENT SCHEDULE DATABASE DEVELOPMENT Asset Inventory The City provided several asset inventories that Black & Veatch then evaluated, summarized and then compiled into a single database to facilitate the development of R &R schedules and costs, using the methodology described previously. Inventory Data Sources Asset Inventory data records for the plant facilities were obtained from the City's Geographical Information System (GIS). Additionally, asset inventory data records for the above ground infrastructure assets for water above -grade assets use historical data captured by City staff from various different M \l • NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY historical records. The City's GIS and historical records provided material type and /or size, year in service and quantity for the infrastructure assets. Black & Veatch undertook a gap analysis of the provided asset inventory data, to identify missing data. Using our experience with similar facilities, and as validated with City staff familiar with specific assets, Black & Veatch derived useful lives, R &R schedules and costs for the water assets. Asset Class Library Contents Black & Veatch used CAMPS to model R &R needs for water infrastructure asset classes. To support this modeling effort, Black & Veatch developed an asset class library consisting of asset class definitions, expected useful lives, and unit costs for each asset class to project in a methodical and consistent manner the timing of R &R of assets and estimated costs to support the reserve funding strategy analysis. Described below are Black & Veatch's assumptions in developing the Asset Class Library that forms the basis for projecting the R &R schedules and costs and contained within CAMPS. Water Infrastructure System Water system assets range from water production assets (wells, pumps, storage and treatment) to distribution system assets (such as pipe, valves, and service connections). Water infrastructure asset classes were defined by Black & Veatch and grouped into the following categories for the analysis. ® Water Production and Treatment Facilities • Reservoirs and Tanks • Wells o Metropolitan Water District (MWD) Connections o Pumps /Motors o Water Production Meters • Control Valves (Associated with water production and storage facilities) • Chemical Treatment (Chlorination Units) N Water Distribution Facilities (Pipe and Appurtenances) Table A - 1 presents the expected useful life for water infrastructure system assets below for each asset class. BLACK & VEATCH I Appendix A, Refurbishment & Replacement l rn—af- 67 65B -79 68 WATER RATE STUDY j City of Santa Ana, CA Table A - 1: Water System Expected Useful Lives CHLOR PSI Chlorination Unit 12 ELEV_TANK Elevated Water Storage Tank 75 GENH Hydro Generator 60 METR Flow meter (above ground meters) 15 MWD Metropolitan Water District 75 (MWD) Connection PRV Pressure Reducing Station - 50 PUMP_W Pump and Motor (non- 10 submersible) PUMPS_W Submersible Pump 10 VALV CNTL Cla -Val Control Valves 50 WELL Well 75 WTRM_AC Water Mains made of AC pipe 60 WTRM CI Water Mains made of Cl pipe 75 WTRM CMLC Water Mains made of CMLC pipe 75 WTRM_CYL Water Mains made of Cylinder pipe 75 WTRM_DI Water Mains made of Ductile Iron 100 pipe WTRM_PVC Water Mains made of PVC pipe 75 WTRM STL Water Mains made of Steel pipe 75 WTRM_UNK Water Mains made of unknown 60 material Water Production Facilities The asset classes within the water production facilities are composed of various asset categories. Table A - 2 through A -4 present the replacement costs of these various asset categories. Where possible, Black & Veatch used current construction estimates available from projects in the surrounding area. All replacement costs are in 2012 dollars. Table A - 2: Wells, Meters and Valves Replacement Costs ■�:1L' 111 •[cll:lg9�_[Mi�41�t�1f.71'1� �:i79IeUi�4liPIlU�7� Wells All sizes $562,800 Meters All sizes $8,800 Control Valves All sizes $5,000 M L� •• ' NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Table A - 3: Water Pumps and Hydro Generator Replacement Costs Pumps (hp) 1 10 $14,600 11 30 $18,000 31 100 $24,800 101 250 $49,500 Hydro Generator 200kw $400,000 Table A -4: Tanks, Chemical Feed and Misc. Replacement Costs Up to 500,000 $540,200 Up to 1,000,000 $696,000 Up to 2,000,000 $1,056,000 Reservoirs (by gal) Up to 4,000,000 $1,680,000 Up to 6,000,000 $2,232,000 Up to 8,000,000 $2,880,000 Up to 10,000,000 $3,848,000 Misc. Structures (per sq. ft.) All sizes $130 Water Distribution Facilities The water pipe asset class incorporates pipe, and associated appurtenances (incl. pipe isolation valves, and hydrants). These types of assets are grouped together as it is far more practical (cost and minimization of disruption) to replace appurtenances associated with a pipe within portions of each water system at the same time. The replacement costs for this asset class used for the analysis varies by pipe size as shown in Table A - 5. All replacement costs are in 2012 dollars. BLACK & VEATCH I Appendix A Refurbishment & R -,�' . ^ o sc am Lm � • 10.0 Up to 50,000 $184,000 Up to 100,000 $280,000 Elevated Tanks (by gal) Up to 250,000 $776,000 Up to 500,000 $1,380,000 Up to 750,000 $1,675,000 Up to 1,000,000 $2,400,000 Chlorination Unit All sizes $56,000 MWD Connections All sizes $250,000 Pressure Reducing Stations All sizes $72,500 Misc. Structures (per sq. ft.) All sizes $130 Water Distribution Facilities The water pipe asset class incorporates pipe, and associated appurtenances (incl. pipe isolation valves, and hydrants). These types of assets are grouped together as it is far more practical (cost and minimization of disruption) to replace appurtenances associated with a pipe within portions of each water system at the same time. The replacement costs for this asset class used for the analysis varies by pipe size as shown in Table A - 5. All replacement costs are in 2012 dollars. BLACK & VEATCH I Appendix A Refurbishment & R -,�' . ^ o sc am Lm � • 10.0 70 WATER RATE STUDY I City of Santa Ana, CA Table A - 5: Water Pipe Replacement Sizes and Costs 2 $282.72 18 $435.57 4 $301.82 20 $454.68 6 $320.93 24 $492.89 8 $340.04 30 $550.21 10 $359.14 36 $607.53 12 $378.25 48 $722.17 14 $397.36 54 $779.49 16 $416.46 78 $1,008.77 Non - System- Specific Assets Black & Veatch developed several asset classes to group like assets within the asset inventory that are associated with multiple infrastructure systems. Table A - 6 through A -8 present the expected useful lives and replacement costs for these non - system specific asset classes. All costs are in 2012 dollars. We note that the assets listed in the tables below assume "like" replacements. Table A - 6: Non System - Specific Expected Useful Lives GENF Water, Sewer Fixed generators w/Transfer Switch 60 GENPLG Water, Sewer Gen Set Plug and Transfer Switch for Portable Generator 20 Table A - 7: Generator Replacement Costs — 2012 dollars 1 100 $63,000 Generator - Fixed 101 200 $112,600 201 400 $250,000 M LI M • NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Table A - 8: Misc. Assets Replacement Costs — 2012 dollars Gen Set Plug $11,300 Refurbishment Intervals and Schedule Capital refurbishment activities were identified for specific assets where major (non - operational /annual) expenditures would be required to maintain the intended useful life of the asset. For each of these refurbishments, defined intervals and costs were developed for specific asset classes, as presented in Table A - 9. Table A - 9: Assets Refurbishment Intervals and Costs— 2012 dollars BLACK & VEATCH I Appendix A. Rerurbishment & Repia 7I 65B -83 Minor refurbishment (paint ELEV_TANK Elevated Tank 10 5% and repairs) MWD Major refurbishment (valves, MOD 20 30% Connection gaskets, misc. piping, controls) Pressure Major refurbishment (valves, PRV 20 30% Reducing Vault gaskets, misc. piping, controls) BLACK & VEATCH I Appendix A. Rerurbishment & Repia 7I 65B -83 Major refurbishment (seal replacement, bearing PUMP_W Pump (Water) replacement, shaft sleeve 5 30% repair, rewind, varnish and bake, etc.) Major refurbishment (seal replacement, bearing Submersible PUMPS W replacement, shaft sleeve 5 30% — Pump (Water) repair, rewind, varnish and bake, etc.) RESV Reservoir Exterior painting, grouting 5 5% Piping, valves and other RESV Reservoir 30 10% appurtenances Misc. rehabilitation (e.g„ STRN Structure 15 10% paint, fix up stucco, etc.) BLACK & VEATCH I Appendix A. Rerurbishment & Repia 7I 65B -83 72 WELL %HATER RATE STUDY I City of Santa Ana, CA Major Refurbishment (TV well, Well sonarjet screens, brush, swab, 30 25% and bail as needed.) CAPITAL ASSET VALUATION AND SCHEDULE OF R &R NEEDS AND ESTIMATED COSTS A common practice used in the industry to determine a baseline value for R &R needs is to take the estimated replacement cost asset value, adjusted for depreciation, and then apply a depreciation calculation. This approach is acceptable when a utility has performed no system condition assessments. In the following sections, Black & Veatch presents suggested R &R schedules for the Water Enterprise. Where available, Black & Veatch used condition assessment data and developed risk profiles to more accurately reflect replacement needs. Capital Asset Valuation Summary The valuation of Water system infrastructure capital assets was developed using the asset class -based methodology to estimate replacement costs (in FY2012 dollars), then adjusted for depreciation (straight - line). Table A - 10 presents the estimated replacement cost and depreciated FY2012 value for capital assets for each of the systems. Table A -10: Asset Valuation by System Water $1,013,137,165 $435,688,075 43% 1. Replacement Costs (in 2012 dollars) are calculated using the unit costs presented in within this report applied to all assets Water and Sewer assets. 2. The asset valuation methodology (RCNLD) represents an estimate of total infrastructure value, accounting for depreciation of assets. A comparison of the current infrastructure value with the total replacement cost presented previously is an indicator of overall infrastructure age, and represented as a Value Ratio. The value ratio is calculated as the Asset Value divided by Replacement Cost. Total System Capital Asset Schedule of R &R Needs Using the R &R needs forecasting methodology described previously, Figure A - 1 illustrates the overall R &R needs identified projected over a 30 -year period, beginning with FY 2013 for the combined Water and Sewer Enterprises. M L� � • .0 NOVFNISEP 1.111 City of Santa Ana, CAI WATER RATE STUDY Figure A - 1: Annual Capital Asset R &R Needs for Water and Sewer Assets over 30 -Yr Period *Costs have been escalated to the year of R &R, using a 3% escalation from FY2013 Observations 1. There were a significant number of assets that were modeled to be beyond their Class -Based Useful Life (Approx $37M). Of this total, 99% are for Water and Sewer mains. 2. Of this 99 %, 76% are for Water mains, which have no condition assessment information (Approx $28M). 3. R &R needs profiles for R &R vary considerably between Water and Sewer system assets. Table A - 11 summarizes the total funding needs identified during the 30 -year model period by infrastructure group based on available information. BLACK & VEATCri r �_ _ M • III MG! WATER RATE STUD`! I City of Santa Ana, CA Table A -11: Total Modeled R &R 30 Year Costs Water Boosters $14,048,100 Chlorination unit $2,940,800 Control Valve $196,500 Generator $63,400 M W D $4,500,700 Production meter $1,054,400 PRV $540,100 Reservoir $27,253,600 Total Water System $1,434,510,000 *Costs have been escalated to the year of R &R, using a 3% escalation from FY 2013 As identified above, each system has a unique profile of Capital Asset R &R needs that is dependent on overall age of the infrastructure, type of infrastructure assets (predominantly short or long asset lives), and detailed asset knowledge as determined through inspections. Figure A- 2 illustrates this unique profile for the Water system. Figure A- 2: Annual Capital Asset R &R Needs for the Water System *Costs have been escalated to the year of R &R, using a 3% escalation from FY 2013 M • • NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY As discussed earlier, R &R schedules derived using depreciation methodologies are a good tool when condition assessment data is not available. For the City, some information for water mains exist and as such, Black & Veatch made refinements to the schedules proposed above. R &R projections for all other assets remain until the City has completed its condition assessment work for aboveground assets. BLACK & VEATCH I Appendix A: Refurbishment & Replacement Program M \l • 75 76 WATER RATE STUDY I City of Santa Ana, CA Appendix B: Water CIP Prioritization Process M . . � • • NOVEMBER 7_01 a City of Santa Ana, CA WATER RATE STUDY INTRODUCTION Making informed decisions to maximize the integrity of a utility's infrastructure in today's economic and business environment can be a challenging task. In many cases, a utility's greatest ally is existing information about their infrastructure. By tapping into existing datasets and staff knowledge, critical information can gleaned about the condition and life expectancies of their facilities; and these can be related to ever - changing business drivers, operational strategies, and budgetary priorities. Capital improvement planning (CIP) for the outside plant assets can also be a challenge. In many cases direct visual inspection of the assets may not be possible or economically feasible. Therefore, condition assessments must rely mostly on existing information and indirect assessments. The process typically evaluates a variety of information such as pipe materials, main break rates, installation dates, soil conditions, proximity to sensitive customers, hydraulic model results, etc. In many cases the most accessible and usable data is from the utility's Geographic Information System (GIS) and /or asset management database(s). This data is used to assist in prioritizing facilities for inspections and /or renewal based on criticality, life- expectancy, and /or geographic boundaries (e.g. City Council boundaries). CIP FOR OUTSIDE PLANT ASSETS The general approach to capital improvement planning for the outside plant assets typically follows a multi- stepped process. For the City's pipeline assessment, a set of GIS -based tools and processes were used. Combined, these are called "iCIP" for interactive Capital Improvement Planning. The typical steps include: 1. Compile source data for the assets to be evaluated in the study. This often includes the utility's GIS and /or asset management database(s), a variety of spreadsheets, and input from the utility's staff. 2. Review source data to gain an overall understanding of the quantity and quality of the data. Special attention is given to missing or conflicting information. This data is also evaluated to determine which sources are suitable for CIP assessment and which data appear to provide insight into the past, current or future condition of the assets. 3. Organize source data into a logical data structure suitable for further analysis. 4. Perform both spatial and non - spatial assessments to identify statistically- significant trends. Much of this is considered "exploratory" as relationships between things like pipe material, break frequencies, and soil conditions are often not readily apparent. In many cases only a cursory review of these relationships can be performed due to time and budget constraints, or lack of sufficient source data. 5. Identify key Probability of Failure (PoF) criteria based on the initial review of source data. PoF is also known as Likelihood of Failure (LoF). These typically include such factors as: a. Main breaks b. Customer Complaints c. Soil Conditions d. Pipe Diameter and Material e. Pipe Age / Remaining Life f. Pipe Inspections/ Condition BLACK & VEATCH I Appendix B: Water CIP Prioritization P, a:. e,. M \• M • • • 77 78 WATER RATE STUDY City of Santa Ana, CA g. Hydraulic Capacity 6. Identify key Consequence of Failure (CoF), also known as criticality criteria. These typically include such direct or indirect factors as: a. Effect on Customers (from size of pipe, number of services impacted, etc.) b. Asset redundancy c. Proximity to critical roads, water sources, environmental areas, etc. d. Critical customers e. Public Health & Safety f. Financial impacts 7. Calculate overall Business Risk Exposure (BRE) for each asset. The BRE score is a product of the PoF times the CoF scores. This score is an informative indicator of facilities that will likely require higher levels of attention. It is typically based on a 1 to 100 scale metric. 8. Generate resulting tables, graphs and output maps to further identify trends and recommendations. Typical facility replacement cost look -up tables are then used to determine overall budgetary estimates and schedules. By plotting the PoF and CoF scores on the two axes of a graph, the relative level of risk can be readily apparent. Figure B - 1 below provides an example risk heat map graph. Higher probability of failure assets are plotted near the top. Higher consequences of failure assets are plotted to the right. Suggested possible action plans appropriate to the levels of risk are also included in this chart. 9. As a final step in the CIP assessment, individual capital improvement projects can then be identified. These projects area often based on the identification of high -risk assets and then grouping those assets that are in close proximity. The City's water distribution system was evaluated using this process. Since the overall focus of this study was to identify likely pipe replacement cost estimates for a budgetary plan and schedule, many of these investigations were performed at a relatively high level. It is recommended that the City review these results and refine the assessments as additional source data becomes available. M Z• ' NOVEMBER 2014 City of Santa Ana, CA Figure B - 1: Example Risk Heat Map Graph Relating PoF and CoF Scores. 10 C, v 3 8 LL 7 W 0 6 v V v 5 3 v 4 c v 0 3 F] 1 Probability of Failure 1 2 3 4 5 6 7 8 9 10 GENERAL ASSUMPTIONS AND OBSERVATIONS During the source data review, condition assessment and planning analysis, various assumptions were made to permit further evaluation. Many of these were necessary due to limitations in the existing data such as missing or conflicting pipe attributes, limited inspection data, or similar constraints. for example, the timing of pipeline lining is often unclear. The association of water break data to the correct asset was also not precise. Although good engineering judgment was used in the analysis of historic pipeline condition data, an unknown level of inaccuracy exists. Due to the limited quantity and quality of source data, further investigation is recommended before making specific rehabilitation or replacement decisions. The following list includes many of the general assumptions and observations made during the planning assessment on the water outside -plant network system. Additional comments are included in specific sections of this document. • Only water mains were considered in this assessment. The condition of pump stations, service laterals, reservoirs, etc. were not addressed. • Pipeline Type = "PRIV" or "ABAN" were omitted from the water analysis. • Pipe segments with zero length were omitted from the analysis. • The timing of pipeline lining is often unclear. Therefore, it was assumed that any inspection data referred to the pipe conditions prior to lining. Once lined, the pipe was assumed to have been "fixed" and currently be in very good structure condition. • Based on the GIS source data provided, it appears that zero water or sewer pipe was installed in 2010; even though 47 water main breaks occurred that year. BLACK & VEATCH I Appendix B'. Water CIP Prlerltizanon Process 65B -91 79 SO City of Santa Ana, CA It should be noted that Black & Veatch conducted two analyses with respect to the City's assets: one including all assets found in the GIS system (Appendix C) and a second analysis looking at only City - owned assets (Appendix D. The results from Appendix D are reflected in the main body of this Report. WATER COLLECTION SYSTEM CIP ANALYSIS Water System Statistics For the purpose of this condition assessment / rate study, only the water mains were evaluated. Service lines, hydrants, valves, etc. were not evaluated. However, except for service lines, their costs were included in future replacement forecasting as part of the combined pipe replacement cost as applicable. Source data was primarily provided from Santa Ana's GIS system. Additional data was provided in spreadsheets, text files, and /or from communications with City staff. According to the City's GIS database, the water distribution system contains about 508 miles of water mains and has 13,591 pipe segments. The oldest pipe listed dates back to 1906. This condition analysis study does not include data from the Service Lines or Abandoned Mains tables. Water main break data was available only since 1990. Breaks with no break data (19 records) were also not included in the analysis. Pipe Material By far, the most predominant pipe materials in the water distribution system are Cast Iron (CI) and Asbestos Concrete (AC) Pipe; making up 39 and 36 percent of the system respectively. Material percentages (by length) are shown in Figure B - 2 below. Figure B- 3 provides a map of water mains color coded by pipe material. Figure B - 2: Water Mains Material by Miles and Percentages ■ Asbestos Concrete (AC) ■ Cast Iron (CI) ■ Cement Mortar Lined & Coated steel (CMLC) 0 Cylindrical (CYL) ■ Ductile Iron (DI) 0 Polyvinyl Chloride (PVC) 0 Steel (STL) W Unknown 65B -92 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Figure B- 3: Map of Water Mains Color -coded by Pipe Material r 0 3,000 6,000 12,000 Ft s la E Water Main by Material City of Santa Ana, CA -- Asbestos Concrete Water ! Wastewater CML &C — Cast Iron System Analysis - 2012 — Cylinder Ductil Iron — Polyvinyl Chloride �� li — Steel ` — Unknown® v l- City Boundary -- RailRoads Water Distribution System Mains by Pipe Material 0 BLACK &VEATCH e.,,. ,,,. Building aworld of diHerencer BLACK& VEATCH; Appendix B: Wa`c � r =.r - , 65B -93 £31 82 WATER RAl'E S1 U DY I City of Santa Ana, CA Pipe Diameter Over 86 percent of the City's water mains are 6 to12 inch in diameter. The remainder range in sizes up to a maximum diameter of 78 inches. Pipe diameter quantities are listed in Figure B -4 below. Figure B- 5 provides a map of water mains color coded by pipe diameter. As expected, the distribution of pipe size is driven by network capacity considerations. Figure B -4: Water Pipe Diameters by Miles Installed [SPACE INTENTIONALLY LEFT BLANK] M L• • NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STU L ?Y Figure B- 5: Map of Water Mains Color -Coded by Pipe Diameter I- 0 3,000 6,000 12,000 Ft s Water Main by Diameter 0 -6" _..... 7 - 10" 11 - 14 15 -30" — 31 -78" City Boundary — RailRoads BLACK & VEATCH I Appendix B: Water CIP Prioritization P. r 1 =, 65B -95 >e City of Santa Ana, CA Water I Wastewater System Analysis - 2012 Water Distribution System Mains by Pipe Diameter BLACK &VEATCH Building a world of differences 83 84 WATER RATE STUDY I City of Santa Ana, CA Pipe Vintage The oldest pipes in the system appear to have been installed as early as 1906. Over 12 percent were installed prior to 1930. The majority of the system (about 76 percent) was installed in the 1950s through the 1980s. Pipe vintages (install decade) are listed in Table B - 1 below. Figure B - 6 also shows the amount of pipe installed each year as well as the cumulative totals. Figure B - 7 provides a map of water mains color coded by pipe install decade. This map depicts the historic growth of the City's water distribution system; starting in the main downtown area and generally expanding outward. Table B -1: Pipe Vintages by Install Decade M \• Z• NOVEMBER 2014 Pre 1930 292 1.36% 56,312 10.67 2.10% 1930s 191 0.89% 46,208 8.75 1.72% 1940s 394 1.83% 70,419 13.34 2.63% 19505 3,976 18.51% 418,267 78.22 15.60% 1960s 5,599 26.07% 749,510 141.95 27.95% 1970s 4,114 19.16% 539,623 102.20 20.13% 19805 2,697 12.56% 327,949 62.11 12.23% 19905 1,570 7.31% 224,573 42.53 8.38% 20006 1,592 7.41% 171,996 32.57 6.41% 2010s 918 4.27% 35,523 6.73 1.32% UNK 134 0.62% 40,781 7.72 1.52% Total 21,477 100.00% 2,681,161 507.50 100.00% M \• Z• NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Figure B - 6: Annual and Cumulative Miles of Installed Pipe by Year [SPACE INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix 3: Water CIP Prioritization P. ^c =s. 65B -97 600 ®Cum Miles —Miles 30 S00 25 v w a 400 -- -- 20 c-.. -.- d c 2300 15 E 200 10 e � u a 100 5 0 0 C W N 4p Ot N I� O V n O M b M N vl W ti V N O ?� O N N N M M V C V N vl Vf of b b t0 N N N CO CO W O] 01 Ot O O O rl o m m m m m m m m m m m m m m rn m m m m m m m m m m m 0 0 M o 0 Y C Install Year [SPACE INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix 3: Water CIP Prioritization P. ^c =s. 65B -97 86 Figure B - 7: Map of Water Mains Color -Coded by Pipe Install Decade F 0 WATER RATE STUDY I City of Santa Ana, CA 3,000 6,000 12,000 Ft s I Water Main by Decade City of Santa Ana, CA — Unknown Water / Wastewater — Pre 1930 System Analysis - 2012 -- 1930s 1940s 1960s -- 1960s tlll — 1970s — 1980s - --.«- - 1990s — 2000 and later 7j City Boundary Water Distribution System RailR °ads Mains by Install Decade ©BLACK &VEATCH Building a World of difference! M \• •• NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Total Pipe Installed by Decade and Material Based on Table B - 2 and Figure B - 8 below, the majority of the water distribution system is Cast Iron pipe (38 percent) and Asbestos Cement (36 percent). Cast Iron pipe is also predominately the older pipes. Table B- 2: Water Mains Listed by Install Decade and Pipe Material Decade AC cl CMLC CYL DI PVC STL UNK Total )Ft) % 1930 Pre 480 55,833 56,313 2.1% 1930s 5,953 40,202 52 46,207 1.7% 1940s 1,538 68,274 607 70,419 2.6% 1950s 66,077 318,982 4,756 23,316 5,136 418,266 15.6% 1960s 139,460 521,645 6,474 72,012 35 9,882 749,508 28.0% 19706 506,177 20,814 56 4,468 8,111 539,624 20.1% 1980s 246,571 226 33,122 35,901 11,552 576 327,948 12.2% 19905 2,694 9,254 47 102,358 110,221 224,574 8.4% 2000s 118 7,081 164,630 167 171,996 6.4% 2010s 1,586 33,936 35,522 1.3% UNK 4,986 3,673 30,694 24 249 302 853 40,781 1.5% Total (Ft) 974,053 1,029,650 51,234 133,041 161,063 320,641 10,624 853 2,681,159 100.0% Miles 184.48 195.01 9.70 25.20 30.50 60.73 2.01 0.16 507.80 Percent 36.33% 38.40% 1.91% 4.96% 6.01% 11.96% 0.40% 0.03 °% 100.00% Figure B - 8: Water Mains by Install Decade and Pipe Material 600,000 ■ AC 500,000 w ■ CI m 400,000 ■ CMLC v v- 300,000 ■CYL ■ DI 200,000 ■ PVC c m J 100,000 ■ STL 0 ■ UNK 1930Pre 19305 1940s 1950s 1960s 1970s 1980s 1990s 2000s 2010s UNK BLACK & VEATCH I Appendix B: Water CIP Prioritization Pro-e , 87 65B -99 WATER RATE STUDY I City of Santa Ana, CA Total Pipe Installed by Diameter and Material Table B - 3 and Figure B - 9 indicates the distribution of pipe diameter and material Table B - 3: Water Mains Listed by Pipe Diameter and Material Size AC CI CMLC CYL DI PVC STL UNK Total (Ft) % 0 19 19 0.0% 2 1,601 1,601 0.1% 4 5,767 11,578 109 204 626 18,284 0.7% 6 347,741 457,862 1,558 57 6,713 26,655 840,586 31.4% 8 337,169 218,700 972 328 31,091 188,276 3 776,538 29.0% 10 40,728 12,331 93 1,797 54,949 2.0% 12 193,777 294,773 3,108 11,934 44,089 96,807 576 645,063 24.1% 14 23,665 11,438 630 8,900 9,566 1,830 56,029 2.1% 16 17,460 1,255 5,241 52,411 15,474 1,684 93,524 3.5% 18 6,455 15,407 1,636 4,593 10,825 1,388 40,305 1.5% 20 1,264 6,029 1,271 12,698 6,579 2,002 29,843 1.1% 24 275 3,766 10,476 35,033 167 49,717 1.9% 30 27 2,291 1,447 3,766 0.1% 36 30,652 7,413 38,065 1.4% 48 2,326 2,326 0.1% 54 20,439 20,439 0.8% 78 9,882 9,882 0.4% (blank) 223 223 0.0% Total (Ft) 974,053 1,029,650 51,234 133,041 161,063 320,641 10,624 853 2,681,159 100% Miles 184.48 195.01 9.70 25.20 30.50 60.73 2.01 0.16 507.80 Percent 36.33% 38.40% 1.91% 4.96% 6.01% 11.96% 0.40% 0.03% 100.00% NOVEMBER 2014 65B -100 City of Santa Ana, CA I WATER RATE STUDY Figure B - 9: Water Mains by Mipe Diameter and material Water Main Break Statistics Water Break Data According to the City's GIS database, there are almost 400 break (Leak) records added to the database since 1990. These records are tied to a street address or street intersection only. Therefore, no direct reference to specific water facilities is provided. To identify which pipe segment the break occurred on, a GIS -based spatial analysis was performed. This process identified the closest water pipe to each break symbol. The distance between the break and pipe was also measured. If this distance was minimal, it was considered a valid match. Validation checks were also used to identify match success based on pipe and break record attributes. However, many break record attributes were missing or likely inaccurate. For example, for some records the pipe material listed for the broken pipe was more likely the material used in the repair. Therefore, many break records could not be used in the pipe condition analysis. In total 290 main line breaks were usable, over the period of 1990 to 3/2012. Of these, 12 breaks were on abandoned pipes. Note, slight variations in break totals are listed in the following sections due to availability of source data attributes. The relatively small sample size limits the statistical significance of the analysis and trending that can be undertaken using these data. However, general trends and problem areas can still be identified. These results and assumptions should be revisited over time to further refine and validate the conclusions. This will require a condition assessment plan to be put in place which involves the targeting and collection of condition data at specific locations and within particular 'cohorts' of interest as well as opportunistic collection and analysis of samples of failed pipe collected both during operational incidents and proactive pipe rehabilitation /replacement activities. Changes in the data attributes to be collected are also recommended. BLACK & VEATCH I Appendix 8: water CIP Prioritia?t'.:;, rr-=e;-. 89 65B -101 m WATER RATE STUDY I City of Santa Ana, CA Number of Breaks by Decade Pipe Installed and Material Table B - 4 and Figure B - 10 indicates the total number of breaks repaired (not necessarily reported) since 1990 on mains installed during each decade. These are listed by the material of the associated main. Table B - 4: Water Main Breaks by Pipe Install Decade and Material Decade AC cl CMLC CYL DI PVC Total .Percent !. m 1930 Pre 16 16 5.61% 1930s 3 11 14 4.91% 1940s 16 16 5.61% 19506 8 65 1 74 25.96% 1960s 9 84 1 94 32.98% 1970s 24 3 1 2 30 10.53% 19805 11 16 4 31 10.88% 19906 1 1 3 5 1.75% 2000s 1 1 0.35% UNK 1 3 4 1.40% .Total s5 196 _4 3; 19. 8 285 100.00% Fimve R - in. Water Main Breaks by Pine Install Decade and Material Figure B - 11 provides a map depicting the same map as above (showing the installation decade of mains), but with the addition of main line break locations color coded by the installation decade of mains. 65B -102 NOVEMBER 2014 City of Santa Ana, CAI WAT£R RATE STUDY Figure B - 11: Map Showing the Distribution of Water Mains and Breaks based on Pipe Installation Decade IP 0 ITT 0 3,000 6,000 12,000 Ft Breaks by Pipe Decade Water Main by Decade O LINK — Unknown • Pre 1930 — Pre 1930 • 19305 — 19305 O 1940s 1940s O 19505 19505 O 19605 19605 ® 1970s - — 1970s a 19805 °— 19805 O 19905 — 19905 • 2000s — 2000 and later - -?, City Boundary -- RailRoads BLACK & VEATCH I Appendix B, Water CIP Prioritization Process 65B -103 F5 >E City of Santa Ana, CA Water I Wastewater System Analysis - 2012 tY Water Distribution System Breaks by Pipe Install Decad BLACK &VEATCH Building a World otdifferencer 91 92 WATER RATE STUDY I City of Santa Ana, CA Similar maps were created to show the relation of main breaks to main pipe materials (see Figure B - 12 through B -14. The first map shows all main breaks over the entire distribution network. Subsequent maps show only breaks and mains for Asbestos Concrete or Cast Iron main material types. These maps were created to help identify any spatial trends that might help explain pipe break concentrations. [SPACE INTENTIONALLY LEFT BLANK] 65B -104 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Figure B - 12: Map Showing Water Mains and Breaks based on Pipe Material (All Pipe Materials) r 0 3,000 6,000 12,000 Ft s Breaks by Pipe Material Water Main by Material • Asbestos Concrete — Asbestos Concrete f Cast Iron — CML &C © CMLC — Cast Iron • Cylinder — Cylinder B Ductll Iron — Duchl Iron • Polyvinyl Chloride — Polyvinyl Chloride • Unknown — Steel — Unknown I =; City Boundary — RailRoads BLACK & VEATCH I Appendix B: Water CIP Prioritization P .-oces 65B -105 >_ e City of Santa Ana, CA Water I Wastewater System Analysis - 2012 Al Water Distribution System Breaks by Pipe Material-All BLACK &VEATCH Building a world of difference.- WATER RATE STUDY I City of Santa Ana, CA Figure B - 13: Map Showing Water Mains and Breaks based on Pipe Material (Asbestos Concrete only) r- 0 3,000 6,000 12,000 Ft 5 Breaks by Pipe Material Water Main by Material ® Asbestos Concrete — Asbestos Concrete — CMLBC — Cast Iron — Cylinder — Ductil Iron — Polyvinyl Chloride — Steel — Unknown L �I City Boundary — RailRoads 94 65B -106 ,F City of Santa Ana, CA Water I Wastewater System Analysis - 2012 nA I Water Distribution System Breaks by Pipe Material -AC BLACK &VEATCH Building a World of diRerencv NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Figure B - 14: Map Showing Water Mains and Breaks based on Pipe Material (Cast Iron only(. F 0 3,000 6,000 12,000 Ft S Breaks by Pipe Material Water Main by Material • Cl — Asbestos Concrete -- CML &C Cast Iron -- Cylinder — Ductil Iron — Polyvinyl Chloride Steel -- Unknown I'i City Boundary RailRoads BLACK& VEATCH I Appendix B'. Water OP Prioritizatw— P r') ,", 65B -107 I City of Santa Ana, CA Water I Wastewater System Analysis - 2012 (pf\ Water Distribution System Breaks by Pipe Material -CI BLACK &VEATCH Building aworld of difference' 9F it WATER RATE STUDY I City of Santa Ana, CA Number of Breaks per Mile by Decade Pipe Installed and Material To better understand the trends in break history, one must also consider the growth of the system over time - not just the distribution of breaks. Table B - 5 and Figure B- 15 below charts the number of total breaks per mile by decade pipe was installed and by material. These graphics show that almost 68 percent of the breaks have occurred in Cast Iron pipe, 19 percent in Asbestos Cement and 7 percent in Ductile Iron. Also, 58 percent of the breaks have occurred in pipe installed in the 1950 -6Os. However, only 43 percent of all pipes were installed during these two decades. The GIS break records do not include any indication of the causes of breaks. City staff has indicated that most breaks are not due to third -party (excavation) causes. Therefore, it is concluded that the breaks are predominantly caused by material deterioration, defects, and /or construction methods. Table B - 5: Number of Breaks per Mile by Decade Pipe Installed and Material Decade AC CI CMLC CYL DI PVC STL UNK,"�' bfitjXtl. 1930 Pre 0.00 1.51 0.00 0.00 0.00 0.00 0.00 0.00 1.50 1930s 2.66 1.44 0.00 0.00 0.00 0.00 0.00 0.00 1.60 1940s 0.00 1.24 0.00 0.00 0.00 0.00 0.00 0.00 1.20 1950s 0.64 1.08 0.00 0.23 0.00 0.00 0.00 0.00 0.93 1960s 0.34 0.85 0.00 0.07 0.00 0.00 0.00 0.00 0.66 1970s 0.25 0.76 0.00 1.18 1.30 0.00 0.00 0.00 0.29 1980s 0.24 0.00 0.00 0.00 2.35 1.83 0.00 0.00 0.50 1990s 0.00 0.00 0.57 0.00 0.05 0.14 0.00 0.00 0.12 2000s 0.00 0.00 0.00 0.00 0.00 0.03 0.00 0.00 0.03 2010s 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Total 0:30. - 1.01 0.41 0.12 0.62 0.20 0.00 0.00 0.57 Figure B -15: Number of Breaks per Mile by Decade Pipe Installed and Material 65B -108 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY These results support the conclusion that the Cast Iron pipe failure rate is most likely age related. Pre - 1930s pipe has an average failure rate of 1.5 breaks per mile; whereas the failure rate decreases lineally through to the 1970s pipe which has a failure rate of 0.75 breaks /mile. Early Asbestos Cement pipe is also showing significant break rates and again a broadly linear pattern which seems to be age related. Fortunately, the bulk of the Asbestos Cement pipe was not installed until the 1970s. Likewise 1970s and 80s vintage Ductile Iron pipe shows a significantly high break rate. This cohort warrants further investigation as pipes of this vintage and material would not be expected to have significant failure rates. No obvious correlations with clay soils which could cause aggressive conditions and accelerated corrosion were found. Any planned condition assessment or opportunistic pipe condition sample collection and analysis should concentrate on this cohort of pipes. Operational conditions in these areas should also be assessed in more detail. Another unexpectedly high failure rate was observed in the 1980s PVC pipes. However, on further investigation it was determined that this anomaly was actually four breaks on the same pipe segment; three on the same day. Also, the "PVC' break records are of lower reliability as some records may reflect the replacement pipe material, not the original failed pipe material. Number of Breaks by Pipe Diameter and Material Table B- 6 and Figure B - 16 indicates the total number of breaks repaired since 1990 on pipe of various diameters. These are listed by the material of the associated main. The break -to -main relationship was established using the same process as described above. Table B- 6: Number of Breaks by Pipe Diameter and Material Diameter AC CI CMLC CYL DI PVC Total Percent 4 2 7 9 3.11% 6 26 117 2 145 50.17% 8 18 50 9 6 83 28.72% 10 1 3 4 1.38% 12 7 18 5 4 34 11.76% 14 1 1 2 0.69% 16 1 1 1 4 7 2.42% 18 1 1 0.35% 20 1 1 0.35% 36 3 3 1.04% Total 55 196 4 3 19 12 289 100.00% BLACK & VEATCH I Appendix B: water CIP Prioritization Q-, 65B -109 97 98 WATER RATE STUDY ] City of Santa Ana, CA Figure B - 17 provides a map depicting the same map as above (showing the diameter of mains), but with the addition of break locations color coded by main diameter. [SPACE INTENTIONALLY LEFT BLANK] 65B -110 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Figure B - 17: Map Showing the Distribution of Water Mains and Breaks based on Main Diameter = �7 A; ° o 0 0 sot 7 i ° 80 00 ° o8 oco 0 go to 1 00 0 CD 0 1 °o mO o ° o° o O ° 0 0 °k 1�1 -t,� , 0 0 I ° 0 ° $ ®o ,0 0 Ot$ o o D0 0° o o o ° $ o O L 7 �ODO 9 aP 0 ° �0 o 0 ¢� -0 ° ° C III D o� \r ,' 00 0 a , I r \ o C%QO o 0 0 8 o `. o� 0 0 °,R� o m 001po PO 0 00 0 0 0 6 - I ° 0 0 ,.,0 0 0 o r ° o ° X80 N _ uL 6�- 0 3,000 6,000 12,000 Ft a Breaks by Pipe Diameter Water Main by Diameter City of Santa Ana, CA 0 4;6 0 -6° Water I Wastewater O 8: 10 _— 7-10" 0 12;14 11 - 14° System Analysis - 2012 O 16; 18: 20; 24 15 - 30" • 36 — 31-78" ` City Boundary Ali — RailRoads Water Distribution System Breaks by Pipe Diameter BLACK &VEATCH Building a world 0 difference: BLACK & VEATCH I Appendix B: Water CIP Prioritization Process 99 65B -111 rr WATER RATE STUDY I City of Santa Ana, CA Number of Breaks per Mile of Pipe by Diameter and Material Break frequency was also reviewed against pipe diameter and material. Table B - 7 and Figure B - 18 present the results. Although 4 inch pipe represents less than 1 percent of the system, it exhibited the highest break per mile frequency. In general the larger the pipe, the less break frequency was observed. This is as expected as the standards for these pipes are different than for larger pipes and these tend to be sallower and in high traffic areas. Other than this, there appears to be no significant trends based on pipe size and material. Table B - 7: Number of Breaks per Mile of Pipe by Diameter and Material Diameter AC Cl CM LC CYL DI PVC STL UNK Total '.. 4 1.83 3.19 0.00 0.00 0.00 0.00 0.00 0.00 2.60 6 0.39 1.35 0.00 0.00 0.00 0.40 0.00 0.00 0.91 8 0.28 1.21 0.00 0.00 1.53 0.17 0.00 0.00 0.56 10 0.13 1.28 0.00 0.00 0.00 0.00 0.00 0.00 0.38 12 0.19 0.32 0.00 0.00 0.60 0.22 0.00 0.00 0.28 14 0.00 0.46 0.00 0.59 0.00 0.00 0.00 0.00 0.19 16 0.30 0.00 1.01 0.10 1.36 0.00 0.00 0.00 0.40 18 0.00 0.00 0.00 0.00 0.49 0.00 0.00 0.00 0.13 20 0.00 0.00 0.00 0.42 0.00 0.00 0.00 0.00 0.18 24 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 30 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 36 0.00 0.00 0.52 0.00 0.00 0.00 0.00 0.00 0.42 ITgt�i 0.30 1.01 0.41 0.12 0.62 0.20 0.00 0.00 0.57 Figure B - 18: Number of Breaks per Mile of Pipe by Diameter and Material 65B -112 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Number of Breaks per Year per 100 Miles of Total Installed Pipe The City's water distribution system is a dynamic, evolving network. Pipes have been installed and /or replaced for the past century. However, the City only has break records since 1990. To understand the system -wide break history the following graph was generated (see Figure B - 19). It indicates the annual breaks per 100 miles of actual installed pipe as of that year. Overall the City's average annual water main break rate (since 1990) is 2.64 per 100 miles per year. This compares to a national average of 12 -14 breaks per 100 miles per year. The anomaly spike in the graph for 2010 is because the City's GIS database indicates that no mains were installed that year even though there were 47 breaks listed for 2010. Figure B -19: Number of Breaks per Year per 100 Miles of Installed Pipe Figure B - 20 provides a map depicting the location of breaks color coded by break year since 1990. BLACK & VEATCH ' Aonend'a: R_ VVat =_r CIP PnonYizafior Process 65B -113 102 WATER RATE STUDY I City of Santa Ana, CA Figure B - 20: Map Showing the Location of Breaks Color -coded by Break Year Since 1990 • too •• ® ® » • so goo • • it • • O • 69 I • ® o • • • o • ® • o • • o do 0 so 00 0 go ® % ®® 40 0 • �t 0 so • ® ®o t , -� • ®o • • • -- r=' :r - • 0 3,000 6.000 12,000 Ft s Break by Break Year Water Mains City of Santa Ana, CA • <Nuil> Water Mains Water I Wastewater • 1990-1994 City Boundary O 1995-1999 RailRoads System Analysis - 2012 • 2000-2004 • 2005 - 20091 • 2010-2012 MZ Water Distribution System Breaks by Break Year BLACK &VEATCH Building a world of difference.• 65B -114 NOVEMBER -11;14 City of Santa Ana, CA! J DY Number of Breaks per Main Segment Some pipe segments have had multiple (up to five) recorded breaks since 1990. City staff indicates that it is not uncommon to repair one main break and then have to return a week later for a repair a short distance away. This observation is important — either repairs are not being done well or the problems (operational; high pressure, water hammer, etc.) are transferring to the immediate proximity of a break as it is fixed. This would require a review of the water hammer and /or pressures (beyond the scope of this study). Another possibility is that the repair efforts could have caused additional strain on adjacent pipe causing it to fail; or that the leak was actually in multiple locations along the same pipe segment. Figure B - 21 provides a map showing water mains color coded by the number of breaks per main segment. [SPACE INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix B: Water CIP Prioritization P --; —;s, 65B -115 103 WATER RATE STUDY I City of Santa Ana, CA Figure B - 21: Map Showing Water Mains by the Number of Breaks per Segment r- 0 3,000 6,000 12,000 Ft s Breaks Per Main Segment ,Null, —1 2 3 4 5 - City Boundary — RailRoads 104 65B -116 �E City of Santa Ana, CA Water I Wastewater System Analysis - 2012 d Water Distribution System Breaks Per Main Segment BLACK &VEATCH Building a World of difference: 1061 41VA IAtwille City of Santa Ana, CA I WATER RATE STUDY Soils Analysis To evaluate likely impacts to pipeline deterioration due to soil conditions along the pipe facilities, soil data was downloaded from the US Department of Agriculture, National Resources Conservation Service (NRCS). Several soils characteristics were then reviewed to determine if they may be contributing factors to pipe failures and degradation. Although conclusive trends were not identified, key characteristics were reviewed and area depicted in Table B - 8 and on Figure B - 22. • Corrosion of Steel: since soils for almost the entire City has "high" Corrosion of Steel values, there was minimal spatial variation over the area. Thus, this factor was ignored. • Corrosion of Concrete: except for a small area to the south, the majority of soils for the City have "Low" Corrosion of Concrete values. Only a very small area has "High" values. No obvious relationship of this soil property to the main breaks was identified. Thus, this factor was ignored. • Linear Extensibility: general indicator of the soils' capacity to shrinking or swelling due to changing water content. • Drainage Class: general indicator of the soils' capacity to retain water. Table B - 8: Impacts on Breaks /Mile by Material AC 1930s Cl all by age Somewhat drained CMLC CVL 19706 DI 1970 -80s Somewhat drained PVC 19805 poorly C, D silt loam 7.5, 4.5 8.5, 8.2 Moderate silty clay loam poorly C, D silty clay loam 4.5 8.2 silt loam D clay 7.5 8.5 Moderate BLACK & VEATCH I Appendix B: Water CIP Pnorftiz�P.cr ?roc =" 65B -117 I()K. 106 tNATER RATE STUDY I City of Santa Ana, CA Figure B - 22: Several Maps Showing Selective Soil characteristics and Main Breaks by Main Material • ••° •s rs • • •.O •s ra e I• ..lr2� +O. � ° ••ire •O• ° a. 0 r1 • _•e_.my. e �1 al • •• 11 onto I�rll il _•a��e ____ _ _.._____. -... BtNMS Oy PIpa Ne1Ma14o11: COrtoslon of a" Liry of Santa Ana, CA Brxkf Oy PIpPINIwIe1COmNm 01COnC1•te Clry of Arab Ana, CA • p.yvm Cmwele .11i06 WatxlWasnewater • paMtlas C.—I. WalRfn War. l YJAVA—W • Casslran modand, Systml Analysis • Can Iran e; Modem Systam Analysis -2012 • CMLC � I.A. • Waaa Iran • CMLC Ina •PJW ^MCnwae • CyFeler '. Not rated or nin- isabl. it . LyyM•r " *B.1ramdri -cil —Ael. li�lf! • Wsdlmn City BOUNary Y • DWI— =O'EOUMary • PNVSyi CNrcias — Iiady-da • PormylCNmN. — ybBi0ada • e .e ra WaW Dlslel6ouon Sys[en WStsrO sim ult Sysbn Sall: C...I.n of Stall SNI: CA..ien N CA,.. WSW Distribution Syst.n SNI: Llnesr ExtmsWlliry I V // Y ei+y r 1l° 2• N I�TTTT -1 • • - T • Brob by Pip r61NY1 DNnapa Claw •_ a•1 .Ert— r— tym.imd WSW /W.S.w..r ••� fir ANA Som.nbt exmasrvsly aramen •2 2'• As, NAY arair. Cy6,N., wry wdara.ryweaaaansn , • Waaa Iran mSoin —Ins. poll an »W •PJW ^MCnwae .Fmrldr /ned I• • . than— Nolianoda t—olsble =CNBOUNary WOW DISMlmat SYSWA Y — RaMoads Sall: Onlna0a CAR. BLARcicalitipirli • e .e ra BrWR by Plp• Ma[Ma1LInur Extensibility Llty, Of Santa Ana. CA • Asian. C-1. LOw 10 -]I Watw l Wast•W..r • Union laL 6khral.a 61 Systxn Analysis -2012 e CMLC Ifyb 16 -81 • Cyrda, assavaty Niexls -6oi Dow1. ouotmaamnma ral.bie mW CMaga masSOUNatl ,, In • IPnMmr WSW Distribution Syst.n SNI: Llnesr ExtmsWlliry I V // Y ei+y r 1l° 2• N I�TTTT -1 • • - T • Brob by Pip r61NY1 DNnapa Claw City of $a Mrs Ana, CA • PsbaMe Co..,. .Ert— r— tym.imd WSW /W.S.w..r • Coarlmn ANA Som.nbt exmasrvsly aramen Systln Analysis 2012 CIALC As, NAY arair. Cy6,N., wry wdara.ryweaaaansn , • Waaa Iran mSoin —Ins. poll an »W •PJW ^MCnwae .Fmrldr /ned . than— Nolianoda t—olsble =CNBOUNary WOW DISMlmat SYSWA — RaMoads Sall: Onlna0a CAR. BLARcicalitipirli 65B -118 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Other Factors Other water distribution system factors are sometimes used for pipeline condition analysis if the data is available. These data sources may include the use of customer complaints for identifying areas of the system that may be deficient in water pressure or quality. Another data source may include results of hydraulic modeling analysis; again indicating possible capacity deficiencies, pressure / surge issues, or water quality indicators. These data sets were not available for this study. However, the City may decide to include these factors in future analysis efforts as their Asset Management system matures. Probability of Failure Analysis (PoF) The Probability of Failure (PoF) criteria (factors) are used to assess the likelihood that a particular asset will fail. This is done by considering the physical properties of the asset itself as well as its surrounding environment and /or operational history. Three criteria were used for evaluating the likelihood of failure of the City's water main segments. These criteria include Cohort Rank, Pipe Vintage (age), and Repeated Failures. The following section describes the approach taken to select and prioritize pipe segments for replacement or rehabilitation. This approach is based on identifying, from the analysis above, the factors which have the most tangible effects on pipe deterioration and assigning weightings to these factors to reflect their relative importance. Cohort Rank Some materials have been shown to be more prone to failure than others. Likewise, the older the asset is, typically the more likely it is to fail. Often it is the combination of these considerations that impacts the asset's life expectancy. By combining pipe material and vintage (installation year), groups of similarly performing pipes can be identified. These are considered pipe "cohorts." An evaluation of the City's pipe data on materials, age, breaks, etc. was performed to identify likely pipe cohorts. This evaluation included trends as observed in the source data and also general past performance knowledge of similar materials in similar environments. Not all pipe segment records in the GIS database provided complete or accurate date attributes. The City is encouraged to investigate further to identify these missing data. This might be accomplished by reviewing appropriate asbuilt drawings, or assuming attribute data based on neighborhood construction periods or adjacent pipe attributes. This effort was beyond the scope of this investigation. Once the missing data is identified, these pipe segments may likely acquire lower Cohort ranks. Based on a review of the GIS data, the Number of Breaks per Mile by Decade Pipe Installed and Material analysis appears to provide the best insight into grouping of similar pipe performance. The following pipe cohorts have been identified for this analysis and were assigned a priority PoF ranking: • Cohort 5, High PoF Score: 1970s / 1980s Ductile Iron Pipe and High Pressure 36" MWD Transmission Line • Cohort 4, Med -High PoF Score: Asbestos Cement Pipe installed before 1940 • Cohort 3, Med PoF Score: Cast Iron Pipe installed before 1960 • Cohort 2, Med -Low PoF Score: Cast Iron Pipe Installed after 1960 • Cohort 1, Low PoF Score: Asbestos Cement Pipe Installed after 1940 BLACK & VEATCH I Appendix B'. Water CIP Prioritization Prst r�ss 65B -119 107 108 WATER RATE STUDY I City of Santa Ana, CA • Cohort 0, Very Low PoF Score: All other pipe materials and installation years Note: The City has structural concerns with a high pressure 36" MWD transmission line. Therefore it was specifically assigned a high Cohort PoF score. Figure B - 23 shows these Cohorts, grouped by breaks per 100 miles per year, and they range from an average of 0.7 breaks per hundred miles per year in Cohort 0 to more than 9.5 breaks per hundred miles per year in Cohort 5. Again, this can be compared to a national average of 12 -14 breaks per 100 miles per year. Based on the Cohort groups as described above, more than 95 percent of the water distribution mains were in Cohort groups 0, 1, 2 and 3 as shown in Figure B - 24. Figure B - 24 provides a map of water mains color coded by Cohort Rank. The Cohort Rank results were included as 60 percent of the initial PoF Score. Figure B - 23: Breaks per 100 miles per Year by Cohort Group 65B -120 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Figure B - 24: Percentage of Water System Pipelines by Cohort Group Cohort 4 Cohort 5 0.4% 2.8% [SPACE INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix B: Water CIP Prioritization Process 65B -121 I()9 110 Figure B - 25: Map of Water Mains color-coded by Cohort Rank 17– 0 WATER RATE STUDY I City of Santa Ana, CA 3,000 6.000 12,000 Ft s I E Main by Cohort Rank City of Santa Ana, CA —0 Water / Wastewater — 1 —2 System Analysis - 2012 3 —4 —5 I= City Boundary 111TINry. MZ Railifoads 65B -122 Water Distribution System Mains by Cohort Rank 0 BLACK&VEATCH . Building a world of differencef NOVEMBER 2014 City of Santa Ana, CA I �1JATER RATE STUDY Pipe Vintage (Age) Although the Pipe Cohorts were the single most critical aspect of the PoF Score, it was important to also consider the age of a pipeline without regard for material. As shown in Figure B - 26 below — which displays the number of breaks per 100 miles per year since 1990 for water system pipelines installed in each decade — pipes installed prior to 1940 were shown to have more than 6 breaks per hundred miles per year. For pipes installed after 1940, the number of breaks per hundred miles per year steadily decreased based on installation year, from more than 4 for pipes installed in the 1950s to less than 1 for pipes installed in the 1990s and 2000s. Figure B - 26 provides a map of water mains highlighting those pipes that have not had CCTV inspections. Depending on the asset management strategy used, the City may want to target future inspections on those uninspected mains or on those mains having high -risk conditions. Performing repeated inspections every few years provides valuable insight into the rate of change. Figure B - 26: Water Pipeline Historical Break Rate by Installation Decade Because the age of the pipelines clearly plays an integral role in the overall probability of a failure occurring, pipeline installation year was included as 40 percent of the initial PoF Score. Pipe age considerations were assigned as follows: • Pipes installed before 1940 were assigned a score of 10 • Pipes installed in 1940 or after were assigned a decreasing linear score from 10 to 1 • 1970s and 1980s Ductile Pipe was considered 0 percent BLACK &VEATCH I Appendix8: Water CIP Prioritiza?lo,� P, -1 -',s 65B -123 111 112 WATER RATE STUDY I City of Santa Ana, CA Repeated Failures Finally, while the Pipeline Cohorts and Age make up the overall PoF data, City staff mentioned that in many instances, pipelines that have failed in the past have experienced multiple failures. Therefore, pipe segments that have had more than one recorded break since 1990 had their individual PoF score increased by 2. Pipes which have had one recorded break since 1990 had their PoF score increased by 1. Pipes with no recorded breaks since 1990 had their PoF Score determined solely by their Cohort and Age. Resulting PoF scores were limited to not exceed 10. Other PoF Considerations Several other physical properties and environmental conditions were considered for inclusion in this analysis. Some of them are addressed below. Although these factors were not actually used in the PoF prioritization analysis, they may someday provide useful information. Therefore, the City is encouraged to reevaluate these once their Asset Management system is more mature. • Mains by Diameter: There does not appear to be any obvious correlation of water pipe failure and pipe diameter. Therefore, this aspect was not considered for PoF calculations. • Depth of burial: Data not available. • Heavy street traffic: Data not available. • Operating Pressure: Hydraulic modeling data not available. • Soils: A high level review did not reveal any obvious correlation of high break concentrations for water pipe to key soil characteristics. However the City may want to further review these considerations in the future. Overall PoF Calculation To produce an overall PoF score for individual pipe segments, weighted scores for each of the contributing PoF criteria were added together. The resulting PoF scores are, by design, within the range of 0 to 10. For simplicity, the three PoF criteria were all assigned the same weighting (level of importance). By adjusting these weights other assessment scenarios could be created. Table B - 9 below provides a summary of the PoF criteria used in this analysis. [SPACE INTENTIONALLY LEFT BLANK] 65B -124 NOVEMBER 7014 City of Santa Ana, CA I WATER RATE STUDY Table B - 9: Summary of PoF Criteria used in this Analysis PoF Criteria Weight Comment Strategy / Assumption Cohort Rank (0- 60% Assigned values 0 -5 Cohort 5, High PoF Score: 1970s / 1980s Ductile Iron Pipe and High 5 values) range, multiply by 2 Pressure 36" MWD Transmission Line to get values 0 to 10 Cohort 4, Med -High PoF Score: Asbestos Cement Pipe installed before 1940 Cohort 3, Med PoF Score: Cast Iron Pipe installed before 1960 Cohort 2, Med -Low PoF Score: Cast Iron Pipe Installed after 1960 Cohort 1, Low PoF Score: Asbestos Cement Pipe Installed after 1940 Cohort 0, Very Low PoF Score: All other pipe materials and installation years Pipe Vintage 40% Assigned values Pipes installed before 1940 were assigned a score of 10 (age) based on assumption Pipes installed in 1940 or after were assigned a decreasing linear score that older pipes are from 10 to 1 more likely to fail 1970s and 1980s Ductile Pipe was considered 0 percent Repeated n/a Additive: based on 2 or more previous failures: add 2 to final PoF score Failures assumption that if a 1 previous failure: add 1 to final PoF score pipe fails once, there is a higher probability Never failed: keep final PoF score that it will fail again Total (sum of 100% The resulting PoF above) I I scores are 0 to 10. By applying the weighting described above (60% Cohort Score, 40% Age, and 0% Failures) to each of the 21,477 active main pipeline segments in the Santa Ana Water System, a 0 to 10 PoF Score was calculated for each and the distribution is shown in Figure B - 27 below. Figure B - 28 provides a map of water mains color coded by total PoF score. BLACK & VEATCH I Appendix B: Water CIP Prioritization erocess 65B -125 113 WATER RATE STUDY I City of Santa Ana, CA Figure B - 27: Distribution of Water Pipeline PoF Scores [SPACE INTENTIONALLY LEFT BLANK] NOVEMBER 2014 65B -126 City of Santa Ana, CA I WATER RATE STUDY Figure B - 28: Map of Water Mains Color -coded by Total PoF Score I- 0 3,000 6,000 12,000 Ft Main by PoF Score >9 and 10 >8 and < =9 >7 and < =8 -- -- >6and< =7 — >5and< =6 <= 5 City Boundary RailRoads BLACK & VEATCH I ° ,� , 65B -127 3 City of Santa Ana, CA Water / Wastewater System Analysis • 2012 116 E Water Distribution System Mains by PoF Score BLACK &VEATCH Building a world of difference! L15 116 WATER RATE STUDY I City of Santa Ana, CA Consequence of Failure Analysis (CoF) In order to assess the criticality of each pipe segment for use in risk based prioritization, a set of criteria (rules) were required that reflect the relative importance of each pipe section in terms of delivery of levels of service (serviceability), economics and health and safety. A risk workshop was held with City staff on May 31, 2012 to identify likely criticality factors and their relative importance. Although several possible criteria were suggested, some could not be used due to lack of sufficient source data or were beyond the scope of this study. In a process similar to the PoF analysis, criteria for the Consequence of Failure (CoF) were then identified and evaluated. These criteria are described below. Pipe Diameter Primarily, the consequence of any given pipeline failing is related to the number of customers which are directly served, the impact of that pipeline on the overall hydraulics of the system and the impact of that main break from a safety standpoint. Without a hydraulic model to assess the hydraulic criticality of each pipeline, the most effective proxy available in the existing data is simply pipe diameter. The assumption used is that the consequence of a larger main failing is more significant than that of a smaller main, plus the repair cost will likely be greater. Pipe diameter was used as 100 percent of the initial CoF score and defined as shown in Figure B - 29 below. Figure B - 29: Water System Pipelines CoF Scores by Diameter Critical Customer Impacts In addition to the diameter of each main, the proximity of each main segment to critical customers (such as hospitals, schools and government buildings) was also utilized in order to increase the initial CoF Score. The concern here is for increased risk due to possible environmental and inconvenience to nearby critical customers. The City provided tabular lists of critical customer locations. These sites were geocoded by address data (if available) to identify the customer's location on a map. Using GIS spatial processes, all mains within a 300 foot radius of each critical site was tagged. A count of nearby sites was then tabulated for each main segment. Note, other methods could be used to identify the impact of nearby critical customers. However, based on the source data available, this approach was the most logical. The initial CoF Score (diameter) was then adjusted as follows: 65B -128 NOVEMBER 2014 City of Santa Ana, CA WATER RATE STUDY • Two critical customers within 300 feet of pipe: Increase CoF by 2. • One critical customer within 300 feet of pipe: Increase CoF by 1. • No critical customers within 300 feet of pipe: CoF is based solely on diameter score. • Total CoF score not to exceed 10. Other CoF Criteria Other CoF criteria have been used in assessments like this: such as proximity to major roads, water intake sources, industry / business; public health and safety concerns; reputational damage; or other financial impacts. Several of these were discussed at a risk workshop with the City. However, due to limited source data available and /or schedule, these additional considerations were outside the scope of this assessment. The City should consider addressing these in future assessments. • Major Customers: The City indicated the desire to give higher consideration to top water consumers. However, a reliable list of top 20 consumers was not available. A partial list was considered for use. However, without hydraulic modeling support, only the closest pipe to each top customer would have received a higher score. In reality, numerous pipes should receive higher risk scores based on the hydraulic impact caused by a possible pipe failure along any given pipe segment. Therefore, this criterion was not used. • Proximity to Pumping Station: The concern here is that a failure along one of the primary network feeder pipelines (i.e., near pumping stations) would cause a major impact to the distribution system's ability to supply adequate water and /or pressure. As in the previous topic, this would also require hydraulic modeling support to correctly identify the most critical pipe segments. However, as a reasonable alternative, pipe diameter could be considered. This assumes that larger pipes are more important (not necessarily the closest to the pump stations) and should receive the higher risk ratings. Since this factor was already considered in the CoF analysis, it was not repeated here. • Customer Impacts: The City suggested that a cumulative count of water services associated to each main segment might identify more "important" facilities. To be accurate, hydraulic modeling support would be needed. The other approach would be to consider only the most immediate pipe segments. However, since service lines are mostly on the smaller diameter pipes, the importance of the larger mains would be lowered —thus canceling out the other criteria. Therefore, this criterion was not used. • Proximity to major roads, railroads, industry / business, easements: This assumes that access will be more difficult in some locations and that potential damage impacts would potentially be greater — thus more costly. Identification of key sites (Central Business District, Mall, Civic Center Plaza, and easements), major roads and railroads was considered. However, other than roads and railroads, this source data was unavailable within the schedule. • Depth of Burial: Do not currently have this data — future capability. Overall CoF Calculation To produce an overall CoF score for individual pipe segments, weighted scores for each of the contributing CoF criteria were added together. The resulting CoF scores are, by design, within the range of 0 to 10. Because the Proximity to Critical Customers criteria was considered to be less important than the other two criteria, it received a lower weighting. Therefore, the Pipe Diameter criteria was weighted at 100% and the Critical Customer count was weighted at 0 %. By adjusting these weights other assessment scenarios could be created. Table B - 10 below provides a summary of the CoF criteria used in this analysis. BLACK & VEATCH I Appendix B: Water CIP Prioritization Prn_es- 65B -129 117 lis WATER RATE STUDY I City of Santa Ana, CA Table B -10: Summary of CoF Criteria used in this Study By applying the weighting described above (100% Diameter, 0% Critical Locations) to each of the 21,477 active main pipeline segments in the Santa Ana Water System, a 1 to 10 CoF Score was calculated for each, with the distribution shown in Figure B - 30. Figure B - 31 provides a map of water mains color coded by total CoF score. Figure B - 30: Distribution of Water Pipeline CoF Scores 65B -130 NOVEMBER 2014 Pipe Diameter 100% Assigned values 0 -10 = <4" assigned score of 0 16" assigned score of 6 range 6" assigned score of 1 18" assigned score of 7 8" assigned score of 2 20" assigned score of 8 10" assigned score of 3 24 - 30" assigned score of 9 12" assigned score of 4 36 -78" assigned score of 10 14" assigned score of S Critical n/a Additive: based on 2 critical customers within 300 feet of pipe: Increase CoF by 2 Customer assumption that 1 critical customer within 300 feet of pipe: Increase CoF by 1 Impact No critical customers within 300 feet of pipe: CoF is based solely on diameter score Total (sum of 100% The resulting CoF Total CoF score not to exceed 10 above) scores are 0 to 10. By applying the weighting described above (100% Diameter, 0% Critical Locations) to each of the 21,477 active main pipeline segments in the Santa Ana Water System, a 1 to 10 CoF Score was calculated for each, with the distribution shown in Figure B - 30. Figure B - 31 provides a map of water mains color coded by total CoF score. Figure B - 30: Distribution of Water Pipeline CoF Scores 65B -130 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Figure B - 31: Map of Water Mains Color -coded by CoF Scores U _i �? N W I L E 0 3,000 6,000 12,000 Ft s Main by CoF Score City of Santa Ana, CA 70 Water I Wastewater s 6 System Analysis - 2012 <. s ,'>d City Boundary RailRoads Water Distribution System Mains by CoF Score 0 BLACK &VEATCH Lill Building a world of difference: BLACK & VEATCH I Appendix 8: Water OP Prioritization r'- 119 65B -131 120 ViA PE R RATE 5 FU D i I City of Santa Ana, CA Business Risk Exposure (BRE) The overall Business Risk Exposure (BRE) was then calculated for each asset. The BRE score is a product of the PoF times the CoF scores. This score is an informative indicator of facilities that will likely require higher levels of attention; in the form of proactive replacement and /or targeted inspection monitoring. It is typically based on a 1 to 100 scale metric. Figure B - 32 provides a distribution of Water Pipeline BRE Scores. Figure B- 32: Distribution of Water Pipeline BRE Scores Figure B - 33 provides a "heat map' graph showing the resulting distribution of PoF vs. CoF scores by miles of main. Combined, these represent the BRE score. Higher probability of failure assets are plotted near the right. Higher consequences of failure assets are plotted near to the top. Figure B - 34 provides a map of water mains color coded by total BRE score. A partial table of water main pipeline segments ranked by BRE score is included in the Replacement Prioritization section below. 65B -132 NOVEMBER 2014 City of Santa Ana, CAI i ::. 3 f U ur Figure B- 33: Water System BRE Heat Map Graphic by Miles of Main Probability of Failure 1 2 3 4 5 6 7 8 9 10 10 0.3 -, i! 11.7 2.1 5.8 4J -� L 9 0.1 1.9 23 3 •� 8 0.5 1.4 2.7 j� 0. 2.3 M 4- 7 0.1 1.3 2.7 2.8 1.4 1.5 O 4) 6 2.8 7.5 4.2 1.1 W J2.2 5 2.9 1.0 8.3 1.3 7.4 5.4 1.7 4 9.2 5.8 27.9 3.4 - 22.4 10.7 6.0 C 3 2.3 1.4 2.1 12.0 0.6 2.7 1.7 2.3 O V 2 21.6 14.1 8.5 j..2 7.2 19.9 10.6 6.5 1.9 2.7 1 1.0 3.5 5.4 _ A.5 14.5 32. 27.9 15.9 2.4 1.8 Miles Total Miles: 507.8 Most of the pipe segments that fell into the upper right most corner cell were the 36 inch high pressure MWD transmission main that the City already had concerns about. These assets had PoF and CoF scores of 10 each; with a combined BRIE score of 100. [SPACE INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix B: Water OF Prioritization Proses t 21 65B -133 122 Figure B - 34: Map of Water Mains Color -coded by BRE Scores r- 0 WATER RATE STUDY i City of Santa Ana, CA 3,000 6,000 12,000 Ft 5 aE Main by BRE Score City of Santa Ana, CA — 180 and <= 100 Water I Wastewater —>70 and 80 System Analysis - 2012 > 60 and <= 70 >50 and 60 — >40 and 50 — >30 and < =40 — > 20 and <= 30 <= 20 -- ---_ i. City Boundary RailRoads Water Distribution System Mains by BRE Score 0 BLACK &VEATCH Building a world or dirrerencv 65B -134 NOVEMBER %0?? City of Santa Ana, CA I WATER RATE STUDY Appendix C: Replacement Cost Calculation — All Assets within City Service Area BLACK & VEATCH i Appendix C Replacement Cost Calculation - All Assets svithin City Service Area 123 65B -135 124 WATER RATE STUDY I City of Santa Ana, CA INTRODUCTION The final step in this assessment process is to calculate the overall inspection and replacement cost for each asset. The inspection costs were calculated at $150,000 per mile for all pipe diameters. Average facility replacement cost look -up tables were used to determine overall budgetary estimates and schedules (see Table C - 1 below). Construction cost (2012 dollars) values were based on an informal survey of Southern California utilities in recent years, and inspection costs were based on estimates from nation -wide projects. Specific cost estimates based on experience in Santa Ana were not available at the time of printing. Replacement costs were not specific to pipe material, and replacement was assumed to be the same diameter. Pipe segments with a diameter of 0 or unknown were replaced with a 6 inch pipe. Costs also assume basic construction practices, including imported sand bedding and backfill, compaction, pavement removal, hauling, shoring, trench excavation, testing and disinfection. Table C -1: Water Pipe Replacement Costs (2012 dollars) 2 $282.72 18 $435.57 4 $301.82 20 $454.68 6 $320.93 24 $492.89 8 $340.04 30 $550.21 10 $359.14 36 $607.53 12 $378.25 48 $722.17 14 $397.36 54 $779.49 16 $416.46 78. $1,008.77 Figure C - 1 shows the distribution of BRE scores (across the bottom) against the total estimated replacement costs. The cumulative replacement cost line is also provided. It must be emphasized that BRE scores calculated in this study were based on relative values and do not represent an absolute level of risk. As such, it is not possible to quantitatively determine an acceptable BRE target. As the City collects additional condition and failure information, further investigation is recommended to better characterize the risk relationship and define appropriate targets. 65B -136 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY Figure C - 1: BRE Scores and Costs for Water Distribution System A variation of the previous heat map graphic is provided in Figure C- 2. This version is based on cost rather than pipe length. [SPACE INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix C: Replacement Cost Calculation —Al I Assets within City Service Area 125 65B -137 126 WATER RATE STUDY I City of Santa Ana, CA Figure C- 2: BRE Heat Map Graphic by Main Replacement cost (2012 dollars) O) L LL 4- O 4J U i GJ Cr O H O V 1 10 $0.8 9 $0.3 8 $1.2 7 $0.3 6 $1.1 5 $4.3 Probability of Failure 2 3 4 5 6 7 8 9 10 4 $20.9 $18.5 $11.7 $55.7 $6.7 $44.8 $21.3 $12.0 3 i $4.1 ( $2.5 1 $3.9 $22.0 $1.2 $4.8 $3.1 $4.2 $0.9 $5.4 $0.9 $0.9 2 $38.7 $25.2 $15.3 $91.4 $12.8 $35.5 $18.9 $11.5 $3.4 $4.9 1 $1.7 $6.0 $9.2 $753 $24.5 $54.3 $47.4 $26.8 $4.0 $3.0 Millions of Dollars Total Cost: $973.2 WATER DISTRIBUTION SYSTEM R &R PRIORITIZATION Up to this point the analysis focused on assessing the likely condition of the water distribution system mains based on available source data. PoF and CoF scores were combined into an overall risk score for each pipe segment. Using these results the study then took on a different focus; that of prioritizing pipe inspections and /or replacements and grouping those pipe segments into probable R &R projects. These steps include: • BRE Replacement Prioritization: each pipe segment ranked from highest to lowest risk and assigned a full replacement cost estimate. It gives equal consideration for both PoF and CoF factors. Although useful information, this listing is generally not used for actual replacement planning or budgeting. • R &R Strategy Groups and CIP Budgeting: pipe segments assigned to various inspection and /or replacement strategies applied to address differing risk considerations. Based on the suggested R &R activity for each strategy group, annual inspection and replacement budgets were developed. These results are sufficient for general budgetary planning. However, since prioritized pipe segments may be highly segmented and scattered across the service area, this summery is only partially useful for detailed planning. Adjusting the assumptions made here can create a variety of budgeting scenarios. 65B -138 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY • CIP Project Identification: individual CIP projects identified based on high -risk assets and /or assets that are in close proximity. Pipe segment identification, budgets and schedules often differ from the previous lists due to logical regrouping of assets. For example, it makes more sense to inspect or replace an entire continuous stretch of pipe even though the risk prioritization may have scheduled specific segments to have been done at different times. Therefore a single project will likely have segments with differing risk strategy group assignments. Note: risk prioritization and R &R replacement planning was based on existing data provided by the City. Although the source data is believed to be the best available it may not reflect current conditions of all facilities. Additionally, recent R &R activities may have already addressed some of the issues identified. Therefore, recommendations should be verified with current R &R records and /or pipe inspection prior to actual replacement. BRE REPLACEMENT PRIORITIZATION Using the results of the BRE analysis and replacement costing table, each water main pipe segment was ranked from highest to lowest risk and assigned a replacement cost estimate. A partial list (risk scores of 50 or higher) of water main pipeline segments ranked by BRE score is included in Table C - 2 below. This list includes the top 146 of the 21,477 total ranked records. Table C -2: Partial List of Water Main Pipe Segments Ranked by BRE Score Rank 1 Unique Pipe ID 4875 Material DI Size (in) 24 Year Installed 1970 Decade 1970s Length 0.07 Cohort 5 PoF 10.0 CoF 10.0 100.0 Estimated $190,577 2 11288 CMLC 36 0 UNK 0.77 5 10.0 10.0 100.0 $2,464,515 3 11296 CMLC 36 0 UNK 0.04 5 10.0 10.0 100.0 $133,496 4 11302 CMLC 36 0 UNK 0.22 5 10.0 10.0 100.0 $692,575 5 11308 CMLC 36 0 UNK 0.35 5 10.0 10.0 100.0 $1,130,456 6 11310 CMLC 36 0 UNK 0.01 5 10.0 10.0 100.0 $19,067 7 11326 CMLC 36 0 UNK 0.31 5 10.0 10.0 100.0 $986,112 8 11332 CMLC 36 0 UNK 0.41 5 10.0 10.0 100.0 $1,303,576 9 11337 CMLC 36 0 UNK 0.29 1 5 10.0 10.0 100.0 $930,778 10 11338 CMLC 36 0 UNK 0.33 5 10.0 1 10.0 100.0 $1,050,971 11 11339 CMLC 36 0 UNK 0.26 5 10.0 10.0 1 100.0 $818,127 12 11383 CMLC 36 0 UNK 0.30 5 10.0 10.0 100.0 $967,834 13 11401 CMLC 36 0 UNK 0.03 5 10.0 10.0 100.0 $93,426 14 11422 CMLC 36 0 UNK 0.37 5 10.0 10.0 100.0 $1,184,887 15 11423 CMLC 36 0 UNK 0.30 5 10.0 10.0 100.0 $970,724 16 11424 CMLC 36 0 UNK 0.11 5 10.0 10.0 100.0 $365,904 17 11425 CMLC 36 0 UNK 0.31 1 5 10.0 10.0 100.0 $997,434 18 11426 CMLC 36 0 UNK 0.35 5 10.0 10.0 100.0 $1,115,092 19 11427 CMLC 36 0 UNK 0.40 5 10.0 10.0 100.0 $1,271,689 20 11428 CMLC 36 0 UNK 0.10 5 10.0 10.0 100.0 $319,249 21 11444 CMLC 36 0 UNK 0.10 5 10.0 10.0 100.0 $318,859 22 11445 CMLC 36 0 UNK 0.08 5 10.0 10.0 100.0 $255,366 23 11446 CMLC 36 0 UNK 0.07 5 10.0 10.0 100.0 $224,415 24 11518 CMLC 36 0 UNK 0.25 5 10.0 10.0 100.0 $791,631 25 20333 CMLC 36 0 UNK 0.00 5 10.0 10.0 100.0 $7,989 BLACK & VEATCH i Appendix C: ',I! Assets within City Service Area 127 65B -139 128 WATER PATE STUDY I City of Santa Ana, CA Rank 26 Unique Pipe ID 28284 Material CMLC size (in) 36 Year Installed 0 Decade UNK Length (miles) 0.02 Cohort Rank 5 PoF Score 10.0 CoF Score 10.0 BRE 100.0 Estimated Cost 752,929 27 4676 DI 24 1970 1970s 0.00 5 10.0 9.0 90.0 $2,273 28 4677 DI 24 1970 1970s 0.00 5 10.0 9.0 90.0 $2,739 29 4684 DI 24 1970 19706 0.00 5 10.0 9.0 90.0 $4,667 30 4874 DI 24 1970 1970s 0.00 5 10.0 9.0 90.0 $778 31 20049 DI 24 1970 1970s 0.00 5 10.0 9.0 90.0 $67 32 6583 DI 20 1989 1980s 0.00 5 10.0 8.0 80.0 $1,167 33 6584 DI 20 1989 19806 0.12 1 5 10.0 8.0 80.0 $292,112 34 11300 DI 16 1988 19806 0.05 5 10.0 8.0 80.0 $114,882 35 11301 DI 16 1988 1980s 0.08 5 10.0 8.0 80.0 $168,012 36 12188 DI 16 1988 1980s 0.06 5 10.0 8.0 1 80.0 $139,008 37 4392 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $3,124 38 4682 DI 18 1970 1970s 0.11 5 10.0 7.0 70.0 $262,355 39 4683 DI 18 1970 1970s 0.13 5 10.0 7.0 70.0 $294,800 40 4393 DI 18 1970 1970s 0.05 5 10.0 7.0 70.0 $117,211 41 4394 DI 18 1970 1970s 0.27 5 10.0 7.0 70.0 $616,296 42 4598 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $2,787 43 11209 DI 18 1970 1970s 0.17 5 10.0 7.0 70.0 $398,641 44 11210 DI 18 1970 1970s 0.17 5 10.0 7.0 70.0 $382,005 45 11233 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $29,915 46 11234 DI 18 1970 1970s 0.13 5 10.0 7.0 70.0 $287,779 47 11235 DI 18 1970 1970s 0.00 5 10.0 1 7.0 70.0 $3,164 48 11306 DI 16 1988 19806 0.11 5 10.0 1 7.0 70.0 $240,656 49 12187 DI 16 1988 1980s 0.17 5 10.0 7.0 70.0 $369,752 50 21095 DI 16 1988 1980s 0.00 5 10.0 7.0 70.0 $5,385 51 20030 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $2,832 52 20038 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $16,826 53 20047 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $10,293 54 20065 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $3,017 55 21077 DI 16 1988 19806 0.00 5 10.0 7.0 70.0 $1,604 56 34190 DI 18 1970 19706 0.06 5 10.0 7.0 70.0 $128,966 57 34192 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $27,236 58 34194 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $14,269 59 34196 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $2,481 60 34198 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $13,853 61 34200 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $28,552 62 34202 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $19,656 63 34203 DI 18 1970 1970s 0.02 5 10.0 7.0 70.0 $51,389 64 5200 CI 20 1928 Pre 1930 0.08 3 7.6 9.0 68.4 $195,278 65 11127 CI 20 1906 Pre 1930 0.09 3 7.6 9.0 68.4 $225,069 66 11129 CI 20 1906 Pre 1930 0.07 3 7.6 9.0 68.4 $160,216 67 4856 CI 20 1956 19506 0.07 3 6.8 9.0 61.1 $164,013 68 5603 Cl 20 1920 Pre 1930 0.06 3 7.6 8.0 1 60.8 $141,695 69 5604 Cl 20 1920 Pre 1930 0.00 1 3 7.6 8.0 60.8 $8,395 70 5243 Cl 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $2,676 71 5244 CI 20 1928 Pre 1930 0.05 3 7.6 8.0 60.8 $128,445 72 5392 CI 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $2,769 73 5550 Cl 20 1928 Pre 1930 0.01 3 7.6 8.0 60.8 $16,963 74 5551 Cl 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $3,558 75 5552 1 CI 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $931 65B -140 NOVEMBER 2014 City of Santa Ana, CAI �NATE R RATE S 7U DY Rank 76 Unique Pipe ID 5553 Material CI size lin) 20 Year Installed 1928 Decade Pre 1930 (miles) 0.00 Rank 3 Score 7.6 Score 8.0 BRE 60.8 Cost 71,112 77 5599 CI 20 1920 Pre 1930 0.05 3 7.6 8.0 60.8 $120,178 78 5600 CI 20 1928 Pre 1930 0.04 3 7.6 8.0 60.8 $107,387 79 5601 CI 20 1928 Pre 1930 0.01 3 7.6 8.0 60.8 $16,475 80 5602 CI 20 1920 Pre 1930 0.06 3 7.6 8.0 60.8 $140,924 81 5921 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $3,301 82 5922 CI 20 1920 Pre 1930 0.13 3 7.6 8.0 60.8 $312,849 83 11125 CI 20 1920 Pre 1930 1 0.10 3 7.6 8.0 1 60.8 $251,192 84 11535 CI 18 1939 1930s 0.53 3 7.6 8.0 60.8 $1,224,650 85 11573 CI 18 1939 1930s 0.49 3 7.6 8.0 60.8 $1,130,092 86 11589 CI 18 1939 1930s 0.47 1 3 7.6 8.0 60.8 $1,084,106 87 13150 CI 20 1906 Pre 1930 0.06 3 7.6 8.0 60.8 $139,340 88 13152 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $4,651 89 13153 Cl 20 1920 Pre 1930 0.05 3 7.6 8.0 60.8 $129,504 90 13155 Cl 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $6,893 91 13158 Cl 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,539 92 13160 Cl 20 1920 Pre 1930 0.06 3 7.6 8.0 60.8 $142,078 93 13163 Cl 20 1906 Pre 1930 0.06 3 7.6 8.0 60.8 $133,936 94 19913 Cl 20 1928 Pre 1930 0.00 1 3 7.6 8.0 60.8 $1,652 95 19914 Cl 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $667 96 19975 Cl 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $6,758 97 19980 Cl 20 1928 Pre 1930 0.01 3 7.6 8.0 60.8 $18,671 98 19993 Cl 20 1906 Pre 1930 0.00 3 7.6 8.0 60.8 $8,659 99 20007 Cl 20 1906 Pre 1930 0.00 3 7.6 8.0 60.8 $4,307 100 20008 Cl 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,121 101 20009 Cl 20 1920 1 Pre 1930 0.00 3 7.6 8.0 60.8 $1,118 102 20010 Cl 20 1906 Pre 1930 0.00 3 7.6 8.0 60.8 $1,179 103 20020 CI 20 1920 Pre 1930 0.01 3 7.6 8.0 60.8 $31,678 104 20034 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,118 105 20035 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,121 106 4353 DI 16 1970 1970s 0.00 5 10.0 6.0 60.0 $2,946 107 4377 DI 16 1970 1970s 0.00 5 10.0 6.0 60.0 $373 108 7776 DI 16 1988 19806 0.01 5 10.0 6.0 60.0 $30,422 109 998 DI 16 1970 19706 0.01 5 10.0 6.0 60.0 $12,482 110 4305 DI 16 1970 1970s 0.01 5 10.0 6.0 60.0 $29,577 111 4306 DI 16 1970 1970s 0.00 5 10.0 6.0 60.0 $431 112 8943 DI 16 1988 19805 0.01 5 10.0 6.0 60.0 $24,441 113 11187 DI 16 1979 1970s 0.02 5 10.0 6.0 60.0 $53,560 114 11307 DI 16 1988 19805 0.12 5 10.0 6.0 60.0 $254,573 115 11482 DI 16 1988 1980s 0.00 5 10.0 6.0 60.0 $2,668 116 11483 DI 16 1988 1980s 0.01 5 10.0 6.0 60.0 $11,505 117 11484 DI 16 1988 19806 0.00 5 10.0 6.0 60.0 $1,351 118 11485 DI 16 1988 19806 0.02 1 5 1 10.0 6.0 60.0 $49,428 119 11486 DI 16 1988 1980s 0.00 5 10.0 6.0 60.0 $8,626 120 12186 DI 16 1988 19806 0.00 5 10.0 6.0 60.0 $837 121 21099 DI 16 1988 19806 0.00 5 10.0 6.0 60.0 $1,509 122 21747 DI 16 1970 1970s 0.00 5 10.0 6.0 60.0 $6,123 123 38192 CI 18 1954 19506 0.01 3 6.9 8.0 55.1 $14,088 124 4855 CI 20 1956 1950s 0.00 3 6.8 8.0 54.3 $2,524 125 11536 CI 18 1939 1930s 0.44 3 7.6 7.0 53.2 $1,003,105 BLACK & VEATCH I Appendix C Replacemr rt Ce T.a;c 0 City Service Area 129 65B -141 130 WATER RATE STUDY I City of Santa Ana, CA Rank 126 Unique Pipe ID 11567 Material CI Size (in) 18 Year Installed 1939 Decade 19306 Length (miles) 0.07 Cohort Rank 3 PoF Score 7.6 CoF Score 7.0 BRE 53.2 Estimated Cost $165,359 127 11588 CI 18 1939 1930s 0.88 3 7.6 7.0 53.2 $2,025,202 128 4689 DI 12 1989 1980s 0.00 5 10.0 5.0 50.0 $4,467 129 4690 DI 12 1989 19806 0.02 5 10.0 5.0 50.0 $36,392 130 4694 DI 14 1982 19806 0.00 5 10.0 5.0 50.0 $9,883 131 4183 DI 12 1989 1980s 0.00 5 10.0 5.0 50.0 $636 132 4184 DI 12 1989 19806 0.03 5 10.0 5.0 50.0 $50,949 133 4845 DI 12 1989 1980s 0.12 5 10.0 5.0 50.0 $230,867 134 7128 DI 12 1988 19805 0.00 5 10.0 5.0 1 50.0 $1,271 135 7129 DI 12 1988 1 19806 0.00 1 5 10.0 5.0 50.0 $2,964 136 7130 1 DI 12 1988 1980s 0.08 5 10.0 5.0 50.0 $153,953 137 7863 DI 12 1987 1980s 0.00 5 10.0 5.0 50.0 $164 138 11392 DI 12 1989 1980s 0.02 5 10.0 5.0 50.0 $38,226 139 11393 DI 12 1989 1980s 0.03 5 10.0 5.0 50.0 $56,080 140 13145 DI 12 1987 19806 0.05 5 10.0 5.0 50.0 $91,806 141 19868 DI 12 1989 19806 0.00 5 10.0 5.0 50.0 $464 142 19992 DI 12 1989 1980s 0.00 5 10.0 5.0 50.0 $1,362 143 20025 DI 12 1988 19806 0.00 5 10.0 5.0 50.0 $1,441 144 37932 DI 12 1989 19806 0.02 5 10.0 5.0 50.0 $41,267 145 37816 DI 12 1989 19809 0.04 5 10.0 5.0 50.0 $83,702 146 37819 DI 12 1989 19806 0.00 5 10.0 5.0 50.0 $220 R &R STRATEGY GROUPS AND CIP BUDGETING The risk prioritization table just presented identifies pipe segments having the highest BRE score. Since this score is based on the product of PoF times CoF factors, it gives equal consideration for both factors. Typically, different R &R strategies are applied to address these two considerations. Based on the BRE heat map graphic results, the ranked assets were then grouped into logical R &R strategies. Figure C - 3 shows the same BRE heat map graphic as before, but color coded by strategy group. Figure C - 4 shows a map of the mains color -coded by Strategy Group (A -Z). Table C - 3 defines each of these groupings and provides additional summarizations and recommendations. 65B -142 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Figure C - 3: BRE Heat Map Graphic by Cost and R &R Strategy Groups Probability of Failure 1 2 3 4 5 6 7 8 9 10 10 L _3 9 M 8 U. 4- 7 O (1) 6 U c s 3 4 Cr 0) 3 H C 2 O U 1 $0.8 $37.6 $10.7 $0.1 $0.1 $0.0 $0.0 $0.0 $0.3 $4.9 $6.1 $0.2 $0.1 $0.0 $0.2 $0.6 $1.2 $3.4 $6.4 $0.4 $0.1 $0.0 $0.0 $5.3 7$0.0$0.5 $0.3 $3.0 $6.1 $6.4 $0.1 $0.0 $0.0 $3.2 $1.1 $6.0 $16.4 $9.2 $0.2 $2.3 $0.0 $0.9 $4.3 $6.0 $2.1 $16.9 $2.5 $14.8 $10.9 $3.4 $0.0 $0.8 $20.9 $18.5 $11.7 $55.7 $6.8 $44.8 $21.3 $12.0 $0.9 $5.4 $4.1 $2.5 $3.9 $22.0 $1.2 $4.8 $3.1 $4.2 $0.9 $0.9 $38.7 $25.2 $15.3 $91.4 $12.9 $35.5 $18.9 $11.5 $3.4 $4.9 $1.7 $6.0 $9.2 $75.3 $24.9 $54.3 $47.4 $26.8 $4.0 $3.0 Millions of Dollars [SPACE INTENTIONALLY LEFT BLANK] Total Cost: $973.8 BLACK & VEATCH I Appendix C Re placement "a'c=. :t -r All A srts within City Service Area 65B -143 131 Figure C - 4: Map of Mains Color -coded by Strategy Group (A -Z) r- 0 WATER RATE STUDY I City of Santa Ana, CA 3,000 6,000 12,000 Ft s Main by BRE Score $3A — Group $6A Group B '$ao ;'$ao $4a- Group C $aa Snfi $s-3 $33 Group D 9 -- Group LL e — Group F G 7 — Group G y 6 — GroupH C s Group �. $ea I. City Boundary 5a9 — RailRoads 1 al $6A O1 $71.9 $il V 1 132 Probability of Failure a 9 to $03 $3A $6.1 $6A $0.1 '$ao ;'$ao $4a- 1 sat, So. Sao $0.a $aa Snfi $s-3 $33 Saa $0.o $0.7 $3.3 $L1 $6.0 116A #.1 $9.2 $16.9 $0.2 $29 #Od #09 �O,U �. $ea $03 $6.a 5a9 $169 $11.7 $55.7 $6A WA $71.9 $il $5A I ;goe $0.1 #s $39 $72.0 $11 $0.6 $3a7 #SZ $15.3 $93A $119 $35s $1a.9 #7A +5w '.,. -.$9A ''... SL7 $6.0 $9.7 S753 #0.9 $903 Mni.Mooia. T.IlC $913.8 65B -144 sE City of Santa Ana, CA Water I Wastewater System Analysis - 2012 t Water Distribution System BRE Scoring by Grid 02 BLACK &VEATCH Building aworldofdiHere w NOVEMBER 2014 65B.145 wE \`- 2 [][ ;!! ;!| . tj !!! !i) !c 2 15 ;® t4 C t ]E ; ! \ ) _ _ ;i _) 29 u z: ! ■ § ! ! ; § ! § } \ / . ! # # ¥ R 4 # ; ..• : § § K « ■ ! ! , ! ! ® ® f/! JOE H-- 65B.145 134 WATER RATE STUDY I City of Santa Ana, CA GIS Improvement Opportunities Based on a high -level review of the City's GIS database for water and sewer facilities, several opportunities for possible improvement were noted. Suggested changes fall into several categories to identify and specify: • Database design changes to improve storage, tracking and analysis capabilities; especially for time - dependent data such as inspections or maintenance activities. • Data attribution cleanup processes to provide unique ID fields, improve data integrity, and extend data analysis capabilities. • Business work process changes that could acquire missing or conflicting data attribution. • Additional source data to better support the Asset Management system; especially on the risk and replacement prioritization analysis. • Integration with hydraulic modeling. The above consulting tasks could likely be done for about $20,000 — 40,000;however, actually making these changes to the database (especially acquiring missing data) will take more effort based on the selected approach, the level of implementation and who is to make the changes. An additional $100,000 would be an appropriate estimate for the level of effort. Planning Recommendations A Water Distribution System Master Plan is recommended to • Develop an initial assessment program to refine prioritization, • Complete computer hydraulic modeling for (a) identifying capacity -based recommendations and (b) improving consequence of failure scoring in the prioritization, and • Compile a more complete capital improvements program containing specific projects and more precise planning level cost - estimates. Assessment Recommendations • A more detailed engineering review of maps, as -built drawings, and discussions with staff regarding the high risk pipes will enable development of a targeted assessment plan. Inspection and assessment techniques can vary depending on the material and location in particular, but also based on other relevant factors. • As a preliminary measure, assessment of all high risk pipe is recommended as soon as possible, followed by subsequent assessments to obtain better characteristic information on a system- wide basis. The subsequent assessments would be identified and planned as part of the water system master planning process, to align results with the overall master plan. • Costs associated with assessment can vary significantly depending on the techniques selected and the testing environment. Recent programs have involved inspection and engineering costs ranging from $100,000 to $200,000 per mile. Based on these ranges, costs were assumed to be $150,000 per mile. This allows for a broad range of testing technologies as well as engineering 65B -146 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUD`! review of the results. It is intended to be a composite cost of the technologies and methods that would be recommended. Replacement /Rehabilitation Recommendations • No pipes are recommended for immediate replacement or rehabilitation because data was not sufficient to make that determination. Instead, assessments are recommended, and a replacement /rehabilitation program would be prepared based on the assessments. • Replacements have been budgeted for the CIP based on assumptions about the fraction of pipe in each risk grouping that would need to be replaced. There is considerable uncertainty in these assumptions, and while we attempted to be conservative (but not overly conservative) in our assumptions, little is known about the actual condition of the pipes to be inspected, so the anticipated costs may change significantly. WATER SYSTEM CAPITAL IMPROVEMENTS PROGRAM Based on the proposed strategy presented above and the CAMPS analysis for non - distribution system assets, Table C - 4 presents the resulting capital improvements program costs. Table C -4: Water System Capital Improvements Program ["] MW� ®® 1 $400,000 $1,301,000 $1,413,000 $1,007,300 $1,153,300 $717,100 $5,991,700 2 $4,342,500 $1,455,400 $1,930,200 $1,223,100 $1,876,900 $10,828,100 3 $1,116,100 $4,472,800 $1,499,100 $1,970,500 $2,203,000 $1,471,800 $12,733,300 4 $5,740,100 $1,544,000 $2,752,000 $7,439,100 $2,020,100 $19,495,300 5 $5,912,300 $1,590,300 $2,809,500 $2,596,800 $2,727,800 $15,636,700 *Costs have been escalated to the year of R &R, using a 3% escalation from FY2013 BLACK & VEATCH I Appendix C Replacement Cost Calculation All Assets within City Service Area 65B -147 135 WATER RATE STUDY I City of Santa Ana, CA Appendix D: City -Owned Mains Analysis NOVEMBER 2014 65B -148 City of Santa Ana, CA I WATER RATE STUDY REVISED ANALYSIS At the request of the City, a revised Water System CIP Analysis was performed for Santa Ana after the draft report was developed. The revised results reflect the removal of all non -City owned water distribution mains (specifically those listed as Water_Type = "IRWD," "MCWD," "MWD," or "Reclaimed "). None of the initial pipe statistics, cohorts, PoF / CoF criteria or prioritization factors were changed. The non -City owned mains were removed after the full prioritization process to allow comparison of results. The following sections provide the summarized results of the "revised" analysis starting at the conclusion of the Business Risk Exposure (BRE) calculation. Business Risk Exposure (BRE) Figure D - 1 provides a "heat map" graph showing the resulting distribution of PoF vs. CoF scores by miles of City -owned mains. Combined, these represent the BRE score. Higher probability of failure assets are plotted near the right. Higher consequences of failure assets are plotted near to the top. Figure D - 2 provides a map of City -owned mains color coded by total BRE score. A partial table of water main pipeline segments ranked by BRE score is included in the Replacement Prioritization section below. Figure D - 1: Water System BRE Heat Map Graphic by Miles of City -owned Water Mains Probability of Failure 1 2 3 4 5 6 7 8 9 10 10 .3 0.0,' -'0 0..0 i 9 0.1 0.5 2.3 - 0. '0 - 0.2 F 0.0 3 e •� 8 0.5 1.2 2.7 ;0.0 0 0.8 ,0.0 0.3 LL llL 7 0.1 1.0 .� 2.7 2.8 0.0 - -.0 0.0 1.5 O y 6 v 0.5 2.1 7.5 4.2 1 00 0 "` 0.0 0.2 V F 5 2.2 1.5 1.0 8.3 !� 1.3 7.4 5,4 1.7 0.0 0.4 7 S 4 10.5 8.8 5.8 27.9 3.4 22.4 10.7 5.5 0.4 2.7 OJ 3 2.3 . 1.0 .1 12,0 0.6 2.7 1.7 2.3 0.5 0.5 O 2 21.6 14.0 8.5 t,2 51.2 7.2 19.9 132.1 10.6 6.5 1.9 2.7 1 1.0 3.5 5.4 44.5 14.5 27.9 15.9 2A 1.8 Miles Total Miles: 480.3 SLACK & VEA'TCH s ppenoix C r- Owned 3rrs dnaiy;is 65B -149 138 WA 1 HI RA-rE STuC)Y i City of Santa Ana, CA Figure D - 2: Map of City -owned Water Mains Color coded by BRE Scores F 0 3,000 6,000 12,000 Ft s >F Main by BRE Score City of Santa Ana, CA — > 80 and <= 100 Water I Wastewater -- > 70 and <= 80 System Analysis - 2012 > 60 and <= 70 > 50 and <= 60 -- > 40 and <= 50�, — > 30 and <= 40 — > 20 and <= 30 IMURVINII — <= 20 __ nr 1 City Boundary Water Distribution System — RailRoads Mains by BRE Score City -Owned Mains Only BLACK &VEATCH Building a world or diffveocer i Sar An'Amr BRE Sm 60b4 _ _ 65B -150 NOVEMBER 2014 City of Santa Ana, CAI WATER RATE STUDY Inspection and Replacement Cost Calculation Figure D - 3 shows the distribution of BRE scores (across the bottom) against the total estimated replacement costs for City -owned mains. The cumulative replacement cost line is also provided. Figure D - 3: BRE Scores and costs for City -Owned Water Distribution System A variation of the previous heat map graphic is provided in Figure D - 4. This version is based on cost rather than pipe length. BLACK & VEATCH I Append(, D. City- O'amed Malns Analysis 139 65B -151 WATER RATE STUDY I City of Santa Ana, CA Figure D - 4: BRE Heat Map Graphic by City -owned Main Replacement Cost (2012 dollars) Probability of Failure 1 2 3 4 5 6 7 8 $6.4 $9.2 $16.9 $55.7 $22.0 $91.4 1 $1.7 $6.0 $9.2 $75.2 $73.4 $64.8 $77.8 $277.5 Millions of Dollars $0.2 $0.6 9 10 ,. 50.2 $0.0 $1.9 $0.0 $0.7 0.0 10 $0.8 $0.3 $0.7 i 9 $0.3 $1.3 $6.1 $0.5 $2.5 $14.8 $10.9 '', $3.4 •� 8 $1.2 $2.8 $6.4 10.0 1 9.0 90.0 $6.7 R LL $10.9 $0.9 $5.4 $1.2 4- 7 $0.3 $2.3 $6.1 O 41 6 $1.1 $4.6 $16.4 v 1970s 0.00 5 10.0 41 5 $4.3 $3.0 $2.1 DI 24 1970 1970s 0.00 Cr 4 $20.9 $17.5 $11.7 v 20049 DI 24 1970 C 3 $4.1 $1.9 $3.9 O $67 32 6583 DI U 2 $38.7 $25.1 $15.3 $6.4 $9.2 $16.9 $55.7 $22.0 $91.4 1 $1.7 $6.0 $9.2 $75.2 $73.4 $64.8 $77.8 $277.5 Millions of Dollars $0.2 $0.6 9 10 ,. 50.2 $0.0 $1.9 $0.0 $0.7 0.0 $0.0 $0.0 $0.0 $3.3 PF $2.3 Cohort 5 $0.9 $0.0 $0.5 $2.5 $14.8 $10.9 '', $3.4 $0.0 $0.8 1970s 0.00 -i 10.0 1 9.0 90.0 $6.7 $44.8 $21.3 $10.9 $0.9 $5.4 $1.2 $4.8 $3.1 $4.2 $0.9 $0.9 $12.8 $35.5 $18.9 1 $11.5 $3.4 $4.9 $24.5 $54.3 $47.4 $26.8 $4.0 $3.0 $48.2 $156.4 $101.6 $60.2 $9.3 $19.7 Total Cost: $888.8 BRE Replacement Prioritization Using the results of the BRE analysis and replacement costing table, each sewer main pipe segment was ranked from highest to lowest risk and assigned a replacement cost estimate. Table D - 1 below is a revised table (with the non -City owned mains removed) for all pipes having a BRE score of 50 or above. The rank IDs were left as they were initially assigned to easily indicate which pipes were removed. Table D -1: Partial List of Water Mains Ranked by BRE Score with Non -City owned Mains Removed 1 Unique Pipe[Cr 4875 Material DI Diameter (in) 24 Year Installed 1970 Decade 1970s Length 0.07 Cohort 5 PoF 10.0 CoF 1 10.0 100.0 Estimated 1 190,577 27 4676 DI 24 1970 1970s 0.00 5 10.0 1 9.0 90.0 1 $2,273 28 4677 DI 24 1970 1970s 0.00 5 10.0 9.0 90.0 $2,739 29 4684 DI 24 1970 1970s 0.00 5 10.0 9.0 90.0 $4,667 30 4874 DI 24 1970 1970s 0.00 5 10.0 9.0 90.0 $778 31 20049 DI 24 1970 19706 0.00 5 10.0 9.0 90.0 $67 32 6583 DI 20 1989 1980s 0.00 5 10.0 8.0 80.0 $1,167 33 6584 DI 20 1989 1980s 0.12 5 10.0 8.0 80.0 $292,112 34 11300 DI 16 1988 19806 0.05 5 10.0 8.0 80.0 $114,882 140 NOVEMBER 2014 6513-152 City of Santa Ana, CA I WATER RATE STUDY 35 Unique PipelD 11301 Material DI Diameter (in) 16 Year Installed 1988 Decade 19805 Length (miles) 0.08 Cohort Rank 5 PoF Score 10.0 COF Score 8.0 BRE 80.0 Estimated Cost 5168,012 36 12188 DI 16 1988 19805 0.06 5 10.0 8.0 80.0 $139,008 37 4392 DI 18 1970 19705 0.00 5 10.0 7.0 70.0 $3,124 38 4682 DI 18 1970 1970s 0.11 5 10.0 7.0 70.0 $262,355 39 4683 DI 18 1970 1970s 0.13 5 10.0 7.0 70.0 $294,800 40 4393 DI 18 1970 1970s 0.05 5 10.0 7.0 70.0 $117,211 41 4394 DI 18 1970 1970s 0.27 5 10.0 7.0 70.0 $616,296 42 4598 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $2,787 43 11209 DI 18 1970 19706 0.17 5 10.0 7.0 70.0 $398,641 44 11210 DI 18 1970 1970s 0.17 5 10.0 7.0 70.0 $382,005 45 11233 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $29,915 46 11234 DI 18 1970 1970s 0.13 5 10.0 7.0 70.0 $287,779 47 11235 DI 18 1970 19706 0.00 5 10.0 7.0 70.0 $3,164 48 11306 DI 16 1988 19805 0.11 5 10.0 7.0 70.0 $240,656 49 12187 DI 16 1988 1980s 0.17 5 10.0 7.0 70.0 $369,752 50 21095 DI 16 1988 1980s 0.00 5 10.0 7.0 70.0 $5,385 51 20030 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $2,832 52 20038 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $16,826 53 20047 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $10,293 54 20065 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $3,017 55 21077 DI 16 1988 1980s 0.00 5 10.0 7.0 70.0 $1,604 56 34190 DI 18 1970 1970s 0.06 5 10.0 7.0 70.0 $128,966 57 34192 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $27,236 58 34194 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $14,269 59 34196 DI 18 1970 1970s 0.00 5 10.0 7.0 70.0 $2,481 60 34198 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $13,853 61 34200 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $28,552 62 34202 DI 18 1970 1970s 0.01 5 10.0 7.0 70.0 $19,656 63 34203 DI 18 1970 1970s 0.02 5 10.0 7.0 70.0 $51,389 64 5200 Cl 20 1928 Pre 1930 0.08 3 7.6 9.0 68.4 $195,278 65 11127 CI 20 1906 Pre 1930 0.09 3 7.6 9.0 68.4 $225,069 66 11129 CI 20 1906 Pre 1930 0.07 3 7.6 9.0 68.4 $160,216 67 4856 CI 20 1956 1950s 0.07 3 6.8 9.0 61.1 $164,013 68 5603 CI 20 1920 Pre 1930 0.06 3 7.6 8.0 60.8 $141,695 69 5604 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $8,395 70 5243 CI 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $2,676 71 5244 Cl 20 1928 Pre 1930 0.05 3 7.6 8.0 60.8 $128,445 72 5392 Cl 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $2,769 73 5550 Cl 20 1928 Pre 1930 0.01 3 7.6 8.0 60.8 $16,963 74 5551 Cl 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $3,558 75 5552 Cl 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $931 76 5553 Cl 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $1,112 77 5599 Cl 20 1920 Pre 1930 0.05 3 7.6 8.0 60.8 $120,178 78 5600 Cl 20 1928 Pre 1930 0.04 3 7.6 8.0 60.8 $107,387 79 5601 CI 20 1928 Pre 1930 0.01 3 7.6 8.0 60.8 $16,475 80 5602 CI 20 1920 Pre 1930 0.06 3 7.6 8.0 60.8 $140,924 81 5921 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $3,301 82 5922 CI 20 1920 Pre 1930 0.13 3 7.6 8.0 60.8 $312,849 83 11125 CI 20 1920 Pre 1930 0.10 3 7.6 8.0 60.8 $251,192 87 13150 CI 20 1906 Pre 1930 0.06 3 7.6 8.0 60.8 $139,340 88 13152 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $4,651 BLACK & VEEATCH I Appendix D. City-Owned Mairs A: -'vsl, 65B -153 141 f@7 Y/AiEF FATE STUDY I City of Santa Ana, CA 89 Unique r 13153 CI Diameter 20 1920 Decade Pre 1930 0.05 3 7.6 8.0 60.8 $129,504 90 13155 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $6,893 91 13158 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,539 92 13160 CI 20 1920 Pre 1930 0.06 3 7.6 8.0 60.8 $142,078 93 13163 CI 20 1906 Pre 1930 0.06 3 7.6 8.0 60.8 $133,936 94 19913 CI 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $1,652 95 19914 Cl 20 1928 Pre 1930 0.00 3 7.6 8.0 60.8 $667 96 19975 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $6,758 97 19980 CI 20 1928 Pre 1930 0.01 3 7.6 8.0 60.8 $18,671 98 19993 CI 20 1906 Pre 1930 0.00 3 7.6 8.0 60.8 $8,659 99 20007 CI 20 1906 Pre 1930 0.00 3 7.6 8.0 60.8 $4,307 100 20008 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,121 101 20009 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,118 102 20010 CI 20 1906 Pre 1930 0.00 3 7.6 8.0 60.8 $1,179 103 20020 CI 20 1920 Pre 1930 0.01 3 7.6 8.0 60.8 $31,678 104 20034 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,118 105 20035 CI 20 1920 Pre 1930 0.00 3 7.6 8.0 60.8 $1,121 106 4353 DI 16 1970 1970s 0.00 5 10.0 6.0 60.0 $2,946 107 4377 DI 16 1970 1970s 0.00 5 10.0 6.0 60.0 $373 108 7776 DI 16 1988 19805 0.01 5 10.0 6.0 60.0 $30,422 109 998 DI 16 1970 1970s 0.01 5 10.0 6.0 60.0 $12,482 110 4305 DI 16 1970 1970s 0.01 5 10.0 6.0 60.0 $29,577 111 4306 DI 16 1970 1970s 0.00 5 10.0 6.0 60.0 $431 112 8943 DI 16 1988 19805 0.01 5 10.0 6.0 60.0 $24,441 113 11187 DI 16 1979 1970s 0.02 5 10.0 6.0 60.0 $53,560 114 11307 DI 16 1988 19806 0.12 5 10.0 6.0 60.0 $254,573 115 11482 DI 16 1988 19805 0.00 5 10.0 6.0 60.0 $2,668 116 11483 DI 16 1988 19805 0.01 5 10.0 6.0 60.0 $11,505 117 11484 DI 16 1988 19805 0.00 5 10.0 6.0 60.0 $1,351 118 11485 DI 16 1988 1980s 0.02 5 10.0 6.0 60.0 $49,428 119 11486 DI 16 1988 1980s 0.00 5 10.0 6.0 60.0 $8,626 120 12186 DI 16 1988 19805 0.00 5 10.0 6.0 60.0 $837 121 21099 DI 16 1988 19805 0.00 5 10.0 6.0 60.0 $1,509 122 21747 DI 16 1970 1970s 0.00 5 10.0 6.0 60.0 $6,123 123 38192 CI 18 1954 19505 0.01 3 6.9 8.0 55.1 $14,088 124 4855 CI 20 1956 1950s 0.00 3 6.8 8.0 54.3 $2,524 128 4689 DI 12 1989 1980s 0.00 5 10.0 5.0 50.0 $4,467 129 4690 DI 12 1989 1980s 0.02 5 10.0 5.0 50.0 $36,392 130 4694 DI 14 1982 19805 0.00 5 10.0 5.0 50.0 $9,883 131 4183 DI 12 1989 19805 0.00 5 10.0 5.0 50.0 $636 132 4184 DI 12 1989 19805 0.03 5 10.0 5.0 50.0 $50,949 133 4845 DI 12 1989 19805 0.12 5 10.0 5.0 50.0 $230,867 134 7128 DI 12 1988 19806 0.00 5 10.0 5.0 50.0 $1,271 135 7129 DI 12 1988 19805 0.00 5 10.0 5.0 50.0 $2,964 136 7130 DI 12 1988 19805 0.08 5 10.0 5.0 50.0 $153,953 137 7863 DI 12 1987 19805 0.00 5 10.0 5.0 50.0 $164 138 11392 DI 12 1989 19805 0.02 5 10.0 5.0 50.0 $38,226 139 11393 DI 12 1989 19805 0.03 5 10.0 5.0 50.0 $56,080 140 13145 DI 12 1987 1980s 0.05 5 10.0 5.0 50.0 $91,806 141 19868 DI 12 1989 1980s 0.00 5 10.0 5.0 50.0 $464 142 19992 DI 12 1989 1980s 0.00 5 10.0 5.0 50.0 $1,362 65B -154 NOVEMBER 2014 City of Santa Ana, CA I WATER RATE STUDY R &R Strategy Groups and CIP Budgeting The risk prioritization table just presented identifies pipe segments having the highest BRE score. Since this score is based on the product of PoF times CoF factors, it gives equal consideration for both factors. Typically, different R &R strategies are applied to address these two considerations. Based on the BRE heat map graphic results, the ranked assets were then grouped into logical R &R strategies. Figure D - 5 shows the same BRE heat map graphic as before, but color coded by strategy group. Figure D - 6 shows a map of the City -owned mains color -coded by Strategy Group (A -Z). Table D - 2 defines each of these groupings and provides additional summarizations and recommendations. Figure D - 5: BRE Heat Map Graphic by Cost and R &R Strategy Groups for City -owned Mains 30 L 9 FO 8 LL O 7 y 6 U C 5 3 4 Cr OJ 3 N = 2 O U 1 Probability of Failure 1 2 3 4 5 6 7 8 9 10 Group .3 $2. ° $6.1 $0°{2 $00' $0.0 $0.0 $0.0 $01 $0.0 $0.6 B $0.4 $0.1 $0.0 $0.0 $1.9 $U $0.7 C $0.3 $2.3 $6.1 $6.4 $0.1 $0.0 $0.0 $0.0 $0.0 $3.3 D $1.1 $4.6 $16.4 $9.2 $0.2 a 0 $0.9 $0.0 $0.5 E $4.3 $3.0 $2.1 $16.9 $2.5 $14.8 $10.9 $3.4 $0.0 $0.8 F $20.9 $17.5 $11.7 $55.7 $6.7 $44.8 $21.3 $10.9 $0.9 $5.4 $4.1 $1.9 $3.9 $22.0 $1.2 $4.8 $3.1 $4.2 $0.9 $0.9 l $38.7 $25.1 $15.3 $91.4 $12.8 $35.5 $18.9 $11.5 $3.4 $4.9 y $1.7 $6.0 1 $9.2 $75.2 $24.5 $54.3 $47.4 $26.8 $4.0 $3.0 2 Millions of Dollars Total Cost: $888.8 BLACK & VEATCH I Appendix R Cary -Owned Malns Analvs�, 65B -155 144 WATER RATE STUDY I City of Santa Ana, CA Figure D - 6: Map of City -owned Mains color -coded by Strategy Group (A -Z) II ni -t t 0 3,000 6,000 12,000 Ft tt f IT /ANA s Main by BRIE Score City of Santa Ana, CA — Group A Probability of Failure Water l Wastewater Group m '° , 2 3 4 S ° , 9 Sae $ao 9 ,° System Analysis - 2072 Group C Group D ? ° $0.2 $ae Group E LL ° sob $x9 Sao $a1 -- Group F G $03 5x3 5x3 $5a $0.1 Sap $oA $oe 53.3 ( Off ij 65B.157 ƒ \| /]§ E; ] |][ !$!f!!) !!) ]!) ]!) \\ \} \ \ E - )) )) |)j v! o w 16 § ) }o - }\ \ \\ \ \\ \} \} \\ /\ Lq \ E ! ¥ ! ! : § § ■ ! K ! , ! 65B.157 46 WATER RATE 5TU7Y I City of Santa Ana, CA Water System Capital Improvements Program Based on the proposed strategy presented above and the CAMPS analysis for non - distribution system assets, Table D - 3 presents the resulting capital improvements program costs for City -owned assets only. Table D - 3: City -owned Water System Capital Improvements Program [ *] DISTRIBUTION SYSTEM NON- DISTRIBUTION SYSTEM Master Planned Reactive Year Plan Inspection R/R R/R Boosters Reservoirs Other TOTAL 1 $400,000 $1,301,000 $0 $1,413,000 $1,007,300 $1,153,300 $717,100 $5,991,700 2 $3,342,500 $1,455,400 $1,430,200 $1,223,100 $1,376,900 $8,828,100 3 $1,116,100 $2,472,800 $1,499,100 $1,470,500 $1,703,000 $1,471,800 $9,733,300 4 $2,740,100 $1,544,000 $1,752,000 $4,439,100 $1,520,100 $11,995,300 5 $2,912,300 $1,590,300 $1,809,500 $1,596,800 $2,227,800 $10,136,700 *Costs have been escalated to the year of R &R, using a 3% escalation from FY2013 65B -158 NOVEMBER 2014 Exhibit 2 65B -159 City of Santa Ana, CA I SEWER RATE STUDY Table of Contents ExecutiveSummary .................................................................................... ..............................8 Summary of Findings and Recommendations ........................................... ..............................8 GuidingPrinciples ........................................................................................... ............................... 8 Sewer Enterprise Capital Program ............................................................ ..............................9 Sewer Enterprise Financial Plan .............................................................. .............................12 Sewer Utility Cost of Service Allocations .............................................. .............................15 ProposedSewer Rates .................................................................................. .............................15 Introduction................................................................................................ .............................18 Background............................................................................................................ .............................18 Purpose.................................................................................................................... .............................18 Scopeof Work ....................................................................................................... .............................19 Overview of Legal and Industry Best Practices for Cost -Of- Service Studies ............ 19 Proposition13 .................................................................................................. .............................19 Proposition218 ............................................................................................... .............................19 Proposition26 ................................................................................................ ............................... 20 Government Code Section §54999.7 .................................................... ............................... 20 Generally Accepted Rate - Setting Standards ...................................... ............................... 20 Disclaimer............................................................................................................. ............................... 21 SewerRate Study ....................................................................................... .............................22 Revenue and Revenue Requirements ........................................................ ............................... 22 Accounts and Customer Usage Projections ........................................ ............................... 22 RevenueProjections ...................................................................................... .............................23 Operation and Maintenance Projections ............................................. ............................... 24 Capital Improvement Program ............................................................... ............................... 25 CapitalFund Financing ............................................................................... ............................... 32 OperatingFund Financing ......................................................................... ............................... 33 Summary of Revenues, Expenditures, and Obligations ................ ............................... 36 Test Year Revenue Requirements .......................................................... ............................... 39 CostOf Service Allocations ............................................................................ ............................... 40 Functional Cost Components ..................................................................... .............................41 Allocation to Cost Components ................................................................. .............................41 Unitsof Service ................................................................................................ .............................43 Cost of Service Allocations .......................................................................... .............................45 Proposed Rate Adjustments .......................................................................... ............................... 48 ExistingRates ................................................................................................... .............................49 BLACK & VEATCH I Table of Contents 65B -160 Proposed Rates SEWER RATE STUDY I City of Santa Ana, CA 49 RevenueSufficiency ..................................................................................... ............................... 50 TypicalBill Impacts ...................................................................................... ............................... 51 Summary............................................................................................................... ............................... 53 Appendix A: Refurbishment & Replacement Program .............. ............................... 54 Capital Asset Valuation and Refurbishment and Replacement Needs EvaluationMethodology ................................................................................. ............................... 55 Methodology................................................................................................... ............................... 55 Development of Asset Class Library ..................................................... ............................... 55 Development of Refurbishment and Replacement Schedules and Costs .................. 57 Development of Valuation of Capital Assets ........................................... ............................... 58 Capital Asset Inventory, Asset Class Library and Replacement Schedule ............................... 76 DatabaseDevelopment .................................................................................... ............................... 58 AssetInventory .............................................................................................. ............................... 58 Inventory Data Sources .............................................................................. ............................... 58 Asset Class Library Contents .................................................................... ............................... 59 Sewer Infrastructure System ................................................................... ............................... 59 Non-System- Specific Assets ...................... .. .... —..................................................................... 61 Refurbishment Intervals and Schedule ............................................... ............................... 62 Capital Asset Valuation and Schedule of R &R Needs and Estimated Costs .............. 62 Capital Asset Valuation Summary .......................................................... ............................... 62 Total System Capital Asset Schedule of R &R Needs ....................... ............................... 63 Appendix B: Sewer CIP Prioritization Process ................................ .............................65 Introduction....................................................................................................... .............................. — 66 CIP for Outside Plant Assets .......................................................................... ............................... 66 General Assumptions and Observations .................................................. ............................... 68 Sewer Collection System CIP Analysis ...................................................... ............................... 69 SewerSystem Statistics .............................................................................. ............................... 69 CCTV Observations, Sewer Spills and Repairs .................................. ............................... 76 Probability of Failure Analysis (PoF) ................................................... ............................... 90 Consequence of Failure Analysis (CoF) ............................................... ............................... 99 Business Risk Exposure ( BRE) .................................. ............................... ............................103 Appendix C: Inspection and Replacement Cost Calculation ..... ............................106 Introduction........................................................................... ............................... ............................107 Sewer Collection System R &R Prioritization..........— .............................. ............................109 BRE Replacement Prioritization .................................... ............................... ............................110 R &R Strategy Groups and CIP Budgeting ................... ............................... ............................113 CIP Project Identification .................................................. ............................... ............................118 NOVEMBER 2014 65B -161 City of Santa Ana, CA I SEWER RATE STUDY Appendix D: City -Owned Mains Analysis ......... ............................... ............................123 Revised Analysis ............124 Business Risk Exposure ( BRE) .................................. ............................... ............................124 Inspection and Replacement Cost Calculation .... ............................... ............................124 BRE Replacement Prioritization ............................... ............................... ............................127 R &R Strategy Groups and CIP Budgeting .............. ............................... ............................127 Sewer System Capital Improvements Program . ............................... ............................130 BLACK & VEATCH I Table of Contents 65B -162 IN SEWER RATE STUDY I City of Santa Ana, CA LIST OF TABLES Table ES - 1: Annual Inspection and Replacement Budget Table (2012 Dollars) .................................................................................................. .............................12 Table ES - 2: Economic Impact of Delaying Proposed CIP ....................... .............................14 Table ES - 3: Proposed Revenue Adjustments .............................................. .............................14 Table ES - 5: Proposed Rates for Scenario 1- FY 14/15 through FY 18/19 .................16 Table ES - 5: Typical Monthly Bills for City Customers (Rates Effective March 1, 2015) ................................................................................................. .............................16 Table 1: Average Number of Accounts .......................................................... ............................... 22 Table 2: Projected Billed Sewage Volumes .................................................. ............................... 23 Table 3: Existing Rates (Effective July 2010) .............................................. ............................... 23 Table 4: Revenues under Existing Rates ....................................................... ............................... 24 Table 5: Operation and Maintenance Expenses ......................................... ............................... 25 Table 6: NASCCO PACP Rating System .......................................................... ............................... 27 Table 7: Annual Inspection and Replacement Budget Table ( 2012 $) ............................. 31 Table 8: Capital Improvement Program based on System Risk Profile .......................... 31 Table 9: CIP Financing Plan - Status Quo Scenario ................................... ............................... 32 Table 10: CIP Financing Plan - Scenario 1 .................................................... ............................... 33 Table 11: Operating Fund Financing Plan - Status Quo Scenario ...... ............................... 34 Table 12: Operating Fund Financing Plan - Scenario 1 ........................... ............................... 35 Table 13: Economic Impacts of Delaying Proposed CIP ......................... ............................... 38 Table 14: Proposed Rate Adjustments - Scenario 1 ................................ ............................... 38 Table 15: Total Costs to be Recovered from Rates ................................... ............................... 40 Table 16: Cost of Service Allocation Percentages ........................................ .............................41 Table 17: Allocation of 0 &M Expenses to Functional Cost Components in Thousandsof Dollars ....................................................................... .............................42 Table 18: Allocation of Net Capital Costs to Functional Cost Components in Thousandsof Dollars ....................................................................... .............................43 Table 19: Units of Service for TY 14/ 15 .......................................................... .............................44 Table 20: Unit Costs of Services with Costs in Thousands of Dollars .............................. 45 Table 21: Allocation of COS to Customer Cl asses ........................................ .............................47 Table 22: Comparison of Adjusted COS with Revenues under Existing Rates ............. 48 Table 23: Proposed Rates for FY 14/15 through FY 18/19 - Scenario 1 .......................49 Table 24: Revenues under Proposed Rates (Option B) for TY 14/15 (Effective March 1, 2015) ............................................................ ............................... 51 Table 25: Typical Bills for Single Family Residential Customer (Rates Effective March 1, 2015) .............................................................. ............................... 51 v 65B -163 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Table A - 1: Sewer System Expected Useful Lives ..................................... ............................... 59 Table A - 2: Sewer Pipe Replacement Sizes and Costs ............................ ............................... 60 Table A - 3: Sewer Pumps /Motors Replacement Costs - 2012 dollars ........................... 61 Table A - 4: Misc. Assets Replacement Costs - 2012 dollars ................ ............................... 61 Table A - 5: Non System- Specific Expected Useful Lives. .................................... ................. 61 Table A - 6: Generator Replacement Costs - 2012 dollars .................... ............................... 61 Table A - 7: Miscellaneous Assets Replacement Costs - 2012 dollars ............................. 61 Table A - 8: Assets Refurbishment Intervals and Costs - 2012 dollars ........................... 62 Table A - 9: Asset Valuation by System .......................................................... ............................... 63 Table A - 10: Total Modeled R &R 30 Year Costs ........................................ ............................... 64 Table B - 1: Pipe Vintages by Install Decade ............................................... ............................... 74 Table B - 2: Summary of PoF Criteria used in this Analysis .................. ............................... 97 Table B - 3: Summary of CoF Criteria used in this Study ........................ ............................101 Table C - 1: Sewer Pipe Inspection and Replacement Costs (2012 dollars) ...............107 Table C - 2: Partial List of Sewer Main Pipe Segments Ranked by BRE Score ............ 110 Table C- 3: Sewer System R &R Summarizations and Recommendations ....................115 Table C - 4: Annual Inspection and Replacement Assumption Plans . ............................117 Table C - 5: Annual Inspection and Replacement Budget Table .......... ............................117 Table C - 6: Summary of Inspection Project Footages .............................. ............................120 Table C - 7: Summary of Inspection Project Costs ...... ............................... ............................120 Table C - 8: Summary of Group A and B Replacement Projects ........... ............................122 Table D - 1: Partial List of Sewer Mains Ranked by BRE Score with Non -City ownedMains Removed .................................. ............................... ............................127 Table D - 2: City -Owned Sewer System R &R Summarizations and Recommendations (2012 dollars). ................................... ................................... 129 Table D - 3: City -Owned Sewer System Capital Improvements Program [ *] ..............130 BLACK & VEATCH I Table of Contents 65B -164 V SEWER RATE STUDY I City of Santa Ana, CA LIST OF FIGURES Figure ES - 1: Installed Mains by Decade ........................................................ .............................10 Figure ES - 2: Criticality Heat Map Graphic by Cost and R &R Strategy Groups ........... 11 Figure ES - 3: Projected Revenues and Revenue Requirements - No Revenue Increases............................................................................................... .............................13 Figure ES - 4: Monthly Single Family Residential Bills (15 HCF usage ) ..........................17 Figure 1 Mains by Installation Decade ........................................................... ............................... 26 Figure 2: QSR Ratings by Install Year ............................................................. ............................... 28 Figure 3: QMR Ratings by Install Year ........................................................... ............................... 28 Figure 4: Criticality Heat Map Graphic by Cost and R &R Strategy Groups .................... 30 Figure 5: Projected Revenues and Revenue Requirements - No Revenue Increases, Status Quo .................................................................... ............................... 37 Figure 6: Monthly Single Family Residential Bills (25 HCF usage) .... ............................... 53 Figure A- 1: Annual Capital Asset R &R Needs for Water and Sewer Assets over30 -Year Period ....................................................................... ............................... 63 Figure A- 2: Annual Capital Asset R &R Needs for the Sewer System ............................... 64 Figure B- 1: Example Risk Heat Map Graph Relating PoF and CoF Scores .................... 68 Figure B- 2: Sewer Pipe Material Percentages (by Length) .................. ............................... 69 Figure B- 3: Map of Sewer Mains Color -Coded by Pipe Material ........ ............................... 70 Figure B- 4: Map of Sewer Mains that have been Lined ......................... ............................... 71 Figure B- 5: Sewer Pipe Diameters by Miles Installed ............................ ............................... 72 Figure B- 6: Map of Sewer Mains Color -Coded by Pipe Diameter ...... ............................... 73 Figure B- 7: Annual and Cumulative Miles of Installed Pipe by Year ............................... 74 Figure B- 8: Map of Sewer Mains Color Coded by Pipe Install Decade ............................ 75 Figure B- 9: Map of Sewer Mains Color -Coded by CCTV Inspection Year ...................... 77 Figure B- 10: Map of the Identified EMLs, FSEs and Spills ...................... .............................79 Figure B -11: Map of the Sewer Main Repairs ............................................ ............................... 80 Figure B- 12: QSR Ratings by Percent of Total System Main Length ............................... 82 Figure B- 13: Length of Pipe Installed by Year and by QSR Ratings .. ............................... 83 Figure B- 14: Map of Mains Colored by QSR Grade (Raw QSR Grading Method) ............................................................................................... ............................... 84 Figure B- 15: Map of Sewer Mains with High QSR Scores and Repairs ........................... 85 Figure B- 16: Map of Sewer Mains Color -Coded by Overall QSR Segment Score..................................................................................................... ............................... 87 Figure B- 17: QMR Ratings by Percent of Sewer System Length ........ ............................... 88 V 65B -165 NOVEMBER 2014 City of Santa Ana, CA SEWER RATE STUDY Figure B- 18: Map of Sewer Mains Color -Coded by QMR Grades ....... ............................... 89 Figure B- 19: Percent of Mains with High Raw QSR Grades by Pipe Install Year....................................................................................................... ............................... 90 Figure B- 20: Percentage of Sewer System Pipelines by Cohort Group .......................... 92 Figure B- 21: Map of Sewer Mains Color -Coded by Cohort Rank ....... ............................... 93 Figure B- 22: Map of Sewers that have not had CCTV Inspections .... ............................... 95 Figure B- 23: Distribution of Sewer Pipeline PoF Scores ....................... ............................... 97 Figure B- 24: Map of Sewer Mains Color -Coded by Total PoF Score . ............................... 98 Figure B- 25: Sewer System Pipelines CoF Scores by Diameter .......... ............................... 99 Figure B- 26: Pipeline Length by Number of Upstream Customer Laterals ................100 Figure B- 27: Distribution of Sewer Pipeline CoF Scores ........................ ............................101 Figure B- 28: Map of Sewer Mains Color -Coded by CoF Scores ........... ............................102 Figure B- 29: Distribution of Sewer Pipeline BRE Scores ....................... ............................103 Figure B- 30: Sewer System BRE Heat Map Graphic by Miles of Main ..........................104 Figure B- 31: Map of Sewer Mains Color -Coded by BRE Scores ........... ............................105 Figure C- 1: BRE Scores and Costs for Sewer Collections System ....... ............................108 Figure C- 2: BRE Heat Map Graphic by Main Replacement Cost (2012 dollars) .......109 Figure C- 3: BRE Heat Map Graphic by Cost and R &R Strategy Groups ........................114 Figure C- 4: Sewer System Map of R &R Strategy Groups ........................ ............................116 Figure C- 5: Annual Inspection and Replacement Budget Graph ......... ............................118 Figure C- 6: Sewer System Map Showing Suggested Inspection Projects ....................119 Figure C- 7: Map of CIP Replacement Projects for Groups A and B .... ............................121 Figure D - 1: Sewer System BRE Heat Map Graphic by Miles of City -Owned SewerMains ........................................................ ............................... ............................124 Figure D - 2: BRE Scores and costs for City -Owned Sewer Collection System (2012 dollars) ..................................................... ............................... ............................125 Figure D - 3: BRE Heat Map Graphic by City -Owned Main Replacement Cost (2012 dollars).. ................................................................................................... .......... 126 Figure D - 4: BRE Heat Map Graphic by Cost and R &R Strategy Groups for City -Owned Mains... ............................................... - ................................................... 128 BLACK & VEATCH I Table of Contents 65B -166 Vii SEWER RATE STUDY I City of Santa Ana, CA Executive Summary This report was prepared for the City of Santa Ana (City) to document a multi -year financial plan, the cost of service analysis and the design of a rate structure for the City's Sewer Enterprise. The specific goals of the study were to: • Review and evaluate existing policies and procedures affecting utility rates; • Evaluate the adequacy of projected revenues under existing rates to meet projected revenue requirements; • Develop a Rehabilitation and Replacement (R &R) Program that will identify major capital expenditures for the Sewer system; • Create a sound financial plan for the Sewer Enterprise covering a five -year study period for both ongoing operations and planned capital improvements; • Allocate projected Fiscal Year (FY) revenue requirements to the various customer class in accordance with the respective service requirements; and • Develop a suitable rate schedule that produces revenues adequate to meet financial needs while recognizing customer costs of service and local and state policy considerations such as Proposition 218 and Senate Bill x7 -7 (SBx7 -7). SUMMARY OF FINDINGS AND RECOMMENDATIONS A number of factors influence the financial condition of the Sewer Enterprise. Rates charged for service at a minimum should be adequate to cover operating and repair and replacement costs and to meet outstanding debt covenant requirements. Sound financial operations also include maintaining a capital reserve to address unplanned and emergency capital requirements. Financing major capital expenditures is dependent upon the policies and practices of the City. Cash financing capital expenditures minimizes the cost of the improvements. While debt financing increases the cost, it spreads those costs over the life of the facility, allocating the costs to the actual users of the facility. Changes in the financing of capital expenditures may affect the financial condition of the Sewer Enterprise and any necessary rate adjustments. The City of Santa Ana has engaged Black & Veatch to review the financial condition of the Sewer Enterprise, to conduct a cost of service analysis, and to design wastewater rate schedules that address cost -of- service and revenue stability issues. This is the City's first comprehensive review of needs since 1995. Summarized herein are the principal findings and recommendations of the study. Guiding Principles It is the intent of the City to operate its Sewer Utility as business enterprises. As part of this philosophy, the City asked Black & Veatch to provide comments and recommendations on the following guiding principles: 8 • Should the Sewer Utility be operated as a "neutral" enterprise? In general, enterprise funds are defined as self- supporting entities. These funds have separate revenue streams based on provided services, which allows them to have the capacity to issue revenue - backed bonds and generate sufficient revenues to cover operational and capital costs. Although city enterprises 65B -167 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY provide distinct services to its ratepayers, they are also dependent on services provided by General Fund operations. For example, most wastewater departments share human resources, finance, and legal services with other city departments. As such, it is a common practice to allocate shared General Fund costs to all benefiting departments. With respect to the City, the Wastewater Enterprise Fund currently pays its proportionate portion of allocated General Fund costs as determined through the City's indirect cost allocation model. These General Fund costs are business costs that allow the utilities to provide services to the City's residents. • What is a prudent level of operating reserves? The City is formulating a formal operating reserve policy. In light of this, Black & Veatch recommends that the City establish a 90 -days target for an operating reserve. This benchmark is a typical one used by many utilities, including many of the City's surrounding communities. The recent collapse of the nation's financial markets, coupled with the uncertainty of Southern California's water supply situation has led to a change in this benchmark level. Ratings agencies such as Moody's and Standard's & Poor's are now suggesting that utilities have operating reserves between 180 and 360 days' worth of operating expenses. An alternative reserve policy approach is to maintain approximately 90 days of operating expenses together with a $500,000 to $1,000,000 emergency reserve. Higher reserve levels helps the City attain better bond ratings, which in turn, leads to lower borrowing costs. Black & Veatch's proposed long -term financial plan provides a path for meeting the 90 -day operational level and establishing a $1,000,000 emergency reserve. • What is an appropriate level for capital reserves? In general, sewer utilities tend to underfund capital reserves, such as those for rehabilitation and replacement (R &R). It has only been within the last decade or so that agencies are seeing the ramifications of not having adequate R &R reserves on hand to address aging infrastructure needs. In the absence of a depreciation study or condition assessment, a general guideline is for utilities to set aside an amount equivalent to one year of depreciation expense. This reserve amount calls for a physical transfer of cash to a reserve account — it is not the same as the depreciation expense recorded on the Income Statement. The latter is not a cash requirement, unlike the former situation. Black & Veatch recommends that as the Sewer Utility becomes financial stable, R &R reserve funds should be established and funded. As cash is available, the annual funding level should eventually equal one -year of depreciation expense (approximately $500,000). Sewer Enterprise Capital Program Figure ES 1 illustrates the distribution of the City's sewer mains by installation decade. The mains included in the analysis are the City's collection system and do not include Orange County Sanitation District (OCSD), other agency, or private sewer lines. As seen from the figure, over 86 percent of the City's sewer mains were installed pre 1980 and about 90 percent of the lines are over 50 years of age. From Figure ES 1 it is clear that the City will soon face a major reinvestment period as sewer mains reach the end of their useful life. In the absence of any condition assessments, the industry standard for main replacement is 1 percent of the system per year. If we apply this approach to the City's system, the result is an annual replacement rate of 4 miles of mains. The City is currently replacing at a rate of 0.1 percent (0.38 miles). BLACK &VEATCH I Executive Summary 65B -168 9 Figure ES - 1: Installed Mains by Decade :oo a 700 LL 0 v 600 c 500 0 r c 400 v m 300 m Y N 5 200 N C 100 0 SEWER RATE STUDY I City of Santa Ana, CA In order to produce an R &R program, Black & Veatch conducted a high -level condition assessment review using City - provided Geographic Information System (GIS) data and available condition reports for the water system. Black & Veatch evaluated the available data and held two workshops with engineering and maintenance staff to develop weighting factors for the asset assessment. Combining the condition reports and workshop results, Black & Veatch determined the Probability of Failure (PoF) and the Consequence of Failure (CoF). The PoF is a measurement of the likelihood that a particular asset will fail. The PoF score is arrived at by weighing factors such as the physical properties of the asset (material, age, etc.), the conditions of the surrounding environment (soil conditions, earthquake faults, etc.), and operational history. The CoF assesses the relative importance of each pipe in terms of delivery levels of service, economics, and health and safety. Criteria weighed in determining a CoF score include, but are not limited to, pipe size, critical customer impacts, and proximity to major roads. The product of the PoF and the CoF results in the Business Risk Exposure (BRE) — the higher the BRE score, the higherthe likelihood that the asset requires attention. Without detailed condition assessment information, Black & Veatch cannot quantify the absolute risk of failure; instead, the analysis conducted herein provides a picture of the relative risk of failure. In other words, the analysis indicates which assets are more likely to fail in relation to other system assets. On its own, the BRE score is not sufficient to develop a Capital Improvement Program (CIP). Consequently, Black & Veatch developed R &R strategies reflecting how public agencies tend to conduct work — grouping projects by area. Based on criticality criteria (PoF and CoF), Black & Veatch developed a list of projects to address immediate system needs over the next 5 years. As shown in Figure ES 2 and explained in more detail in Appendices A through D, the City's sewer system has no extremely critical condition (red zone — highest risk of failure) lines. There is 0.1 miles ($0.1 million) in highly critical condition (gold zone), 3.8 miles ($3.7 million) that are critical (yellow zone), and 10 65B -169 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY another 3.8 miles ($4.1 million) in danger of imminent failure (green zone). On a positive note, the City has 320 miles of mains ($316.7 million) that are in the lower category for failure (white zone). Figure ES -2: Criticality Heat Map Graphic by Cost and R &R Strategy Groups- Excludes OCSD Lines Probability of Failure 1 2 3 4 5 6 7 8 9 10 10 L 3 9 M 8 LL 4- 7 O 6 U C 5 OJ 4 0) 3 2 O V 1 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 $0.0 Z $0.0 $0.2 $0.0 $0.0 $0.0 $0.5 $0.0 $0.0 $3.6 $0.4 $0.7 $0.0 $3.4 $0.0 1$0.6$0.3 $0.0 $0.2 $6.1 $0.4 $0.8 $0.1 $3.8 $0.1 $0.0 $2.0 $15.7 $2.5 $2.7 $3.0 $5.5 $2.2 $0.4 $0.5 $3.4 $0.7 $0.6 1 $0.5 $1.0 $0.6 $0.2 $0.2 $0.1 $0.4 $5.2 $1.2 $1.2 $1.0 $2.4 $0.2 $0.2 $0.0 $0.1 $0.8 $8.4 $1.5 $1.6 $1.8 $2.1 $1.4 $0.2 $0.1 $0.3 $2.6 $27.8 $4.4 $4.3 $4.5 $5.7 $3.1 $1.1 $0.3 $0.8 $9.2 $118.7 $24.1 $17.1 $17.1 $28.7 $9.5 $4.8 $1.1 $2.0 Millions of Dollars Extremely Critical B 'Highly Critical Criticant Fal- Likelihood Immineilure Potential Failure Critical - Consequence High Consequence High Consequence Unknown Low Criticality C D E F Y Z Total Cost: $380.1 Table ES 1 summarizes the results of the preliminary asset condition evaluation and indicates that over the next 5 years, the City should invest approximately $6.8 million (2012 dollars) in its sewer system to catch -up with deferred maintenance activities (replacement of all assets in colored zones). The $380.1 million value in Figure ES 2 represents the cost of repairing or replacing the portion of main impacted. It does not represent the replacement cost of the entire system. BLACK & VEATCH I Executive Summary 65B -170 11 SEWER RATE STUDY I City of Santa Ana, CA Table ES - 1: Annual Inspection and Replacement Budget Table (2012 Dollars) Yearl $541,700 $788,700 $1,330,400 $1,330,400 Year2 $541,700 $788,700 $1,330,400 $2,660,800 Year3 $261,000 $875,400 $1,136,400 $3,797,200 Year $1,521,600 $1,521,600 $5,318,800 Year 5 $1,521,600 $1,521,600 $6,840,400 Total $1,344,400 $5,496,000 $6,840;400 After the 5 -year Study Period, Black & Veatch recommends that the CIP include an annual level of R &R main replacements. At a minimum, Black & Veatch suggests that the City invest approximately $4 million annually into infrastructure needs. Sewer Enterprise Financial Plan In developing the financial plan for the Sewer Enterprise, Black & Veatch analyzed the level of revenue adjustments needed to support the operational and capital needs of the utility. As a point of comparison, Black & Veatch also analyzed the impact on the utility should the City elect to forego rate increases and maintain the same level of infrastructure investment. As seen in Figure ES 3, the Sewer Enterprise does have sufficient cash on hand to meet ongoing 0 &M obligations and address a small amount of infrastructure needs, but it does not have sufficient funds to make emergency repairs or address critically affected assets. By FY 15/16, the Sewer Enterprise's revenue requirements will exceed revenues and will require the Enterprise to dip into its working capital reserve. The annual deficit cash grows from ($1.8 million) in FY 15/16 to ($3.9 million) by FY 18/19 and creates an ending cash balance deficit of ($14.1 million). 12 [INTENTIONALLY LEFT BLANK] 65B -171 N0VE1VeEe zoi� City of Santa Ana, CAI SEWER RA i E STUDY Figure ES - 3: Projected Revenues and Revenue Requirements — No Revenue Increases 2015 2016 2017 2018 2019 ® O &M Expenses - Routine Capital Outlay c Transfers r•ab--Revenue — • Target Cash Balance Cash Balance Delaying CIP activities does stretch out available cash; however, continued deferral of needed CIP projects also increases the probability, consequence and cost of asset failure. As a rough approximation, Black & Veatch estimated the cost of continuing to defer CIP projects using the methodology set forth in the American Society of Civil Engineers' (ASCE's) 2012 Failure to Act Economic Report for Water (FAC Report). The FAC Report notes that in addition to the actual repair /replacement costs, there are costs associated with payment of claims to impacted households and businesses. Additionally, if projects are deferred by several years, there is an economic loss due to loss of jobs, lost work days, business closures, traffic delays, street repairs, contamination of receiving waters, etc. Table ES 3 summarizes the cost of not executing the proposed CIP using the FAC Report methodology. Note that Table ES 2 does not include the cost of replacing the asset nor does it include fines that the State may impose for violating Waste Discharge Requirements (WDRs) should sanitary sewer overflows (SSOs) occur. State enforcement actions for WDR violations include fines of $10,000 per day plus $10 per gallon spilled (for spills over 1,000 gallons), and mandated CIP activities through a consent decree. BLACK& VEATCH I Executive Summary 65B -172 13 Table ES - 2: Economic Impact of Delaying Proposed CIP Households SEWER RATE STUDY I City of Santa Ana, CA $129,700 - $1,078,500 Total household claim payments. Businesses $324,100 - $2,696,300 Total business claim payments. Local Economy $1,577,400 - $13,122,200 Range depends on the severity of breaks. Total $2,031,200 - $16,897,000 . Black & Veatch recommends that the Sewer Enterprise initiate a program that will help establish recommended reserve balances for both its operational and capital needs over the planning period, as well as a $1 million emergency fund. Given the level of infrastructure in critical condition, establishing an emergency fund to address unexpected main breaks would be prudent. For the analyses conducted herein, forecasted operations and maintenance (0 &M) expenses are based on an inflation rate of 2 percent for personnel, 4 percent for benefits, 3 percent for maintenance, 2 percent for general and administrative (G &A), and 5 percent for utilities. • Status Quo Scenario. Under the Status Quo Scenario, implementing no revenue increases over the planning period results in the Sewer Enterprise running a deficit starting in FY 2016. By the end of the planning period, the cumulative deficit position grows to ($14.1 million). • Scenario 1. The implementation of annual revenue increases allows the Sewer Enterprise to maintain a positive balance in the Operating Fund while still executing the proposed CIP. Table ES 3 summarizes the proposed revenue adjustments for the proposed scenario examined. All increases are effective July 1 of the fiscal year, except for FY 14/15, which has a March 1, 2015 effective date. Table ES - 3: Proposed Revenue Adjustments 14 March 2015 8.8% July 2015 8.8% July 2016 8.8% July 2017 8.8% July 2018 8.8% 65B -173 NOVEMBER 20 14 City of Santa Ana, CA I SEWER RATE STUDY Sewer Utility Cost of Service Allocations • The revenue requirements for a selected Test Year (TY) are allocated to customer classes utilizing a cost causative approach endorsed by the Water Environment Federation (WEF). • Customers are classified to reflect groups of customers with similar service requirements who can be served at similar cost. Each class represents a particular type of service requirement. • In this analysis, there are five primary cost components: (1) base flow or volume costs, (2) strength (Biological Oxygen Demand and Total Suspended Solids), (3) customer meter and billing costs, (4) Lateral Repair Program costs, and (5) Fats, Oils, and Greases Program costs. Proposed Sewer Rates Currently, the Sewer Enterprise recovers costs through a commodity -only rate structure, which can result in a volatile revenue stream. To increase revenue stability, Black & Veatch examined different combinations of fixed /variable rate structures. The purpose of these changes is to provide funds for specific capital or operating activities. For example, the Sewer Enterprise provides lateral repairs to all customers who request this service. Previously, the City provided this service when funds are available. For this rate study, the City provided the average cost for lateral repairs and the proposed alternative rate schedule includes a specific charge intended to fund this program. Black & Veatch is also proposing consideration of a capital recovery charge, intended to provide dedicated funds to address R &R needs. The rate schedule shown in Table ES 4 is for Scenario 1 and reflects the rates over the entire study period for Option A (maintain the same rate structure) and Option B (Proposed alternative structure). Black & Veatch recommends Option B as the preferred alternative. BLACK & VEATCH I Executive Summary [INTENTIONALLY LEFT BLANK] 65B -174 15 SEWER RATE STUDY I City of Santa Ana, CA Table ES - 4: Proposed Rates for Scenario 1- FY 14/15 through FY 18/19 M ®M®M®M®M®M® Option A- Existing Rate Structure Commodity Charge ($ /HCF) $0.345 $0.376 $0.031 $0.410 $0.034 $0.447 $0.037 $0.487 $0.040 $0.531 $0.044 All customers Flat 8i- Monthly Charge $13.80 $15.05 $1.25 $16.40 $1.35 $17.88 $1.48 $19.49 $1.61 $21.24 $1.75 Unmetered customers Option B - Proposed Alternative Structure Capital 80.9% 15 $5.18 $5.76 $0.59 Commercial 7.60% 50 $17.25 16.41 ($0.84) Food Service Establishment Recovery $0.50 $0.50 $0.55 $0.04 $0.59 $0.05 $0.65 $0.05 $0.70 $0.06 Charge ($ /month) Lateral Repair Program $0.70 $0.70 $0.76 $0.06 $0.83 $0.07 $0.90 $0.07 $0.98 $0.08 ($ /month) Commodity $0.345 0.304 ($0.041) $0.331 $0.027 $0.360 $0.029 $0.392 $0.032 $0.426 $0.034 Charge ($ /hcf) FOG Program ($ /month) $17.40 $17.40 $18.93 $1.53 $20.60 $1.67 $22.41 $1.81 $24.38 $1.97 Food Service accounts only hcf = hundred cubic feet Finally, Table ES 5 presents typical monthly bills for different customers in hundred cubic feet (hcf) per month. A comparison to surrounding cities for a single - family residential customer using 15 hcf (monthly) is shown in Figure ES 4. Table ES - 5: Typical Monthly Bills for City Customers (Rates Effective March 1, 2015) 111 Single Family Residential 80.9% 15 $5.18 $5.76 $0.59 Commercial 7.60% 50 $17.25 16.41 ($0.84) Food Service Establishment 2.52% 50 $17.25 $33.81 $16.56 Industrial 0.19% 500 $172.50 $153.30 ($19.20) 65B -175 NOVEMBER 2014 City of Santa Ana, CA -VVER RATE STUDY Figure ES-4: Monthly Single Family Residential Bills (15 HCF usage) a sr g a mi y' e ential Customer u Sewer Bill Ir11s'eIrrano WD ' City of Seal Beach South Coast WD City of Fullerton City of San Juan Capistrano Moulton Niguel WD Santa Margarita WD Irvine Ranch WD Laguna Beach CWD City of San Clemente City of Cypress City of Garden Grove City of Tustin City of Newport Beach City of Huntington Beach City of Brea Mesa WD City of Westminster City of La Habra City of Fountain Valley City of Santa Ana (Proposed) Yorba Linda WD City of Stanton City of Placentia City of Santa Ana (Existing) City of Anaheim City of Buena Park City of La Palma East Orange CWD Retail Zone City of Orange City of Long Beach $0 BLACK & VEATCH I Executive Summary $20 $40 J a [INTENTIONALLY LEFT BLANK] 65B -176 mo sinHCF n Average Survey Bill = $40.80 $60 $80 $10D I $120 SEWER RATE STUDY I City of Santa Ana, CA Introduction This report was prepared for the City of Santa Ana (City) to document a multi -year financial plan, the cost of service analysis and the design of a rate structure for the City's Sewer Enterprise. The specific goals of the study were to: • Review and evaluate existing policies and procedures affecting utility rates; • Evaluate the adequacy of projected revenues under existing rates to meet projected revenue requirements; • Develop a Rehabilitation and Replacement (R &R) Program that will identify major capital expenditures for the Sewer system; • Create a sound financial plan for the Sewer Enterprise covering a five -year study period for both ongoing operations and planned capital improvements; • Allocate projected Fiscal Year (FY) revenue requirements to the various customer class in accordance with the respective service requirements; and • Develop a suitable rate schedule that produces revenues adequate to meet financial needs while recognizing customer costs of service and local and state policy considerations such as Proposition 218 and Senate Bill x7 -7 (S130-7). BACKGROUND The City of Santa Ana is one of the oldest Cities in Orange County incorporated in 1886. It encompasses 27.5 square miles and is located approximately 35 miles southeast of downtown Los Angeles. The City is the governmental center of Orange County with a population of roughly 324,500 (2010 US Census). The City owns and operates through the Department of Public Works two self- supporting enterprises: Water and Sewer. The Sewer Enterprise serves its customers by providing wastewater collection only services. The Sewer Enterprise owns and maintains a citywide collection system to collect and transport all sanitary flow to the Orange County Sanitation District (OCSD) treatment facility, located in Fountain Valley. City customers pay for treatment services directly to OCSD on the property tax roll. The City wastewater collection system is composed of 390 mile of collection mains, including 20 miles of OCSD -owned but City maintained trunk sewer mains, 8,000 manholes, 2 lift stations and other miscellaneous structures. PURPOSE The purpose of this report is to present the findings obtained from Black & Veatch Corporation's (Black & Veatch's) study of Sewers rate structure and alternatives, financing, and capital needs. Black & Veatch assessed the system's capital needs based on the R &R Program evaluation as well as additional reviews of planned system improvements. The study develops a financial plan that projects operating revenue, expenses and capital financing costs for the City's Enterprise Funds over a five -year planning period ending June 30, 2019. As part of the plan, future revenues under existing rates, operation and maintenance expense, principal and interest expense on bonded debt, and capital improvement requirements are considered. Historical data trends served as the basis for annual projections of customers, water use, revenues, and expenditures for the next five years. 18 65B -177 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY SCOPE OF WORK The City retained Black & Veatch to develop a multi -year financial plan, conduct a cost of service analysis and design rates for both of its enterprises. Presented herein are the results of a study of the projected revenues, revenue requirements, costs of service, and rates for sewer service. For purposes of this report, the study period is the five fiscal years beginning July 1, 2014 and ending June 30, 2019. Based on Proposition 218, agencies may not set rates in excess of 5 -year increments. Unless otherwise noted, references in this report to a specific year are for the City's year ending June 30. To avoid confusion between calendar and fiscal years, the term FY refers to the year beginning July 1 and ending June 30. Black & Veatch has projected revenues and revenue requirements for the study period based on a review of historical factors and the each enterprise's operating and capital budgets and financial policies. The study of revenue requirements recognizes projected operation and maintenance (0 &M) expense, establishment and /or maintenance of reserve funds, and capital financing requirements. Capital financing requirements include payments on outstanding bond issues as well as capital improvement expenditures met from annual revenues and available reserve funds. The Sewer Enterprise's cost of service used the Water Environment Federation (WEF) Manual of Practice No. (MOP) 27. This allocation methodology produces cost of service allocations recognizing the projected customer service requirements for the City. Black & Veatch designed the proposed rates in accordance with cost of service and local policy considerations. In addition, Black & Veatch also evaluated the extent to which the existing rate structure recovers revenues from customer classes in accordance with cost of service allocations. OVERVIEW OF LEGAL AND INDUSTRY BEST PRACTICES FOR COST -OF- SERVICE STUDIES Rate - setting procedures in California require that agencies responsible for imposing property - related charges must demonstrate a nexus between the cost of providing services and the services or benefits received. The state of California considers water and wastewater services as property - related fees and as such, subject to state constitutional and statutory requirements. Presented in the next few sections are brief summaries of the relevant laws governing this study. Proposition 13 Government Code Section §50076, adopted in 1979 provides that "special taxes shall not include any fee which does not exceed the reasonable cost of providing the service or regulatory activity for which the fee is charged." Proposition 218 California voters approved Proposition 218 in November 1996. This voter - approved initiative added Articles XIIIC and D to the California Constitution. Article MID Section 2(e), is a definition of a "fee ". Essentially, as defined by Proposition 218, a fee is "any levy other than an ad valorem tax, a special tax, or an assessment, imposed by an agency upon a parcel or upon a person as an incident of property ownership, including a userfee or charge fora property related service ". Until 2006, sewer charges were considered property related services while water charge were not defined as property - related until the 2006 California Supreme Court decision in Bighorn- Desert View Water Agency v. Verjil. After this decision, water charges are now considered as property - related fees and any new or increased water BLACK & VEATCH I Introduction 65B -178 19 SEWER RATE STUDY I City of Santa Ana, CA charges must comply with the substantive and procedural requirements of Proposition 218. The substantive requirements include: • Revenues derived from the fee or charge cannot exceed the funds required to provide the property related service. • Revenues derived from the fee or charge cannot be used for any other purpose other than for which the fee or charge was imposed for. • A property- related fee or charge cannot exceed the proportional cost of service attributable to the parcel. Proposition 26 California voters approved Proposition 26 in November 2010. Included in the language of proposition, which amended California Constitution Article XIII C, Section 1, is a definition of "tax ". Essentially, as defined by Proposition 26, a tax is any "levy, charge, or exaction of any kind imposed by a local government' with specifically outlined exceptions. These exceptions are: • A charge imposed for a specific benefit conferred or a privilege granted directly to the payor that is not provided to those not charged, and which does not exceed the reasonable costs to the local government of conferring the benefit or granting the privilege, and • A charge imposed for a specific government service or product provided directly to the payor that is not provided to those not charged, and which does not exceed the reasonable costs to the local government of providing the service or product. Proposition 26 establishes that the "...local government bears the burden of proving by a preponderance of the evidence that a levy, charge, or other exaction is not a tax, that the amount is no more than necessary to cover the reasonable costs of the governmental activity, and that the manner in which those costs are allocated to a payor bear a fair or reasonable relationship to the payors burdens on, or benefits received from, the governmental activity." Government Code Section §54999.7 Under this section, rate - setting activities by public agencies are directed to follow cost -of- service principles and states that fees for "...for public utility service, other than electricity or gas, shall not exceed the reasonable cost of providing the utility service." It also provides that these fees will be "established in consideration of service characteristics, demand patterns, and other relevant factors." Generally Accepted Rate - Setting Standards The American Water Works Association (AWWA) and Water Environmental Federation (WEF) are the industry organizations tasked with providing guidance on the operation and management of water and wastewater utilities. AWWA and WEF have established a general set of principles used to guide the development of water and wastewater rates. AWWA and WEF developed these principles to provide a consistent approach and minimum standards to rate - setting procedures. It is important to note that both AWWA and WEF observe that there is no prescribed single approach for establishing cost -based rates. Rather, agencies must exercise judgment to align rates and charges with local conditions and requirements, as well as applicable state law. Pill 65B -179 NOVEMBER 2014 City of Santa Ana, CA i _ I J 1'� Black & Veatch has used the guidelines contained in the AWWA and WEF documents and followed the applicable State law, including Proposition 218, to conduct the analyses contained herein. DISCLAIMER In conducting our study, we reviewed the books, records, agreements, and customer sales and financial projections of the Sewer Enterprise, as we deemed necessary to express our opinion of the operating results and projections. While we consider such books, records, documents, and projections to be reliable, Black & Veatch has not verified the accuracy of these documents. The projections set forth in this report below are intended as "forward- looking statements." In formulating these projections, Black & Veatch has made certain assumptions with respect to conditions, events, and circumstances that may occur in the future. The methodology utilized in performing the analyses follows generally accepted practices for such projections. Such assumptions and methodologies are reasonable and appropriate for the purpose for which they are used. While we believe the assumptions are reasonable and the projection methodology valid, actual results may differ materially from those projected, as influenced by the conditions, events, and circumstances that actually occur. Such factors may include the City's ability to execute the capital improvement program as scheduled and within budget, regional climate and weather conditions affecting the demand for water, and adverse legislative, regulatory or legal decisions (including environmental laws and regulations) affecting the ability of any of the enterprise's ability to manage the system and meet water quality, waste discharge, and / or other regulatory or environmental requirements. BLACK & VEATCH I Introduction [INTENTIONALLY LEFT BLANK] 65B -180 21 SEWER RATE STUDY I City of Santa Ana, CA Sewer Rate Study REVENUE AND REVENUE REQUIREMENTS To meet the costs associated with providing sewer services to its customers, the Sewer Enterprise derives revenue from a variety of sources including sewer service charges, interest earned from the investment of available funds, and other miscellaneous revenues. A combination of an analysis of historical and future system growth in terms of wastewater billed serves as the basis for projecting future revenues. With revenue derived from the various sources, the Sewer Enterprise meets the cash requirements of operation and maintenance (O &M); principal, interest, and reserve payments on revenue and other bond indebtedness; and recurring annual capital expenditures for replacements, system betterments, and extensions not debt financed. 0 &M expenses are those expenditures necessary to maintain the system in good working order. Routine annual capital expenditures, which include equipment replacements, consist of recurring annual replacements, minor extensions, and betterments, which are normally revenue financed. Other capital costs include principal and interest payments, bond covenant - required payments, and cash financed capital improvements. Accounts and Customer Usage Projections To forecast revenue, the billed sewer sales volume needs to be determined within the Sewer Enterprise's service area. Billed sewage is incorporated into the equation by projecting the average number of customer accounts illustrated in Table 1 and assessing an average use per account to produce the billed sewage volumes in hundred cubic feet (HCF) shown in Table 2. Based on the sewer master plan and discussions with City staff, sewage growth is estimated to remain constant at 15,269,300 between FY 14/15 and FY 18/19. The City is at near built -out conditions and increase in sewage flow will result of increased density or infill of vacant properties. Table 1: Average Number of Accounts • PROJECTED NUMBER OF • CUSTOMER Single Family Residential 35,244 35,244 35,244 35,244 35,244 35,244 Multi - Family Residential 3,608 Commercial 4,398 Industrial 83 Institutional 226 Irrigation 16 Outside City 12 Reclaim Water 2 Total Accounts 43,589 3,608 3,608 3,608 3,608 3,608 4,398 4;398 4,398 4,398 4,398 83 83 83 83 83 226 226 226 226 226 16 16 16 16 16 12 12 12 12 12 2 2 2 2 2 43,589 43,589 43,589 43,589 43,589 22 NOVEMBER 2014 65B -181 City of Santa Ana, CA I SEWER RATE STUDY Table 2: Projected Billed Sewage Volumes Single Family Residential 6,211,700 6,097,800 6,097,800 6,097,800 6,097,800 6,097,800 Multi - Family Residential 4,813,400 4,730,000 4,730,000 4,730,000 4,730,000 4,730,000 Commercial 2,823,300 2,862,400 2,862,400 2,862,400 2,862,400 2,862,400 Industrial 649,700 658,700 658,700 658,700 658,700 658,700 Institutional 787,600 798,600 798,600 798,600 798,600 798,600 Irrigation 10,800 30,900 30,900 30,900 30,900 30,900 Outside City 2,600 2,600 2,600 2,600 2,600 2,600 Reclaim Water 8,200 88,300 88,300 88,300 88,300 88,300 Total Billed Usage 15,307,300 15,269,300 15,269,300 15,269,300 15,269,300 15,269,300 Revenue Projections The City generates revenue from sewer services, interest earned from the investment of available funds, and other miscellaneous revenues. Since revenue generated outside of sewer sales are not subject to rate increases, we have excluded them from this portion of the analysis. These additional revenue sources are incorporated later in the cash flow portion of the report. The Sewer Enterprise's revenues are composed of solely a commodity charge. Since the system is a collection only system, the customers do not pay treatment services to the City and thus are only billed based on flow. Customers pay costs for treatment services to OCSD through property tax bills. The commodity charge is based on every HCF of water consumed. The fee is designed to recover fixed and variable costs with collecting the wastewater. Summarized in Table 3 are the current sewer rates for all customer classes. Table 3: Existing Rates (Effective July 2010) Customer Class Rate All Customers $0.345 Unmetered Customers ($) Flat Bi- Monthly Charge $13.80 Incorporating the existing sewer rate with the billed sewage projections, sewer sales revenue under existing rates is tabulated as shown in Table 4. The anticipated revenue generated under existing rates is expected to remain constant at $5,268,000 throughout the study period. BLACK & VEATCH I Sewer Rate Study 65B -182 23 24 sf,4Vt:R w, rE s iuo t I City of Santa Ana, CA Black & Veatch notes that the revenues on Table 4 reflect gross sewer receipts and are 5 percent higher than those figures reported in the City's Comprehensive Financial Annual Report (CAFR). It is the City's policy to direct 5 percent of gross revenues to the National Pollutant Discharge Elimination System (NPDES) Fund to pay for the Sewer Enterprise's share of cost recovery. This transfer of revenues has first priority on all Sewer Enterprise obligations. The total revenues less this 5 percent charge foot to the City's reported CAFR numbers. Table 4: Revenues under Existing Rates Single Family Residential Multi - Family Residential Commercial Industrial Institutional 2,143.0 2,103.7 2,103.7 2,103.7 2,103.7 2,143.0 1,660.6 1,631.9 1,631.9 1,631.9 1,631.9 1,660.6 974.0 987.5 987.5 987.5 987.5 974.0 224.2 227.2 227.2 227.2 227.2 224.2 271.7 275.6 275.6 275.6 275.6 271.7 Irrigation 3.7 10.7 10.7 10.7 10.7 3.7 Outside City 0.9 0.9 0.9 0.9 0.9 0.9 Reclaim Water 2.8 30.5 30.5 30.5 30.5 2.8 Total Revenues $5,280.9 $5,268.0 $5,268.0 $5,268.0 $5,268.0 $5,280.9 Operation and Maintenance Projections In order to adequately adjust rates, it is necessary to project operation and maintenance (0 &M) expenses. Summarized in Table 5 are Sewer's projected 0 &M expenditures. These expenditures include costs related to personnel (including additional staff), contract services, operating supplies, utilities and general administrative. The forecasted expenditures are based Black & Veatch and City staff's expertise and knowledge. The table to the right summarizes key assumptions for inflation rates used in the 0 &M expense projections. The levels of adjustment illustrated on the right are consistent with recent increases seen throughout the area. There are two one -time increases in FY 15/16 under machinery to cover vehicle and heavy equipment needs and under contract services. This latter adjustment reflects the City's move to comply with the Prevailing Wage laws in order to qualify for grants and low- interest loans administered by the State. The projected impact to contract services to address the Prevailing Wage laws is 10 percent. Total C &M (including routine capital outlay) is projected to increase from $4,622,700 in FY 14/15 to $5,126,300 in FY 18/19. 65B -183 NOVEMBER 2014 City of Santa Ana, CAI SENIER RATE 517UDY Table 5: Operation and Maintenance Expenses Salaries & Benefits 1,913.4 1,900.9 1,938.9 1,977.7 2,017.4 2,057.8 Contractual Services 1,011.3 1,914.3 2,102.1 2,144.2 2,187.1 2,230.9 Commodities - 264.5 252.2 252.2 252.2 252.2 252.2 General and Administrative 537.7 517.0 524.3 531.8 539.4 547.1 Routine Capital Outlay 146.8 38.3 1,378.3 38.3 38.3 38.3 Total O&M $3,873.7 $4,622.7 $6,195.8 $4,944.2 $5,034.4 $5,126.3 Capital Improvement Program While O &M expenses cover day -to -day operations, the Sewer Enterprise incurs additional capital expenditures to replace existing wastewater facilities or installed new facilities for planned future growth. As a result, the City asked Black & Veatch to help develop a long -term Capital Improvement Program (CIP) that identifies future wastewater facility needs. Black & Veatch conducted a high -level asset condition review using City - provided Geographic Information System (GIS) data and available condition reports for the sewer system. Black & Veatch evaluated the available data and held two workshops with engineering and maintenance staff to develop weighting factors for the asset assessment. Overview of Asset Information Figure 1 illustrates the distribution of the City's sewer mains by installation decade. The mains included in the analysis are the City's collection system and do not include OCSD, other agency, or private sewer lines. As seen from the figure, over 86 percent of the City's sewer mains were installed pre 1980 and about 90 percent of the lines are over 50 years of age. From Figure 1 it is clear that the City will soon face a major reinvestment period as sewer mains reach the end of their useful life. In the absence of any condition assessments, the industry standard for main replacement is 1 percent of the system per year. If we apply this approach to the City's system, the result is an annual replacement rate of 4 miles of mains. The City is currently replacing about 0.1 percent per year (0.38 miles). BLACK & VEATCH I Sewer Rate Study [INTENTIONALLY LEFT BLANK] 65B -184 25 26 SEWER RATE STUDY I City of Santa Ana, CA Figure 1 Mains by Installation Decade Refinement of Asset Evaluation Replacing assets based on a depreciation life does not address site- specific conditions that may lead to increased break frequencies. Breaks may occur due to a number of reasons including age, soil conditions, corrosive environments, and lack of maintenance. Unlike the Water Enterprise, the City's sewer system has undergone a condition rating review by an outside vendor. The City has been performing closed- circuit television (CCTV) inspections on about 70 miles of pipe each year. This equates to about a 6 -7 year cycle to cover the entire system. The GIS database includes information compiled from CCTV inspections over the years. About 78 percent of the sewer system includes at least some inspection - related data. This information is very useful in that it provides the most accurate assessment of the facilities current (recent) condition and expectation for failure. The CCTV data also provides key indications related to ongoing operational / maintenance considerations. In general, the City has used these observations to identify sections of sewer to line or clean. However, the City has not used this information to assess the overall probability and consequence of failure. Having the latest CCTV inspection results are critical in assessing current pipeline conditions. Some of the CCTV observation data includes indications of pipeline problems, such as structural issues and grease or root issues. Of the structure issues listed, about 13 percent of all pipes in the collection system have at least one location that is broken, cracked, fractured, or has a hole or offset. Almost 29 percent of the pipe records are listed as having no structural defects. The remaining 58 percent had no structural issues value (not inspected or no recorded value). For grease, over 53 percent of all system lines are shown as being clean, about 29 percent have light grease, and only about 3 percent are listed at medium or heavy. The remaining 15 percent had no grease issue value. Roots show a similar status: 63 percent at none, 21 percent at light, and about 1 percent are listed at medium or heavy. The remaining 15 percent had no roots issue value. 65B -185 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY The National Association of Sewer Service Companies ( NASSCO) has developed a standardized system of ratings to provide a consistent assessment of sanitary sewer conditions. Known as the Pipeline Assessment Condition Program (PACP), the system provides the capability to benchmark sewer conditions in order track deterioration over time. Using the PACP process allows utilities to identify major deterioration factors and assign a rating reflecting the likelihood of collapse. CCTV data only provides information on the internal defects that affect condition. Utilities need additional information to fully assess the condition of a main. The PACP process classifies deterioration factors in "structural' defects and "O &M" defects. Ratings are based on a 5 -point system with 1 being "excellent condition — minor defects" and 5 being "immediate action — pipe will likely fail in less than 5 years." Table 6 summarizes the NASCCO PACP Rating system. Table 6: NASCCO PACP Rating System 1 Excellent Minor defects Defects that have 2 not started Good deteriorating Moderate defects 3 that will continue to Fair deteriorate 4 Poor Severe defects 5 Immediate Defect requires Attention immediate action Unlikely in the foreseeable future No cracks Unlikely to fail for at Some longitudinal least 20 years cracking visible May fail in 30 to 20 years Probably will fail in 5 to 10 years Has failed or likely will fail within the next 5 years Multiple fractures Broken pipe Collapsed pipe Free of roots and deposits Fine roots present Capacity decrease of up to 15 percent due to deposits Infiltration occurring Root ball decreasing flow capacity by up to 50 percent Figures 2 and 3 present the CCTV for the City's sewer system using the "Quick Structural Rating" (QSR) and "Quick Maintenance Rating" (QMR) values calculated based on the rating process in Table 6. Black & Veatch notes that while QMR ratings provide useful information regarding maintenance practices, Black & Veatch did not use them as part of the prioritization process. Operational and local FOG (fats, oils and grease) issues rather than installation materials, structural conditions or probability of failure considerations, impact QMR scores more. BLACK & VEATCH I Sewer Rate Study 65B -186 VIVA 0 Figure 2: QSR Ratings by Install Year 17 SSINER RATE STUDY I City of Santa Ana, CA Count of QSR Ratings by Install Year 200 rc C ea o c O W V 40 20 .. .. .. d - - - - ., .. - - - - - _, -., ■QSR 3m QSR4 0 QSR S Figure 3: QMR Ratings by Install Year Count of QMR Ratings by Install Year 90 60 O J O ■QMR3 ■QMR4 ■QMR5 Based on the QSRs and QMRs calculated from the CCTV data, more than 55 percent of the defects noted are at a rating of 4 or 5 based on structural and /or 0 &M issues. This corresponds to almost 75 miles of pipe. 65B -187 NOVEMBER 2014 City of Santa Ana, CAI Tii TC4'i Development of the R &R Program The analyses conducted above provide the City with good information on how to clean and maintain its system. However, it does not create an R &R program. The methodologies employed in developing asset management programs all revolve around managing risks. For example, while a Pipe "X" may have a high probability of failure, the impact of its failure (the consequence) is very low. So, from a risk perspective, would it be better to let Pipe "X" fail, or should you just go ahead and spend the money to repair it? Implementing a robust asset management system can help answer these types of questions. The City is starting to develop its own asset management system and as a first step, Black & Veatch conducted a number of meetings to help assess the City's perspective on risk and failure. Combining the condition reports prepared by an outside vendor and workshop results, Black & Veatch determined the Probability of Failure (PoF) and the Consequence of Failure (CoF). The product of the PoF and the CoF results in the Business Risk Exposure (BRE) — the higher the BRE score, the higher the likelihood that the asset requires attention. Black & Veatch cannot quantify the absolute risk of failure; instead, the analysis conducted herein provides a picture of the relative risk of failure. In other words, the analysis indicates which assets are more likely to fail in relation to other system assets. On its own, the BRE score is not sufficient to develop CIP. Consequently, Black & Veatch developed R &R strategies reflecting how public agencies tend to conduct work — grouping projects by area. Based on criticality criteria (PoF and CoF), Black & Veatch developed a list of projects to address immediate system needs over the next 5 years. As shown in Figure 4 and explained in more detail in Appendices A through D, the City's sewer system has no extremely critical condition (red zone — highest risk of failure) lines. There is 0.1 miles ($0.1 million) in highly critical condition (gold zone), 3.8 miles ($3.7 million) that are critical (yellow zone), and another 3.8 miles ($4.1 million) in danger of imminent failure (green zone). BLACK & VEATCH I Sewer Rate Study [INTENTIONALLY LEFT BLANK] 65B -188 29 30 SEWER RATE STUDY I City of Santa Ana, CA Figure 4: Criticality Heat Map Graphic by Cost and R &R Strategy Groups Probability of Failure 1 2 3 4 5 6 7 8 9 10 30 i 7 9 M 8 LL 4- 7 O 6 V i 5 3 4 Q) 3 H 2 O U 1 $0.0 $0.0 $0.0 $0.0 $0.0 ' $0.0 $0.0 $0.0 Y Z $0.0 $0.2 $0.0 $0.0 $0.0 $0.5 $0.0 $0.0 $0.0 $3.6 $0.4 $0.7 $0.0 $3.4 $0.0 $0.0 $0.0 $0.0 $0.2 $6.1 $0.4 $0.8 $0.1 $3.8 $0.1 $0.0 $0.0 $0.0 $2.0 $15.7 $2.5 $2.7 $3.0 $5.5 $2.2 $0.6 $0.3 $0.4 $0.5 $3.4 $0.7 $0.6 $0.5 $1.0 $0.6 $0.2 $0.2 $0.1 $0.4 $5.2 $1.2 $1.2 $1.0 $2.4 $0.2 $0.2 $0.0 $0.1 $0.8 $8.4 $1.5 $1.6 $1.8 $2.1 $1.4 $0.2 $0.1 $0.3 $2.6 $27.8 $4.4 $4.3 $4.5 $5.7 $3.1 $1.1 $0.3 $0.8 $9.2 $118.7 $24.1 $17.1 $17.1 $28.7 $9.5 $4.8 $1.1 $2.0 Millions of Dollars Extremely Critical B Highly Critical Critical - Likelihood Imminent Failure Potential Failure Critical - Consequence High Consequence Consequence Unknown Low Criticality C D E F . HHigh Y Z Total Cost: $380.1 At the request of the City, Black & Veatch was asked to prioritize critical R &R projects for a five -year period. Table 7 summarizes the results of the preliminary asset condition evaluation and indicates that over the next 3 years, the City should invest approximately $6.8 million (2012 dollars) in its sewer system to catch -up with deferred maintenance activities (replacement of all assets in colored zones). The $380.1 million value in Figure 4 represents the cost of repairing or replacing the portion of main impacted. It does not represent the replacement cost of the entire system. 6513-189 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Table 7: Annual Inspection and Replacement Budget Table (2012$) Yearl $541,700 $788,700 $1,330,400 $1,330,400 Year2 $541,700 $788,700 $1,330,400 $2,660,800 Year3 $261,000 $875,400 $1,136,400 $3,797,200 Year $1,521,600 $1,521,600 $5,318,800 Year $1,521,600 $1,521,600 $6,840,400 Total $1,344,400 $5,496,000 $6,840,400 The capital projects shown in Table 8 are for FY 14/15 through FY 18/19 and consist of capital projects planned for design and construction during the study period. A full discussion regarding the development of the R &R program and recommendations developed by Black & Veatch is provided in Appendices A through C in this report. After the Study Period, Black & Veatch recommends that the City should begin increasing investment in its annual R &R program to keep the system maintained. The annual level of R &R projects suggested is approximately 4 miles of mains annually. Replacing 4 miles of main per year means that the remaining mains will be replaced over the next 84 years. Completing the suggested critical R &R projects by the end of the study period and the follow -on 5 -year period, and maintaining the 4 miles /year replacement rate thereafter will help the City keep up with infrastructure needs. It is important to note that differences between the values proposed in Table 7 for the R &R critical projects and those in Table 8 reflect an annual CIP inflation cost as well as addition of engineering /design /construction soft costs and inclusion of the City's trench cut fee. This fee is imposed on all activities that cut into the City's streets and increases significantly if work is done on streets under the paving moratorium. The Sewer Enterprise estimates that the majority of work to be performed under the Critical Projects category will be conducted on streets under the moratorium. Table 8: Capital Improvement Program based on System Risk Profile Sewer R &R Projects - Critical 1,230.8 2,674.8 3,393.2 1,154.0 2,805.9 5,550.5 Master Plan 300.0 0.0 0.0 0.0 0.0 0.0 Inspections 0.0 0.0 0.0 1,241.4 663.0 0.0 Sewer Non - Collection Projects 0.0 0.0 84.7 327.3 399.3 155.8 Total Capital Expenditures $1,530.8 $2,674.8 $3,477.9 $2,722.7 $3,868.2 $5,706.3 BLACK & VEATCH I Sewer Rate Study 65B -190 31 32 SEWER RATE STUDY I City of Santa Ana, CA The Sewer Enterprise's CIP includes recommendations for expenditures totaling $18.4 million over the next 5 years. As part of the financial plan analyses, an annual inflation allowance of 3 percent was included in the above capital improvement project costs. Capital Fund Financing A proposed financing plan for the Sewer Enterprise's CIP is shown in Table 9 and Table 10. Table 9 summarizes the plan in the event that the City elects to forego revenue adjustments and cash finance all activities (Status Quo Scenario). Table 10 is the proposed financing under the assumption that the City will elect to propose revenue adjustments (Scenario 1). Financing for the CIP is anticipated to come from a combination of funds on hand, transfers from water sales revenues derived from rates, grants, and bond proceeds. The Sewer Enterprise currently maintains a capital fund that is used to finance CIP projects as well as to separate the commingling of rate and connection funds. The capital fund generates revenue from developer connection fees, transfers and debt proceeds (as appropriate). With new development in the City slowing dramatically, the Sewer Enterprise will depend on rate revenue and bond proceeds (as necessary) to execute planned CIP projects. Table 9: CIP Financing Plan - Status Quo Scenario Beginning Balance 1,792.3 1,518.1 1,109.7 1,397.5 2,448.8 2,360.7 Sources of Funds 1,530.8 2,674.8 3,477.9 2,722.7 3,868.2 5,706.3 Debt Proceeds 0.0 0.0 0.0 0.0 0.0 0.0 Transfers from Operating Fund 1,246.8 2,250..0 3,750.0 3,750.0 3,750.0 3,750.0 Interest Income 9.8 16.4 15.7 24.0 30.1 17.4 Total Sources of Funds $1,256.6 $2,266.4 $3,765.7 $3,774.0 $3,780.1 $3,767.4 Uses of Funds Capital Improvements 1,530.8 2,674.8 3,477.9 2,722.7 3,868.2 5,706.3 Debt Issuance Expenses 0.0 0.0 0.0 0.0 0.0 0.0 Total Uses of Funds $1,530.8 $2,674.8 $3,477.9 $2,722.7 $3,868.2 $5,706.3 Ending Balance 1,518.1 1,109.7 1,397.5 2,448.8 2,360.7 421.8 [INTENTIONALLY LEFT BLANK] 65B -191 NOVEMBER ;1014 City of Santa Ana, CA I SEWER RATE STUDY Table 10: CIP Financing Plan -Scenario 1 Beginning Balance Sources of Funds Debt Proceeds Transfers from Operating Fund Interest Income Total Sources of Funds Uses of Funds Capital Improvements Debt Issuance Expenses Total Uses of Funds Ending Balance 1,792.3 1,518.1 1,109.7 =Y 16/17 1 FY 17/18 1 FY 18/19 0.0 0.0 0.0 0.0 13,500.0 0.0 0.0 0.0 1,246.8 2,250.0 500.0 500.0 525.0 525.0 9.8 16.4 76.3 125.7 92.2 39.8 $1,256.6 $2,266.4 $14,076.3 $625.7 $617.2 $564.8 1,530.8 2,674.8 3,477.9 2,722.7 3,868.2 5,706.3 0.0 0.0 607.5 0.0 0.0 0.0 $1,530.8 $2,674.8 $4,085.4 $2,722.7 $3,858.2 $5,706.3 1,518.1 1,109.7 11,100.6 9,003.6 5,752.6 611.1 Based on the proposed CIP summarized above, the Sewer Enterprise will need to issue debt through revenue bonds in FY 15/16 under Scenario 1 to allow the utility to catch up with deferred activities. The proposed debts is indicated above assume the following service terms: 20 -year payment period, 5.5 percent annual interest rate, 2 percent issuance expense, and issuance of a surety bond equal to 2.5 percent of the nominal debt issuance. Black & Veatch has further assumed that the rate covenant will require a 1.25 coverage ratio. Operating Fund Financing Summarized in Tables 11 and 12 are the proposed long -term operating financial plans for the Sewer Enterprise under each scenario. Table 11 summarizes the financial results should the City elect to carry out the CIP in the absence of revenue adjustments (Status Quo Scenario) and Table 12 shows the plan for the preferred option (Scenario 1). The intent of the financial plan is to generate sufficient funds to cover short-term and long -term expenses. Sources of revenue include sewer sales under existing rates, additional revenues realized from proposed rate adjustments, miscellaneous revenue and interest earnings on available balances. As mentioned, other miscellaneous revenue includes trust agency revenue, and security fee charges. Uses of funds include operation and maintenance expenses (including water purchases), routine capital outlay, debt service payments, and transfers to other funds such as the capital fund. BLACK & VEATCH I Sewer Rate Study 65B -192 33 34 65B -193 NOVEMBER 2014 SEWER RATE STUDY I City of Santa Ana, CA Table 11: Operating Fund Financing Plan - Status Quo Scenario PROJECTED 00r Revenue 1 Revenue from Existing Rates 5,280.9 5,268.0 5,268.0 5,268.0 5,268.0 5,268.0 Months Year Effective Rate 2 FY 14/15 4 0.0% 0.0 0.0 0.0 0.0 0.0 3 FY 15/16 12 0.0% 0.0 0.0 0.0 0.0 4 FY 16/17 12 0.0% 0.0 0.0 0.0 5 FY 17/18 12 0.0% 0.0 0.0 6 FY 18/19 12 0.0% 0.0 Increased Revenue Due to 7 Adjustments 0.0 0.0 0.0 0.0 0.0 0.0 8 Total Rate Revenue 5,280.9 5,268.0 5,268.0 5,268.0 5,268.0 5,268.0 Other Operating Revenue 9 Miscellaneous Revenue 0.0 18.0 18.0 18.0 18.0 18.0 10 Interest Income 22.0 38.3 0.0 0.0 0.0 0.0 11 Total Other Operating Revenue 22.0 56.3 18.0 18.0 18.0 18.0 12 Total Revenue $5,302.9 $5,324.3 $5,286.0 $5,286.0 $5,286.0 $5,286.0 Revenue Requirements 13 O &M Expenses 3,726.9 4,584.4 4,817.5 4,905.9 4,996.1 5,088.0 14 Routine Capital Outlay 146.8 38.3 1,378.3 38.3 38.3 38.3 Debt Service 15 Proposed Debt 0.0 0.0 0.0 0.0 0.0 0.0 16 Total Debt Service 0.0 0.0 0.0 0.0 0.0 0.0 Transfers 17 Transfer to NPDES Fund 264.0 263.4 263.4 263.4 263.4 263.4 18 Transfer to Capital Fund 1,246.8 2,250.0 3,750.0 3,750.0 3,750.0 3,750.0 19 Total Transfers 1,510.8 2,513.4 4,013.4 4,013.4 4,013.4 4,013.4 20 Total Revenue Requirements $5,384.5 $7,136.1 $10,209.2 $8,957.5 $9,047.8 $9,139.7 Operating Fund Balance 21 Net Cash Balance (81.6) (1,811.8) (4,923.2) (3,671.6) (3,761.8) (3,853.7) 22 Beginning Fund Balance 4,050.6 3,969.0 2,157.2 (2,766.0) (6,437.6) (10,199.4) 23 Cumulative Fund Balance 3,969.0 2,157.2 (2,766.0) (6,437.6) (10,199.4) (14,053.1) Target Minimum Fund Balance 24 (25 %O &M) +$1M Emergency 1,919.0 2,130.4 2,187.9 2,209.7 2,231.9 2,254.6 65B -193 NOVEMBER 2014 City of Santa Ana, CA SEWER RATE STUDY Table 12: Operating LINE EST. PROJECTED IN $000'S NO. DESCRIPTION FY 13/14 FY 14/15 FY 15/16 1 FY 16/17 1 FY 17/18 1 FY 18/19 BLACK & VEATCH I Sewer Rate Study 65B -194 35 . Revenue 1 Revenue from Existing Rates 5,280.9 5,268.0 5,268.0 5,268.0 5,268.0 5,268.0 Months Year Effective Rate 2 FY 14/15 4 8.8% 154.5 463.6 463.6 463.6 463.6 3 FY 15/16 12 8.8% 504.4 504.4 904.4 504.4 4 FY 16/17 12 8.8 %. 548.8 548.8 548.8 5 FY 17/18 12 8.8% 597.1 597.1 6 FY 18/19 12 8.8% 649.6 Increased Revenue Due to 7 Adjustments 0.0 154.5 968.0 1,516.8 2,113.9 2,763.5 8 Total Rate Revenue 5,280.9 5,422.5 6,236.0 6,784.8 7,381.9 8,031.5 Other Operating Revenue 9 Miscellaneous Revenue 0.0 18.0 18.0 18.0 18.0 18.0 10 Interest Income 22.0 39.2 23.1 16.7 18.4 26.2 it Total Other Operating Revenue 22.0 57.2 41.1 34.7 36.4 44.2 12 Total Revenue $5,302.9 $5,479.7 $6,277.1 $6, 819.5 $7,418,3 $8,075.7 Revenue Requirements 13 O &M Expenses 3,726.9 4,584.4 4,817.5 4;905.9 4,996.1 5,088.0 14 Routine Capital Outlay 146.8 38.3 1,378.3 38.3 38.3 38.3 Debt Service 15 Proposed Debt 0.0 0.0 188.3 1,129.7 1,129.7 1,129.7 16 Total Debt Service 0.0 0.0 188.3 1,129.7 1,129.7 1,129.7 Transfers 17 Transfer to NPDES Fund 264.0 271.1 311.8 339.2 369.1 401.6 18 Transfer to Capital Fund 1,246.8 2,250.0 500.0 500.0 525.0 525.0 19 Total Transfers 1,510.8 2,521.1 811,8 839.2 894.1 926.6 20 Total Revenue Requirements $5,384.5 $7,143.8 $7,195.9 $6,913.1 $7,058.2 $7,182.6 Operating Fund Balance 21 Net Cash Balance (81.6) (1,664.1) (918.8) (93.6) 360.1 893.1 22 Beginning Fund Balance 4,050.6 3,969.0 2,304.9 1,386.1 1,292.5 1,652.6 23 Cumulative Fund Balance 3,969.0 2,304.9 1,386.1 1,292.5 1,652.6 2,545.7 Target Minimum Fund Balance 24 (25 %O &M) +$1M Emergency 1,919.0 2,130.4 2,187.9 2,209.7 2,231.9 2,254.6 25 Debt Service Coverage 47.75 1.69 2.14 2.64 BLACK & VEATCH I Sewer Rate Study 65B -194 35 36 SEWER RATE STUDY I City of Santa Ana, CA The projected wastewater revenue under existing rates represents service, commodity, and strength charges at current rate levels that are subject to rate adjustments. Based on the existing revenue indicated, additional annual revenue adjustments are necessary to meet operating fund requirements and fiscal policy objectives. Adjustments are typically assumed to become effective July 1 of each fiscal year, except for FY 14/15, which assumes a March 1, 2015 effective date. Initial analyses indicate that rate increases are needed for the next five years as shown on Lines 2 through 6. Any changes to the capital- financing policies and /or CIP may alter these results since the operating fund helps supplement funds for traditional repair and replace projects. The resulting dollar impact of the proposed revenue adjustments are illustrated on Line 7. In addition to rate revenue, other operating and non - operating charges contribute to the income of the Sewer Enterprise. Typically, these revenue sources are minimal and volatile and are thus considered a constant in the revenue projections. A non - operating source includes interest income from the operating fund. Interest income is calculated using an interest rate of 1 percent in order to be conservative. Projected total O &M expense is shown on Line 13. The 0 &M expenses shown represent expenses associated with operating the wastewater system. Routine capital outlays are on Line 14. Under the proposed CIP scenario, Black & Veatch is proposing to cash - finance all R &R activities. As a result, no additional debt service is on Line 16. In the event that the City wishes to debt finance all or part of the CIP, all proposed bond issues are forecasted with 20 -year terms at an initial 5.5 percent. To date, the Sewer Enterprise has no outstanding bond debt obligations. Although the City transfers 5 percent of user charge revenues to the NPDES Fund prior to all other obligations, Black & Veatch is showing the NPDES Fund transfer on Line 17 to illustrate this activity. Funds transferred to the capital fund are used for capital projects and are shown on Line 18. Lines 21 through 23 summarize the impact to the ending fund balance for the Sewer Enterprise. A minimum target of 25 percent of 0 &M expenses plus any encumbrances serves as the minimum level of working capital that the Sewer Enterprise sets to have on hand for operational purposes. Finally, if debt exists, the debt service coverage ratio calculation is shown on Line 25 for relevant years. Summary of Revenues, Expenditures, and Obligations To maintain financial viability as an enterprise fund, the Sewer Enterprise's annual revenues must be sufficient to satisfy three elements: 1. Adequate cash flow to cover 0 &M, capital and debt obligations 2. Meet debt service coverage (DSC) covenants 3. Maintain reserve funds Long -term financial viability requires meeting all three elements. The need for revenue adjustments is either "cash flow' driven or "debt service coverage" driven depending on which of the first two elements creates the larger adjustment. Based on the analyses of revenues and revenue requirements, the Sewer Enterprise is a "cash- flow" driven. Whether cash -flow or coverage driven, it is clear that in order for the Sewer Enterprise to 65B -195 NOVEMBER 2014 City of Santa Ana, CA SEWER RATE STUDY address critical backlogged R &R projects, a rate revenue increase is needed As shown in Figure 5, should the City elect to maintain the status quo (do nothing), the Sewer Enterprise runs into a cash deficit position by FY15/16 and will not be able to address critical system needs. By the end of the Study Period, the Sewer Enterprise will have a ($14.1 million) deficit. Figure 5: Projected Revenues and Revenue Requirements — No Revenue Increases, Status Quo Projected Revenue and Revenue Requirements - Status Quo $ty $io $5 - -$5 -$10 -$15 -$20 M 2015 2016 2017 2018 2019 �O&M Expenses .__--. Routine Capital Outlay iiiiiiiiiiiiiiiiTransfers —46P— Revenue — •Target Cash Balance Cash Balance Delaying CIP activities does stretch out available cash; however, continued deferral of needed CIP projects also increases the probability, consequence and cost of asset failure. As a rough approximation, Black & Veatch estimated the cost of continuing to defer CIP projects using the methodology set forth in the American Society of Civil Engineers' (ASCE's) 2012 Failure to Act Economic Report for Water (FAC Report). The FAC Report notes that in addition to the actual repair /replacement costs, there are costs associated with payment of claims to impacted households and businesses. Additionally, if projects are deferred by several years, there is an economic loss due to loss of jobs, lost work days, business closures, traffic delays, street repairs, contamination of receiving waters, etc. Table 13 below summarizes the cost of not executing the proposed CIP using the FAC Report methodology. Note that the values presented in Table 13 do not include the cost of replacing the asset nor does it include fines that the State may impose for violating Waste Discharge Requirements (WDRs) should sanitary sewer overflows (SS0s) occur. State enforcement actions for WDR violations include fines of $10,000 per day plus $10 per gallon spilled (for spills over 1,000 gallons), and mandated CIP activities through a consent decree. BLACK & VEATCH I Sewer Rate Study 65B -196 37 38 SEWER RATE s -ru oy I City of Santa Ana, CA Table 13: Economic Impacts of Delaying Proposed CIP Households $129,700 - $1,078,500 Total household claim payments. Businesses $324,100 - $2,696,300 Total business claim payments. Local Economy $1,577,400 - $13,122,200 Range depends on the severity of breaks. Total $2,031,200- $16,897,000 Based on the analyses of revenues and revenue requirements, it is evident that regardless of the level of CIP activity, the Sewer Enterprise needs a rate revenue increase in order to meet revenue requirements and working capital reserve as a standalone enterprise. The suggested adjustments are summarized below for Scenario 1 in Table 14 and are shown on Lines 2 through 6 of Table 12. Table 14: Proposed Rate Adjustments — Scenario 1 FY 14/15 March 1 8.8% FY 15/16 July 1 8.8% FY 16/17 July 1 8.8% FY 17/18 July 1 8.8% FY 18/19 July 1 8.8% With these adjustments, the City should be able to accomplish its objectives under the assumption that no significant change occurs. While the financial plan should be a working document, the Sewer Enterprise will need to re- examine the rate structure prior to FY 18/19 to verify it is still adequate. The revenue requirements of the Sewer Enterprise consist of system O &M expenses, routine capital outlay for minor expenditures on equipment not financed from bond proceeds, debt service requirements on existing and proposed bonded debt, transfers to other funds, and reserve requirements to ensure that debt service coverage, rate covenant requirements, and adequate levels of working capital are met. As shown on Line 20 in Tables 11 and 12, total revenue requirements for the Sewer Enterprise increase during the study period and can be correlated with projected increases in staffing, inflationary factors and additional R &R requirements. For the Status Quo Scenario, the total revenue requirements will increase from a low of $7,136,100 in FY 14/15 to a high of $10,209,200 in FY 15/16. For Scenario 1, total 65B -197 NOVEMBER 2014 City of Santa Ana, CAI SEWER RATE STUDY revenue requirements range from $7,143,800 in FY 14/15 to $7,182,600 in FY 18/19. Subtracting total revenue requirements from total revenues results in the projected annual operating fund surpluses or deficits shown on Line 21. As of July 1, 2013, it was estimated that a beginning balance of $6.8 million was available for use in this fund. No additional monies were available for use in the capital funds. Cash financing of projects occurs through transfers from the operating fund as illustrated in Tables 11 and 12 on Line 18. The ending balance is shown on Line 23, while the minimum ending balance of 25 percent of operation and maintenance expense (90 days) is shown on Line 24. In addition to the minimum target of 25 percent of 0 &M expenses, Black & Veatch recommends that the City establish two additional reserve funds: an emergency fund and an R &R fund. Black & Veatch suggests that the initial funding level of the emergency reserve represent the approximate cost for repairing a major main break, which is about $1 million. Given the low level of main replacement, Black & Veatch believes that establishing an emergency reserve fund is a prudent measure and should be undertaken as soon as possible. Second, to help address future R &R needs, the City should start funding an R &R fund as soon as funds become available. The target level of funding for the R &R fund should be at least equal to one - year's depreciation expense or about $500,000. Applying a cumulative revenue adjustment of about 52 percent through to FY 18/19 should allow the Sewer Enterprise to achieve the desired target level of ending year -end balances and meet minimum working capital requirements. It should be recognized that the indicated percentage revenue increase discussed above are overall revenue increases. The results of the cost of service analysis presented later in this report may indicate that rate increases may vary from this average for the various customer classes with some classes receiving a greater than average increase, while others receive a less than average increase or perhaps a decrease. Test Year Revenue Requirements In analyzing the Sewer Enterprise's cost of service for allocation to customer classes, the annual revenue requirements for FY 14/15 is selected as the Test Year (TY) requirements to demonstrate the development of cost -of- service wastewater rates. BLACK & VEATCH I Sewer Rate Study 65B -198 39 40 S9bVE8 RATE STUDY I City of Santa Ana, CA COST OF SERVICE ALLOCATIONS The revenue requirements to be derived from rates and charges for wastewater service are summarized in Lines 1 through 12 of Table 14. In analyzing the Sewer Enterprise's cost of service for allocation to customer classes, the annual revenue requirements for FY 14/15 are selected as the Test Year requirements to demonstrate the development of cost of service (COS) wastewater rates. In determining the cost of service to be met from charges for wastewater service, we deduct income received from other sources that not subject to rate adjustments from the total revenue requirements. As a result, the total cost of service to be recovered from rates is shown on Line 12, Column 3. To facilitate understanding of the COS methodology uses the revenue requirements developed in the previous sections, as well as how to follow the flow of allocations, Table and Line references are included as appropriate. For example, the 0 &M expenses for TY 14/15 illustrated on Line 1 of Table 15 corresponds to Line 13 from Table 12. Table 15: Total Costs to be Recovered from Rates Column Reference [1] [2] ]3] Revenue Requirements 1,664,100 0 1,664,100 1 0 &M Expenses (Table 12, Line 13) 4,584,400 0 4,584,400 2 Debt Service 0 0 0 3 Transfers (Table 12, Lines 17,18) 0 2,521,100 2,521,100 4 Routine Capital (Table 12, Line 14) 0 38,300 38,300 5 Subtotal $4,584,400 $2,559,400 $7,143,800 Less Revenue Requirements met from Other Sources 6 Other Operating Revenue (Table 12, Line 11) 18,000 0 18,000 7 Interest Income (Table 12, Line 10) 39,200 0 39,200 8 Subtotal $57,200 $0 $57,200 Adjustments 9 Annual Cash Fund Balance (Table 12, Line 21) 1,664,100 0 1,664,100 10 Annual Rate Increase (Table 12, Line 7) (309,100) 0 (309,100) 11 Subtotal $1,355,000 $0 $1,355,000 12 Cost of Service to be Recovered from Rates $3,172,200 $2,559,400 $5,731,600 65B -199 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Functional Cost Components In developing an equitable rate structure, revenue requirements are allocated to the various customer classifications according to the cost of service rendered. Allocations of these requirements to customer classes of Wastewater should take into account flow, the number of customers, and other relevant factors. Customers are classified to reflect groups of customers with similar service requirements who can be served at similar cost. Each class represents a particular type of service requirement. For the purposes of the cost of service analysis, the customer classifications in this study include single family and multi- family residential, commercial, industrial, institutional, irrigation, and Outside City. These customer classes were assumed to exhibit similar types of system load characteristics. Allocation to Cost Components As a basis for allocating costs of service among customer classes, costs are first allocated to functional cost components, then allocated to cost categories, and subsequently distributed to customer classes. In this analysis, there are seven primary cost components: (1) base flow, or volume costs, (2) strength (BOD and TSS), (3) customer service (CS) billing costs and administration (CS /Billing), (4) Fats, Oils and Grease (FOG) Program costs, and (5) Lateral Repair Program costs. Each element of cost is allocated to functional cost components on the basis of the parameter or parameters having the most significant influence on the magnitude of that element of cost. For this Study, Black & Veatch reviewed historic data and conducted interviews with staff regarding allocation of time for specific activities. Additionally, Black & Veatch reviewed the City's budgeting process to understand budget line items and internal cost allocation schemes with respect to different operating sections within the Sewer Enterprise. Table 16 summarizes the percentage allocations to the COS factors estimated for the major cost categories. Table 16: Cost of Service Allocation Percentages Collection 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% General Plant 75.0% 5.0% 5.0% 15.0% 0.0% 0.0% Monitoring 50.0% 25.0% 25.0% 0.0% 0.0% 0.0% Net Plant 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% Other 80.5% 0.0% 0.0% 0.0% 0.0% 21.5% Allocation of Operation and Maintenance Expenses The allocation of O &M expense to cost functions is shown in Table 17. The net operation and maintenance expense to be recovered for wastewater sales is derived by deducting funds available from other sources from the total Test Year expense. Net Test Year operation and maintenance expense of BLACK & VEATCH I Sewer Rate Study 65B -200 41 42 SEWER RATE STUDY I City of Santa Ana, CA $3,172,200, which corresponds to Table 15, Line 12, Column 1 is shown allocated to the six primary cost components on Line 10. Note that routine capital outlay is excluded from 0 &M expenses as it is a capital element in that it deals with assets. Routine capital outlays are budgeted under 0 &M because of accounting rules governing capitalization activities, but from a COS- perspective, it is a capital - related item. Table 17: Allocation of 0 &M Expenses to Functional Cost Components in Thousands of Dollars Allocation of Capital Costs The estimated investment in wastewater and stormwater facilities is allocated to appropriate cost components as a basis for the further distribution of capital related costs to the various customer classes. The allocation of estimated plant investment serving wastewater customers for the Test Year is shown in Table 18. The total plant investment of $16,620,500 shown on Line 4 represents the estimated Test Year original cost less accumulated depreciation of plant in service. The allocation of specific items of investment to the cost categories, as shown, is made on the basis previously described and shown in Table 16. For example, collection items are related to flow and these 65B -201 NOVEMBER 2014 Personnel 1 (Collection) 1,900.9 1,232.4 0.0 0.0 0.0 0.0 668.5 Contractual 2 (Collection) 1,914.3 1,255.5 0.0 0.0 0.0 658.8 0.0 Commodities 3 (Collection) 252.2 252.2 0.0 0.0 0.0 0.0 0.0 Cross Charges 4 (Collection) 517.0 517.0 0.0 0.0 0.0 0.0 0.0 Transfers 5 (Monitoring) 0.0 0.0 0.0 0.0 0.0 0.0 0.0 6 Subtotal $4,584.4 $3,257.1 $0.0 $0.0 $0.0 $558.8 $668.5 Less Other Revenues Misc. Revenues 7 (Other) 57.2 44.9 0.0 0.0 0.0 0.0 12.3 Other Adjustments 8 (Other) 1,355.0 1,063.7 0.0 0.0 0.0 0.0 291.3 9 Subtotal $1,412.2 $1,108.6 $0.0 $0.0 $0.0 $0.0 $303.6 Net Operating 10 Expenses $3,172.2 $2,148.5 $0.0 $0.0 $0.0 $658.8 $364.9 Allocation of Capital Costs The estimated investment in wastewater and stormwater facilities is allocated to appropriate cost components as a basis for the further distribution of capital related costs to the various customer classes. The allocation of estimated plant investment serving wastewater customers for the Test Year is shown in Table 18. The total plant investment of $16,620,500 shown on Line 4 represents the estimated Test Year original cost less accumulated depreciation of plant in service. The allocation of specific items of investment to the cost categories, as shown, is made on the basis previously described and shown in Table 16. For example, collection items are related to flow and these 65B -201 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY investment costs are assigned to the volume cost component and further delineated by whether the asset is common -to -all or primarily serves specific customers. Table 18: Allocation of Net Capital Costs to Functional Cost Components in Thousands of Dollars Collection 0.0 0.0 0.0 1 (Collection) 16,065.1 16,065.1 0.0 Lift Stations 8.8 0.0 0.0 2 (Collection) 496.9 496.9 0.0 General Plant 1.4 0.0 0.0 3 (General Plant) 58.5 43.9 2.9 4 Subtotal $16,620.5 $16,605.9 $2.9 Capital Costs 5 (Table 15, Line 12) 2,559.4 2,557.2 0.4 Less Other Revenues Misc. Revenues 6 (Other) 0.0 0.0 0.0 Other Adjustments 7 (Other) 0.0 0.0 0.0 Net Capital 8 Expenses $2,559.4 $2,557.2 $0.4 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 2.9 8.8 0.0 0.0 $2.9 $8.8 $0.0 $0.0 0.4 1.4 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 $0.4 $1.4 $0.0 $0.0 Units of Service The total cost responsibility of each class of service may be established by developing unit costs of service for each cost function and assigning those costs to the customer classes based on the respective service requirements of each. Each customer class is allocated its share of base, strength, and direct costs. The number of units of service required by each customer class provides a means for the proportionate distribution of costs previously allocated to respective cost categories. Strength loadings (BOD and TSS) in milligrams per liter (mg/L) are estimates based on guidelines published by the Department of Water Resources. Use of these guidelines is acceptable when utilities do not have specific monitoring data. Summarized in Table 19 are the estimated units of service for the various customer classes. BLACK & VEATCH 1 Sewer Rate Study 65B -202 43 a V m Q G N N O v e1� :n w t- a'. u� 3 W N V ri O UI Z �n 0 c v a m N O o 0 0 0 $ O N r-I rl N N YI F i o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6 m in �n o vi vi o �n o 0 U N o o M O 0 o 0 V O N o0 WN o G W n °l h rl n N N l0 N N 1!1 ry� m l0 M v m n .i V ti 'i io ti N N N ry a m o O �c v ri 1p 0° M m w ^ m w 00 o a n a o ^ N w Lr 0 o 0 a 0 o o O 0 0 o 0 N U Lr N M m ^ a ry N v m °i ^ ° ri M m M M ti N M ^ 0 0 0 0 0 0 0 6 m in �n o vi vi o �n o O O O O O O O 0 U N o o M O 0 o 0 V O N o0 WN o G W n °l h rl n N N O O W N O O O O O O O 65B -203 O 0 w m w O Z e a O O O O O O O N V O a m o O �c v ri 1p 0° M m w 0 o 0 a 0 o o O 0 0 o 0 N U Lr N M o vt O W O O O W ri M ri M M ti N M ^ M n C W E O O O O S M W j `v N � a a v m ry c c o � - O 65B -203 O 0 w m w O Z e a City of Santa Ana, CA I SEWER RATE STUDY The wastewater collected by the Sewer Enterprise consists of two elements: (1) sanitary flow and (2) infiltration /inflow (1 /1) of storm runoff. Sanitary flow is that portion of the annual water use of each customer class estimated to enter the sanitary sewer system. Based on discussions with staff, it is estimated that the amount of flow entering the collection system through 1/1 is approximately 5 percent of the total treated wastewater volume. Since 1/1 is not attributable to a specific customer class, each class will bear its proportionate share of the costs associated with 1/1 in an equitable manner. For the purposes of this Study, 1/1 flow is assigned 70 percent to volume and 30 percent to connections (equivalent meters) Cost of Service Allocations Costs of service are allocated to the customer classes by application of unit costs of service to respective service requirements. Unit costs of service are based upon the total costs previously allocated to functional components and the total number of applicable units of service. Dividing the costs allocated to functional cost components by the respective total units of service requirements develops unit costs of operation and maintenance expense, and net capital costs. Unit Costs of Service Table 20 presents total Test Year O &M expense and net capital costs allocated to functional cost component as taken from Tables 17 and 18. Table 20: Unit Costs of Services with Costs in Thousands of Dollars Net Operating Expense 1 (Table 16, Line 10) Capital Costs 2 (Table 17, Line 8) Total Cost of 3 Service Units of Service In 000's (Table 4 18, Line 9) 5 Cost per Unit 3,172.2 2,148.5 0.0 0.0 0.0 2,559.4 2,557.2 0.4 0.4 1.4 $5,731.6 $4,705.7 $0.4 $0.4 BLACK & VEATCH I Sewer Rate Study 15,269.3 26,747.9 30,348.4 $1.4 658.8 364.9 0.0 0.0 $658.8 $364.9 261.5 13.2 261.4 $0.31 $0.01495 $0.01318 $0.01 $49.91 $1.40 per per per HCF 1,000 Ibs 1,000 Ibs per bill per bill per bill 65B -204 46 SEWER RATE STUDY I City of Santa Ana, CA Distribution of Costs of Service to Customer Classes The customer class responsibility for service is obtained by applying the unit costs of service to the number of units for which the customer class is responsible. This process is illustrated in Table 21, in which the unit costs of service are applied to the customer class units of service. [INTENTIONALLY LEFT BLANK] 65B -205 NOVEMBER Kl,4 City of Santa Ana, CA I SEWER RATE STUDY Table 21: Allocation of COS to Customer Classes BLACK & VEATCH I Sewer Rate Study 65B -206 Column Reference Ill [2) [3) [4] [5) (61 [7) per HCF per lbs per lbs per bill per bill per bill Cost per Unit 1 (Table 20, Line S) $0.31 $0.000015 $0.000013 $0.01 $49.91 $1.40 Single Family Residential 2 Units (Table 19) 6,444,300 9,510,600 9,510,600 211,464 0 211,464 Cost of Service 3 (Line 2 x Line 1) 1,752,200 1,750,600 200 200 1,200 0 295,300 Multi - Family Residential 4 Units (Table 19) 4,924,200 7,377,300 7,377,300 21,648 0 21,648 Cost of Service 5 (Line 4 x Line 1) 1,517,800 1,517,500 100 100 100 0 30,200 Commercial 6 Units (Table 19) 3,009,700 7,143,100 10,714,700 26,388 13,200 26,388 Cost of Service 7 (Line 6x Line 1) 927,800 927,500 100 100 100 658,800 36,800 Industrial 8 Units (Table 19) 684,200 1,438,300 1,438,300 498 0 498 Cost of Service 9 (Line 4x Line l) 210,900 210,900 0 0 0 0 700 Institutional 10 Units (Table 19) 838,400 1,245,600 1,245,600 1,356 0 1,356 Cost of Service 11 (Line 30 x Line 1) 258,400 258,400 0 0 0 0 1,900 Irrigation 12 Units (Table 19) 38,000 28,900 57,800 96 0 0 Cost of Service 13 (Line 12 x Line 1) 11,700 11,700 0 0 0 0 0 Outside City 14 Units (Table 19) 2,900 4,100 4,100 72 0 0 Cost of Service 15 (Line 14 x Line 1) 900 900 0 0 0 0 0 Reclaim Water 16 Units (Table 19) 91,400 0 0 12 0 0 Cost of Service 17 (Line 16 x Line 1) 28,200 28,200 0 0 0 0 0 TOTAL COSTS OF 18 SERVICE $5,731,600 $4,705,700 $400 $400 $1,400 $658,800 $364,900 BLACK & VEATCH I Sewer Rate Study 65B -206 sp, SEWER RATE STUDY I City of Santa Ana, CA Adequacy of Existing Rates to Meet Costs of Service Presented in Table 22 is a comparison of the allocated cost of service and revenue under existing rates for the system in total. The last column indicates the approximate adjustment rate levels necessary to recover 100 percent of the allocated costs of service. In recognition of the fact that having a FOG Program does provide benefits to all customers, 30 percent of the FOG costs are allocated to all customers. The shift in cost recovery shown in Table 22 results from allocating a portion of FOG program costs to food service establishments. Table 22: Comparison of Adjusted COS with Revenues under Existing Rates [INTENTIONALLY LEFT BLANK] 65B -207 NOVEMBER 201=] Column Reference 111 [21 [31 [41 151 1 Single Family 2,047,500 81,500 2,129,000 2,103,700 1.2% 2 Multi - Family 1,548,000 61,400 1,609,400 1,631,900 -1.4% 3 Commercial 1,623,400 (161,600) 1,461,800 987,500 48.0% 4 Industrial 211,600 8,400 220,000 227,200 -3.2% 5 Institutional 260,300 10,300 270,600 275,600 -1.8% 6 Irrigation 11,700 0 11,700 10,700 9.3% 7 Outside City 900 0 900 900 0.0% 8 Reclaim Water 28,200 0 28,200 30,500 -7.5% 9 Total System $5,731,600 $0 $5,731,600 $5,268,000 8.8% [INTENTIONALLY LEFT BLANK] 65B -207 NOVEMBER 201=] City of Santa Ana, CA I HEWER RATE STUDY PROPOSED RATE ADJUSTMENTS The initial consideration in the derivation of wastewater rate schedules for utility service is the establishment of equitable charges to the customers commensurate with the cost of providing that service. While the cost of service allocations to customer classes should not be construed as literal or exact determinations, they offer a guide to the necessity for, and the extent of, rate adjustments. Practical considerations sometimes modify rate adjustments by taking into account additional factors such as the extent of change from previous rate levels, existing contracts, and past local policies and practices. Existing Rates A summary of existing wastewater rates was presented earlier in Table 3. The existing rate structure is a commodity -only based rate for all customers. Unmetered customers pay a flat bi- monthly base charge. Proposed Rates The costs of service analysis described in preceding sections of this report provide a basis for the design of rates. At the request of the City, Black & Veatch has examined some alternative cost recovery rate schedules. The purpose of these changes is to increase transparency to ratepayers, as well as to provide funds for specific capital or operating activities. For example, the Sewer Enterprise provides lateral repairs to all customers who request this service. Previously, the City provided this service when funds are available. For this rate study, the City provided the average cost for lateral repairs and the proposed alternative rate schedule includes a specific charge intended to fund this program. In a similar manner, a capital recovery charge, intended to provide dedicated funds to address R &R needs is also being proposed in this study. The rate schedule shown in Table 23 reflects the rates for the entire study period. BLACK & VEATCH I Sewer Rate Study [INTENTIONALLY LEFT BLANK] 65B -208 SEWER RATE STUDY I City of Santa Ana, CA Table 23: Proposed Rates for FY 14/15 through FY 18/19 - Scenario 1 ®M®M®M®M®M® Option A- Existing Rate Structure Commodity Charge ($ /HCF) $0.345 $0.376 $0.031 $0.410 $0.034 $0.447 $0.037 $0.487 $0.040 $0.531 $0.044 All customers Flat Bi- Monthly Charge $13.80 $15.05 $1.25 $16.40 $1.35 $17.88 $1.48 $19.49 $1.61 $21.24 $1.75 Unmetered customers Option B - Proposed Alternative Structure Capital Recovery $0.50 $0.50 $0.55 $0.04 $0.59 $0.05 $0.65 $0.05 $0.70 $0.06 Charge ($ /month) Lateral Repair Program $0.70 $0.70 $036 $0.06 $0.83 $0.07 $0.90 $0.07 $0.98 $0.08 ($ /month) Commodity $0.345 0.304 ($0.041) $0.331 $0.027 $0.360 $0.029 $0.392 $0.032 $0.426 $0.034 Charge ($ /hcf) FOG Program ($ /month) $17.40 $17.40 $18.93 $1.53 $20.60 $1.67 $22.41 $1.81 $24.38 $1.97 Food Service accounts only Revenue Sufficiency Presented in Table 24 is a comparison of Test Year allocated cost of service with revenues under the suggested water rate structure (Option B). Test year costs of service are obtained from Table 22, Column 3 and the proposed rates recover essentially 100 percent of the total cost of service. s0 uoveaesEIa ;.l J, 65B -209 City of Santa Ana, CA I SEWER RATE STUDY Table 24: Revenues under Proposed Rates (Option B) for TY 14/15 (Effective March 1, 2015) COST RECOVERY Column Reference [1] [2] 131 1 Single Family Residential 2,129,000 2,145,000 100.8% 2 Multi - Family Residential 1,609,400 1,602,600 99.6% 3 Commercial 1,461,800 1,456,200 99.6% 4 Industrial 220,000 219,700 99.9% 5 Institutional 270,600 269,600 99.6% 6 - Irrigation 11,700 11,600 99.1% 7 Outside City 900 900 100.0% 8 Reclaim Water 28,200 28,200 100.0% 9 Total System $5,731,600 $5,733,800 300.0% Typical Bill Impacts Presented in Table 25 is a comparison of a single - family residential customer's typical bill for varying levels of water use. The table compares the existing customer bill to the two rate options presented for TY 14/15. A comparison to surrounding cities for 15 hcf (monthly) is shown in Figure 6. Table 25: Typical Bills for Single Family Residential Customer (Rates Effective March 1, 2015) 0 $0.00 $0.00 1 $0.35 $0.38 2 $0.69 $0.75 3 $1.04 $1.13 4 $1.38 $1.50 5 $1.73 $1.88 6 $2.07 $2.25 7 $2.42 $2.63 8 $2.76 $3.00 9 $3.11 $3.38 10 $3.45 $3.75 11 $3.80 $4.13 12 $4.14 $4.50 13 $4.49 $4.88 BLACK & VEATCH I Sewer Rate Study $0.00 $2.40 $2.40 $0.03 $2.70 $2.36 $0.06 $3.01 $2.32 $0.09 $3.31 $2.28 $0.12 $3.62 $2.24 $0.15 $3.92 $2.20 $0.18 $4.22 $2.15 $0.21 $4.53 $2.11 $0.24 $4.83 $2.07 $0.27 $5.14 $2.03 $0.30 $5.44 $1.99 $0.33 $5.75 $1.95 $0.36 $6.05 $1.91 $0.39 $6.35 $1.87 65B -210 52 SEWER RATE STUDY I City of Santa Ana, CA 14 $4.83 $5.25 $0.42 $6.66 $1.83 15 $5.18 $5.63 $0.45 $6.96 $1.79 16 $5.52 $6.00 $0.48 $7.27 $1.75 17 $5.87 $6.38 $0.51 $7.57 $1.71 18 $6.21 $6.75 $0.54 $7.87 $1.66 19 $6.56 $7.13 $0.57 $8.18 $1.62 20 $6.90 $7.50 $0.60 $8.48 $1.58 21 $7.25 $7.88 $0.63 $8.79 $1.54 22 $7.59 $8.25 $0.66 $9.09 $1.50 23 $7.94 $8.63 $0.69 $9.40 $1.46 24 $8.28 $9.00 $0.72 $9.70 $1.42 25 $8.63 $9.38 $0.75 $10.00 $1.38 26 $8.97 $9.75 $0.78 $10.31 $1.34 27 $9.32 $10.13 $0.81 $10.61 $1.30 28 $9.66 $10.50 $0.84 $10.92 $1.26 29 $10.01 $10.88 $0.87 $11.22 $1.22 30 $10.35 $11.25 $0.90 $11.53 $1.18 31 $10.70 $11.63 $0.93 $11.83 $1.13 32 $11.04 $12.00 $0.96 $12.13 $1.09 33 $11.39 $12.38 $0.99 $12.44 $1.05 34 $11.73 $12.75 $1.02 $12.74 $1.01 35 $12.08 $13.13 $1.05 $13.05 $0.97 36 $12.42 $13.50 $1.08 $13.35 $0.93 37 $12.77 $13.88 $1.11 $13.65 $0.89 38 $13.11 $14.25 $1.14 $13.96 $0.85 39 $13.46 $14.63 $1.17 $14.26 $0.81 40 $13.80 $15.00 $1.20 $14.57 $0.77 65B -211 NOVEMBER 2014 City of Santa Ana, CAI SEWER RATE STUDY Figure 6: Monthly Single Family Residential Bills (25 HCF usage) ._ Single Family Residential Customer using 15 HCF /month Sewer Bill . - - -- - - -- - -- Serrano WD I City of Seal Beach South Coast WD City of Fullerton City of San Juan Capistrano Moulton Niguel WD Santa Margarita WD Irvine Ranch WD Laguna Beach CWD City of San Clemente City of Cypress City of Garden Grove City of Tustin City of Newport Beach City of Huntington Beach City of Brea Mesa WD City of Westminster City of La Habra City of Fountain Valley City of Santa Aria (Proposed) Yorba Linda WD City of Stanton City of Placentia City of Santa Ana (Existing) City of Anaheim City of Buena Park City of La Palma East Orange CWD Retail Zone City of Orange City of Long Beach SUMMARY $0 $20 $40 Average Survey Bill = $40.81 $60 $80 $100 Based on the results of the analyses conducted herein, Black & Veatch recommends that the City implements, at minimum, the revenue adjustments proposed in Table 12. These revenue increases are based on the City executing the proposed CIP program, which includes the suggested R &R improvements noted in Appendices A through C. Additionally, the revenue increases allow the City to reach the suggested minimum working capital levels by the end of the study period. With respect to the proposed rate structures, although either option will achieve the desired total cost recovery, Option B does provide greater revenue stability for the Sewer Enterprise Fund. BLACK & VEATCH I Sewer Rate Study 65B -212 $120 SEWER RATE STUDY I City of Santa Ana, CA Appendix A: Refurbishment & Replacement Program 65B -213 City of Santa Ana, CA I SEWER RATE STUDY As part of the scope of work conducted for this study, Black & Veatch assisted the City in developing an appropriate Refurbishment and Replacement (R &R) level of funding for the Sewer Enterprise. The following sections outline the approach undertaken for this effort and the basis for the suggested levels and timing of R &R activities. CAPITAL ASSET VALUATION AND REFURBISHMENT AND REPLACEMENT NEEDS EVALUATION METHODOLOGY The purpose of identifying future Refurbishment and Replacement (R &R) needs and costs is to estimate the required level of capital funding needed to maintain the Sewer utility infrastructure systems in sound operable condition and to meet the level of service expectations of the City over the next several years (defined as "modeling period" within this analysis). Black & Veatch used a 30 years modeling period for the analysis conducted herein. Methodology In this section, Black & Veatch outlines the approach that was used projecting future capital asset R &R schedules; estimated costs for the Water and Sewer infrastructure managed by the City; and value of installed Utility Historical Asset Performance City assets. ,i Black & Veatch conducted an R &R needs evaluation using an industry- accepted approach to project the R &R activities over a 30 -year period to support the development of a reserve funding strategy and financial recommendations. By projecting the expected useful life and intervals between major refurbishment of assets from their original installation year, then aggregating all R &R activities for each year, Black & Veatch developed an estimate of capital expenditure needs and then used these estimates as input to the development of appropriate funding strategies. A methodical and consistent approach to evaluating R &R activities involves using an asset class library, as described below to manage the inputs of projected R &R by each class and associated estimated costs. The graphic to the right illustrates Black & Veatch's approach. Class Based Useful Life • Adjust for Utility Use /Duty • Adjust for Age • Calculate Remaining Useful Life 11 Condition & Performance Adjustment • Adjust Remaining Useful Life Target Replacement Year • Risk Based Lowest • Remaining Useful Life MediumfLongJerm Needs Refurbishment & Replacement Schedule • Implementation Scheduled • Budget Development of Asset Class Library Black & Veatch undertook a review of each asset inventory for the City's sewer assets. Based on this review, Black & Veatch developed a draft asset class listing for input into the Asset Class Library described below. 'Asset Classes" are logical units of assets. In the context of R &R modeling, asset classes are those assets having a similar function, cost structure, and useful lives and refurbishment intervals. The Asset Class Library provides the listing of asset classes and the various components that define the R &R schedule for the particular asset including; useful lives, refurbishment program definitions and intervals and replacement schedules and estimated costs. Black & Veatch developed a draft Asset Class BLACK & VEATCH I Appendix A Refuroshment & Repiecerr; .nt Program 65B -214 Y7 SEWER RATE STUDY I City of Santa Ana, CA Library based on our knowledge of similar systems and specific asset types. The draft Asset Class Library was then refined through collaboration with the City staff with system- specific familiarity, to reflect the best appropriate information for use in the R &R analysis. The components of each of the asset classes were presented in detail in draft form, then finailized based on discusion of the asset class details, and any follow -up research on costs, types of assets and related information. Using this method, the resulting class library developed for the City incorporates Black & Veatch's experiences with other agencies, as well as City- specific experience with each asset class. For the City's asset class library, Black & Veatch developed the following elements, which are available for viewing within the Comprehensive Asset Management Prioritization System (CAMPS). Expected useful lives For each defined asset class, and for each specific asset where required, appropriate expected useful lives were developed for these assets. Black & Veatch defines useful life as the number of years of normal use that can be expected prior to replacement becoming necessary. It should be noted that some assets would be expected to fail before and after the estimated useful life, however, this approach provides planning level funding needs when averaged over a 5, 10, 15, or 20 year smoothing period. These estimates are based on our industry experience, manufacturers' estimates, previous literature research, and our work for other agencies. Adjusted useful lives, based on Condition Monitoring The expected useful life of the asset is an average expected life for that asset class, as described above. The CAMPS database contains the functionality for the City to identify assets that are in need of immediate or near -term (next 1 -2 years) replacement, by indicating a condition rating of '1' within the asset registry. Similarly, CAMPS contains the functionality for Staff to indicate assets as being in very good condition, using a rating of '3' within the asset registry. Presented below are examples of each of these cases illustrating how users can adjust the expected useful life of a specific asset to reflect a more detailed knowledge of the assets. Case #1: Asset with an Assessed Condition Rating of 1 (Poor Condition) A sewer pump (associated with a lift station) was placed in service in 2002, with a class life of 30 years. At the time of the analysis, 2012, the pump is 10 years old and should be expected to operate effectively for another 20 years. If the pump has been assessed at a poor condition (rating = 1), then an adjustment is made to indicate more urgent replacement, or analysis year+ 1 year. Algorithm used by the CAMPS model: c, If Condition Rating= 1, then use current year+ 1 for Replacement Year Case #2: Older Asset with an Assessed Condition Rating of 3 (Excellent, or like new condition) A sewer pump was placed in service in 1987, with the same class life of 30 years. In this case, the pump is 25 years old and expected to last until 2017. If the pump has been assessed at a like 65B -215 NOVEMBER 2014 City of Santa Ana, CA SEWER RATE STUDY new condition (rating = 3), then an adjustment is made to extend the life of the asset an additional 50% of its class life (or 15 years) to a target replacement of 2032. Algorithm used by the CAMPS model., If Condition Rating = 3, then compare (calculate Remaining Useful Life = Replacement Year - Current Year) with (calculate (50% x Useful Life) +Current Year) and use largest value for Replacement Year. To continue to refine and improve these class -based useful life estimates, which have a large impact on funding strategy analysis, Black & Veatch recommends initiating an infrastructure risk analysis and condition - monitoring program. Leading asset management practices within the infrastructure management industry are to monitor the condition of assets, using a prioritization approach. Such an approach may consist of beginning with those assets where assets are past or nearing the end of their expected useful. Another key element in risk management would be to conduct condition monitoring on those assets posing the greatest risk to the City, should the asset fail. Provided later in this report is further discussion of risk analysis and condition monitoring. Refurbishment programs, intervals and cost Most asset classes require various capital refurbishments on a cyclic basis in order to sustain or extend the asset's useful lives. Pump stations, for example, can be expected to undergo pump refurbishment, motor overhaul, replacement of electric components, and mechanical overhaul at intervals shorter than the cycle for the replacement of assets themselves. Appropriate refurbishment intervals and costs that are considered major (non - operational /annual) expenditures, were developed for specific asset classes. Replacement costs For each asset class and for specific assets where required, Black & Veatch estimated the base -year (FY2013) replacement cost. Black & Veatch's estimates are based on the experience of our engineers, construction cost estimates recently prepared for other clients, industry standards, and our experience with other agencies. Where possible, replacement costs, were defined in terms of unit costs to facilitate the class -based estimating approach (examples include dollars per foot of various types of pipe, dollars per gallon for storage facilities, and dollars per square foot for buildings of various classes). For Governmental Accounting Standards Board (GASB) 34 compliance, Black & Veatch has included factors to include ancillary costs such as planning, design, site development, and internal administrative costs where appropriate for the types of assets. The Asset Class Library, along with the asset inventory were the key input for projecting capital asset R &R needs. DEVELOPMENT OF REFURBISHMENT AND REPLACEMENT SCHEDULES AND COSTS Black & Veatch used its Comprehensive Asset Management Prioritization System (CAMPS) Model in conjunction with risk profile analysis to develop the R &R schedules presented in this report. The R &R BLACK & VEATCH I Appendix A'. Refurbishment & Replacement Program 65B -216 33 SEWER RATE STUDY I City of Santa Ana, CA schedules project the capitalized refurbishment, and replacement costs (in 2012 dollars) needed to sustain the sewer infrastructure managed by the City. Black & Veatch then escalated costs for each specific R &R activity to the expected year of R &R expenditure. Next, we then summed the total estimated R &R costs for all assets and each modeled year to project future capital funding needs and to develop reserve fund development strategies. DEVELOPMENT OF VALUATION OF CAPITAL ASSETS Black & Veatch also used the CAMPS tool to calculate a current depreciated value for each capital asset within the asset inventory based on the Reproduction Cost New Less Depreciation (RCNLD) methodology. This methodology values assets at their current reproduction costs (2012 Dollars) and calculates depreciation based on this estimated cost, the original year in service, reasonable estimates of useful lives, using a straight -line approach. Reasonable estimates of expected useful lives are determined using the same approach described previously, including the use of class lives and adjustments to class lives based on condition assessment data. Presented below are examples of valuation calculations. Case #1: Valuation based on Class Life A 20 hp sewer pump and motor (associated with a lift station) was placed in service in 2002, with a class life of 15 years. At the time of the analysis, 2012, the pump is 10 years old, approximately 2/3 of its expected useful life. The asset is valued at $16,000 and has depreciated approximately 2/3 of its value, using a straight -line approach. The current 2012 value for this asset would then be approximately $5,333. Case #2: Valuation based on Condition Rating A 20 hp sewer pump and motor (associated with a lift station) was placed in service in 2002, with a class life of 15 years. At the time of the analysis, 2012, the pump is 10 years old, but staff has assessed the condition of the asset as poor (condition rating of 1). With the adjustment of the expected useful life according to the algorithm described in the Adjustments to Useful Life Based on Condition Monitoring discussion above, the asset has approximately 1/15 of its original value, or approximately $1,067. Financial, land and intangible assets were not included in the inventory or in this analysis. CAPITAL ASSET INVENTORY, ASSET CLASS LIBRARY AND REPLACEMENT SCHEDULE DATABASE DEVELOPMENT Asset Inventory The City provided several asset inventories that Black & Veatch then evaluated, summarized and then compiled into a single database to facilitate the development of R &R schedules and costs, using the methodology described previously. Inventory Data Sources Asset Inventory data records for the plant facilities were obtained from the City's Geographical Information System (GIS). Additionally, asset inventory data records for the above ground infrastructure 65B -217 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY assets use historical data captured by City staff from various different historical records. The City's GIS and historical records provided material type and /or size, year in service and quantity for the infrastructure assets. Black & Veatch undertook a gap analysis of the provided asset inventory data, to identify missing data. Using our experience with similar facilities, and as validated with City staff familiar with specific assets, Black & Veatch derived useful lives, R &R schedules and costs for the water and sewer assets. Asset Class Library Contents Black & Veatch used CAMPS to model R &R needs for sewer infrastructure asset classes. To support this modeling effort, Black & Veatch developed an asset class library consisting of asset class definitions, expected useful lives, and unit costs for each asset class to project in a methodical and consistent manner the timing of R &R of assets and estimated costs to support the reserve funding strategy analysis. Described below are Black & Veatch's assumptions in developing the Asset Class Library that forms the basis for projecting the R &R schedules and costs and contained within CAMPS. Sewer Infrastructure System Sewer system assets consist of collections and conveyance assets. The sewer infrastructure asset classes were defined by Black & Veatch and grouped into the following categories, as described further below. 6 Sewer Gravity Pipe " Sewer Lift Stations, Pumping and Related Equipment Table A 1 presents the expected useful life for sewer infrastructure system assets below for each asset class. Table A -1: Sewer System Expected Useful Lives BLACK & VEATCH I Appendix A: Refurbishment & Replacement Program 65B -218 Lift Station Concrete Sump and Miscellaneous Items (non - pumping LIFT equipment) 75 PUMP—WW Pump and Motor (non - submersible) for Wastewater 10 PUMPS—WW Submersible Pump for Wastewater 10 SEWM ABS Sewer Mains made of ABS pipe 40 SEWM. DI Sewer Mains made of Ductile Iron pipe 75 SEWM FELT Sewer Mains made of Felt -lined pipe 75 SEWM FFPVCL Sewer Mains made of FFPVCL pipe 75 SEWM_FIBER Sewer Mains made of Fiber pipe 75 BLACK & VEATCH I Appendix A: Refurbishment & Replacement Program 65B -218 60 SEWER RATE STUDY I City of Santa Ana, CA SEWM_HDPE Sewer Mains made of HDPE pipe 75 SEWM_PCC Sewer Mains made of PCC pipe 75 SEWM_PVC Sewer Mains made of PVC pipe 75 SEWM .SPIRAL Sewer Mains made of Spiral pipe 75 SEWM UNK Sewer Mains made of unknown material 60 SEWM VCP Sewer Mains made of VCP pipe 100 Sewer Gravity Pipe The sewer gravity pipe asset class incorporates both pipe and maintenance holes and any end of the line cleanouts. Black & Veatch grouped these assets together for design and construction practicality purposes. Therefore, the replacement costs estimated for sewer gravity pipe includes the costs for both the pipe and maintenance holes. Table A 2 summarizes the replacement costs for the various material types and sizes of sewer pipe. Where possible, Black & Veatch used current construction estimates available from projects in the surrounding area. Table A - 2: Sewer Pipe Replacement Sizes and Costs 3 $127.96 21 $295.75 4 $137.69 24 $338.63 6 $157.15 27 $379.31 8 $176.61 30 $400.20 10 $196.07 33 $429.88 12 $195.70 36 $448.57. 14 $234.99 39 $468.36 15 $220.99 42 $498.05 18 $257.27 Sewer Pumping Facilities Table A 3 ummarizes the R &R cost parameters of this asset class. Table A 4 lists the refurbishment activities, costs and intervals associated with sewer pumping facilities. All figures are in 2012 dollars. We note that the assets listed in the tables below assume 'like" replacements. That is, if a 20 hp pump requires replacement, the value provided is for a similar 20 hp pump but in estimated 2012 dollars. 65B -219 NOVEMBER 2014 City of Santa Ana, CA I SEYa FfR RATr TfUO Table A - 3: Sewer Pumps /Motors Replacement Costs — 2012 dollars 1 10 $14,600 11 30 $18,000 Pumps (hp) 31 100 $24,800 101 250 $49,500 Table A -4: Misc. Assets Replacement Costs— 2012 dollars Lift Station $84,400 Non - System - Specific Assets Black & Veatch developed several asset classes to group like assets within the asset inventory that are associated with multiple infrastructure systems. Tables A 5 through A 7 present the expected useful lives and replacement costs for these non - system specific asset classes. All costs are in 2012 dollars. We note that the assets listed in the tables below assume "like' replacements. Table A - 5: Non System- specific Expected Useful Lives GENF Water, Sewer Fixed generators w/Transfer Switch 60 GENPLG Water, Sewer Gen Set Plug and Transfer Switch for Portable Generator 20 Table A -6: Generator Replacement Costs— 2012 dollars 1 100 $63,000 Generator - Fixed 101 200 $112,600 201 400 $250,000 Table A- 7: Miscellaneous Assets Replacement Costs — 2012 dollars Gen Set Plug $11,300 BLACK & VEATCH I Appendix A: Refurbishment & Replacemsnr Program 65B -220 rf: SEWER RATE STUDY I City of Santa Ana, CA Refurbishment Intervals and Schedule Capital refurbishment activities were identified for specific assets where major (non - operational /annual) expenditures would be required to maintain the intended useful life of the asset. For each of these refurbishments, defined intervals and costs were developed for specific asset classes, as presented in Table A 8. Table A -8: Assets Refurbishment Intervals and Costs -2012 dollars Pressure Major refurbishment (valves, gaskets, PRV Reducing 20 30% Vault mist. piping, controls) PUMP W Major refurbishment (seal replacement, W— Pump (Sewer) bearing replacement, shaft sleeve repair, 5 30% rewind, varnish and bake, etc.) PUMPS_ Submersible Major refurbishment (seal replacement, WW Pump (Sewer) bearing replacement, shaft sleeve repair, 5 30% rewind, varnish and bake, etc.) STRN Structure Misc. rehabilitation (e.g., paint, fix up 15 10% stucco, etc.) CAPITAL ASSET VALUATION AND SCHEDULE OF R &R NEEDS AND ESTIMATED COSTS A common practice used in the industry to determine a baseline value for R &R needs is to take the estimated replacement cost asset value, adjusted for depreciation, and then apply a depreciation calculation. This approach is acceptable when a utility has performed no system condition assessments. In the following sections, Black & Veatch presents suggested R &R schedules for the Water and Sewer Enterprises. Where available, Black & Veatch used condition assessment data and developed risk profiles to more accurately reflect replacement needs. Capital Asset Valuation Summary The valuation of Sewer system infrastructure capital assets was developed using the asset class -based methodology to estimate replacement costs (in FY2012 dollars), then adjusted for depreciation (straight - line). Table A 9 presents the estimated replacement cost and depreciated FY2012 value for capital assets for each of the systems. 65B -221 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Table A - 9: Asset Valuation by System Sewer $499,433,649 $232,229,889 46% 1. Replacement Costs (in 2012 dollars) are calculated using the unit costs presented in within this report applied to all assets Water and Sewer assets. 2. The asset valuation methodology (RCNLD) represents an estimate of total infrastructure value, accounting for depreciation of assets. A comparison of the current infrastructure value with the total replacement cost in Table A 9 is an indicator of overall infrastructure age, and represented as a Value Ratio. The value ratio is calculated as the Asset Value divided by Replacement Cost. Total System Capital Asset Schedule of R &R Needs Using the R &R needs forecasting methodology described previously, Figure A 1 illustrates the overall R &R needs identified projected over a 30 -year period, beginning with FY2013 for the combined Water and Sewer Enterprises. Figure A -1: Annual Capital Asset R &R Needs for Water and Sewer Assets over 30 -Year Period *Costs have been escalated to the year of R &R, using a 3% escalation from FY2013 Observations 1. There were a significant number of assets that were modeled to be beyond their Class -Based Useful Life (Approx $37M). Of this total, 99% are for Water and Sewer mains. 2. Of this 99 %, 76% are for Water mains, which have no condition assessment information (Approx $28M). 3. R &R needs profiles for R &R vary considerably between Water and Sewer system assets. BLACK & VEATCH I Appendix A: Refurbishment & Replacement Program 65B -222 64 SEWER RATE STUDY I City of Santa Ana, CA Table A 10 summarizes the total funding needs identified during the 30 -year model period by infrastructure group based on available information. Table A - 30: Total Modeled R &R 30 Year Costs Sewer Sewer $1,337,400 Sewer Mains and Lift Stations $118,765,100 Total Sewer System $120,102,500 *Costs have been escalated to the year of R &R, using a 3% escalation from FY2013 As identified above, each system has a unique profile of Capital Asset R &R needs that is dependent on overall age of the infrastructure, type of infrastructure assets (predominantly short or long asset lives), and detailed asset knowledge as determined through inspections. Figure A 2 illustrates this unique profile for the Sewer system. Figure A- 2: Annual Capital Asset R &R Needs for the Sewer System *Costs have been escalated to the year of R &R, using a 3% escalation from FY2013 As discussed earlier, R &R schedules derived using depreciation methodologies are a good tool when condition assessment data is not available. For the City, some information for sewer mains exist and as such, Black & Veatch made refinements to the schedules proposed above. R &R projections for all other assets remain until the City has completed its condition assessment work for aboveground assets. 65B -223 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Appendix B: Sewer CIP Prioritization Process BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -224 66 SEWER RATE STUDY I City of Santa Ana, CA INTRODUCTION Making informed decisions to maximize the integrity of a utility's infrastructure in today's economic and business environment can be a challenging task. In many cases, a utility's greatest ally is existing information about their infrastructure. By tapping into existing datasets and staff knowledge, critical information can gleaned about the condition and life expectancies of their facilities; and these can be related to ever - changing business drivers, operational strategies, and budgetary priorities. Capital improvement planning (CIP) for the outside plant assets can also be a challenge. In many cases direct visual inspection of the assets may not be possible or economically feasible. Therefore, condition assessments must rely mostly on existing information and indirect assessments. The process typically evaluates a variety of information such as pipe materials, main break rates, CCTV inspection data, installation dates, soil conditions, proximity to sensitive customers, hydraulic model results, etc. In many cases the most accessible and usable data is from the utility's Geographic Information System (GIS) and /or asset management database(s). This data is used to assist in prioritizing facilities for inspections and /or renewal based on criticality, life- expectancy, and /or geographic boundaries (e.g. City Council boundaries). CIP FOR OUTSIDE PLANT ASSETS The general approach to capital improvement planning for the outside plant assets typically follows a multi- stepped process. For the City's pipeline assessment, a set of GIS -based tools and processes were used. Combined, these are called 1CIP" for interactive Capital Improvement Planning. The typical steps include: 1. Compile source data for the assets to be evaluated in the study. This often includes the utility's GIS and /or asset management database(s), a variety of spreadsheets, and input from the utility's staff. 2. Review source data to gain an overall understanding of the quantity and quality of the data. Special attention is given to missing or conflicting information. This data is also evaluated to determine which sources are suitable for CIP assessment and which data appear to provide insight into the past, current or future condition of the assets. 3. Organize source data into a logical data structure suitable for further analysis. 4. Perform both spatial and non - spatial assessments to identify statistically- significant trends. Much of this is considered "exploratory" as relationships between things like pipe material, break frequencies, and soil conditions are often not readily apparent. In many cases only a cursory review of these relationships can be performed due to time and budget constraints, or lack of sufficient source data. 5. Identify key Probability of Failure (POF) criteria based on the initial review of source data. PoF is also known as Likelihood of Failure (LoF). These typically include such factors as: a. Main breaks, Sewer Blockages b. Customer Complaints c. Soil Conditions d. Pipe Diameter and Material e. Pipe Age / Remaining Life f. Pipe Inspections / Condition 65B -225 NOVEMBER 2014 City of Santa Ana, CAI SEWER RATE STUDY g. Hydraulic Capacity 6. Identify key Consequence of Failure (CoF), also known as criticality criteria. These typically include such direct or indirect factors as: a. Effect on Customers (from size of pipe, number of services impacted, etc.) b. Asset redundancy c. Proximity to critical roads, water sources, environmental areas, etc. d. Critical customers e. Public Health & Safety f. Financial impacts 7. Calculate overall Business Risk Exposure (BRE) for each asset. The BRE score is a product of the PoF times the CoF scores. This score is an informative indicator of facilities that will likely require higher levels of attention. It is typically based on a 1 to 100 scale metric. 8. Generate resulting tables, graphs and output maps to further identify trends and recommendations. Typical facility replacement cost look -up tables are then used to determine overall budgetary estimates and schedules. By plotting the PoF and CoF scores on the two axes of a graph, the relative level of risk can be readily apparent. Figure B 1 below provides an example risk heat map graph. Higher probability of failure assets are plotted near the top. Higher consequences of failure assets are plotted to the right. Suggested possible action plans appropriate to the levels of risk are also included in this chart. 9. As a final step in the CIP assessment, individual capital improvement projects can then be identified. These projects area often based on the identification of high -risk assets and then grouping those assets that are in close proximity. The City's sewer collection system and water distribution system were evaluated using this process. Since the overall focus of this study was to identify likely pipe replacement cost estimates for a budgetary plan and schedule, many of these investigations were performed at a relatively high level. It is recommended that the City review these results and refine the assessments as additional source data becomes available. [INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -226 68 SEWER RATE STUDY 1 City of Santa Ana, CA Figure B- 1: Example Risk Heat Map Graph Relating PoF and CoF Scores Probability of Failure 1 2 3 4 5 6 7 8 9 10 10 9 Q) 8 LL 7 w 0 v 6 V v 5 7 v 4 c V O 3 2 1 10 20 1 30 40 517 1 "' I —_ 1 80 90 ( 100 Replace / Redesign 9 18 27 36 4! Strategy 77 11 Economic Based ) 48 5 72 90 8 80 Replacement Strategy e 7 14 Li to 15 4 SLOt 56 63 70 6 12 18 24 3 SS 42 4R [;a 60 predictive 5 10 15 e J`'��e d� 30 35 Monitoring SO 4 8 teas 20 24 1 28 Strategy 40 12 15 Condition 24 27 30 Monitoring Runto i 8 10 Strategy 16 18 20 Failure 4 5 6 7 8 9 10 GENERAL ASSUMPTIONS AND OBSERVATIONS During the source data review, condition assessment and planning analysis, various assumptions were made to permit further evaluation. Many of these were necessary due to limitations in the existing data such as missing or conflicting pipe attributes, limited inspection data, or similar constraints. For example, the timing of pipeline lining is often unclear. The association of water break data to the correct asset was also not precise. Although good engineering judgment was used in the analysis of historic pipeline condition data, an unknown level of inaccuracy exists. Due to the limited quantity and quality of source data, further investigation is recommended before making specific rehabilitation or replacement decisions. The following list includes many of the general assumptions and observations made during the planning assessment on the sewer outside -plant network system. Additional comments are included in specific sections of this document. • Only sewer mains were considered in this assessment. The condition of manholes, service laterals, lift stations, etc. were not addressed. • Pipeline Type = "PRIV" or "ABAN" were omitted from the sewer analysis. • Pipe segments with zero length were omitted from the analysis. • The timing of pipeline lining is often unclear. Therefore, it was assumed that any CCTV inspection data referred to the pipe conditions prior to lining. Once lined, the pipe was assumed to have been "fixed" and currently be in very good structure condition. • Based on the GIS source data provided, it appears that zero water or sewer pipe was installed in 2010; even though 47 water main breaks occurred that year. 65B -227 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY SEWER COLLECTION SYSTEM CIP ANALYSIS Sewer System Statistics For the purpose of this condition assessment / rate study, only the sewer mains were evaluated. Sewer laterals, manholes, lift stations, etc. were not evaluated. However, their costs were included in future replacement forecasting as part of the combined pipe replacement cost as applicable. Source data was primarily provided from Santa Ana's GIS system. Additional data was provided in spreadsheets, text files, and /or from communications with City staff. According to the City's GIS database, the sewer collection system contains about 446 miles of sewer mains. This total includes all pipeline types including pipes owned by Orange County Sanitation District (OCSD), or jointly managed under a cooperative agreement with Garden Grove (COGG) or Orange County Sanitation District (COOP). These pipeline assets were included in the initial historic assessment so as to gain the most complete past evaluation of pipe conditions. However, for future replacement forecasting, the abandoned and private lines were excluded from the analysis based on the assumption that the City would not be replacing these assets. Pipe Material By far, the most predominant pipe material in the sewer collection system is Vitrified Clay Pipe; making up nearly 90 percent of the system. Material percentages (by length) are indicated in Figure B 2. Figure 8- 2: Sewer Pipe Material Percentages (by Length) ■ VCP (Vitrified Clay Pipe) ■ Lined (a variety of linings) ® PCC(Precast Concrete) Y PVC (Polyvinyl Chloride) ■ Other (ABS, DI, HDPE, UNK) Figure B 3 provides a map of sewer mains color coded by pipe material. Figure B 4 provides a similar map showing sewer mains that have been lined. BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -228 Figure B- 3: Map of Sewer Mains Color -Coded by Pipe Material r- 0 SEWER RATE STUDY I City of Santa Ana, CA Sewer Main by Material — ABS — Conerele — Ducbk Iron -- Lined — High Density Poyelhelyne Polyvinyl Chloride — Unknown — Vitrified Clay I City Boundary -- RailRoads 70 65B -229 City of Santa Ana, CA Water I Wastewater System Analysis - 2012 Wh F Sewer Collection System Mains by Pipe Material BLACK &VEATCH aulldln9 • world of dlRVenca! NOVEMBER 2014 City of Santa Ana, CA I SEWER, RATE STUDY Figure B -4: Map of Sewer Mains that have been Lined r- 0 Llned Mains — Felt Liner — Fiber Glass Liner Fold & Fonn PVC Liner Spiral Wound Liner Sever Main — Sewer Main f__? City Boundary - - -- RailRoads City of Santa Ana, CA Water I Wastewater System Analysis - 2012 Sewer Collection System Mains that have been Lined BLACK &VEATCH Building a world of differantet BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -230 r SEWER RATE STUDY I City of Santa Ana, CA Pipe Diameter Over 70 percent of the City's sewer mains are 6 or 8 inch in diameter. The remainder range in sizes up to a maximum diameter of 84 inches. Pipe diameter quantities are listed in Figure B 5 below. Figure B 6 provides a map of sewer mains color coded by pipe diameter. The OCSD trunk lines are shown in heavier line weights for visibility. Figure B- 5: Sewer Pipe Diameters by Miles Installed [INTENTIONALLY LEFT BLANK] 65B -231 City of Santa Ana, CA I SEWER RATE STUDY Figure B- 6: Map of Sewer Mains Color -Coded by Pipe Diameter Sever Main OCSD Trunk Diameter 4 -8• —10 -tar 21 - 28` 30 - 39" X40 -48" — 51 .84" + Unknown Sever Main by Diameter Diameter 4 -8' –._.. 10-18' 21-28' 30 - 39" — 40 -48` —51-84 - Unknown _ - -'? City Boundary -- RaiiRoads BLACK & VEATCH I Appendix B: Sewer GP Prioritization Process 65B -232 City of Santa Ana, CA Water f Wastewater System Analysis - 2012 i Sewer Collection System Mains by Diameter BLACK &VEATCH Building a world of diffemnce: 74 SEWER RATE STUDY I City of Santa Ana, CA Pipe Vintage The oldest pipes in the system appear to have been installed as early as 1900. Over 12 percent were installed prior to 1930. The majority of the system (about 70 percent) was installed in the 1950s through the 1970s. Pipe vintages (install decade) are listed in Table B 1 below. Figure B 7 also shows the amount of pipe installed each year as well as the cumulative totals. Figure B 8 provides a map of sewer mains color coded by pipe install decade. Table B - 1: Pipe Vintages by Install Decade Pre 1930 938 10.77% 298,228 56.48 12.66% 1930s 68 0.78% 20,902 3.96 0.89% 1940s 318 3.65% 94,930 17.98 4.03% 19505 2,264 26.01% 617,026 116.86 26.18% 1960s 2,682 30.81% 673,698 127.59 28.59% 1970s 1,431 16.44% 404,027 76.52 17.15% 19805 323 3.71% 88,064 16.68 3.74% 19905 231 2.65% 59,956 11.36 2.54% 2000s 155 1.78% 38,054 7.21 1.61% 2010s 57 0.65% 5,944 1.13 0.25% Unknown 239 2.75% 55,689 10.55 2.36% Total 8,706 100.00% 2,356,518 446.31 100.00% Figure B- 7: Annual and Cumulative Miles of Installed Pipe by Year 65B -233 NOVEMBER 2014 500 25 Cum Miles —Miles I 450 400 20 a 350 N —` 300 15 e f 250 d A 200 10 C j 9 150 U 100 5 50 I 0 0 N N N trt M V V V V vt vt tp tp 1p n n n n N M p] � T p\ O O O O III Y C I Install Year I.. 65B -233 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Figure B- 8: Map of Sewer Mains Color Coded by Pipe Install Decade r- 0 sewer Main by Decade City of Santa Ana, CA 1930 Pre Water / Wastewater 1930s System Analysis - 2012 19405 1950: 19605 1970s 19805 19905 — 2000s — zolos — LINK Sewer Collection System City Boundary Mains by Pipe Install Decade RailRoads 0 BLACK&VEATCH Building a world of difftrence.- BLACK& VEATCH I Appendix B: Sewer CIP Prioritization Process 65B-234 76 SEWER RATE STUDY I City of Santa Ana, CA CCTV Observations, Sewer Spills and Repairs The City has been performing CCTV inspections on about 70 miles of pipe each year. This equates to about a 6 -7 year cycle to cover the entire system. figure B 9 provides a map of sewer mains color coded by CCTV inspection year. The GIS database includes information compiled from CCTV inspections over the years. About 78 percent of the sewer system includes at least some inspection - related data. This information is very useful in that it provides the most accurate assessment of the facilities current (recent) condition and expectation for failure. The CCTV data also provides key indications related to ongoing operational / maintenance considerations. In general, the City has used these observations to identify sections of sewer to line or clean. However, it has not been used for risk assessment. Having the latest CCTV inspection results are critical in assessing current pipeline conditions. However, by comparing these results to prior inspections, one can also gain a better understanding of the rate of changes occurring. In some cases the presence of a pipe defect may not be much of an issue if it has been in the same condition for many years; perhaps even since construction. Over time, the City will be able to see trends in the deterioration of pipe to better project future replacement rates. Therefore, Black & Veatch strongly recommends the City implement a process for storing and assessing prior inspection data as well as the latest data set. The "Quick Structural Rating" (QSR) and "Quick Maintenance Rating' (QMR) values calculated based on the review of CCTV inspections are especially useful to this assessment study. Therefore, these factors have been addressed in their own sections below. Some of the CCTV observation data includes indications of pipeline problems, such as structural issues and grease or root issues. Of the structure issues listed, about 13 percent of all pipes in the collection system have at least one location that is broken, cracked, fractured, or has a hole or offset. Almost 29 percent of the pipe records are listed as having no structural defects. The remaining 58 percent had no structural issues value (not inspected or no recorded value). For grease, over 53 percent of all system lines are shown as being clean, about 29 percent have light grease, and only about 3 percent are listed at medium or heavy. The remaining 15 percent had no grease issue value. Roots show a similar status: 63 percent at none, 21 percent at light, and about 1 percent are listed at medium or heavy. The remaining 15 percent had no roots issue value. 65B -235 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Figure B- 9: Map of Sewer Mains Color-Coded by CCTV Inspection Year _ nn �rml itil �� Y � IN FA i ME 1-myj 9 N W F 0 3,000 6,000 12.000 Ft Needs CCTV Inspection City of Santa Ana, CA — Needs CCTV Inspection Water / Wastewater CCTV Year System Analysis - 2012 — <Null- - 1990.2004 2005-2009 — 2010 nAh —2011 — 2012 1 City Boundary -- RailRoads Sewer Collection System Mains by CCTV Year 0 BLACK&VEATCH Building a world of difference.- BLACK & VEATCH I Appendix B. Sewer CIP Prioritization Process 65B-236 28 SEWER RATE STUDY I City of Santa Ana, CA The City has also indicated specific areas as "Enhanced Maintenance Locations' (or EMLs). These sections of the sewer network (less than 1 percent of the entire system) exhibit repeated problems with maintenance issues. Although most EMLs are related to issues with Fats, Oils and Grease (FOG), the City staff has indicated that some portion of these may also be a result of structural sags in the sewer lines. Figure B 10 shows a map of the identified EMLs and FSEs. Sewer spill locations (150 spill records listed between 1999 and 2012) were also included for reference since about 43 percent of the spills are listed as grease - related. The staff also indicated that they are planning to conduct further investigations into relating these EMLs to nearby Food Service Establishments (FSEs). Additional review of the spill location data may also be warranted; especially for repeated occurrences. Figure B 11 shows a map of the sewer repairs since 2001 as Indicated in the City's GIS. There are 243 main repair records (impacting about 2.6% of the mains). There were also 1,358 lateral line repairs (impacting about 2.8% of laterals). Repairs were not specifically addressed in his study due to very limited data (mostly listed as a note in the description field). City staff also indicated that main repair location data was primarily used to indicate planned work activities based on the results of CCTV inspections and that they do not indicate an additional level of information about the pipeline condition. [INTENTIONALLY LEFT BLANK] 65B -237 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Figure B -10: Map of the Identified EMLs, FSEs and Spills r Sewer Spills • Sewer Spills Enhanced Maint. Loc. (EMLs) — Enhanced Maint. Loc (EMLs) Sewer Main Sewer Main FSE Point FSE Point Footprint City Boundary -- RailRoads City of Santa Ana, CA Water 1 Wastewater System Analysis - 2012 n Sewer Collection System Spills, EMS, & FSEs BLACK &VEATCH Building aworld of diHemew BLACK & VEATCH i Appendix B Sewer OP Pr9oritization Process 65B -238 • tt a: t • � y _ 1 1 _ i� t —nj? 1 N I • i� �/ E 0 3,000 6.000 12.000 Ft s Sewer Spills • Sewer Spills Enhanced Maint. Loc. (EMLs) — Enhanced Maint. Loc (EMLs) Sewer Main Sewer Main FSE Point FSE Point Footprint City Boundary -- RailRoads City of Santa Ana, CA Water 1 Wastewater System Analysis - 2012 n Sewer Collection System Spills, EMS, & FSEs BLACK &VEATCH Building aworld of diHemew BLACK & VEATCH i Appendix B Sewer OP Pr9oritization Process 65B -238 80 SEWER RATE STUDY I City of Santa Ana, CA Figure B- 11: Map of the Sewer Main Repairs r x , x x Jr" x x W xx x t „ x 30 x x x «. i f- ' � N I e 0 3,000 6.000 12.000 Ft w-"�E s Sewer Repairs City of Santa Ana, CA x Repairs Water I Wastewater Sewer Main System Analysis - 2012 Sewer Main ?. City Boundary --- RailRoads ` YI� �i' Sewer Collection System Sewer Main Repairs BLACK &VEATCH L Y+,xw &eebiea k+enrl5li! Sem inaJN35CatarifµtiOxweM55t�MS.Ma ane 6rwv Keean m0 Building a world of diHerencer 65B -239 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Quick Structural Rating (QSR) Analysis The most current and reliable sewer main condition assessment data available from within the City's GIS database is the CCTV ratings results for QSR. These values provide actual internal pipeline conditions observed at the time of the inspection. The City's QSR values are assigned to individual sewer pipe segments following the evaluation of CCTV pipeline inspections. These ratings are based on the Pipeline Assessment and Certification Program (PACP) coding systems developed by NASSCO. The grading system only considers internal pipe conditions (defects) observed from the CCTV inspection. The PACP Quick Rating is a four - character score expressing the number of occurrences of the two highest severity grades. No. of Worst Defects No. of 2nd Worst Defects rL1 rA_j QSR: 5 2 3 6 Worst Defect ~2 d Worst Defect These scores are typically used in evaluating the overall grade of the entire pipe segment using one of two methods. Raw QSR Grading Method For simplicity, the first method only considers the first (highest) grade rank. It uses only the left -most digit of the four - character PACP grade for the pipe segment grade. The mechanisms and rates of pipe deterioration are highly dependent on local conditions and operational history. However, the following general guidelines (from NASSCO PACP, 2001) is provided as a starting point: Grade 5: Pipe has failed or will likely fail within five years, immediate attention recommended Grade 4: Pipe will probably fail in 5 to 10 years, in poor condition Grade 3: Pipe may fail in 10 to 20 years, in fair condition Grade 2: Pipe unlikely to fail for at least 20 years, in good condition Grade 1: Failure unlikely in the foreseeable future, in excellent condition Grade 0: No defects observed Null: no rating data provided in the City's GIS database This method is acceptable if you assume that the worst defect (i.e. weakest link) defines the structural condition of the overall pipe segment. It also ignores the frequency that these defects were observed or any lower grade defects. In the "5236" example above, the pipe would receive a Raw QSR Grade of S. By analyzing the City's GIS data for QSR observations, several summaries were made. Figure B 12 shows the percent of total sewer system (by pipe length) listed by each of the QSR Ratings (graded 0 to 5). As the graph shows, 22 percent of all pipeline records have no QSR data and 50 percent have a grade of zero. Of most concern are the highest grade pipes (Grades 3 -5). Combined these represent about 15 percent of the system. BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -240 sit SEW lk RATE STUDY I City of Santa Ana, CA Figure B -12: QSR Ratings by Percent of Total System Main Length Figure B 13 shows the length of sewer mains by year pipe was installed and colored by QSR rank. On initial review, one might conclude that there are two periods of structurally problematic pipe (in the 1920s and 1950 -70s). However, this conclusion is misleading without considering the amount of pipe installed. By comparing the proportion of red / brown (high QSR rank) to the total column heights (total installed pipe), you can better appreciate the magnitude of problem pipe. This consideration is addressed in the Probability of Failure (PoF) section below. [INTENTIONALLY LEFT BLANK] 65B -241 NOVEMBER 2014 City of Santa Ana, CAI SEWER RATE STUDY Figure B- 13: Length of Pipe Installed by Year and by QSR Ratings Figure B 14 provides a map of sewer mains color coded by QSR Grade (using the Raw QSR Grading Method). This map makes it apparent that a majority of the higher QSR graded pipes are in the older, downtown portion of the city. For comparative purposes, Figure B 15 was created to relate mains with high QSR scores (3 and above) to City- identified repair locations. BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Prncess 65B -242 SEWER RATE STUDY I City of Santa Ana, CA Figure B- 14: Map of Mains Colored by QSR Grade (Raw QSR Grading Method) 1 1 1 1 I 1 1 I I 0 3,000 6,000 12,000 Ft Raw QSR Grade —s 4 3 —2 — 1 —0 <Null- 1 -.` City Boundary -- RailRoads 84 65B -243 v s City of Santa Ana, CA Water / Wastewater System Analysis - 2012 n E Sewer Collection System Mains by Raw QSR Grades BLACK &VEATCH a.lidin oWorld of dlROren<o! NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Figure B- 15: Map of Sewer Mains with High QSR Scores and Repairs � 1 r: i_- `All ar, L fill k - , a .4riI l I � L _. _ I ... !}l I�Jy I fI it r • t I I { - •' N W4 F 0 2.950 5,900 11,800 Fl S Sewer Repairs City of Santa Ana, CA " Repairs Water 1 Wastewater Raw QSR Grade System Analysis - 2012 —5 4 3 ` Null. 0.2 'j City Boundary -- RailRoads - -- Sewer Collection System Mains by Raw QSR Grade and Repair Locations BLACKBVEATCH Building a world of diNaran<at BLACK & VEATCH I Appendix B: Seo;Pr 0P Prlorirization Process 65B -244 86 SEVER RATE STUDY I City of Santa Ana, CA Overall QSR Segment Score Method Although the Raw QSR Grading Method is simple, it ignores the number of defects observed or any lower grade defects. For a more complete evaluation and prioritization, NASSCO suggests using a combined segment scoring method. This approach uses a formula of multiplying both rank scores times the number of occurrences to identify a total risk factor for the pipe segment (i.e. considers the number of defects — not just the grade of the worst defect): Overall QSR Segment Score = Worst Defect x No. of Worst Defects plus 2nd Worst Defect x No. of 2 "d Worst Defects For the QSR example of 5236 given above, this would result in QSR Segment Score of 28. (5x2) +(3x6) =28 This approach is very useful in prioritizing pipe segments into ranked lists based on overall structural severity. It should be noted that pipe segments having numerous Grade 4 defects and only a couple Grade 5 defects could actually receive a higher overall QSR Segment Score than a pipe having only Grade 5 defects. An analysis of the City's QSR values determined that the Overall QSR Segment Scores ranged from 0 (no defects observed) to a high score of 161. About 22 percent had no values (not rated) and 70 percent had scores less the 10. These resulting scores were used in the prioritization process described later in this document. Figure B 16 provides a map of sewer mains color coded by Overall QSR Segment Score. [INTENTIONALLY LEFT BLANK] 65B -245 NOVEMBER 20'. City of Santa Ana, CA I SEWER RATE STUDY Figure 8 -16: Map of Sewer Mains Color -Coded by Overall QSR Segment Score I 0 3.000 6.000 Structural (QSR) Score —80-161 -- 60.79 4059 —20-39 —10-19 Null. 0-9 City Boundary --•- RailRoads f° r r' t- ,f yet 12,000 Ft BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -246 l I it I f t l N 'k s' s City of Santa Ana, CA Water / Wastewater System Analysis - 2012 n Sewer Collection System Mains by QSR Segment Scon BLACK &VEATCH Building a world of different.? 88 SEWER RATE STUDY I City of Santa Ana, CA Quick Maintenance Rating (QMR) Analysis Like the QSR ratings described previously, the City's QMR values were also assigned to individual sewer pipe segments during the evaluation of CCTV pipeline inspections. These ratings address the operational and maintenance related defects observed within the pipe segments. They also use the PACP four - character score expressing the number of occurrences of the two highest severity grades. Figure B 17 shows the percent of pipe lengths having each QMR ranking. Figure B 18 provides a map of sewer mains color coded by QMR Grades. Figure B -17: QMR Ratings by Percent of Sewer System Length Although this QMR information is very useful to the City, it was not included in this pipeline condition and replacement prioritization assessment. QMR scores are impacted more by operational and local FOG (fats, oils and grease) issues rather than installation materials, structural conditions or probability of failure considerations. However, it should be noted that some common maintenance issues (e.g. sags) might be corrected with structural repairs. The City may wish to address these situations further. [INTENTIONALLY LEFT BLANK] 65B -247 NOVEMBER 2024 City of Santa Ana, CA I SEWER RATE STUDY Figure B -18: Map of Sewer Mains Color -Coded by QMR Grades r- 0 1000 6.000 12,000 Ft s aMR Grade — 5 a 3 _1 —0 City Boundary -- RailRoads City of Santa Ana, CA Water I Wastewater System Analysis - 2012 n Sewer Collection System Mains by QMR Grades BLACK &VEATCH Building • world of diffaran<a' BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -248 en: SEWER RATE s rUDY j City of Santa Ana, CA Probability of Failure Analysis (PoF) The Probability of Failure (PoF) criteria (factors) are used to assess the likelihood that a particular asset will fail. This is done by considering the physical properties of the asset itself as well as its surrounding environment and /or operational history. Three criteria were used for evaluating the likelihood of failure of the City's sewer main segments. These criteria include Cohort Rank, Raw QSR Grade, and Overall QSR Segment Score. Each factor was scored on a scale of 0 or 1 to 10 where a 10 is most likely to fail. Cohort Rank Some materials have been shown to be more prone to failure than others. Likewise, the older the asset is, typically the more likely it is to fail. Often it is the combination of these considerations that impacts the asset's life expectancy. By combining pipe material and vintage (installation year), groups of similarly performing pipes can be identified. These are considered pipe "cohorts." Figure B 19 looks at the percentage of pipe having Raw QSR Grades 3 or above shown by pipe installation year groups. This helps to normalize the data to gain a better understanding of what vintage of pipe is more structurally problematic. An average line has been included here to provide a reference. Despite a few years of anomalies (minimal pipe installed), this graph suggests that there is a clear demarcation point in approximately 1946. Pipelines installed prior to 1946 were found to have more significant structural defects than average, while pipelines installed after 1946 were found to have less significant defects than average. Figure B -19: Percent of Mains with High Raw QSR Grades by Pipe Install Year 1111111 Average City staff indicated they often observe that the older VCP pipe is thinner walled and more brittle. Actually wall thickness commonly varies by manufacturer. Getting specifications for older pipe is difficult due to the fact that some manufacturers are no longer in business and several different classes or 65B -249 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY strengths of pipe have been made over the 150 years that clay has been used in the United States. (from www.ncyi.org/fags.asi3#faall). The installation method and backfill material also has a significant impact on its likelihood of failure. Any movement on the infrastructure or the surrounding sub -soil may also lead to stress fractures. An evaluation of the City's pipe data on materials, age, QSR ranks, etc. was performed to identify likely pipe cohorts. This evaluation included trends as observed in the source data (especially the QSR inspection ranks by materials) and also general past performance knowledge of similar materials in similar environments. Based on a review of the analysis results above, it was concluded that a significant factor influencing the likelihood of failure for the City's sewer mains is age (vintage); especially considering that almost 90 percent of the mains are made of Vitrified Clay Pipe (VCP). The following pipe cohorts were developed as logical grouping of pipes having similar deterioration rates. The associated Cohort Rank is also included. These ranks were then multiplied by two to create a range of 1 to 10 (for overall PoF calculation). • Cohort 5, High: All sewer pipelines installed before 1946 • Cohort 4, Med -High: All pipes with an unknown installation year • Cohort 3, Med: All pipes (except PVC and High Density Polyethylene) installed between 1946 and 1975 • Cohort 2, Med -Low: All pipes (except PVC and High Density Polyethylene) installed after 1975 • Cohort 1, Low: All PVC and High Density Polyethylene pipes installed after 1946 and any pipes which have been lined since their original installation As a precaution, all pipe materials with unknown installation year were assigned a rank of Medium High (4). The City is encouraged to investigate further to identify these missing dates. This might be accomplished by reviewing appropriate as -built drawings, or assuming install years based on neighborhood construction periods or adjacent pipe attributes. This effort was beyond the scope of this investigation. Once installation year data is identified, these pipe segments may likely acquire lower Cohort ranks. Lined pipe (including: Felt Liner, Fold Form PVC Liner, Fiber Glass Liner, and Spiral Wound Liner) data is stored in the pipe material field. Therefore, actual pipe material is unknown. Also, the timing of pipeline lining is often unclear. Therefore, it was assumed that any CCTV inspection data referred to the pipe conditions prior to lining. Once lined, the pipe was assumed to have been "fixed" and is currently in very good structure condition. Thus all lined pipe was assigned a Low (1) rating. Figure B 20 provides a graph of pipe cohort ranks (1 -5) and associated total pipe lengths (miles) for each rank. This distribution shows that the majority (68 %) of the sewer pipes fell into Cohort 3, as they were non - plastic pipes installed between 1946 and 1975. Figure B 21 provides a map of sewer mains color coded by Cohort Rank. BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -250 SEWER RATE STUDY I City of Santa Ana, CA Figure B- 20: Percentage of Sewer System Pipelines by Cohort Group Cohort 1 5% [INTENTIONALLY LEFT BLANK] 65B -251 City of Santa Ana, CA I SEWER RATE STUDY Figure B- 21: Map of Sewer Mains Color -Coded by Cohort Rank M t %IX � f F 0 3.000 6.000 Cohort Rank 5 3 2 — 1 i City Boundary -- RailRoads 12.000 Ft s City of Santa Ana, CA Water 1 Wastewater System Analysis - 2012 n Sewer Collection System Mains by Pipe Cohort Rank BLACK &VEATCH Building World otdittaronca.- BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -252 Ytf� , II �I yy _f r 1 L , M t %IX � f F 0 3.000 6.000 Cohort Rank 5 3 2 — 1 i City Boundary -- RailRoads 12.000 Ft s City of Santa Ana, CA Water 1 Wastewater System Analysis - 2012 n Sewer Collection System Mains by Pipe Cohort Rank BLACK &VEATCH Building World otdittaronca.- BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -252 94 SEWER RATE STUDY I City of Santa Ana, CA Raw QSR Grade Using the Raw QSR Grading Method described previously, each pipe segment was assigned a QSR grade from 0 to 5. This grade simply uses the first digit of the QSR value reported during the CCTV inspection. However, lined pipe was assigned a grade of 0 based on the assumption that the inspection predates the lining. And that once lined, the pipe has been "fixed" and is currently in very good structure condition. Since some mains have not been inspected, those pipe segments have no QSR grades to include in this analysis. Since no date is available, it would be inappropriate to use a grade of 0. One option would be to assign a high level grade using the assumption that since the condition is unknown it might be in poor shape. However, this may artificially inflate the PoF scores. Another option would be to simply assign a mid -level grade. A third option (used in this analysis) is to use the Cohort rank as a substitute for the missing QSR values. These ranks were then multiplied by two to create a range of 0 to 10 (for overall PoF calculation). Figure B 22 provides a map of sewer mains highlighting those pipes that have not had CCTV inspections. Depending on the asset management strategy used, the City may want to target future inspections on those uninspected mains or on those mains having high risk conditions. Performing repeated inspections every few years provides valuable insight into the rate of change. [INTENTIONALLY LEFT BLANK] 65B -253 NOVEMBER h'1;.= City of Santa Ana, CA I SEWER RATE STUDY Figure B- 22: Map of Sewers that have not had CCTV Inspections I 1., r—Ti t i m� N 0 3,000 6.000 12.000 Ft s No CCTV Inspection City of Santa Ana, CA Inspected Water I Wastewater Not Inspected City boundary System Analysis - 2012 - - RailROads n Sewer Collection System Mains Not Inspected BLACK &VEATCH Building a World of dlfference� � li I in BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -254 96 SEWER RATE STUDY I City of Santa Ana, CA Overall QSR Segment Score Using the Overall QSR Segment Score Method described previously, an overall QSR score was calculated for each pipe segment. This method uses a formula of multiplying both rank scores times the number of occurrences to identify a total risk factor for the pipe segment. Again, lined pipe was assigned a grade of 0. These scores ranged from 0 to 161. To convert to the desired scoring scale range, these raw values were divided by 16.1 to get decimal values 0 to 10. As in the Raw QSR Grading Method, the Cohort rank was used as a substitute for any missing QSR values. Other PoF Considerations Several other physical properties and environmental conditions were considered for inclusion in this analysis. Some of them are addressed below. Although these factors were not actually used in the PoF prioritization analysis, they may someday provide useful information. Therefore, the City is encouraged to reevaluate these once their Asset Management system is more mature. • Mains by Diameter: There does not appear to be any obvious correlation of sewer pipe failure and pipe diameter. Therefore, this aspect was not considered for PoF calculations. • QMR: As described previously, since this is mostly a maintenance indicator it was not considered as a contributor to structural condition assessment. • Repairs: City staff indicated that repair locations were primarily used to indicate planned work activities based on the results of the CCTV inspections and that they do not indicate an additional level of information about the pipeline condition. Therefore, repairs were not included as a factor. • Enhanced Maintenance Locations (EMLs): Again, since this is mostly a maintenance indicator it was not considered as a contributor to structural condition assessment. • Spills: Also not considered a structural factor. • Soils: A high level review did not reveal any obvious correlation of high QSR scores or repair concentrations for sewer pipe to key soil characteristics. This is to be expected as VCP is normally not very impacted by most soil conditions such as corrositivity, pH, etc. Linear extensibility can be a contributing factor, but appears to be low to moderate in most of the City; being high only in the far southern area (where sewer pipeline issues are uncommon). The City may want to further review these considerations in the future. Overall PoF Calculation To produce an overall PoF score for individual pipe segments, weighted scores for each of the contributing PoF criteria were added together. The resulting PoF scores are, by design, within the range of 0 to 10. For simplicity, the three PoF criteria were all assigned the same weighting (level of importance). By adjusting these weights other assessment scenarios could be created. Table B 2 provides a summary of the PoF criteria used in this analysis. 65B -255 NOVEMBER 2014 City of Santa Ana, CAI SLWER RAT' E STUIOY Table B - 2: Summary of PoF Criteria used in this Analysis PoF Criteria Weight Comment Strategy / Assumption Cohort Rank (1- 33% Assigned values 1 -5 Cohort 5, High: All sewer pipelines installed before 1946 5 values) range, multiply by 2 Cohort 4, Med -High: All pipes with an unknown installation year to get values 1 to 10 Cohort 3, Med: All pipes (except PVC and High Density Polyethylene) installed between 1946 and 1975 Cohort 2, Med -Law: All pipes (except PVC and High Density Polyethylene) installed after 1975 Cohort 1, Low: All PVC and High Density Polyethylene pipes installed after 1946 and any pipes which have been lined since their original installation Raw QSR 33% Raw values 0 -5 Considers only the highest grade (worst defect) only and assigns that Grading range, multiply by 2 value to the entire pipe segment. Does not consider the number of Method (0 -5 to get values 0 to 10 defects or lower grade defects observed. Lined pipe ranked at 0 values) (assumed to be "fixed"). Missing QSR data replaced by Cohort Rank. Overall QSR 33% Calculated: Divide by Uses a PACP formula of multiplying both rank scores times the number Segment Score 16.1 to get decimal of occurrences to identify a total risk factor for the pipe segment (i.e. Method (0 -161 values 0 to 10 considers the number of defects — not just the grade of the worst values) defect). Lined pipe ranked at 0 (assumed to be "fixed "). Missing QSR data replaced by Cohort Rank. Total (sum of 100% The resulting PoF above) scores are 0 to 10. By applying the weighting described above (1/3 Cohort Score, 1/3 Raw QSR, and 1/3 QSR Segment Score) to each of the 8,706 active main pipeline segments in the Santa Ana Sewer System, a 0 to 10 PoF Score was calculated for each and the distribution is shown in Figure B 23 below. Figure B 24 provides a map of sewer mains color coded by total PoF score. Figure B- 23: Distribution of Sewer Pipeline PoF Scores BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Proress 65B -256 SEWER RATE STUDY I City of Santa Ana, CA Figure B- 24: Map of Sewer Mains Color -Coded by Total PoF Score I, L i lug_ E- _- — 1 L � II Il i r 0 3.000 6.000 12,000 Ft Sewer Mein -Poi Score — >9 and < =10 8 and < =9 7 and < =8 b and < =7 — >5 and < =6 <= 5 :._ City Boundary – RallRoads P1.1 65B -257 x F s City of Santa Ana, CA Water I Wastewater System Analysis - 2012 Sewer Collection System Mains by PoF Score BLACK &VEATCH Buildins a world of difference NOVEMBER 2014 City of Santa Ana, CA I SFWER RATE STUDY Consequence of Failure Analysis (CoF) In a process similar to the PoF analysis, criteria for the Consequence of Failure (CoF) were also identified and evaluated. These criteria are described below. Pipe Diameter The assumption here is that larger pipes will be more costly to repair or replace. Likewise, should they fail the consequences will likely be more severe. For the purpose of this analysis, CoF grades were assigned to ranges of pipe sizes increasing in pipe diameter as shown in Figure B 25 below. Pipe records having an unknown diameter were assigned a value of 4. Figure B- 25: Sewer System Pipelines CoF Scores by Diameter Customer Impacts The concern here is for increased risk of service interruptions for customers upstream of a possible facility failure. Using GIS processes, the cumulative count of upstream laterals was calculated for each main segment. Upstream lateral counts of 0 to 36,994 were identified. Although this was generally an effective approach, the counting process was not 100 percent precise. Missing data and inconsistent network connectivity produced some errors. Since the errors did not appear to be significant and since the accuracy of the actual count values did not need to be precise, these errors were ignored. The lateral count ranges were assigned grades between 0 and 10. Figure B 26 displays the distribution of upstream lateral counts throughout the collection system and the assigned grade ranges. As shown, more than 60% of the sewer pipelines have fewer than 100 upstream laterals, corresponding to a CoF Grade of 0. However, approximately 15 percent of the sewer pipelines have more than 500 upstream laterals, which correspond to a high CoF Grade of 10. Pipe records having an unknown lateral count were assigned a Grade of 6. BLACK & VEATCH I Appendix 8: Sewer CIP Prioritization Process 65B -258 100 SEWER RATE STUDY I City of Santa Ana, CA Figure B- 26: Pipeline Length by Number of Upstream Customer Laterals Proximity to Critical Customers The concern here is for increased risk due to possible environmental and inconvenience to nearby critical customers. The City provided tabular lists of critical customer locations, including hospitals, government facilities, and schools. Locations were geocoded by address data (if actual street addresses were available) to identify the customer's location on a map. Using GIS spatial processes, all mains within a 300 foot radius of each critical site was tagged. A count of nearby sites was then tabulated for each main segment. The resulting values ranged between 0 and 2 occurrences. These values were then multiplied by 5 to get the desired 0 — 10 range. Only approximately 10 percent of main segments were within 300 feet of a critical customer. Note, other methods could be used to identify the impact of nearby critical customers. However, based on the source data available, this approach was the most logical. Other CoF Criteria Other CoF criteria have been used in assessments like this: such as proximity to major roads, water intake sources, industry / business; public health and safety concerns; reputational damage; or other financial impacts. Several of these were discussed at a risk workshop with the City. However, due to limited source data available and /or schedule, these additional considerations were outside the scope of this assessment. Overall CoF Calculation To produce an overall CoF score for individual pipe segments, weighted scores for each of the contributing CoF criteria were added together. The resulting CoF scores are, by design, within the range of 0 to 10. Because the Proximity to Critical Customers criteria was considered to be less important than the other two criteria, it received a lower weighting. Therefore, the Pipe Diameter and Customer Impact criteria were weighted at 42% each and the Critical Customer count was weighted at 16 %. By adjusting these weights other assessment scenarios could be created. Table B 3 provides a summary of the CoF criteria used in this analysis. 65B -259 IM01TAI ,JIT— aw. 6m City of Santa Ana, CA I SEWER RATE STUDY Table B - 3: Summary of CoF Criteria used in this Study CoF Criteria Weight Comment Strategy / Assumption Pipe Diameter 42% Assigns grade based 2 36" (10) 2 12" (4) on diameter range > 24„ (8) 21" (2) 218" (6) Unknown (4) Customer Impacts 42% Assigns grade based 0-99(0) 300 - 399 (6) (lateral counts of 0- on Cumulative sum 101 400 -499 (8) 36,994) of upstream laterals 200-299(4) 500& above (10) Unknown: (6) Proximity to a 16% Assigns grade based Increased risk due to possible environmental and inconvenience to critical location for on count of sites nearby critical customers. school, hospital, and within 300' CoF of 10: Two critical customers within 300 feet of pipeline. government (values of 0 -2) CoF of 5: One critical customer within 300 feet of pipeline. CoF of 0: No critical customers within 300 feet of pipeline. Total (sum of above) 100% The resulting CoF scores are 0 to 10. By applying the weighting described above (42% Diameter, 42% Upstream Laterals, 16% Critical Locations) to each of the 8,706 active main pipeline segments in the Santa Ana Sewer System, a 1 to 10 CoF Score was calculated for each, with the distribution shown in Figure B 27. Figure B 28 provides a map of sewer mains color coded by total CoF score. Figure B- 27: Distribution of Sewer Pipeline CoF Scores BLACK & VEATCH I Appendix B. Sewer CIP Prioritization Process 65B -260 SEWER RATE STUDY I City of Santa Ana, CA Figure B- 28: Map of Sewer Mains Color -Coded by CoF Scores rtr 0 3.000 6,000 12,000 Ft Sewer Main-CoF Score 9 and <= 10 >8 and = =9 7 and < =8 »-- >6 and < =7 >5 and < =6 <= 5 ! City Boundary - -- RailRoads r j r i i r s City of Santa Ana, CA Water / Wastewater System Analysis - 2012 tsl h Sewer Collection System Mains by CoF Score 0 BLACK &VEATCH Building ♦ world of difference.- 102 NOVEMBER 2014 65B -261 City of Santa Ana, CAI SEVIFUR RATE STUDY Business Risk Exposure (BRE) The overall Business Risk Exposure (BRE) was then calculated for each asset. The BRE score is a product of the PoF times the CoF scores. This score is an informative indicator of facilities that will likely require higher levels of attention; in the form of proactive replacement and /or targeted inspection monitoring. It is typically based on a 1 to 100 scale metric. Figure B 29provides a distribution of Sewer Pipeline BRE Scores. Figure B- 29: Distribution of Sewer Pipeline BRE Scores Figure B 30 provides a "heat map' graph showing the resulting distribution of PoF vs. CoF scores by miles of main. Combined, these represent the BRE score. Higher probability of failure assets are plotted near the right. Higher consequences of failure assets are plotted near to the top. Figure B 31 provides a map of sewer mains color coded by total BRE score. A partial table of sewer main pipeline segments ranked by BRE score is included in the Replacement Prioritization section. [INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix B; Sewer CIP Prioritization Process 65B -262 104 SEWER RATE STUDY I City of Santa Ana, CA Figure B- 30: Sewer System BRE Heat Map Graphic by Miles of Main Probability of Failure 1 2 3 4 5 6 7 8 9 10 10 2.5 4! 9 11 7.3 1.0 i 8 - 2.4 10.5 0 LL 7 !�,2.41 .3 1.1 4.1 w O 6 y 2.9 2.9 12.5 !2.41 2.6 03 0.4 d 5 0.5 I 3.2 0.7 2.7 0.5 6.1 0.8 4 0.4 4.9 1.1 2.1 1.1 4.5 3 0.8 8.3 1.5 L7 1.9 2.8 0.4 0.3 O - -- U 2 Z7 28.4 4.6 4.5 ` 5.0 7.6 3.5 1.3 0.3 1.0 1 10.2 8.9 26.2 19.0 � 19.1 31.9 11.0 6.2 L2 2.3 Total Miles: 446.3 Let's look specifically at the 1 mile of pipe that scored near the upper right corner. These pipe segments have a PoF of greater than 9 and less than or equal to 10. They also have a CoF of greater than 8 and less than or equal to 9. In reviewing the data tables supporting this graph, this cell includes a total of 1 mile of 36 inch VCP pipe segments installed in 1938. 65B -263 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Figure B- 31: Map of Sewer Mains Color -Coded by BRE Scores i I 1 0 3,000 6,000 12,000 Ft Sewer Main -BRE Score 180 and <- 100 - > 70 and « 80 > 60 and <= 70 -- > 50 and <= 60 >40 and <= 50 > 30 and <= 40 — 120 and <= 30 <= 20 L1 City Boundary —° RailRoads ILI' ` r 1 E 1 IJ� w E \i5 City of Santa Ana, CA Water 1 Wastewater System Analysis - 2012 n Sewer Collection System Mains by BRE Score BLACK &VEATCH Building a world or difference.- BLACK & VEATCH I Appendix B: Sewer CIP Prioritization Process 65B -264 SEWER R,A f E STUDY I City of Santa Ana, CA Appendix C: Inspection and Replacement Cost Calculation NOVEMBER 2014 65B -265 City of Santa Ana, CA I SEWER RATE STUDY INTRODUCTION The final step in this assessment process is to calculate the overall inspection and replacement cost for each asset. Average facility inspection and replacement cost look -up tables were used to determine overall budgetary estimates and schedules (see Table C 1 below). Construction cost (2012 dollars) values were based on an informal survey of Southern California utilities in recent years, and inspection costs were based on estimates from nation -wide projects. Specific cost estimates based on experience in Santa Ana were not available at the time of printing. Replacement costs were not specific to pipe material, and replacement was assumed to be the same diameter. Pipe segments with a diameter of 0 or unknown were replaced with a 6 inch pipe. Costs also assume basic construction practices, including imported sand bedding and backfill, compaction, pavement removal, hauling, shoring, trench excavation, testing and disinfection. Table C -1: Sewer Pipe Inspection and Replacement Costs (2012 dollars) BLACK & VEATCH I Appendix C Inspection and Replacement Cost Calculation 65B -266 i� i �I�f. 797�1YN1��[ K�S. ti. Y(. 71���� :i79�GtM7:�i1761IQ�17471.7Ii�� 0 / Unknown $1.50 $157.00 3 $1.50 $127.96 4 $1.69 $137.69 6 $1.88 $157.15 8 $2.06 $176.61 10 $2.25 $196.07 12 $2.44 $195.70 14 $2.63 $234.99 15 $2.81 $220.99 16 $3.00 $254.45 18 $3.19 $257.27 21 $3.38 $295.75 24 $3.56 $338.63 27 $3.75 $379.31 30 $3.94 $400.20 33 $4.13 $429.88 36 $4.31 $448.57 39 $4.50 $468.36 42 $4.69 $498.05 45 $4.88 $536.62 48 $5.06 $571.71 51 $5.25 $595.00 54 $5.44 $650.87 BLACK & VEATCH I Appendix C Inspection and Replacement Cost Calculation 65B -266 101-1 SEWER RATE STUDY I City of Santa Ana, CA 60 $5.63 $722.34 78 $5.81 $857.71 84 $6.00 $916.09 Figure C 1 shows the distribution of BRE scores (across the bottom) against the total estimated replacement costs. The cumulative replacement cost line is also provided. It must be emphasized that BRE scores calculated in this study were based on relative values and do not represent an absolute level of risk. As such, it is not possible to quantitatively determine an acceptable BRE target. As the City collects additional condition and failure information, further investigation is recommended to better characterize the risk relationship and define appropriate targets. Figure C -1: BRE Scores and Costs for Sewer Collections System A variation of the previous heat map graphic is provided in Figure C 2. This version is based on cost rather than pipe length. 65B -267 NOVEMBER 2014 City of Santa Ana, CAI >E VER RATE STUDY Figure C- 2: BRE Heat Map Graphic by Main Replacement Cost (2012 dollars) V $2.0 S15.7 52.5 53.5 53.0 $34.7 52.2 52.2 0 C 5 50.5 53.4 50.7 57.5 50.5 510_1 S0.6 ' 51.8 3 4 Cr 50.4 55.2 $1.2 53.4 $1.0 $5.4 $0.2 50.8 3 50.8 ` S8.4 $1.5 51.6 $1.8 $3.0 514 50.4 $0.1 50.3 V2 5166 527.8 $4.4 $4.3 $4.5 $7.4 f $3.1 ( 51.2 $0.3 50.8 1 59.2 x$118 7 $24.1 517.1 $17.1 $29.2 $9.5 55.3 $1.1 52.0 Total Cost: 5499.1 SEWER COLLECTION SYSTEM R &R PRIORITIZATION Up to this point the analysis focused on assessing the likely condition of the sewer collection system mains based on available source data. PoF and CoF scores were combined into an overall risk score for each pipe segment. Using these results the study then took on a different focus; that of prioritizing pipe inspections and /or replacements and grouping those pipe segments into probable R &R projects. These steps include: • BRE Replacement Prioritization: each pipe segment ranked from highest to lowest risk and assigned a full replacement cost estimate. It gives equal consideration for both PoF and CoF factors. Although useful information, this listing is generally not used for actual replacement planning or budgeting. • R &R Strategy Groups and CIP Budgeting: pipe segments assigned to various inspection and /or replacement strategies applied to address differing risk considerations. Based on the suggested R &R activity for each strategy group, annual inspection and replacement budgets were developed. These results are sufficient for general budgetary planning. However, since prioritized pipe segments may be highly segmented and scattered across the service area, this summery is only partially useful for detailed planning. Adjusting the assumptions made here can create a variety of budgeting scenarios. BLACK & VEATCH I Appendix C: Inspection and Replacement Cost Calcul a Nr,n 6513-268 Probability of Failure 1 2 3 3 4 5 5 6 6 7 7 8 8 9 1 10 10 $ $9.1 LJ 9 9 $ $$22.8 $ $2.3 8 8 5 53.7 5 50.4 $ $19.8 6L 4 7 7 $ $0.2 56.1 $ $0.4 5 51,6 $ $5.8 6 SEWER COLLECTION SYSTEM R &R PRIORITIZATION Up to this point the analysis focused on assessing the likely condition of the sewer collection system mains based on available source data. PoF and CoF scores were combined into an overall risk score for each pipe segment. Using these results the study then took on a different focus; that of prioritizing pipe inspections and /or replacements and grouping those pipe segments into probable R &R projects. These steps include: • BRE Replacement Prioritization: each pipe segment ranked from highest to lowest risk and assigned a full replacement cost estimate. It gives equal consideration for both PoF and CoF factors. Although useful information, this listing is generally not used for actual replacement planning or budgeting. • R &R Strategy Groups and CIP Budgeting: pipe segments assigned to various inspection and /or replacement strategies applied to address differing risk considerations. Based on the suggested R &R activity for each strategy group, annual inspection and replacement budgets were developed. These results are sufficient for general budgetary planning. However, since prioritized pipe segments may be highly segmented and scattered across the service area, this summery is only partially useful for detailed planning. Adjusting the assumptions made here can create a variety of budgeting scenarios. BLACK & VEATCH I Appendix C: Inspection and Replacement Cost Calcul a Nr,n 6513-268 110 SEWER RATE STUDY I City of Santa Ana, CA • CIP Project Identification: individual CIP projects identified based on high -risk assets and /or assets that are in close proximity. Pipe segment identification, budgets and schedules often differ from the previous lists due to logical regrouping of assets. For example, it makes more sense to inspect or replace an entire continuous stretch of pipe even though the risk prioritization may have scheduled specific segments to have been done at different times. Therefore a single project will likely have segments with differing risk strategy group assignments. Note: risk prioritization and R &R replacement planning was based on existing data provided by the City. Although the source data is believed to be the best available it may not reflect current conditions of all facilities. Additionally, recent R &R activities may have already addressed some of the issues identified. Therefore, recommendations should be verified with current R &R records and /or pipe inspection prior to actual replacement or lining. BRE REPLACEMENT PRIORITIZATION Using the results of the BRE analysis and replacement costing table, each sewer main pipe segment was ranked from highest to lowest risk and assigned a replacement cost estimate. A partial list (risk scores of 50 or higher) of sewer main pipeline segments ranked by BRE score is included in Table C 2 below. This list includes the top 107 of the 8,706 total ranked records. Table C - 2: Partial List of Sewer Main Pipe Segments Ranked by EIRE Score I OBJECT SIZE YEAR LENGTH COHORT POE COF ESTIMATED RANK ID MATERIAL (IN) INSTALLED DECADE (MILES) RANK SCORE SCORE BRE COST 1 4091 VCP 36 1938 1930s 0.08 5 10.0 8.4 84.0 $200,608 2 4092 VCP 36 1938 1930s 0.07 5 10.0 8.4 84.0 $174,496 3 4418 VCP 36 1938 1930s 0.13 5 10.0 8.4 84.0 $313,555 4 4420 VCP 36 1938 1930s 0.02 5. 10.0 8.4 84.0 $46,930 5 4422 VCP 36 1938 1930s 0.07 5 10.0 8.4 84.0 $177,184 6 4769 VCP 36 1938 19305 0.12 5 10.0 8.4 84.0 $285,290 7 4770 VCP 36 1938 1930s 0.16 5 10.0 8.4 84.0 $374,400 8 4771 VCP 36 1938 1930s 0.22 5. 10.0 8.4 84.0 $511,713 9 5596 VCP 36 1938 1930s 0.06 5 10.0 8.4 84.0 $136,812 10 5600 VCP 36 1938 19305 0.03 5 10.0 8.4 84.0 $74,931 11 7486 VCP 24 0 LINK 0.09 4 8.0 7.6 60.5 $159,863 12 6966 PCC 84 1971 19705 0.19 3 6.0 10.0 60.0 .$914,118 13 7985 PCC 84 1971 1970s 0.22 3 6.0 10.0 60.0 $1,073,723 14 3383 VCP 6 1927 1930 Pre 0.04 5 10.0 5.8 58.4 $35,352. is 3964 VCP 6 1925 1930 Pre 0.06 5 10.0 5.8 58.4 $47,949 16 :7740 VCP 6 1927 1930 Pre 0.03 5 10.0. 5.8 58.4 $24,820 17 3682 PCC 48 1958 1950s 0.24 3 6.0 9.2 55.2 $717,697 18' 4144 PCC 51 1958 1950s 0.24 3 6.0 9.2 55.2 $738,326 19 6537 PCC 42 1952 1950s 0.11 3 6.0 9.2 55.2 $276,417 65B -269 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY OBJECT SIZE I YEAR LENGTH COHORT POF COF ESTIMATED RANK In MATERIAL (IN) INSTALLED DECADE (MILES) RANK SCORE SCORE BRE COST 20 6585 PCC 42 1952 19505 0.18 3 6.0 9.2 55.2 $467,172 21 6609 PCC 42 1952 19505 0.18 3 6.0 9.2 55.2 $467,172 22 6778 PCC 48 1952 1950s .0.02 3 6.0 9.2 55.2 $52,297 23 6779 PCC 48 1952 19505 0.00 3 6.0 9.2 55.2 $5,954 24 6795 PCC 48 1952 1950s 0.27 3 6.0 9.2 55.2 $824,502 25 6954 PCC 84 1971 1970s 0.26 3 6.0 9.2 55.2 $1,257,799 26 6994 PCC 78 1971 1970s 0.15 3 6.0 9.2 55.2 $676,120 27 7099 PCC 42 1952 1950s 0.10 3 6.0 9.2 55.2 $250,009 28 7122 PCC 48 1958 19SOS 0.02 3 6.0 9.2 55.2 $61,420 29 7988 PCC 84 1971 1970s 0.21 3 6.0 9.2 55.2 $995,805 30 1559 VCP 24 1952 19505 0.03 3 6.0 9.2 55.0 $45,035 31 1560 VCP 30 1952 19505 0.05 3 6.0 9.2 55.0 $112,459 32 1646 VCP 30 1952 19505 0.07 3 6.0 9.2 55.0 $156,877 33 62 PCC 51 1958 1950s 0.25 3 6.0 8.4 50.4 $793,317 34 333 PCC 84 1971 1970s 0.11 3 6.0 8.4 50.4 $552,605 35 1670 VCP 36 1971 1970s 0.03 3 6.0 8.4 50.4 $67,959 36 1671 VCP 36 1971 1970s 0.09 3 6.0 8.4 50.4 $204,101 37 1672 VCP 36 1971 1970s 0.12 3 6.0 8.4 50.4 $277,580 38 1749 VCP 36 1971 19705 0.01 3 6.0 8.4 50.4 $29,832 39 1750 VCP 36 1971 1970s 0.11 3 6.0 8.4 50.4 $260,173 40 1751 VCP 36 1971 1970s 0.12 3 6.0 8.4 50.4 $278,117 41 1752 VCP 36 1971 1970s 0.12 3 6.0 8.4 50.4 $284,426 42 1782 VCP 39 1971 1970s 0.14 3 6.0 8.4 50.4 $349,867 43 1792 VCP 39 1971 1970s 0.11 3 6.0 8.4 50.4 $281,627 44 1793 VCP 39 1971 1970s 0.09 3 6.0 8.4 50.4 $233,961 45 4470 PCC 51 1958 19505 0.08 3 6.0 8.4 50.4 $264,409 46 4787 PCC 48 1958 19505 0.25 3 6.0 8.4 50.4 $744,644 47 4792 PCC 48 1958 19505 0.25 3 6.0 8.4 50.4 $752,340 48 6518 PCC 48 1952 1950s 0.09 3 6.0 8.4 50.4 $267,561 49 6522 PCC 48 1952 1950s 0.09 3 6.0 8.4 50.4 $285,113 50 6528 PCC 48 1952 1950s 0.04 3 6.0 8.4 50.4 $132,068 51 6530 PCC 48 1952 1950s 0.11 3 6.0 8.4 50.4 $347,029 52 6531 PCC 48 1952 1950s 0.01 3 6.0 8.4 50.4 $36,590 53 6532 PCC 48 1952 19505 0.01 3 6.0 8.4 50.4 $40,021 54 6533 PCC 48 1952 1950s 0.02 3 6.0 8.4 50.4 $70,316 55 6534 PCC 48 1952 1950s 0.16 3 6.0 8.4 50.4 $483,559 56 6536 PCC 42 1952 1950s 0.07 3 6.0 8.4 50.4 $191,807 57 6586 PCC 42 1952 1950s 0.02 3 6.0 8.4 50.4 $60,619 BLACK & VEATCH I Appendrx C: Inspection and Replacement Cost Calculation 65B -270 SEWER RATE STUDY I City of Santa Ana, CA NOVEMBER 2014 65B -271 58 6587 PCC 42 1952 19505 0.16 3 6.0 8.4 50.4 $414,273 59 6611 PCC 42 1952 1950s 0.06 3 6.0 8.4 50.4 $158,625 60 6613 PCC 42 1952 1950s 0.18 3 6.0 8.4 50.4 $476,135 61 6955 PCC 84 1971 1970s 0.16 3 6.0 8.4 50.4 $782,336 62 6957 PCC 84 1971 1970s 0.13 3 6.0 8.4 50.4 $646,771 63 6964 PCC 84 1971 1970s 0.01 3 6.0 8.4 50.4 $40,300 64 6965 PCC 84 1971 1970$ 0.12 3 6.0 8.4 50.4 $557,904 65 6980 PCC 84 1971 1970s 0.04 3 6.0 8.4 50.4 $189,080 66 6981 PCC 84 1971 1970s 0.14 3 6.0 8.4 50.4 $696,790 67 7011 PCC 78 1971 1970s 0.03 3 6.0 8.4 50.4 $152,673 68 7012 PCC 78 1971 1970s 0.09 3 6.0 8.4 50.4 $400,545 69 7048 PCC 60 1971 19705 0.04 3 6.0 8.4 50.4 $147,358 70 7050 PCC 78 1971 1970s 0.25 3 6.0 8.4 50.4 $1,138,838 71 7081 PCC 78 1971 1970s 0.15 3 6.0 8.4 50.4 $694,713 72 7082 PCC 78 1971 1970s 0.12 3 6.0 8.4 50.4 $531,784 73 7136 PCC 51 1958 19505 0.15 3 6.0 8.4 50.4 $482,973 74 7847 VCP 39 1971 1970s 0.02 3 6.0 8.4 50.4 $38,192 75 7848 VCP 39 1971 19705 0.05 3 6.0 8.4 50.4 $130,174 76 7976 PCC 48 1952 1950s 0.10 3 6.0 8.4 50.4 $292,031 77 7977 PCC 48 1952 1950$ 0.01 3 6.0 8.4 50.4 $37,159 78 7986 PCC 84. 1971 1970s 0.14 3 6.0 8.4 50.4 $683,402. 79 7990 PCC 78 1971 1970s 0.24 3 6.0 8.4 50.4 $1,085,824 80 7999 PCC 78 .1971 19705 0.12 3 6.0 8.4 50.4 $522,744 81 8000 PCC 78 1971 1970s 0.20 3 6.0 8.4 50.4 $889,676 82 955 VCP 24 1952 1950s 0.02 3 6.0 8.4 50.2 $35,895. 83 956 VCP 24 1952 1950s 0.08 3 6.0 8.4 50.2 $147,077 84 957 VCP 24 1952 19505 0.13 3 -6.0 8.4 50.2 $226,882 85 1048 VCP 24 1952 19505 0.08 3 6.0 8.4 50.2 $139,064 86 1080 VCP 24 1966 1960s 0.09 3 6.0 8.4 50.2 $160,940 87 1168 VCP 27 1966 1960s 0.12 3 6.0 8.4 50.2 $250,341 88 1223 VCP 24 1952 1950s. 0.13 3 6.0 8.4 50.2 $232,808 89 2638 VCP 6 1929 1930 Pre 0.01 5 10.0 5.0 50.4 $9,122 90 1225 VCP 27 1952 19505 0.22 3 6.0 8.4 50.2 $432,374 91 2840 VCP 6 1939 1930$ 0.07 5 10.0 5.0 50.4 $60,187 92 1303 VCP 27 1952 1950$ 0.12 3 6.0 8.4 50.2 $232,137 93 3381 VCP 6 1939 1930s 0.07 5 10.0 5.0 50.4 $60,208 94 1304 VCP 27 1952 1950s 0.11 3 6.0 8.4 50.2 $218,037 95 3382 VCP 6 1927 1930 Pre 0.07 5 10.0 5.0 50.4 $60,172 NOVEMBER 2014 65B -271 City of Santa Ana, CA I SEWER FRIATE STUDY OBJECT SIZE I YEAR LENGTH COHORT POF COF ESTIMATED RANK I ID MATERIAL I (IN) INSTALLED DECADE (MILES) RANK SCORE SCORE BRE COST 96 1437 VCP 30 1969 1960s 0.06 3 6.0 8.4 50.2 $135,702 97 1438 VCP 30 1969 1960s 0.03 3 6.0 8.4 50.2 $66,034 98 1439 VCP 27 1969 1960s 0.13 3 6.0 8:4 50.2 $251,067 99 1557 VCP 24 1952 1950s 0.08 3 6.0 8.4 50.2 $137,824 100 5745 VCP 8 1927 1930 Pre 0.01 5 10.0 5.0 50.4 $10,068 101 1558 VCP 24 1952 19505 0.04 3 6.0 8.4 50.2 $74,499 102 1645 VCP 30 1952 1950s 0.08 3 6.0 8.4 50.2 $170,602 103 3664 PCC 48 1958 19505 0.24 3 6.0 8.4 50.2 $737,399 104 6644 VCP 33 1952 1950s 0.17 3 6,0 8.4 50.2 $376,578 105 7805 VCP 24 1952 1950s 0.01 3 6.0 8.4 50.2 $24,720 106 7812 VCP 24 1952 1950s 0.01 3 6.0 8.4 50.2 $20,281 107 7979 VCP 33 1952 19505 0.12 3 6.0 8.4 50.2 $265,940 R &R STRATEGY GROUPS AND CIP BUDGETING The risk prioritization table just presented identifies pipe segments having the highest BRE score. Since this score is based on the product of PoF times CoF factors, it gives equal consideration for both factors. Typically, different R &R strategies are applied to address these two considerations. Based on the BRE heat map graphic results, the ranked sewer main assets were then grouped into logical R &R strategies. Table C 3 defines each of these groupings and provides additional summarizations and recommendations. Figure C 3 shows the same BRE heat map graphic as before, but color coded by strategy group. Figure C 4 presents a map of pipe segments color coded by these strategy groups. [INTENTIONALLY LEFT BLANK] BLACK & VEATCH I Appendix C Inspection and Replacement Cost Calculation 65B -272 SEWER RATE STUDY I City of Santa Ana, CA Figure C- 3: BRIE Heat Map Graphic by Cost and R &R Strategy Groups Probability of Failure 1 2 3 4 5 6 7 8 9 10 Q1 10 L 3 9 �f0 8 LL 4- 7 O 4J 6 U i 5 4 Cr Q) 3 2 O U 1 i, $0.0 $0.0 $0.0 $0.2 $0.0 $9.1 $0.0 $0.0 $0.0 $0.2 $0.0 $3.1 $0.0 $22.8 $0.0 $0.0 $0.0 $3.7 $0.4 $4.5 $0.0 $19.8 $0.0 $0.2 7$0.3$0.4 $0.2 $6.1 $0.4 $1.6 $0.1 $5.8 $0.1 $0.0 $2.0 $15.7 $2.5 $3.5 $3.0 $34.7 $2.2 $2.2 $0.5 $3.4 $0.7 $7.5 $0.5 $10.1 $0.6 $1.8 $0.2 $0.1 $0.4 $5.2 $1.2 $3.4 $1.0 $5.4 $0.2 $0.8 $0.0 $0.1 $0.8 $8.4 $1.5 $1.6 $1.8 $3.0 $1.4 $0.4 $0.1 $0.3 $2.6 $27.8 $4.4 $4.3 $4.5 $7.4 $3.1 $1.2 $0.3 $0.8 $9.2 $118.7 $24.1 $17.1 $17.1 $29.2 $9.5 $5.3 $1.1 $2.0 Millions of Dollars [INTENTIONAL LEFT BLANK] 6513-273 Total Cost: $499.1 6 a V E E 3 x V 65B -274 N b N N J Q Q F N M N H H w T T T v 3 3 c n Y° v n n a m c c n 0 a n n n ° E n a n v v o v o 0 0 n n > a m > > > a a a n V N a a a N y Q y N N N v c v E v E v E a a E v E v E E E E c E E E E c v a v y v v a ¢ « N at N pp t0 Vhf W � O M N 10/� IA c N W ei N N yN y tO pN V T Vml LO Lq N N N N N V v E c ry m N X a 00 c T m T m v D o a v G ¢ E« c c = 3 n I a >¢ w a m E n `o o v a v „'0. a z n c n$ o o `o 1O V V n a\ q V a V a V a n E m c a m L K C vl T V1 K V V 8 O M S1 � O e.l (V e•l m N N V�1 N N O V M N N N N pl O M N N I f1 (!1 VI N � Z - N N N N � h N Vm1 M N o' m N ro e4 � n rl t1yO tO � m m 1(1 m N v°� aoii N e•l � O tp lO N M N N m to m i L v o 0 0 n m ° ry m m v u v c v v a m o o v v v � c u'° y « C U q _ 65B -274 N b N N J Q Q F N M N H H for SEWER RATE STUDY I City of Santa Ana, CA Figure C- 4: Sewer System Map of R &R Strategy Groups ! SS 1 _ I r J I I �I► �� . l Wq pL 0 3,000 6.000 12.000 Ft Sewer Main- Grid02 City of Santa Ana, CA Group A Probability of Failure - -�- Group B = x = . 1 6 r 6 s 10 Water I Wastewater Group 2 9 -$2 $00 $0.0 Group System Analysis - 2012 Group D ? s 5zxe s0a Sa.o Group E 6L 6 519.8 500 $03 ( 1. Group F o > 5Sa sor Soo Y1 GroupG S Sx+.r sxz A�Z�S"OA ' Group H Sas SSA Sol sns WS $101 SoA All Others d s City Boundary S s0A SS.x S" su S10 55A RaaReads $ = saa s" $" $ 6 S" $10 u Sewer Collection System C = si6 sx)A Su 54a Si5 S)A sss ttw snz sva sn.x sns BRE Scoring by Grid 02 ©BLACK &VEATCH , Building aworld of dlffvan<u 65B -275 NOVEMBER 201d City of Santa Ana, CA I SEWER RATE STUDY These inspection and replacement assignments were then adjusted over a five year plan to moderate annual budgeting expenditures. Total inspection and replacement percentages follow those of the strategy group recommendations. Table C 4 below presents initial annual inspection and replacement assumption plans. The inspection plan percentage values indicate the percent of uninspected pipes that remain to be inspected at that time. It assumes that all pipe segments have already been recently inspected or will be under this inspection program. Percentages are the suggested replacement quantities as presented in the R &R summarizations and recommendations table presented above. Table C -4: Annual Inspection and Replacement Assumption Plans - percentages shown are total inspected to date L 0?� 300 O.e 0.0'c 00-, 0.01 100.09: B 0.0% I 0.0% ? 100.0% i 0.0% OA% 100.0 +:: C 0.0% 0.1 0.0% a 30.0% 0.0% 30.05; D 10.0% 10.0% ) 0% £ 10.0% 10.0% 50.0% I 10._ E 2.0% 1.0 % 1.0% 1.0% S.0% 10.0% F 1.0% 0.0% 2.0% , 1.0% 1.0% 5.0% 0.5% 0.5% os% 05% 0.5% MIA H 0.2% 0.2% 0.2% f 0.2% 0.2% 1.0% z 0.0% 0.0% 0.0% 0.0% 0.0% 1 Based on the above assumption plan, an annual inspection and replacement budget was developed. Table C 5 presents the resulting annual budget. Figure C 5 presents these results graphically. The overall assumption plans can be adjusted to create a variety of budgeting scenarios. Note, the City may wish to also include a nominal annual budget for ongoing inspections to address system -wide pipe segments not included in this suggested plan. Table C - 5: Annual Inspection and Replacement Budget Table Year Inspect Replace Total Cum Total Yearl $916,388 $1,911,299 $2,682,147 $2,682,147 Year2 $89,756 $3,026,311 $3,143,122 $5,825,270 Year3 $0 $2,820,191 $2,918,041 $8,743,311 Year4 $0 $3,190,619 $3,211,252 $11,954,563 Years $0 $2,689,157 $2,689,157 $14,643,720 Total $1,006,144 $13,637,576 $14,643,720 BLACK & VEATCH I Appendix C Inspection and Replacement Cost .akz3lanon 65B -276 100.0% 0 0.0% [ o o o% j 0 0.0% 0 0 -0% 1 100.0% B 1 1000% 0 0.0% 0 0.0% r 0 0.0% 0 0.0% 1 100.0% ,. c 1 1000% o o.o% 0 0.0% o o.o% o o.o% 3 300.0% 0 0 0.0% i i 100.0% 0 0.0% 0 0.0% 0 0.0% 1 100.0% E 0 0.0% 1 1000% 0 0.0% 1 0 0.0% 0 0.0% 1 100.0% F 1 100.0% 1 1 0 0.0% 0 0.0% 0 0.0% 1 100.0% 100.0%_.. l l 0% 1 1 - 0 0.0% 0 0.096 1 100.0% H 1 100.0% 0 0.0% 0 0.0% 0 0.0% O OA% _ _ 100.0% z o oo % 0 0.0% 0 0.0% 0 0.0% 0 0.0% 1 1 ' 00-, 0.01 100.09: B 0.0% I 0.0% ? 100.0% i 0.0% OA% 100.0 +:: C 0.0% 0.1 0.0% a 30.0% 0.0% 30.05; D 10.0% 10.0% ) 0% £ 10.0% 10.0% 50.0% I 10._ E 2.0% 1.0 % 1.0% 1.0% S.0% 10.0% F 1.0% 0.0% 2.0% , 1.0% 1.0% 5.0% 0.5% 0.5% os% 05% 0.5% MIA H 0.2% 0.2% 0.2% f 0.2% 0.2% 1.0% z 0.0% 0.0% 0.0% 0.0% 0.0% 1 Based on the above assumption plan, an annual inspection and replacement budget was developed. Table C 5 presents the resulting annual budget. Figure C 5 presents these results graphically. The overall assumption plans can be adjusted to create a variety of budgeting scenarios. Note, the City may wish to also include a nominal annual budget for ongoing inspections to address system -wide pipe segments not included in this suggested plan. Table C - 5: Annual Inspection and Replacement Budget Table Year Inspect Replace Total Cum Total Yearl $916,388 $1,911,299 $2,682,147 $2,682,147 Year2 $89,756 $3,026,311 $3,143,122 $5,825,270 Year3 $0 $2,820,191 $2,918,041 $8,743,311 Year4 $0 $3,190,619 $3,211,252 $11,954,563 Years $0 $2,689,157 $2,689,157 $14,643,720 Total $1,006,144 $13,637,576 $14,643,720 BLACK & VEATCH I Appendix C Inspection and Replacement Cost .akz3lanon 65B -276 Based on the above assumption plan, an annual inspection and replacement budget was developed. Table C 5 presents the resulting annual budget. Figure C 5 presents these results graphically. The overall assumption plans can be adjusted to create a variety of budgeting scenarios. Note, the City may wish to also include a nominal annual budget for ongoing inspections to address system -wide pipe segments not included in this suggested plan. Table C - 5: Annual Inspection and Replacement Budget Table Year Inspect Replace Total Cum Total Yearl $916,388 $1,911,299 $2,682,147 $2,682,147 Year2 $89,756 $3,026,311 $3,143,122 $5,825,270 Year3 $0 $2,820,191 $2,918,041 $8,743,311 Year4 $0 $3,190,619 $3,211,252 $11,954,563 Years $0 $2,689,157 $2,689,157 $14,643,720 Total $1,006,144 $13,637,576 $14,643,720 BLACK & VEATCH I Appendix C Inspection and Replacement Cost .akz3lanon 65B -276 BLACK & VEATCH I Appendix C Inspection and Replacement Cost .akz3lanon 65B -276 118 SEWER RATE STUDY I City of Santa Ana, CA Figure C- 5: Annual Inspection and Replacement Budget Graph $3,500.000 $3,000,000 _7Cum Total Inspect —l— Replace —* —Total $16,000,000 $14,000,000 - _- $2,500,000 $12,000,000 N $10,000,000 $2 DOD 000 u $8,000,000 C $1,500.000 75 E $6,000,000 $1,000,000 $4,000,000 $500,000 $2,000,000 $0 $o Year 1 Year 2 Year 3 Year 4 Year 5 CIP PROJECT IDENTIFICATION Once all individual pipe segments were assigned to appropriate R &R strategy groups, the segments were combined into potential CIP projects. The assignment process was partially based on the strategy group recommendations as presented in the previous section. Project identification also considered logical continuous segments of pipe, similar pipe diameters, and geographic proximity. The size of inspection projects were based on the City's request to inspect approximately 30,000 feet per project. To assist in this project identification process, an interactive, GIS -based tool called iCIP was used. Interactive Capital Improvement Planning (iCIP) is a combination of GIS -based tools and processes used by Black & Veatch to supplement and enhance the capital improvement planning process. It includes an interactive and fully customizable GIS -based cost - estimating tool that can assist planning engineers in determining inspect or repair and replacement (R &R) costs. Users can graphically see the results of their decisions and have full control of the factors that support that process. CIP projects can be added, removed or modified graphically; cost calculations are updated automatically. This iCIP tool evolved from Esri's cost estimating template designed with input from the water, wastewater, and storm water user community. It was enhanced by Black & Veatch to provide additional functionality and flexibility. It was also configured specifically for this study to address City- specific considerations such as input file and field names, replacement strategies and cost lookup values. GIS Analysts and Planning Engineers collaborated together using iCIP to identify and refine proposed pipe inspection and replacement projects based on one suggested scenario. In total, ten individual inspection projects were identified to address the City's sewer mains that had no inspection data. Figure C 6 presents a map showing suggested inspection projects. 65B -277 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Figure C- 6: Sewer System Map Showing Suggested Inspection Projects 0 3,000 6,000 Inspection Projects — Inspect 01 — Inspect 02 — Inspect 03 — Inspect 04 — Inspect 05 — Inspect 06 — Inspect 07 2- Inspect08 Inspect 09 Inspect 10 Sewer Main Sewer Main ;_... City Boundary RailRoads i � L r ,,-. -1 �ll I 1 t• 12,000 Ft N w F �V./S City of Santa Ana, CA Water / Wastewater System Analysis - 2012 Y\ Sewer Collection System Inspection Projects BLACK &VEATCH Bulldlno a world of dlNeunar BLACK & VEATCH 1 Appendix C Inspection and Replaceme;S ( ost Calsulatlon 65B -278 120 f u)Y I City of Santa Ana, CA Table C 6 presents a summary of the suggested inspection projects listing total footages per project. It also indicates the footages by strategy group. As indicated, Inspection Project 01 includes all of the Group A and B pipe segments (highest risk). Therefore, this project should be completed as soon as practical. Projects 02 and 06 include fewer of the higher risk pipe so are candidates for delaying until years two or three if desired. Table C 7 presents the same information, but summarizes inspection costs. Table C- 6: Summary of Inspection Project Footages Inspect Project Inspect 01 Group 5,118 Group 472 Group 54 Group 13 Group 6,374 Group 16,858 Group 2,760 Group Grand 31,649 Inspect 02 919 28,840 1,749 31,508 Inspect 03 844 1,258 3,423 18,390 84 23,999 Inspect 04 2 319 377 7,801 17,320 288 26,107 Inspect 05 534 320 28,126 365 29,345 Inspect 06 106 4,905 21,835 26,846 Inspect 07 499 1,237 85 22,002 21 23,844 Inspect 08 8,607 2,619 16,776 28,002 Inspect 09 76 0 11,725 1,263 15,904 186 29,838 Inspect 10 1,653 5,189 3,558 8,526 162 990 20,077 Total 5,118 472 12,953 19,846 23,845 185,057 22,459 1,464 271,215 Table C- 7: Summary of Inspection Project Costs Inspect Inspect 01 . • $22,073 Group $1,682 Group $113 Group $28 Group $13,530 Group $79,905 Group $14,668 Group Grand $132,000 Inspect 02 $1,378 $171,674 $7,304 $180,356 Inspect 03 $1,267 $3,127 $14,445 $64,164 $202 $83,205 Inspect 04 $4 $599 $585 $24,582 $64,094 $628 $90,492 Inspect 05 $801 $650 $116,983 $1,846 $120,279 Inspect 06 $219 $8,430 $120,948 $129,597 Inspect 07 $749 $2,394 $168 $77,734 $62 $81,106 Inspect 08 $12,910 $3,942 $48,325 $65,177 Inspect 09 $1,832 $22,233 $2,203 $47,065 $454 $73,787 Inspect 10 $3,108 1 $9,878 $5,948 $28,409 $390 $2,413 $50,145 Total $22,073 $1,682 $20,784 $38,477 $51,279 $779,788 $88,566 $3,495 $1,006,144 As previously addressed, recommended replacements or refurbishments should not be performed without further investigation and /or inspection. Based on the severity of BRE scores, pipes in Strategy Groups A and B were listed for 100% replacement. Therefore, replacement projects were prepared for these pipe segments; as shown in Figure C 7. Assets within the remaining Strategy Groups were listed for replacement as an assumed percentage of pipe lengths within each group. Until actual re- inspection results are available, it is impossible to know which specific segments need attention. Therefore, detailed replacement projects were not identified for those assets. 65B -279 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STU DY Figure C- 7: Map of CIP Replacement Projects for Groups A and B ._.. t.» i 0 1,250 2.500 5.000 Ft Sewer Main - Replace Projects ,all other values> — A Group Pipes — B Group Pipes 1st St — B Group Pipes Daisy Ave — B Group Pipes Edinger Ave City Boundary -- RailRoads BLACK & VEATCH J Appendix C: Inspection and Replacement Cast CalculaFion 65B -280 N W�F ��ss City of Santa Ana, CA Water / Wastewater System Analysis - 2012 n Sewer Collection System Replacement Projects (A -B) BLACK &VEATCH [wilding a world of dlNemncer t22 SEWER RATE STUDY I City of Santa Ana, CA Table C 8 presents a summary of the expected replacement footages and costs for the Group A and B projects. Table C- 8: Summary of Group A and B Replacement Projects CIP Replacement Project Project A Group Pipes Footage No of Segments 5,118 Replacement 10 Costs 2 29J919 B Group Pipes 1st St 472 1 $159,863 B Group Pipes Daisy Ave 396 1 $62,231 B Group Pipes Edinger Ave 125 1 $24,464 Total 6,111 13 92.542,477 [INTENTIONALLY LEFT BLANK] 65B -281 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Appendix D: City -Owned Mains Analysis BLACK & VEATCH I Appendix D: City -Owned Mains Analysis 65B -282 124 SEWER RATE STUDY I City of Santa Ana, CA REVISED ANALYSIS At the request of the City, a revised Sewer System CIP Analysis was performed for Santa Ana after the draft report was developed. The revised results reflect the removal of all OCSD -owned sewer mains. None of the initial pipe statistics, cohorts, PoF / CoF criteria or prioritization factors were changed. The non -City owned mains were removed after the full prioritization process to allow comparison of results. The following sections provide the summarized results of the "revised" analysis starting at the conclusion of the Business Risk Exposure (BRE) calculation. Business Risk Exposure (BRE) Figure D 1 provides a "heat map" graph showing the resulting distribution of PoF vs. CoF scores by miles of City -owned mains. Combined, these represent the BRE score. Higher probability of failure assets are plotted near the right. Higher consequences of failure assets are plotted near to the top. A partial table of sewer main pipeline segments ranked by BRE score is included in the Replacement Prioritization section below. Figure D -1: Sewer System BRE Heat Map Graphic by Miles of City -Owned Sewer Mains 10 OJ 9 i 3 g LA_ 7 4- O 6 a U C 5 GJ O 4 v N 3 C O 2 V 1 Probability of Failure 1 2 3 4 5 6 7 8 9 10 0:2 0.2 2.3 4.6 0.3 0.3 0.4 0.6 1 0.2 ` 1.8 2.7 1.9 14.3 2.4 2.5 [ 2.9 i 5.2 2.4 f 0.6 0.3 1 0.4 0.5 3.2 0.7 ( 0.6 0.5 1.1 0.7 0.3 0.2 0.4 ` 4.9 C 1.1 1.1 1.1 2.5 0.2 0.3 0.8 8.3 1.5 1.7 f 1.9 2.2 1.5 I 0.3 0.2 0.3 2.7 28.4 4.6 4.5 5.0 ` 6.0 3.5 ( 1.2 I 0.3 f 1.0 10.2 .9 26.2 19.0 19.1 31.3 11.0 5.5 Total Miles: 397.2 Inspection and Replacement Cost Calculation Figure D 2 shows the distribution of BRE scores (across the bottom) against the total estimated replacement costs for City -owned mains. The cumulative replacement cost line is also provided. 65B -283 NOVEMBER 2014 City of Santa Ana, CA I SEWER RATE STUDY Figure D - 2: BRE Scores and costs for City -Owned Sewer Collection System (2012 dollars) $100 0 0 `o a $80 to E c $60 E i $40 $20 _CUmUlative Cost 8 p m m m m m m 3 m S n n A n n w B 3 u S n�. R h m a V 3 a 4 A A A m A A N ry ry BRE Scare $350 $300 o° $250 0 0 E $200 m V $150 a $100 $50 E V A variation of the previous heat map graphic is provided in Figure D 3. This version is based on cost ratherthan pipe length. [INTENTIONALLY LEFT BLANK] BLACK & VEATCH j Appendix D. City -Owned Mains Analy;i 65B -284 SEWER RATE STUDY I City of Santa Ana, CA Figure D - 3: BRE Heat Map Graphic by City -Owned Main Replacement Cost (2012 dollars) Probability of Failure 1 2 3 4 5 6 7 8 9 10 [INTENTIONALLY LEFT BLANK] 65B -285 10 _. L 9 $0.2 .0 $0.5 $0 1).0 0. •� 8 f $3.6 f $0.4 $0.7 0.0 $3.4 $0. .0 $0. LL y,,, 7 $0.2 ( $6.1 $0.4 $0.8 $0.1 $3.8 $0.1 .0 - 0- O - 41 6 1 $2.0 $15.7 $2.5 $2.7 $3.0 $5.5 $2.2 ( $0.6 $0.3 $0.4 Ll 1 EEE 41 5 $0.5 $3.4 I $0.7 $0.6 I $0.5 $1.0 $0.6 $0.2 $0.2 jft Cr 4 $0.4 $5.2 ( $1.2 $1.2 ( $1.0 $2.4 $0.2 $0.2 $0.0 $0.1 Q) _ I I 3 $0.8 $8.4 l $1.5 $1.6 $1.8 k $2.1 f $1.4 I $0.2 $0.1 $0.3 �I (� 2 $2.6 $27.8 ( $4.4 $4.3 $4.5 $5.7 $3.1 ( $1.1 $0.3 $0.8 1 $9.2 -118.7 I$24.1 $17.1 $17.1 [ $28.7 1 $9.5 ` $4.8 $1.11 $2.0 $15.7 $189.2 $35.2 $29.0 $28.1 $53.1 $17.1 $7.2 $2.0 $3.7 Millions of Dollars Total Cost: $380.1 [INTENTIONALLY LEFT BLANK] 65B -285 City of Santa Ana, CA I SURER RATE STUDY BRE Replacement Prioritization Using the results of the BRE analysis and replacement costing table, each sewer main pipe segment was ranked from highest to lowest risk and assigned a replacement cost estimate. Table D 1 below is a revised table (with the non -City owned mains removed) for all pipes having a BRE score of 50 or above. The rank IDs were left as they were initially assigned to easily indicate which pipes were removed. Table D -1: Partial List of Sewer Mains Ranked by BRE Score with Non -City owned Mains Removed 0. e ® ®®� • , ® •� •. e ME ME ® M 1 3383 VCP 6 1927 1930 0.04 5 10.0 5.8 58.4 $35,352 Pre 2 3964 VCP 6 1925 1930 0.06 5 10.0 5.8 58.4 $47,949 Pre 3 7740 VCP 6 1927 1930 0.03 5 10.0 5.8 58.4 $24,820 Pre 4 2638 VCP 6 1929 1930 0.01 5 10.0 5.0 50.4 $9,122 Pre 5 2840 VCP 6 1939. 19306 0.07 5 10.0 5.0 50.4 $60,187 6 3381 VCP 6 1939 1930s 0.07 5 10.0 5.0 50.4 $60,208 7 3382 VCP 6 1927 1P9e0 0.07 5 10.0 5.0 50.4 $60,172 8 5745 VCP 8 - 1927 930 0.01 5 10.0 5.0 50.4 $10,068 Pre 9 1437 VCP 30 1969 1960s 0.06 3 6.0 8.4 50.2 $135,702 10 1438 VCP 30 1969 1960s 0.03 3 6.0 8.4 50.2 $66,034. 11 1439 VCP 27 1969 1960s 0.13 3 6.0 8.4 50.2 $251,067 R &R Strategy Groups and CIP Budgeting The risk prioritization table just presented identifies pipe segments having the highest BRE score. Since this score is based on the product of PoF times CoF factors, it gives equal consideration for both factors. Typically, different R &R strategies are applied to address these two considerations. Based on the BRE heat map graphic results, the ranked assets were then grouped into logical R &R strategies. Figure D 4 shows the same BRE heat map graphic as before, but color coded by strategy group. Table D 2 defines each of these groupings and provides additional summarizations and recommendations. BLACK & VEATCH I Appendix D: City -Owned Mains Ana!ysii 65B -286 SEWER RATE STUDY I City of Santa Ana, CA Figure D - 4: BRE Heat Map Graphic by Cost and R &R Strategy Groups for City -Owned Mains Probability of Failure 1 2 3 4 5 6 7 8 9 10 10 L 9 �M 8 LL 4- 7 O 6 V i 5 W 4 Cr (L) 3 N 2 O U 1 tzx $0.0 $0.0 $0.0 C 0.0 $0.0 $0.0 $0.0 Y Z $0.0 $0.2 $0.0 $0.0 $0.0 $0.5 $0.0 $0.0 $0.0 $3.6 $0.4 $0.7 $0.0 $3.4 $0.0 $0.0 $0.0 $0.0 $0.2 $6.1 $0.4 $0.8 $0.1 $3.8 $0.1 $0.0 $0.0 $0.0 $2.0 $15.7 $2.5 $2. 3.0 ; $5.5 $2.2 $0.6 $0.3 $0.4 $0.5 $3.4 $0.7 $0.6 $0.5 $1.0 $0.6 $0.2 $0.2 $0.1 $0.4 $5.2 $1.2 $1.2 $1.0 $2.4 $0.2 $0.2 $0.0 $0.1 $0.8 $8.4 $1.5 $1.6 $1.8 $2.1 $1.4 $0.2 $0.1 $0.3 $2.6 $27.8 $4.4 $4.3 $4.5 $5.7 $3.1 $1.1 $0.3 $0.8 $9.2 $118.7 $24.1 $17.1 $17.1 $28.7 $9.5 $4.8 $1.1 $2.0 Millions of Dollars Total Cost: $380.1 [INTENTIONALLY LEFT BLANK] 6513-287 `_ l Extremely Critical Highly Critical Critical - Likelihood Imminent Failure Potential Failure Critical - Consequence High Consequence High Consequence Unknown Low Criticality B C D E F H 7 Y Z [INTENTIONALLY LEFT BLANK] 6513-287 `_ l \ 65B-288 k ! } 2 M \ \ \ \ • + \ k / a 7 4 «§ < <99 /ff4 /! ) 65B-288 k ! } 130 S RA [E STl7JY I City of Santa Ana, CA Sewer System Capital Improvements Program Table D 3 presents the resulting annual budget. The overall assumption plans can be adjusted to create a variety of budgeting scenarios. Note, the City may wish to also include a nominal annual budget for ongoing inspections to address system -wide pipe segments not included in this suggested plan. Table D - 3: City -Owned Sewer System Capital Improvements Program [ *] Year1 $541,700 $788,700 $1,330,400 $1,330,400 Year2 $541,700 $788,700 $1,330,400 $2,660,800 Year3 $261,000 $875,400 $1,136,400 $3,797,200 Year $1,521,600 $1,521,600 $5,318,800 Year $1,521,600 $1,521,600 $6,840,400 Total $1,344,400 $5,496,000 $6,840,400 65B -289 NOVEMBER 2014 65B -290 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: NOVEMBER 18, 2014 TITLE: PUBLIC BEARING - 2015 DOWNTOWN BUSINESS IMPROVEMENT DISTRICT ASSESSMENT (STRATEGIC PLAN NO. 3,41F) I CITY MA p GER RECOMMENDED ACTION Oa WN 7 CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For J1111140111181-1 7 Conduct a public hearing to consider all protests regarding the intention to levy an assessment for 2015 for the Downtown Santa Ana Business Improvement District. 2— Review - any - written - protest -s -fled- prier -ta- the - close -o# the - public - hearing- and - determine - whether they constitute a majority protest. 3. If the Council determines that no valid majority protest was lodged, adopt a resolution confirming the Assessment Report and levying the assessment for 2015. DISCUSSION At its meeting of October 21, 2014, the City Council approved the 2015 Assessment Report and budget for the Downtown Santa Ana Business Improvement District (BID) with Amezcua, Benavides, Reyna, and Tinajero voting aye; and Martinez, Pulido, and Sarmiento abstaining. In addition, the City Council adopted a resolution of Intention to Levy the 2015 assessment pursuant to California Streets and Highways Code section 35600 et seq. and scheduled the public hearing to consider protests to this action for its regular meeting of November 18, 2014. Business owners affected by the 2015 annual BID assessment may present written and /or oral protests during this public hearing. If written protests are received from business owners within the Downtown Santa Ana Business Improvement District (which will pay 50 percent or more of the proposed assessments and the protests are not withdrawn so as to reduce the number to less than 50 percent), the Council will be precluded from taking any action to levy the 2015 assessment. Any written protests filed and not withdrawn must be reviewed to determine if they meet certain qualifications; this review will include a comparison of names and business owners with official City records. If it is determined that less than a majority protest is filed, the adoption of the 75A -1 PH — 2015 BID Assessment November 18, 2014 Page 2 subject resolution will confirm the 2015 Assessment report for the BID and levy the assessments for 2015 (Exhibit 1). The 2015 Assessment Report includes a description of the BID assessment formula, where certain business classifications are charged 25 %, 100% or 150% of their business license fee as their BID assessment. This formula was established in 1984. To ensure full understanding of how the assessment formula is applied to each business, attached as Exhibit 2 is a listing of all businesses which would be subject to the 2015 BID assessment showing which charge would apply to each business. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet 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 F (Partner with downtown business and merchant associations to program events that showcase restaurants, shopping and entertainment venues). FISCAL IMPACT There is no fiscal impact associated with this action. The City only serves as a pass- through for BID revenue in accordance with the Assessment Report and any approved operating agreements. Kelly R nders Executive Director Community Development Agency Exhibit: 1. Resolution 2. List of Businesses Subject to Assessment KR /le 75A -2 0xs 11- 18 -14) RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA LEVYING AN ASSESSMENT FOR THE DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT AREA FOR CALENDAR YEAR 2015 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On February 6, 1984, the City Council, by Ordinance No. NS -1715, established the Downtown Santa Ana Business Improvement Area pursuant to California Streets and Highways Code Sections 36500, et seq. (the `BID Law "). B. On October 21, 2014, the City Council received the 2014 Annual Report for the Downtown Santa Ana Business Improvement Area (the `Report"). C. On October 21, 2014, the City Council adopted Resolution 2014 -xxx approving the Report and setting a public hearing for November 18, 2014, at which time protests could be made to the proposed levy of the 2015 annual assessment for the Downtown Santa Ana Business Improvement Area (the "Annual Assessment'). D. On November 18, 2014, at the time and place called for in Resolution 2014 -XXX, the City Council conducted a duly noticed public hearing at which written and oral protests to the proposed Annual Assessment were made and considered as provided in Streets and Highways Code section 36524 and 36525. E. Qualifying written protests constituting a majority of the owners of the businesses paying the Annual Assessment were not received at or before the conclusion of the public hearing. Section 2. The 2015 Assessment Report is hereby confirmed, as is the levy of an assessment for the calendar year 2015 in accordance with Attachment B of the Report. A copy of the Report is attached as Exhibit 1 and incorporated herein by reference, and is hereby approved. Resolution No. 2014 -XXX Page 1 of 3 75A -3 ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Jose Sandoval Chief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Resolution No. 2014 -XXX Page 2 of 3 2014. Miguel A. Pulido Mayor 75A -4 Oxs 11- 18 -14) Qxs 11- 18 -14) CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Resolution No. 2014 -XXX Page 3 of 3 Clerk of the Council City of Santa Ana 75A -5 75A -6 Exhibit t DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT DISTRICT 2015 ASSESSMENT REPORT Background On February 6, 1984, the City Council adopted Ordinance No. NS -1715 pursuant to Section 36500, et seq., of the 1979 State of California Streets and Highways Code, creating a Business Improvement District (BID) in Downtown Santa Ana. On October 6, 2003, the City Council appointed the Community Redevelopment and Housing Commission (CRHC) as the Downtown Santa Ana Business Improvement District Advisory Board. As the BID Advisory Board, the CRHC is responsible for making recommendations to the City Council on the expenditure of revenues derived from the levy of assessments, on the classification of businesses, as applicable, and on the method and basis of levying the assessments (including the annual budget). The BID was established as a means of providing the Downtown business community with the funding to promote the Downtown through events and advertising pieces; funding to increase security and enhance the overall aesthetics of the area; and also to maintain the downtown shopping corridors. Improvement Area Boundaries The geographic boundaries of the district remain unchanged from the original 1984 area, and they include over 600 retail, service, and professional members (see Attachment A). Assessment Formula The formula for the BID tax levy also remains unchanged from the original 1984 ordinance and is based on the category and /or sales volumes of the business (see Attachment B). 2015 Budget Plan Based on the feedback from the two Associations, Downtown Inc. and the Santa Ana Business Council Inc., the 2015 BID Budget focuses on the continuation of promotions and marketing of the BID. Some of the promotion and marketing will be focused on Downtown events and advertising pieces; which are all designed to enhance the overall aesthetics of the area and also to maintain the downtown shopping corridors. Detailed breakdowns of the two groups' budgets are attached (Attachment C). The assessments from the 2015 BID are estimated at $200,000 to be split evenly by Downtown Inc. and the Santa Ana Business Council —the two business groups that have spearheaded this BID process. Both associations will have carryover funding from the previous year, which is estimated to be approximately $60,000 for Downtown, Inc. and approximately $100,000 for the Santa 75A -7 Ana Business Council. This carryover has been incorporated into a reserve fund for their 2015 budgets. This reserve funding may be used for additional events and promotions throughout the year. These two representative business associations are proposing to host a variety of major community events and promotions, including, but not limited to the following: Downtown Inc. Sound Downtown /Restaurant Week Art Walk (12x) OC Pride Patchwork (2x) Savor Santa Ana Business Council Valentine's Day Plaza Primavera 5 de Mayo Dia de las Madres Parade /Fiestas OC Film Fiesta Dia de los Muertos Danzantes del Sol Plaza Navidena Art Walk Other programming for the associations will include ongoing social media marketing, funding for the Downtown Restaurant Association, holiday promotions, website development and maintenance, and purchase of streetscape amenities such as benches along the Wellness Corridor. 75A -8 ATTACHMENT A BUSINESS IMPROVEMENT DISTRICT BOUNDARY FLOWER ST. 3 T ❑ El , i ~ Z -* z +v o 0 D ❑ w7 W W /Fl�P i s SY ❑ CA ROSS ST. P S ps O ~ A BIRCH ST. FIEo BROAD WAY ❑ ❑ O ❑ y Vi SYCAMORE ST, SYCAM AE n foolo ❑�❑ ❑ ❑❑ MAIN ST. F-1 F-1 F-1 ❑ ❑ ❑ F-1 BUSH ST. CFPPISS ❑ ❑ ❑ ❑ ❑ ❑ ❑ W O m c SPURGEON ST. 'a D c �' OPPN6E ❑ ❑ Y� 1 FRENCH ST. ❑ O MOHTIMER ST 75A -9 ATTACHMENT B 2015 ANNUAL ASSESSMENT FORMULA The following businesses located within the boundaries of the Business Improvement District (BID), classified under City Ordinance NS 1690 as Amusement Services, Pawnbrokers, Service Station and Classification A, including, but not limited to Retail Sale of Goods, Hotel and Motels, Theaters and Food Establishments, shall pay an amount equal to one and one -half times their annual business license fee. Businesses classified as Commercial Rental Property, Rental Property, Residential and Rooming House shall pay an amount equal to one - quarter times their annual business license fee. All other businesses, including Professions, Trades and Services within the boundaries of the proposed Business District, shall pay an amount equal to their annual business license fee. Once the assessment formula is established, it cannot be changed without written notice to all businesses within the boundaries of the proposed Business Improvement District and a public hearing held by the City of Santa Ana. 75A -10 ATTACHMENT C DOWNTOWN BUSINESS IMPROVEMENT DISTRICT PROPOSED BUDGETS SUMMARY 2015 OPERATING FUND REVENUE 2015 BID Assessments — Projected $200,000 Prior Year Carry Forward $160,000 Total Revenue $360,000 EXPENDITURES Downtown Inc. ADMINISTRATION Overhead (Office Supplies, Insurance, Professional Services) $10,000 MARKETING Sound Downtown Artwaiks (12x) OC Pride Patchwork (2x) Savor Events Total $10,000 $15,000 $5,000 $10,000 $10,000 $50,000 Advertising (Print/Online) $25,000 OTHER PROGRAMMING Restaurant Association $5,000 Artist Retention Program $5,000 Misc. $5,000 Other Total $15,000 2014 CARRYOVER $60,000 TOTAL $160,000 75A -11 Santa Ana Business Council ADMINISTRATION Overhead (Office Supplies, Insurance, Professional Services) MARKETING Serenade on the Streets Special Event Sponsorship Valentine's Day Plaza Primavera 5 de Mayo Dia de /as Madras Parade /Fiestas OC Film Fiesta Dia de los Muertos Danzantes del Sol Plaza Navidena Art Walk Event Sponsorship Total Web, Social Media, Advertising, & Promotional Materials OTHER PROGRAMMING Streetscape Improvements 2014 CARRYOVER 2016 RESERVE (Projected) TOTAL 75A -12 $10,000 $60,000 $10,000 $60,000 $10,000 $100,000 $50,000 $200,000 DATA AS OF 10131;2014 EXHIBIT 2 Intent to Levy BID Assessment List Weighted Protest Value ..eAren BID Area BID EHRible 1% of 100% Total) Number 1 2 3 4 5 _ 6 ] 8 9 Ausmess name PEP BOYS, THE- MANNY /MOE /JACK PEP BOYS, THE- MANNY /MOE /JACK SAWA ANA EXPRESS CAR WASH N_UNEZ AUTO REPAIR _ AB BA AUTOMOTIVE, LLC ____ PURPLE PENUMBRA LLC _ MCDONALDS RESTAURANT __ MCDONALD'S USA LLC G 5 C PRESTON, LLC - UNIT# A -- -- 120E15i ST UNITkA 120 E EST ST UNIT# 8 202 E IST ST 219E15T ST 224E 1ST ST 224E 1ST ST 301 E IST ST 301 E IST ST 302E EST ST Yes Yes Yes _ Yes Yes Yes Yes Yes Yes - Yes Yes Yes Yes Yes Yes Yes Yes Yes 0.]82311 % 0.27�QJ4 %1 %1 0.377843 %' _ 0.1260]8 %� __ 0.140957% 0.017620 %' 0.996683% 0.047084 %I 0.017815% 30 1 & R AUTO GL4S5 302 E IST ST Yes Yes 4.080 6 11 STERICARE STERILIZER REPAIR 302E15T ST Yes Yes 0.068943% -� 12 13 14 _ --' SPORTPLUS ROIC SANTA ANA, LLC (301, 307, 407, 419, 423, 431) GUAOALUPANA_MEOICAL GROUP T- MOBILE 307 E 15T ST 307 E IST ST 307 E IST UNIT #lC 307 E 1ST ST UNIT# IE _ Yes Yes Yes Yes Yes Ves Yes _ Yes _ _ 0.294247% 0.131462 %. 0.088881_ %i 0.241976 %a _35 16 JUGOS ACAPU LC 1307 E IST ST UNJT #B Yes Yes 0.431680 %� 17 KALI BOTANICA LATINA 312E IST ST Yes Yes 0.054817% 18 ITELEMAX TV 314E 1ST ST Yes Yes 0.090447%, - 19 _ 20 K OD 4 LESS 382 ACE AUTO CARE, LLC. 315 E IST ST 401 E 1ST ST Yes Yes Yes Yes 5.422729% 0.169148% _ 21 PAY-LESS SHOE -SOURCE #1011 407E 1ST ST Yes Yes 0.308343 %1 22 DON ROBERTOJEWELERS 407 E 1STST UNIT #2D Yes Yes 0.301295% 23 PROCESSING CENTER OF ORANGE COUNTY /VIGO 407 E 151 ST UNIT# 2E Yes Yes 0.092797 %[ ~ 24 25 26 ILUSION_ SAWA ANA TACO BELL #3434 __- „-_ '.411 MARS HALLS #1220 �?19 407 E IST ST UNIT# 2F _ E IST ST E IST ST Yes Yes Yes Yes _ _Yes Yes _ _ 0.113353YI _-_ 0.567_ 9]0%1 1.117083% 21 _ MICRO COMPUTERS 1200 W 15T ST UNIT# 104 Yes Yes 0.073219%'. 28 RODAS DULCERIA 200 W 15T ST UNIT# 105 Yes Yes 0.093384 %: 29 96 CEM PLUS DISCOUNT STORE 200 W 1ST ST UNIT# 106 Yes Yes 0.113353% 30 GONZALEZAUTO INSURANCE %VCS 230WIST ST Yes Yes 0.12_92 -10% 31 BROADWAY FAMILY DENTISTRY 210W 1ST ST Yes Yes aVW8881%' 32 PROFESSIONAL SERVICES CENTER 210W 1ST ST Yes Yes 0.048552% 3 ALE MICHp 1230W1STST Yes Yes 0.06610 5%i . 34_I NUTRICIO_NT0TAL 230W 1STST UNIT# 307 Yes yes 0.125099Ai _ 35 _ OMALEXA'S BEAUTY SALON 210W 15T ST UNIT #108 _ Yes _ Yes _0.048552 %1 36 MOBIUS PRINT & SIGNS 210 W 15T ST UNIT# 1W Yes Yes 0.160926 %, '. - 37 -AN CLEM ELATE COMERCIAL NUTRITION MEXICANA 121a W IST ST UNIT# 111 210 W 1ST ST UNIT# 112 -11 Yes Yes Yes Yes 0.140370% 0072828 %1 E--38 39_,..,- 40 ~ 41 tZENITY 20 NE THERAPY ______ ___,,,,,__ _ DIN -H MY HOA GONZALEZ, DAVID L. 210W 35T STUNITk 212 -_ _ 1230 W IST ST U NIT# 212 .210 W 1ST ST UNITk 212 __Ves „ -,,, Yes Yes _, -_Yes Yes Yes 0048552 %1 0.028191 %j _ 0.028191 %1 42 TU CENTRO MOBILE 220 W IST ST UNIT# 101 Yes Yes _ 0.120988 %' 43 iADOBE MEDIC_ALGROUP,_INC. 220W IST ST UNIT #102 Yes Yes 0.105326% 44 828 PHO 220 W IST ST UNIT# 103 Yes Yes _ 0.173847 %, _ 45 46 BROADWAY ARCO /AFGHANI FAMILY MYERS, GARY UI 101 S BIRCH ST) 302 W 1ST ST 330 W IST ST _ yes _Ves Yes Yes O.E9703 _ 0.0080000/4 4J CASTELLON,ALFREDO 312W 1ST Yes _Yes 0.028191 %'. �_ 8 SANTA ANA SENIOR HOUSING LP 401W IST ST Yes Yes - 0.200864 %' _ 49 TEKCHANDANI, NARAIN I #F201) '601 W EST 5T Yes _ Yes 0.006069%: _ 50 _ GONZALEZ, ALFONSO /AUCIA(F105) 601W IST ST Yes Yes 0.006069% 51 MOHAMMAD, MOBIN /SINGH, DAVINDER 601 W IST ST UNIT #'101 Yes Yes (10_03034% _ 52 WU, HONG 601 W 1ST ST UNIT# F204 Yes Yes 0.006069 %i 53 KIMBERLY ANNE LLC 611 W IST ST UNIT# E102 Ves Yes - 0.006069 %', 54 DAD, U Q(A109/E103) 611 W 1ST ST UNIT# E103 Yes Yes 0.006069 %: 55 SADEGHI,MITRA &AAIAM 611W 15T ST UNITk E202 Yes Yes___ _ 0�00606�9%. 56 ANDRA, KISHORE_V 611 W IST ST UNIT# E203 Yes Yes _ 0.006069% _ _ 57 58 FWD HONG DAMANIA, MANEK 611 W IST ST UNIT# E204 611 W IST ST UNIT# E205 Yes Yes Yes Yes 0.006069 %. 0.0060_69% 59 60 GAO, QUANVIN & YANG, ZUIRONG GO PRINTING AND SHIPPING CENTER 621 W 15T ST UNIT# D102 104 W 2ND ST Yes Yes Yes Yes 0.006069% 0.089273% 61 62 RUNNING WITH SCISSORS HAIR STUDIO VICE 106W 2ND ST 171W 2ND ST Yes Ves Yes Yes _ 0.048552 %. 0.099257 %'1. 63 JAY'S CATERING, INC. �207W 2ND ST UNIT#A Yes Yes _0.16131]% Page 1 of 10 75A -13 Intent to Levy BID Assessment List Weighted Protest Value Number easiness Name Business Address BID Ar Page 2 of 10 75A -14 ____ ROBBIT N$ NEST WLROBBINS NE BAR & 815TR0 _ _ 20J W 2ND ST UNITN B ea Ves BID Eligible Ves ( %of 100%Total) 00]2828% PAR 211 W 2ND ST Yes _ Yes 0.152703%ND 300 602ND ST UN IT #463 Yes Yes 0.048552% RT AT ARTISTS VILLAGE _ i301 W 2ND ST `- Yes Yes 0.196948 %ADS 114 -- _ 160 2ND Si UNIT #334 Ves Yes 0.0]2828 %� TWARELLC 301 W2NDSTUNIT#413 _- -Yes Yes0.049726 %, SALON_103 E 3RD ST Yes Yes 0.05481]%IA _ LEE C /FESTIVAL 208 E 3RD ST Ves Ves 0.096908%IELD, 210 E 3RD ST Yes Yes 0.013215% 73 TAPIR, CANOELARIO _ 216 E 3RD ST Yes Yes 0012138% 74 FESTIVAL HALL _ _ 220 E_3RD ST Yes _ Ves 0.175021% 75 ROMYS BEAUTY SALON & SUPPLY _ 109 W 3RD ST Yes Yes 0.059907% _ 76 ASAHI, EILEEN _ ISO W 3RD ST Ves Yes 0.006069 %1 77 COMPAX __ 170 W 3RD ST Yes Yes 1.64 720 0% J8 CALIFORNIA TEAM REALTY 190 W 3RD ST Ves Yes 0.048 %1 79 DOWNTOWN SUGAR 218 W 3RD ST Yes Ves 0.052076 %. BO SANDY'S BEAUTY SALON 305 W 3RD ST Yes Ves 0.063431% 81 FOOTSIE ICE CREAM �EQEKOCAFE 307 W 3RD ST Yes Yes 0.089273% 82 _ _ 309W 3RD ST Yes__ Yes __ 0.2419]6% 83 MY OFFICE _ �310W 3RD ST _ WW 3RD ST Yes_ Yes Yes Yes 0.055208% 0.080267% 84 ACE MESSENGER & ATTORNEY -SERVICE -310 85 MASONRY FIREPLACE INDUSTRIES, LLC __ 315 W 3RD ST Yes Yes DD73219% 86 LAW pFFICES DF CHRISTOPHER P. RUIZ 31560 3RD ST_ _ yes Yes 0.281914 % 87 EAST SECOND STREET LLC 315 W 3RD ST Yes Yes 0.109633 %' 88 HARRIS TAYLOR MANAGEMENT INC _ 315W3RD ST Yes Yes 0.160143 %'. 69 LAW OFFICES OF LOIDA D TELLEZ 315 W_3RD ST Yes Yes 0088881 %I, 90 UNITEDTRAINING &TESTING _ 315603RD ST _ Ves Yes 0.048552% 91 BETA HOLDINGS LLC _ 322 W 3RD ST Yes Yes _ 0.022416 %1 92 INTEGRITY ADVISORS X322 W 3RD ST 1,322 W 3RD ST Yes Yes Yes Yes 0.057557%1 0.546991 %1 93 _ WMC INSURANCE SERVICES 94 PMN INSURANCE SERVICES, LLC. 322W 3RD 5T Yes Yes 0.192641% 95 C& S I NTE RG RATED INSURANCE SERVICES, I NC. 322 W 3RD ST Yes Yes 0,196557% 96 PACIFIC DIAMOND INSURANCE SERVICES, LLC. 322 W 3RD ST Yes Yes 0.178154 %' 97 NGUYEN JULIE _ -_ -�- Yes Yes 98 _ HAKIMI FARZIN 0.0060 99 - - - -- ONFIVEROS, ANG ELICA - 600 W 3RD ST UNIT #A104 _ Yes Yes -- 0.003034 100 CHO SUNG HWAN - W 3RD Yes -- Yes_ , 101 pLARINVESTMENTS - �O 5TUNIT #Al1bS Yes Yes 0.006069% 102 CERRUTI- TIPITTO: PATRICIA 600 W 3RDSTUNIT #A118 Yes Yes 0.00606 %,I 103 MINI MAXGRODPLLC 160OW3RDSTUNIT #A202 Yes 0.006069 %'. 104 100- PANAH, FARIOEH 600 W 3RD ST U N IT #A203 Yes Yes 0.006069% 105'1 _ KLVIRORVILLE LLC 600 W 3RD ST UNIT #A210 Yes ___ Yes 106 MAHTANI2011 _ 60060 3RD ST UNITp A212 Yes Yes 0006069%', 107 LABRA, CLAUDIO( #A216) 600W3RD ST UNIT# A216 Yes_ Yes 0.006069 108 1D9 FTI HOLDINGS, INC ( #A218 /0309 /8316 /8306) CORDOVA, MARIANO WA219) 600 W 3RD ST UNIT# A218 _ 600 W 3RD ST UNIT #A219 Yes Yes Yes 0009006 %' 0006069% 110 TEKCHANDANI, NARAIN (#8104) 600 W 3RD ST UNIT #A219 _ Yes _Yes Yes 0.006069% 111 KATO, MAKOTO MARK (#201 -B) WOW3RDSTUNIT #A219 Yes Yes 0.006069% 112 __ TOBINA LLC 600 W 3RD ST UNIT #A302 Yes Yes 0.006069% 113 PRAM, THOMAS 600w 3RD ST UNIT #A305 Yes Yes 0.006069 %I 114 CREEK ROSEOALE LLC_ _ 160060 3RD ST UNIT #A306 I Yes Yes O.D06069 %i 115 TUCKER, GARY 1600 W 3RD ST UN IT #A308 _ Yes- Yes 0.006069 %, 116 DESAI M V (#A310 /C205) _ _ 600 W 3R_D ST UNIT# A31D Yes ____ Yes 0.007048% ill HONLYNX CAPITAL, LLC 60060 3R D ST UNITp A331 yes Yes 0.006069%'. 118 HECTOR &ELVA CORTES _ 600 W 3R D ST UN I T # X313 Yes _ Yes OOOW69%I 119 MATINPOUR FAMILYTRUST 600 W3ROSTUNIT#A318 Yes 0.006069% 120 SAN JUAN INVESTMENT CO., LLC (8106/8212) 600W3RD ST UNIT #8106 Yes ____Yes _ Yes 0007048 %� 121 � HANG, VIHAI /SHI, RU 600 W 3RD ST UNITN 8308 Yes Yes 000 W69 %1. 122G EMS HOLDING NVESTMENTLLC RD ST UNIT #BI13 es Yes 0.0 069% 123 HITCHENS, DEAN AND MARIA 1600 W 3RD ST UNIT# B114 Yes _. Yes 0.006069 %'. 124 WU, HONG IA122/A3D4/B206/G3D2) 1600 -- __ W 3RD ST UNIT# B208 _ Yes Yes 0.009006 %'. 125 HAIDERRICHAA _ 126 127 YANG, JENNY &YINGER, OIANG VANG,TONY /HOU, NANCY 600 W 3RD STUNIT #8213 66WW3RDSTUNIT #8217 � � -� yes Yes - -- Yes Yes 0.006069% -- 0.00606069 %I NGUIYENHVIET & VO HOLDING LLC - _ Yes 0.006069% 129 600 W 3RD ST UNIT# B302 _. - Ves _Yes_ -, 0 006069% Page 2 of 10 75A -14 Intent to Levy BID Assessment List Weighted Protest Value dare.. BID Area BID Elieible I% of LOD%Total) Number 130 Busmess Dame _ DETMERS, ERNEST 1 & MORALES,V --- • ^-_ °--' --- 600 W 3RD ST UNIT# 8304 Yes - Yes 0.006069 %'. %!, _ -�_._ 131 TESSER, PABLO JOSE 1#312- 600 W 3RD ST UNIT #B310 Yes Yes 0.006069 132 SHEN, EDWARDTTRUSTEE 600 W 3RD ST UNIT #8314 Yes Yes 0.007048 %' 133_ TAING, WILLIAM 600 W 3RD ST UNIT #C101 Yes Yes 0.006069% 134 MINI MAX GROUP LLC .600 W 3RD 5T UNIT# C104 _ Yes Yes 0.006069 %I, _ 135 H_ONLVNX CAPITAL LLC 600 W 3RD ST UNIT# C202 Yes Yes 0.006069% 0.006069% 136 RANG, YIHAI 600 W 3RD ST UNIT# C206 Yes Yes 137 'KHORPAM, SHANIA /JAFERKHANI, MEHRI 600 W 3RD ST UNIT #C207 Yes Yes 0.006069 %'. 136 ANES LLC 600 W 3RD ST UNIT# C304 Ves Yes 0.006069 %' 139 ACAPULCOTRAVEL 302 E4TH ST Yes Yes 0.16640]% 1 PRIMAVERBRIDAL AS 102 E4TH ST Yes Yes 0.099844 %1 _40 141 YANEZ, RAUL 1102 E 4TH ST UNIT# 2ND FL Yes Yes 0.01820]% DENTAL 102 E 4TH ST UNIT# 2ND FL Yes Yes 0.209869 %'' 102 E4TH STUNIT #2ND FL Yes Yes 0.074590%' IOYERIA ACAPULCO VA_LNERSERVICES 102 E4TH Sr UNR #2ND FL Yes Yes 0.121380% L14 VALNER INSURANCE SERVICE5,INC. 302 E4TH STUNrr#2ND FL Yes Yes 0.0]6352 %RANCHO DE MENDOZA 104 E 4TH ST Yes Yes 0.416410%TAVISTOCK INVESTMENTS 104 E4TH ST Yes Yes 0.030834% RASPADOS EL SUR 104 E 4TH ST UNIT# B -PE Yes Yes 0.2419]6 %'�, 749 FRUTAS IA PLACITA 104 E 4TH ST UNIT# PC Yes Yes 0.241976 %I 150 RHODES JEWELRY &LOAN 106 E4TH ST Yes Yes 0.483952 %. _ 151 NANA FASHION 108 E4TH ST Yes Yes 0.086923 %. 152 YANEZ, RAUL&G ILDA 108 E4TH ST Yes Yes 0.026136% 153 ANTIQUETIME 110 E4TH 5T Yes Yes 0.057166 %t HOLIDAY TRAVEL &TOURS 110 E4TH ST Yes _____Yes 0.083399 %I _154 155 ___ NANA FASHION 110 E4TH IT Yes Yes_ 0.161513 %i Y110 E 4TH ST UNITk 205 Yes Yes 0.060298 1I 156 IRMA SALON 11OE4THSTUNIT #207 Yes Yes 0.083399%' 15] ]VERONICA'S BRIDAL _ 158 IA ZAPATERIA MEXICO 112E 4TH ST Yes Ves 0.176783% 15 9 R & Q ENTERPRISES, LLC 112 E4TH ST Yes Yes 0.015172 %1 160 SEGURA JEWELRY REPAIR 112 E4TH ST UNIT #200 Yes Yes 0.059515 %�. 161 TELAS FABRIC 114 E 4TH ST Yes Yes 0.013313 %'i 162 TELAS FABRIC 114 E 4TH ST Yes Yes 0.082616 %1 163 BELINDA'S BRI DAL SHOP '114 E 4TH ST Yes Yes 0.067511 %1. 164 CEBALLOS, JOSE /AURORA 116 E 4TH ST _ Yes _ Yes 0.017032 %, ALVAREZ CH ECK CASHING 116 E4TH ST Yes Yes _ 0.069304% ___165 166 BANDOLERO WESTERN WEAR, INC. 116 E4TH ST Yes Ves 0.126Bfi1 %' 167 CW CELULIAR, INC 116 E4TH ST Yes Yes 0.16131] %I _ 168 E.S. DOCUMENT SERVICES 116 E 4TH ST UNIT #F Yes Yes 0.058340% ALAIARA ST ____ -_.__ -Ves _._._.- SHOP 119 E 4TH ST NL� ves LA 120 Yes 0005095 171 (319 N BUSH)' E2 L 173 1BLENDS 0 E 4TH %I 174 4th STREET MARKET 201 E4TH ST Yes Yes 0.241976 %' 175 MAR ___ 201 E 4TH ST Yes Yes ____ 0.241976 %: _ D6 LUNCHBOX BY PLAYGROUND 201E4TH5T Yes Yes_ __0.2419]6Yi 177 _ ELECTRIC CITY BUTCHER 201 E 4TH ST UNIT# 104 Yes Yes 0.2419]6% 178 CHUNK -N -CHIP 201 E 4TH ST UNIT# 107 Yes Yes 0.241976% 179 (FIESTA MARKETPLACE PARTNERS 201 E 4TH ST UNIT# 109 Yes Yes 0.020752 %, 180 RADICAL BOTANICALS 201E 4TH ST DNIT# 120 Yes Yes 0.141976 %' 181 FRONT PORCH POPS/TORCH SMORE 201 E4TH ST UNIT# 121 Yes Yes 0.241976 %'. INK WAFFLES 201 E 4TH ST UNIT# 126 Yes _ Yes 0.241976 %1 182 1183 CAREER COLLEGE OF CALIFORNIA 201 E 4TH ST UNIT #2DO Yes Yes 0.540335 %! _ 184 RIVAS FOOD ,202 E 4TH ST UNIT# PE Yes Yes 0.241976 %' 185 CLA_SANTA ANA LLC 204 E 4TH ST UNIT# 8 Yes Yes_ _ _ 0.241976% __ 186 BOBBY'S SKIN CARE CLINIC 204 E 4TH ST UNIT# D Yes Yes 0_.069304 %I _ _ 187 CWB DE NUTRICION OE HERBALIFE 204 E 4TH ST UNIT# G Yes Yes 0.095733 %'. _ 188 COLORWAVSTUDIOS 204 E 4TH ST UNIT#N Yes Yes 0.066955% 189 PACHANGA DJ, INC 1210 E 4TH ST Yes Yes 0.143306 %. 190 BROOKLYN HARPER 210 E 4TH ST UNIT# A Yes Yes 0.118639 %i 191 THE VAPOR LAIR 210 E 4TH ST UNIT# B Yes Yes 0.139782% 192 AL'S SHOP 216 E 4TH ST Yes Yes OAM419 %! 193 PHOUNSACK CHANTHAPANY 1216 E 4TH ST Ves Yes O.O1a683%I 194 CINCO ESTRELLAS SERVICES 216 E 4TH ST UNIT#A Yes Yes 0.048552 %' 195 TOPAZ I EWELRY REPAI R 216 E 4TH ST UNIT #B _ Yes Ves ___ 0.05990]9:' Page 3 of 10 75A -15 Intent to Levy BID Assessment List Weighted Protest Value Number Business Name Business Address BID M BID EII 196 F 219 E4TH ST Y Yes Y (% of 100% Total) 197 F FANBA G, AL 2 219 E 4TH ST Y Yes Y Yes 0 0354741% 198 R RIVAS FOOD j j 219 E 4TH ST UNIT# PE Y Yes Y Yes _ _ 0 _199 T THEPIAYGRO_UND 2 220 E4TH ST Yes Y Yes 0 _ 0 200 F FIESTAIMPERIAL 220 E 4TH ST UNIT# 101 Y Yes Y Yes 0 0.153878 %' 201 G GALES BTEEN 2 220 E4TH ST UNIT #101A Y Yes 0 0.085749%', 202 C CARRETONES FIESTA 2 220 E4TH ST UNIT #PASEO Y Yes Y Yes M % 203 I I IA REYNA DE MICHOACAN 3 300 E 4TH ST__ _ Yes Y Yes 2 2% 2 204 !A NUEVA REYNA DE MICHOACAN 3 300E 4TH ST _ _ Y Yes % % 2 205 R RANGEL, RAYMOND (300 -308) 3 _ Y Yes Y Yes % M0.259008% % 20fi L LA PIZZA LOCA, INC 3 300 E 4TH ST UNIT# 103 Yes Y Yes % 2 207 K KV SPORTS &SHOES 3 300 E 4TH ST UNIT #105 Y Yes Y Yes % % 2 208 R R & R SPORTWEAR 3 300E 4TH ST UNIT# 106 Y Yes Y Yes_ % % 2 209 L LA FIESTA SHOES /BOOST M081LE 3 210 A AQUERIAS GUADALAJARA #4 - -_ 3 305 E4TH ST Y Yes Y Yes 0 0.4]979 %' 212 M MARCAS GALLERY _ 3 305 E 4TH ST UNIT #103 Y Yes Y Yes _ 0.241976% 213 B BOL00 RESTAURANT 305 E 4TH ST UNIT# 105 _ Yes Y Yes__ 0 _ 0 214 , ,NATIVE SON ALEHOUSE _ _ 3 _ Y Yes Y Yes _ 0.241976% 215 R ROBERTO'S SHOE REPAIR 3 308 E 4TH ST _ Yes Y _ 0 0.048552 %, 216 O ODEREARO CASTING &DESIGNER 3 __ Y Yes V Ves 0 _ 0 217 M MEXICANA TRAVEL _ 312 E4TH ST UNIT #A Y Yes Yes _ _ 0.099453 %'. 218 C _ __ 3 _ 219 A AB COMPUTERS _ 3 312 E4THST UNIT #B Yes Y _Yes_ 0 %', 220 C CE 2 _0.082225 % 114 E 4TH ST UNIT# B Y Yes Y Yes 2 222 ? FIEFS A II NCOME TAX NOTARVY S 314 E 4TH ST UNIT# B Y Yes Y Yes 0 0.0493355% 223 9 99 CENTAND MORE _ X X314 E 4TH ST UNIT #B Yes Y Yes 0 0.081638% 224 F FIESTA _MARKETPLACE PARTNERS II _ _ 3 316 E 4TH ST Y Yes Yes 0 0.036512% 225 C CHARLIE'S TATTOO SUPPLIES /BODY JEWELRY /BOOTS 3 316 E4TH ST Y Yes Y Yes 0 0.135671 %' 226 D DAME ELEGANCE 3 318 E 4TH ST Y Yes Y Yes 0 0.0986101 227 A AMERICAN BARBER SHOP 3 320 E4TH ST UNIT #A Y Yes Y Yes 0 0.0,18552% 228 M MEGA INDUSTRIES INC _ 4 400 E 4TH ST _ Yes Y Yes 0 0.340666 %'. 229 G GON -REY LP - 4 _ Y Yes Y Yes 0 0.048454 %'. 230 N NORTHGATE MARKET #8 4 409E 4TH ST Y Yes Y Yes 4 4.331488% _ 231_ N NORTH_GATE FINANCIAL - 4 409 E 4TH ST _ ____ Yes _ Y Yes 0 0.199689% 233_ N NGHIEM, MINH THU ,450 E E4TH ST UNIT#137 Y Yes Y Yes 0 0.006069% 244 S SAN JUAN INVESTMENT CO. LLC (133/134!141!406 /433) 4 234 M MAHTAW 2011( #120/146/201) 4 _.__ Yes Y Yes 0 0.008027% 236 T TAN, PAUL &JOYCE '450 E E4-TH ST UNIT #237 Yes Y Yes 0 0,006069%. 237 N NGUYEN, H_0_NORA 4 450 E 4TH ST UNIT #240 Yes Y Yes 0 0.00609 %6 238 E EONGRACIA LLC 4 450 E4TH ST UNIT #243 Y Yes V Ves 0 0.006069% 239 W WILLIAMS,JOHN 4 - _ __._._ Yes 0 0.006069 %I 240 L LEE, DR. YEE LEAN -- 4 450 E 4TH ST UNIT# 247 Y Yes Y Yes 0 0.006069% 241 S SHARMA SUDHEEP 4 450E6TN ST UNITp 337 Y Yes Y Yes 0 0.006069% 242 T TRISNO STEVEN - 4 450 E 4TH ST UNITp 338 Y Yes v ves 0 0.006069% 243 IPANDJI E EVELINA 4 450 E4TH ST UNR #348 Y Yes Y Yes O OA06069 %I 245 _ J JAFARIMOJARROD, LIVING TRUST _ 4 __.. Yes 0 0006069 %'. 246 O OROZCO, IESUSA -- 4 450 E 4TH ST UNIT #439_ Y __Ves Y Yes 0 0.006069%I 247 W WAVY, BRIAN _ 4 450 E4TH ST UNIT #441 Yes Y Yes 0 0.006069% 248 H HERNANDEZ, CARMEN - 4 450 E 4TH ST UNIT #446 _ Ves - -yes 0 0.028191 %' 249 J JKLVICFDRVILLELLE _ 4 _ _ V Yes Y Yes 0 0.006069% 250 Z ZUKERMAN, RIVKA 1 101 W 4TH ST Y Yes Y Yes 0 0.047377% 251 T THE IRVINE TRAVEL CO., INC. 1 101 4TH ST UNITp 200 Y Yes Y Yes 0 0.175413% 252 W WORLDVIEW TRAVEL 1 101 W 4TH ST UNIT #400 Y Yes Y Yes 1 1.145275% 253 F FRUTAS IA PIACITA ' 1 101 W 4TH ST UNITk PE Y Yes Y Yes 1 - ..._._ 254 D DORAOR_JAND SANTA ANA I ID2W 4TH ST Y Yes Y Yes 0 0.071262% 255 G GLOBAL ENVIRONMENTAL NETWORK 1 106W4TH ST _ Ves Y Yes 0 0.055991% 256 C CORNERSTONE STUDIOS INC 1 _ _ V Yes Y Yes 0 0.169540951 257 T TOWNSGATE CAPITAL CORPORATION 1 106 W 4TH ST Y Yes Y Yes 0 0.047573% 258 A ALFA INSURANCE SERVICES 3 306 W 4TH ST UNIT# 300 Y Yes Y Yes 0 0.050118 %, 259 A AMERICAN HERITAGE COLLEGE 1 106 W 4TH 5T UNITp 303 Y Yes Y Yes D D D]fi3 % L 260 _ M MOTIVO MUSIC GROUP LLC ERITAGE Page 4 of 10 75A -16 Yes 0.096712% Intent to Levy BID Assessment List Weighted Protest Value Business Address BID Area BID Eligible I% of 10U% Total) Number _Business name 4TH ST UNITp 511 Yes Yes 0.161317 %II 262 SARAKKI ASSOCIATES INC lOfi W i P & O ENTERPRISES, LLC 108 W 4TH ST Yes Yes 0.018794% _263 264 WON 108 W 4TH ST Yes Yes 0.01]130% 0.0]]135 %266 265 OURS &TRAVEL IOBW 4TH ST Yes Yes TCHA, INENTAL HALL 308W 4TH ST UNIT #A Ves _Ves _ 0.05_9126% 26]CO INVESTMENTS, LLC. 109 W 4TH ST Yes Yes _ - 0.035631 %�' 0.281914 268 'COLLEEN O'HARA'S BEAUTY ACADEMY 109 W 4TH ST UNIT# B Ves Yes 269 CAPILIA LAS ROSAS WEDDING CHPL 110 W 4TH ST Yes Yes 0.141740% 270 LA MODA 110 W 4TH ST Yes Yes 0.190292% 271 SOUTHWEST FAMILY 2004 TRUST 110W 4TH ST Yes Yes 0.0180111 272 CHANTHAPANYA, P_HOUNSACKI112 -116 112 W 4TH ST Yes Yes 0.028681% 273 BANDOLERO 112 W 4TH ST Yes Yes 0.098670 % 274 MINA BRIDAL LLC 113 W 4TH ST Yes Yes 0.109242 %. 275 LOPEZ, ADOLFO 113 W 4TH ST Yes Yes 0.013704% P6 HISPANOAMERICAN SERVICES 113W4TH ST UNIT #A Yes Yes 0.072045%1 -0 056383%1 LORENZO'S DIGITAL AN_O ASSOCIATE 114 W 4TH ST Yes Yes _ 278 SERVI CENTRO 4TH ST Yes Yes 0.059124h 279 CASSAORA'S BRIDAL BOEiAm 4TH ST Yes Yes 0.079876 % %i 280 �WDJRC, LLC 4TH ST Yes Yes _ 0021241 %' 281 H & L MULTISERVICES 4TH ST yes yes 0.061864 %' 282 DOLEX DOLLAR EXPRESS W 4TH ST Yes Yes 0.0]]526 %', 283 CENTRO LATINO W 4TH ST Yes Yes 0.055600 %1 286 VALENCIA JEWELRY(202 W 4TH ST Yes Yes 2]0961% _ 285 GUSTAVOS PRODUCTIOW 4TH ST UNIT# 30 Yes Yes 0.048552% PRODUCTOS VIENESTAR HERBALIFE 116 W 4TH ST UNIT #12 Yes Yes _ 0.0]Sll]%' _286 287 ALPHA WIRELESS SERVICES 116 W 4TH ST UNIT #14 Yes _ Yes 0.241976 %. ___ 288 REVOLUTION BEAUTY SALON 116 W 4TH ST UNIT #7 Yes Yes 0.055991% 289 VALENCIA & ASSOCIATES APC 116 W 4TH ST UNIT# A Yes Yes 0185985 %' D.01213 _ 290 KB UNTIED, LLC. 117 W 4TH ST Yes Yes I 291 __ KID AVENUE 117 W 4TH ST UNIT# 102 Yes Yes 0.142719 %; 292 SANTA ANA SALON 118 W 4TH ST Yes Yes 0.087315 %, 293 FRUTAS LA PLACITP 118 W 4TH ST UNIT# PE Yes Yes 0.241976 %, _ 294 DON ROBERTO JEWELERS 120 W 4TH ST Yes yes 0.457523 %'. _ 295 BMA INVESTMENT LLC 120 W 4TH ST Yes Yes 0.012138% 2_96 FAINBARG & FRIEDMAN I, LP 201 W 4TH ST Yes Yes_ _ 0.037882 %'. _ _Yes Yes _ 0.7]8199 %I FALLAS PARED_ES, #105 _ _ 201 W 4TH ST 298 CES HUERTA OCTEL 201 W 4TH ST UNIT# PE Yes Yes 0.241976% 299 CM PROPERTIES (202 -212) 202 W 4TH ST Yes Yes 0.029855% 300 -- D &DS HACK FOOD 202 W 4TH ST UNIT# PE Yes Yes 0 241 301 _ DANIEL SIEWELERS ( #239) - - - -- 302RHOM _ eUSINDUSTRIES D 330074% 303 GRACE'S ENTERPRISES 206 W 4TH ST DNIT# 203 Yes 304 A.L. DRAFTING SERVICES 206 W 4TH ST UNIT# 217 Yes 0053250%; 305 POMADE, INC. 206 W 4TH ST UNIT# 220 Yes 0.072828 %;306 0.096]32 %307 AIRBORN CONSTRUCTION INC. .206 W 4TM ST UNIT #421 Yes LA PALOMA FASHIONS 208 W 4TH ST __- Yes 0.186181% ---�-�308 APR INCESSBRIDA_L 208W 4TH ST Yes TYe 0.085161 %309 __ 209 W4TH ST Yes 0.191340 %I FIESTA JUICE 310 N & M CORP. RET. PLAN ONE (209 -211) 2D9 W 4TH ST Yes 003073fi% 311 LEMUS'SHOP 209 W 4TH ST UNIT #A Yes 0.082812 %312 MI EULR i209W4TH ST UNIT #A Yes .085161h 1 & F CALIFORNIA MULTISERVICES ';209 W 4TH 5T UNIT# D Yes 0.051684% LAS ILUSIONFS BRIDAL 211 W 4TH ST Yes Yes 0.082225% 80TANICA NATURAL 211 W 4TH ST Yes Yes 0.241976% F____ 212 W 4TH ST Ves Yes �.0]2828%j ANGELS 213 W 4TH ST - Yes _Yes 0.151529% _ DUE, EBRAHIM M.O. -INC 214 W 4TH ST Yes Yes 0.021731 %SHEISY'S BRIDAL - -� ----- - - - - -- 214 W 4TH ST Yes Yes 0.091622 %' 320 ROBBINS, ROSALIND K (215 -217) 215 W 4TH ST Yes Yes 0.020067% 321 LA PARISINA 215 W 4TH ST Yes Yes 0.072828 %' 322 AM ERICA'S B RI DAL S HOP 216 W 4TH ST Yes Yes 0.072828%1 0.074002 %� 323 CASTROPROOURI ON 218 W 4TH ST Yes Yes 0.263]0]% _ 324 MISPANOAMERICA JEWELERS (302) 218 W 4TH ST UNR#A Yes Yes 325 219 W 4TH ST TRUST 219 W 4TH 5T Yes Yes _ _ 0.013998%'. 326 VIANNEY CATALOG LLC 1219 W 4TH ST Yes Yes 0.076352 %' 32 HWANG, THOMAS D_____ -_ -___ 220W 4TH ST Yes Yes 0.01]913% Page 5 of 30 75A -17 Intent to Levy BID Assessment List Weighted Protest Value Number Buzine«NV . ....:__.. ...____ _._. ___.. 328 329 330 331 332 333 PH /SCARBROUGH, DAVID _ EBOTANICA NETWORKS FIESTA _ ATINA HQLIDAY TRAVEL &TOURS II ALFA INSURANCE SERVICES "' "..- - __. --. _ 221W 4TH ST __ 221 W 4TH ST j221 W4TH 5T __ 222 W 4TH ST 222 W4TH ST 222 W 4TH ST UNIT# A _:., ,.:.. Yes Yes Yes Yes Yes Yes o:o ugm_:e Yes Yes Yes Yes Yes _ Yes Im orawre iosaq 0.070087% 0.015662%' 0.12333]% 0. 085749 %I O.Oaa4vu? 0.052467 %� 334 CHAPAUI'S BEAUTY SALON __ _ 222 W 4TH ST UNITp A _ Yes Yes _ _ 0.049726% 335 SIGUE CORPORATION 222 W 4TH ST UNIT #A Yes Yes 0.130777% 336 PRIVILEGE PHOTOGRAPHY '�, 222 W 4TH ST UNIT# B Yes Yes 0.062256%'' 337 FRUTAS ACAPULCO 1222 VV 4TH ST UNIT# PE Yes Yes 0.241976% 338 TERESA'S JEWELERS _ 223 W 4TH ST Yes Yes 0347694 561 339 VAIIEJO, ANTONIO(223 W 4TH ST & 409 N BROADWAY ST) 223 W 4TH ST Yes Yes 0.031813% 340 PHILLIPS HUTTON PARTNERS LLC 301 W 4TH ST Yes Yes 0.03582]% 347 STARBUCKS COFFEE #8941 __ _ 301 W 4TH ST Yes Yes 0.513318 %' 342 qIA TELECOMMUNICATIONS INC 302 W 4TH ST _ Yes Yes D.167582% 343 344 PANAMERICANA TRAVEL #665 LEOWIN,BRUNO &PAQUEL(302306) 302W 4TH ST 302W 4TH ST Yes Yes Yes Yes 0.0751�J]% 0.022905%' 345 CARTER BOWL _362 VW 4TH ST UNIT# PE Yes Yes 0.241976% ------- 346 FIESTA LUGGAGE & PARTY SUPPLY - -- 304 W 4TH ST yes Yes 0.079288%! 347 IAURA'S PLACE 306 W 4TH ST _ Yes 0.08]57%1 346 TABU BURGERS AND BITES _ 306 W 4TH 5T yes Yes 0.076939% 349 MEXICAN IMPORTS 308 W 4TH ST Yes Yes 0.072828 %1 350 HUGO'S BEAUTYSALON 3081 /2 W 4TH ST Ves Ves _ _ 0.048552 %' 351 TODD SERVICES 308 W4TH ST Yes Yes 0.055991 %. 352 ROSENOW - SPEVACEK GROUP _____309 _ ._ ___...._.- W 4TH ST Yes Yes 0.52]414 %' 353 THE GOOD BEER COMPANY, INC -- - --- _.._...._. -. !309 W 4TH ST Yes __...._ Yes 0.16131 % 354 __ CHA, WON(330 -318) T -_._.. - -- 332W4TH ST Yes 0.020458 %1 355 ___, -._- DOWNTOwNI & L _ 312 W 4TH ST Yes ___Yes- Ves 0.052859% 356 U.S. FINANCING __ 312 W 4TH ST Ves Yes 0.132]34% 357 DOWNTOWNIEWELRY &LOAN ____ 314 W4TH ST Yes Yes 0.483952% _356 VEDA BRAVO PROFESSIONAL SERVICE _ 316 W4TH 5T UN R #237 _ Yes Yes 0.054033% 359 IA CASA DEL DIAMANTE 318 W 4TH Si Yes Yes 0.18265]%. 360 _ CM PROPERTIES (322 -326) 322 W 4TH 5T Yes Yes 0.012138% 361 CAFE CALACAS _ 324 W 4TH ST UNIT# A _ Yes Yes 0.054033 %', CAFE CAS 324 . .W -_4_T_ H ST UNIT #A ........ Y.._es Yes 0.241976% 363 THE BARREL ROOM _ _ 1324 W 4TH ST UNIT# B Yes _. Yes _.... -_ 0.2419769 364 GUNTHER'S_ 324 W4TH ST UNIT #E _ Ves Yes 0.241976% 365 RASPADOS ESTILOIALISC0 _ 324 W 4TH ST UN PE Yes Yes __ 0- 24 366 BISTRO 4D0 _ _ 400 W 4TH ST Yes Yes _ p.2p2626. ! 367 368 COM BI CAKES BARBERIA EL CATRIN, IN_C. _ 400 W 4TH ST 400 W 4TH ST UNIT# B Yes Yes yes Yes 0.24%i D 048552 %' 369 'COLLIDER, LLC _ 400 W 4TH ST UNIT #C Yes Yes 0.4479]_X. 370 THEATRE OUT 402 W 4TH ST Yes Yes -0 .095146 %�� 371 BROADWAY IMPROVEMENTCOINC _ 1404W 4TH ST Yes Yes 0.025059% 372 LE'VIESHOWROOM 404W 4TH ST UNIT #A Yes _ Yes 0.09044A6i 373 ASAP LEGAL SOLUTION 404 W 4TH ST UNIT# 8 _ Ves Yes _ 0.467899 %1 374 .. HAIR ATELIER BY KARLY GISELLE __.. __._. 404 W 4TH ST UNIT #E Yes Yes Yes 0.050118% 375 CAZ2ELL &ASSOCIATES, ATTORNEYS _._. ---- 406 W 4TH 5T Yes ...._._.. Yes JJ 0.080659% 376 REED, KENNETH ALAN ATfY AT LAW 406 W 4TH ST Yes Yes 0.088881 %' 377 OASIS OENTALSANTA ANA 408 W 4TH A Ves Yes 0.105326% 378 CRAVE _ _ 410 W 4TH ST _ Yes Yes 0.465158%' 9 BE LLA'S GRILL 411 W4 HST Yes Yes 0.241976% 0 LFTPROPEflTV MA_NAGMENT, LLC 414W 4TH ST Yes 0.034848% 1 P383 DOWNTOWN414 _ 414 W 4TH ST Ves _Yes Yes 0.234928% 2 PARIS HAIR STUDIO H TUNIT #103 Vet Yes 0062256% SHOFFNER, GARY 414 W 4TH ST UNIT# A Ves Ves D 080659% Page 6 of 10 75A -18 Intent to Levy BID Assessment List Weighted Protest Value Business Address BID Area BID Eligible I% of 10D% Total) Number Busmess Name Yes 0.029072% 394 'CM PROPERTIES 313 N BIRCH ST Yes yes Yes 0.006069 %I 395 MATTINGLEV, MIKE 1055 BIRCH Si Yes Yes 1.]91914 %. 396 CASTUNDA FURNITURE INC 116NBflOADWAY UNI ST Ves 0.099453 %. _ _ 397_ VIAIES GEAR Ill NBROADWAY ST Yes 0.060298% IH &RBLOCK ENTERPRISES INC S17NBROADWAY ST Yes Yes _ _398_ 399_THELLER, KENNETH BTR_USTEE 117 N BROADWAY ST Yes Yes 0.038959 %i 400 DEARDEN'S 117 N BROADWAY ST Yes Yes 1.204594% 401 JONES, ERIC LEONARD 125 N BROADWAY ST Yes Yes 0028191% 402 HIPCOOKS 125 N BROADWAY ST UNIT #C Yes Yes 0.241976% 125 N BROADWAY ST UNIT# D Yes Yes 0.414061% 403 GYPSY DEN 200 N BROADWAY ST yes Yes 0120245% 404 405 C4 DELI LAST CALL ON BROADWAY 202 N BROADWAY ST Yes Yes 0141976 %1 406 EMPIRE BUILDING LLC 204 N BROADWAY ST Yes Yes 0.036805% 1 407 LENTZ MORRISSEY ARCHITECTURE, INC. 204 N BROADWAY ST UNIT #F Yes yes 0.169540% 408 BMP &Co. 204 N BROADWAY ST UNIT #K Yes Yes 00]4002%'. HAL BRISCOE FINE ART 204 N BROADWAY ST UNIT# M Yes Yes 0.072828% _409 410 VINEYARD ROZ 206 N BROADWAY ST Yes Yes 0.2419]6 %' 411 SANTORA GROUP LLC 207 N BROADWAY ST Yes Yes 0.044636% 412 ATILANO SALON 207 N BROADWAY ST UNIT #100 Yes Yes 0.05246] %i 413 THE ARTBAR 207 N BROADWAY 51 UNIT# B6 Yes Yes 0.0_79 -875 { 414 1VS GALLE RY 207 N BROADWAY ST U N IT #C Yes Yes 008 415 ORANGE COUNTY- GREATIVES 207 N BROADWAY ST UNIT# D Yes Yes 0.072818% 416 LAW OFFICES OF FERNA NDO LEONE 207 N BROADWAY ST UNIT #F Yes Yes 0.080659% 417 TWEENA'S TUNES 207 N BROADWAY ST UNIT #F Yes Yes 0.064605% LAW OFFICE OF ROBERT N_EWMAN 207 N BROADWAY ST UNIT #K yes Yes _0.088881 %j _418__ 419_ CRESCEN_OOH, ILC 1207 N BROADWAY ST UN IT #L Yes _Yes 0.16325 %i 420 ESPARZA,ROSEMARYILRW OFFICES 207 N BROADWAY ST UNR# N Yes Yes 0.088881 %' 421 'CLLCTIV, CORP. 230 N BROADWAY ST Yes Yes 0.1215]5% 422 CLLCTIV CORP, INC. 210 N BROADWAY ST Yes Yes 0.16131]% 423 BLACKMARKET BAKERY SA 231 N BROADWAY ST Yes Yes 0.241976 %:. _ 424 ELITE FITNESS DOWNTOWN, LLC 214 N BROADWAY ST Yes yes 0.053642 %1 r 425 - FRANC_O, VANESSA A. 214 N BROADWAY ST Yes Yes 0.028191 %1 426 CORBIZ LLC 214 N BROADWAY ST Yes Yes 0.069304 %4 215 N BROADWAY ST Yes Yes 0451649 %1 _ 427 ,PROOF ARTIST VILLAGE STUDIO BY BREIHON 217 N BROADWAY ST Yes Yes 0.048552% _429 4_29 _HAIR JANET'S BIKE SHOP 219 N BROADWAY ST yes Yes _0.086923% 430 SUBWAY #26294 220 N BROADWAY ST Yes Yes 0.241976 %. 431 AKINSPARKERCREATIVE, LLC 225 N BROADWAY ST Yes Yes 0.673772% 432 THE COPPER DOOR BAR '2251 /2NBROADWAV ST Yes Yes 0.236690 %1 433 THE COPPER DOOR 2251 /2 N BROADWAY ST Yes Yes 0048552 %I Yes Yes 434 GUM &LIVINGSTSON INVESTMENTS LLC 225NBROADWAY ST 0011 225 N BROADWAY ST UNIT #203 Yes Yes 0048552% 435 RMORZ KUTZ U 225 N BROADWAY ST UNIT# 204 Yes Yes 0.05246]% 436 THAD VU PHOTOGRAPHY, LLC 0.080659% _437 MENARCH 225 N BROADWAY ST UNIT #213 Yes Yes 438 CHAPTER ONE: THE MODERN LOCAL 227 N BROADWAY ST Yes Yes 0.8]3345 %' COSTAAZULTR_AVEL#418-5 300 N BROADWAY ST Yes Yes 0.05_0118- 460 B&_B TAX SMART SOLUTION 300 N BROADWAY ST Yes Yes 0.16131]% 441 GILMAKER, DEBORAH (300 -306) 300 N BROADWAY ST Yes Yes 0.012138% MI MOOR 304 N BROADWAY ST Yes Yes 0.106305% 442 443 ROSA'S BRIDAL 308 N BROADWAY ST Yes Yes 0.088685 % 444 CENTRO NATURISTA 310 N BROADWAY $T Yes Yes --Yes 0096321 %! 1 445 JAS RAJ EYEBROW & PIERCING 323 N BROADWAY ST UNIT #A Yes 0.05990]% 446 SANTOROS BRIDAL 323 N BROADWAY ST UNIT# B Yes Yes 0.075764 % 0.048552 %I 447 CENTRAL DE AUTOBUSES 324 N BROADWAY ST Yes Yes 448 CENTRAL TRAVEL &_TOUR SERVICE 324 N BROADWAY ST Yes Yes 0.063399% 325 N BROADWAY ST Yes Yes_ _ 0025842 %i. Yes Yes 007 1 449 -_ 450 SAADI, JOSEPH1 -- - - - -� THE NORTH LEFT 400N BROAD WAY ST Yes _ Yes 0125687% _.. .__L..._ .._ .....__________. BRIDAL BOUTIQUE 405 N BROADWAY ST UNIT# A _451 452 G ENISES THE DEW SALON 405 N BROADWAY ST UNIT #0 Yes Yes 0056]]4 %. 0.056383 %. 453 MANUELJ. PENA INS. AG ENCV( #E) 407 N BROADWAY ST Yes Yes 0.241976 %1 407 N BROADWAY ST Yes Yes 454 IVIDA BELLA 1409 N BROADWAY ST Yes Yes 0.241976 %, 455 456 HECTOR'S #3 _ LAS BRISAS2 409 N BROADWAY ST Yes Yes 0.2_33166_ %' 411 N BROADWAY ST Yes yes 0.062225%1 457 MILLENNIUM VAPOR Yes Yes 0.071653 %' UNIIEXB1AUTYIAIUON 413 N BROADWAY ST 0012921 %, _458 059 FAINBARG, AUAN 413 N BROADWAY ST Yes Yes Page 7 of 10 75A -19 Intent to Levy BID Assessment List Number Business Name Weighted Protest Value 660 _ RIVAS FOOD CO. -�- _ ___ ........ ...... 413 N BROADWAY ST UNITkA Yes eugime Yes I% of asvri Tow) %�'' 461 LEO'S WATCH & JEWELRY REPAIR _ 4171 /2 N BROADWAY ST _ Yes Yes _0_.239039 0.079 fi 462 BEATNIK BANDITO MUSIC EMPORIUM dllNBROADWAYST Yes Ves 0.241976 %'. 463 464 �MACRES FLORIST ITRUTH$gOVERTISING - ". _....._ 419NBRDgDWAY ST 454N BROADWAY $T Yes Yes Yes _ 0.23903% 0.505271 RgGS ARDO'S AUTO REPAIR NDARD REBUILDERS '454NBROADWAY ST U __N_ITk 100 119 N BUSH 5T Yes _ Yes Ves Yes _ 119 N BUSH ST UNIT# B Yes Yes 0.095929% T GALLERY 201NBUSH ST Yes Ves 0.0]6352% AM INTERNATIONAL 202 N BUSH ST Yes Yes 0.102585% ORDABLE VIDEO_ PRODURIONS, LLG 204 N BUSH ST Ves Ves 0.084966% COM - 205 N BUSH ST Yes Yes 0.243151 %ITENOS SALON 207N BUSH ST Yes Yes 0054033 % IDEAL WORLD 209 N BUSH ST Yes Yes 0.219658% 474 BRIAN KONOSKE PHOTOGRAPHY 215 N BUSH ST Yes Yes _. 0.046552% 475 PACIFIC PONDGROUP 220N BUSH ST Yes ........._ 0.028191% _ 4]6 BTS IBURG ESS TECHNICAL SERVICESI 225NBUSH ST Yes _Ves Yes (1.053642 %'. 4]] IpONALO KROTEE PARTNERSHIP INC _ 230 N BUSH ST Yes Yes 0.121771 %' 478 THEMGOODS DISTRIBUTION '243NBUSH ST Yes Yes 0.09279]%_1' 4)9 480 FORKAN,JOEA. BARBARINO, RICHARD 265 N BUSH ST _ 265 N BUSH ST Yes Yes Yes Yes Op2g191951i 0.006069% 481_ LA CASA BLANCA BEAUTYSALON 300N BUSH ST Yes Yes 0.058340% 482 483 PARKING CO OF AMER CAL PARKINGCO OFAMERICA /CAL __--�- 300N BUSH ST 302NBUSH ST I yes Yes _ Yes Ves _ 0.05442 % 0013215 %'':. 448 EALM CS BEAUTY SALON X308 N BUSH ST -Yes Yes 0.079092 % 08RIDAL FOTO &VIDEO i31USH Si ST 0N B Yes Yes 0.091035 %: 486 LAS CASUELITAS 312 N BUSH ST Yes Yes 0.130972% 487 CA SDELAS PANCHITO _ 312 N BUSH ST Yes Yes 0.2419]6 %' 488 489 LAURA'S NOTARY &TRAVEL SERVIC _ THE_ WILCOX GROUP, LLC. 318N BUSH ST 712 N BUSH ST Yes Yes _ Ves Yes 0.051293% 0.015658% 490 CUSTOM AUTOSERVICE _____ 302 NFRENCHST -yes -yes 0.222399 %1 491 YOST STUDIOS 320 N FRENCH ST Yes Yes 0012138% 492 LEFT OF THE DIAL RECORDS __ 320 N FRENCH ST UNIT# B 0.125687% 493 LABELL EXCHANGE 501 N FRENCH ST _Yes Yes _Yes Yes 0.271734 %' 494 __._ CVS /pharmacy#9583_ 102 N MAIN ST _ Yes 1.564034 %: 495 M & A GABAEE, A CAL LTD PTNERSHIP _____ 102 N MAIN ST _ _Yes Yes __ Yes ____ 904)64% 496 _ RITE AID #5759 _ 111 N MAIN ST Yes Yes 1.489446 %j 497 498 GAUCHO INVESTMENTS, LIC DIAMOND PARKING SERVICES LLC #SA58 200N MAIN ST _ 200 N MAIN ST Yes Yes _ Yes Yes 0.034260 %' 0,060690 %I 499 500 DASCANIO, DENNIS LAW OFFICE OFFICE OF JOSEPH R. RICHARDS - 200NMAIN ST UNITp 200 200 N MAIN ST UNIT# 200 Yes Yes Yes Yes 0.080659 %I 501 502 THE OPHER MARKELZ - -- LAW OFFICE OF PATRICIA EULLOQUI - N MAIN ST UNIT# 200 N MAIN ST UNIT# 200 Yes Yes Yes Yes 0.080659% 0.080659% 504 CS SURTERRE PROPERTIES _ 201 N MAIN ST UNIT# 18 Yes Yes - 0.04 % 505 C3 OFF C_A_O_LUT ON9M 21JNMAIN ST UNITk 119 Yes -D.346519% 506 DGWB INC. 217 N MAIN ST UNIT# M22 _ _Yes Yes_ Ves 1.476523 %, 507 DGWB VENTURES LLC _. 2 D N MAIN ST UNIT# M22 Yes Yes_ 0+051586% 506 FLORAL PARK CAFE _ 300N MAIN ST Yes Yes 0.455173% 509 SWEET TOOTH DENTAL 3011 /2 N MAIN ST Yes Yes 0.088881% 510 DUEL, EBRAHIM 301 N MAIN ST Yes -Yes 0.025940 %1 511 WESTERN WOMENS C_L_INIC _ 301N MAIN ST Yes Yes 0.09]104 %: 512 MI CAMINI _ _ 302 N MAIN ST Ves -Yes 0.173847%' 513 PANINOTECA MAGGIO A 304 N MAIN ST Yes Yes 0.166212% 514 515 QUAN M_. TRAN, 0.0. OPTOMETRY CHARLOTTES BARBER SHOP _ - 305 N MAIN ST 306N MAIN ST Yes Yes Yes Yes 0.0g8881% 0.050510% 516 _ 517 518 _ ....... 519 DVAS BRIDAL &CREATIONS ANGELINA SECRET BRIDAL/ UP AND DOWN PARTY RENTALS CAFE 311$ PLAZA LOUNGE 1309 -3111 _ ESTRADA, LOSE --- _ _.._. _____" 30] N MAIN ST Yes Yes 0.2419]6 %{ 309N MAIN ST 311 N MAIN ST 3.15 N MA IN ST Yes _ Yes Ves Ves Yes Yes 11 0.039938% 0.241976 %i 0.057738 j _ 520 521 522 S MAIN & IMPERIAL, LLC 500 -520 ,500 WESTERN DENTAL SERVICES INC ACLINICA MEOIGq GENERAL __ CEDARS TOWERS SURGICAL MEO GRP N MAIN ST 500N MAIN ST 505 N MAIN ST -- 505 N MAIN ST Yes Yes - -' "' Yes Yes -'" Yes Yes Yes --" Yes '-'-- -_i 0.0382]4% 0.236103 - - -- 0.301883 %' 0.13]433 %' 523 524 ..__ 525 - _. FARMACIA SANTA ANA GUILLERMINA MADRILES 510 N MAIN ST 515 N MAIN 5T Yes Yes Yes - Yes 1.134703 %I --- 0.00)146 %' Page 8 of 10 75A -20 Intent to Levy BID Assessment List Weighted Protest Value am[nable I% of 100% Total) Number Business Name O ° "'O ""'° - - - 0.103368 %II 526 KARMINA RESTAURANT & GRILL 515 N MAIN ST UNIT# B Yes Yes Yes 0.234537% 527 527 LATINO HEALTH SVGS MED G0.P INC 51] N MAIN ST Yes Yes 0.9]923% 528 SOUTH GATE ROSE PHARMACY INC 517 N MAIN ST UNIT# 101 Yes Yes 0.088881% 529 CACERES' JULIO DDS 51]N MAIN ST UNITp 300 Yes Yes Yes Yes 0.0g06wni, 530 BRUSH ADVISORIES (UNIT #11_1) -_ -,_ 520NMAIN ST _ 0.063431 %I - _ -- - "- 520 MAINOPTICAL N MAIN ST Yes - Yes 531 ..- On N MAIN ST Yes Yes O.OWI04 %'. 532 AGUILAR, SERGIO DDS Yes Yes 0.138216 %, 533 MAIN STREET PRENATAL MEDICAL C 520 N MAIN ST UNIT #100 0.113549 %1 534 MARVAM RAHNEMUN M.D. INC. 520 N MAIN ST UNIT# 220 Yes Yes I OpR828 %I 535 JACK IN TH E B0X 93180 601 N MAIN ST Yes Yes 0.02466]%. 536 .THE BNS FUND_, LLC 601 N MAIN ST Yes yes 0.238844 %, 537 WORLD TRAVEL BUREAU INC 618N MAIN ST Yes Yes Yes 0.111982,% 538 PALMER INSURANCE AGENCY 631N MAIN ST Yes 0088881 %! 1 539 PALMER INCOME TAX 1631 N MAIN ST Yes Yes SUBWAY #63865 700 N MAIN ST Yes Yes - __0.241976% 0.2419]6 %II' Yes _Yes _540 541 7- ELEVEN STORE 3]1p1A 700 N MAIN ST UNIT# B - 0.578511 %I _ 542 11 BURGER KING (4309/4916) 701 N MAIN ST Yes Yes 0.09711M% 543 0R6 CO CENTER OF LEGAL SVGS 711 N MAIN ST Yes Yes 544 PLUS VIDEO 1713 N MAIN ST Yes Yes 2105130 % 0.014585 %'. 545 TRANG CHARLIE 715N MAINST Yes _ Yes Yes 0.108654% 546 54] BEIJING EXPRESS RESTAURANT MANAGMENT SOMBRERO STREET 715NMAIN ST 719 N MAIN ST Yes Yes Yes Yes 0.371186 %' 0.-01]42 %I 100 S0UTH MAIN STREET LLC 1005 MAIN ST Yes -4 548 r 549 ORIGINAL M IKE'5 RESTAURANT 100S MAIN ST Yes Yes Yes, -- Yes 64fi T, 0.425807 %' 550__' FIRESTONE COMPLETE AUT0 CARE #2]1F 1015 MAIN ST -_ 01998855% 551 WNC RL ESTATEPARTNE EA 100 N R055 ST -- yes - Yes_ - OlJ]762 %I. 552 BURR & NAYLOR 200 W SANTA ANA BLVD Yes Yes Yes 0089273% 553 ACE PARKING MANAGEMENT 200W SANTAANA BLVD Yes ,_ 0161611 %I HOLDINGS 200 W SANTA ANA BLVD Yes Yes 554 55 5 iQUIZNO'S 200 WEST SANTA ANA BOULEVARD ,LLC SUB 200 W SANTA ANA BLVD UNIT# 175 Ves Yes 0.1]3260% 556 MONTELEONE & MC CRORY, LAW OFC 200 W SANTA ANA BLVD UNIT# 200 Yes Yes -- 0.169540% THE REEVES LAW GROUP 200 W SANTA ANA BLVD UNITp 630 Ves Yes 0.486301 %' 557 558 WILSON, PESOTA & FO %LLP 200 W SANTAANA BLVD UNIT# 9J0 _ Yes Yes 0.3884 y15 %I 0.066955 %i 559 CIM URBAN RE IT PROPERTIES I, L.P. SOD W SANTA ANA BLVD Yes Yes 1.00J842% 560 EVEREST COLLEGE SOOW SANTA ANA BLVD _ Yes Yes 0.046552 %'. 561 ___ HITPROSINC -..- 520 W SANTA ANA BLVD - - -- Yes -' Yes "' " +- - - - - -- OA96A2% _ 562 _____ BESTCONSTRUCTION SERVICES, INC 520 W SANTA ANA BLVD Yes Yes 0.014291 563 ELHAI FAMILY TRUST 1550 SANTA ANA BLVD Y Yes %'1 0143404 %. 564 -- CIVIC CENTER LLC 600 W SANTA ANA BLVD Yes Yes _� 0 0]1262 %. 565 IMMIGRATION 4U ..- _- .....- 600 W SANTA ANA BLVD -- Yes ------- Yes -'- " "' - " "'_ -- - -- 0158185 %.. 566 _._ ...__ SUNNYHILLSPALLADIUM �600W SANTA ANA BLVD �_ Yes Yes 0321852 %;. 567 S68 ORANGE COUNTY REPORTER _ �600WSANTAANA BASCH IN BLVD 600W SANTA ANA BLVD BLVD Yes Yes Yes Yes Yes Yes 0069695 %1 ,_ 0.069521% 569 M C D GENERAL SERVICES 600 W SANTA ANA 0..71653 %, S70 PIAZATOWERS PARKING 600 W SANTA ANA BLVD Yes _Yes Yes 0.15]402%'1 _ 91 .ANTES CAFE, LLC -,- 600 W SANTA ANA BLVD U N IT #100 600 W SANTA BLVD UNIT# 103 Yes Yes .._ Yes _ ...._ _______ 01309]2 %�, ____,_,_ 92 - PLAZA CAFE & DELI - SIMPLE LEGAL SOLUTIONS 600 W SANTA ANA BLVD UNIT# 114 Yes Yes SA _ SLAW OFFICES OF STEPHEN RIGGS 600 W SANTA ANA BLVD UNIT #202 Yes Ves -L 0.080659%' 574 95 �576 LIRA NOTARY HEGGENESS,SWEET, SIMINGTON &PATRICIO AP.C. 600 W SANTA ANA BLVD UNIT# 600 600WSANTAANA BLVD UNIT #700 Yes Yes as Yes 0.48552 %'. 0.291311% _, -_ 600 W SANTA ANA BLVD UNIT #814 Yes Yes _00888- JJ ROLNICKI, ROLF ATTORNEY 0.088881 %. 578 ROSE N, MARKS ATTORNEY 600 W SANTA ANA BLVD UNIT#814 Yes Yes 0080659% 579 - -I{ 580 BARTONE, G REGORY LEE ATTORN EY { W OFFICE OF DEBORAH M VA54UEZ 600 W SANTA ANA BLVD UNIT #814 600 W SANTA ANA BLVD UNIT# 814 Yes Yes yes Yes _ 0080659% "'-- " 0.145655% 600W SANTAANA BLVD UNIT #816 Yes _ Yes 581 LAW OFFICES OF JESSE A. MARINO Yes 0088881 %{ i-' - -- 582 -' -- LAW OFFICE LOLITA KIRK _..___ 600W SANTA ANA BLVD UNIT #900 - Yes - - Ves 0 D80659% 583 W W OFFICE OF 0.ENEE G_ARCIA 600 W SANTA ANA BLVD UNIT #910 Yes ._ _ 584 585 MUNOZ &ASSOCIATES 0SAJIMA,GLENN K LAW OFFICES O 600 W SANTA ANA BLVD UNIT #910 600 W SANTA ANA BLVD UNIT #910 Yes Yes Yes Yes � 0088881%1, p080659 %' _ 0.129210% -� 586 FERRENTINO &ASSOCIATES, INC. '600 W SANTA ANA BLVD UNIT #925 Yes Yes 0.080659%. 587 HUFSTADER, DONALD K LAW OFFICE fi00 W SANTA ANA BLVD UNIT #955 Ves yes __ 0.088881% 588 SCHULMAN THOMASL 600 W SANTA ANA BLVD UNIT #955 Yes Yes 0.226314 %' 589 GRIFFIN LOTZ& HOLZMAN, A LAW CORP. 6DO W SANTA ANA BLVD UN IT #960 Yes Yes 0.014291% 590 CHL0EM.STAT0NTRUST(219E1STST) 116NSPURGE0N5T Yes Yes 0.320285% 591 CRISP BRAND AGENCY -_ 200 N SPURGEON ST - -- Yes Yes Page 9 of 30 75A -21 Intent to Levy BID Assessment List Number Weighted Protest Value —5 592 EV - -- _ EVOUNI USA �20D _ •••• =v ��•••_» _ NSPURGEON ST e��nrea 01U eugiele 1% of 10(96 TOW) 593 NATIONWIDE ENVIRONMENTAL CONSULTANTS, INC. ,212 N SPURGEON ST Yes Yes Yes 0.080463% 594 1 FIESTA MARKETPLACE PARTNERS _ 301 N SPURGEON ST _ Yes 0.080659 %. —,- 595 -_. -. -. VOIIE JAPANESE FONDUE - -. Yes Ves _. .._ 0,009 _ 305NSPURGE0N ST Ves Yes 2419]6% 596 YOST THEATER 30]N SPURG EON ST Yes Yes ]_ THE YOST - 30]NSPURGEON ST Yes Yes —0.46280M 598 QARTSALON 205 N SYCAMORE ST Yes Yes 0.072828 %I 599_ WEACIONES ALEJANOflA FOTO ESTUDIOY BRIDAL SHOP _ '318NSYCAMOfl E ST Ves 600 LOMELI, ARTURO DDS 415 NSYCAMORE ST Yes Yes Yes 0.085161% 601 LOMELI, ARTUROJ 415 N SYCAMORE ST Yes Yes 0.161317% 602 FULL HEALTH UNIVERSITY MEDICAL DIAMOND PARKING SERVICES LLC NSA01 415NSVCAMORE ST 416 N SYCAMORE ST Ye s Yes Yes 0.012138 % 0.105326 %' 603 604 THE SUIT CO. Yes 0.081050_%', _ �SII NSYCAMORE ST Yes Yes 0.2419]6 %'I 605 SDNI, NEIL (701-703) ]01 N SYCAMORE ST Yes Yes _ 0.006754% Page 10 of 30 75A -22