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HomeMy WebLinkAbout FULL PACKET_2016-03-01MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA FEBRUARY 16, 2016 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:08 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VINCENT F. SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES ROMAN A. REYNA SAL TINAJERO 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: A. Ronald Anzai v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ Unassigned; ADJ8817863; ADJ8930334; ADJ220543; ADJ9810584 CITY COUNCIL MINUTES 1 FEBRUARY 16, 2016 1 0A -1 B. Ofrancia Perez v. City of Santa Ana: United States District Court Case No. SACV1 5-00034-CJ C (RNBx) 2. CONFERENCE WITH LEGAL COUNSEL — POTENTIAL LITIGATION pursuant to Government Code Section 54956.9(b) • Western Dental Relocation, Property 1221 East First Street, Unit A, Santa Ana, CA. 3. CONFERENCE WITH LEGAL COUNSEL -- POTENTIAL LITIGATION Significant exposure to litigation pursuant to paragraph (4) of subdivision (d) of Section 54956.9 of the Government Code: Two cases 4. CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: Bristol Street Project Coalition Properties • Coalition Property: 1417 N. Bristol Street, Santa Ana, CA APN 405 - 252 -17 Owners: Jesus Zambrano & Veronica Rosales Zambrano • Coalition Property 1415 N. Bristol Street, Santa Ana, CA APN 405 - 272 -19 Owner: Robert Peter Gonzales • Property: 1411 N. Bristol Street, Santa Ana, CA, APN 405 - 272 -18: Owners Yong Jae Lee and Hea Jung Lee • Property: 1607 N. Bristol Street, Santa Ana, CA APN 405- 252 -22- Owners Jeronimo Chavez and Guadalupe Chavez Negotiators: City Manager David Cavazos Terms: Conditions of potential sale. CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:03 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 2 FEBRUARY 16, 2016 1 0A -2 CALLED TO ORDER REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:06 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VINCENT F. SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES ROMAN A. REYNA PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS COUNCILMEMBERS Absent: MICHELE MARTINEZ SAL TINAJERO STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council MAYOR PULIDO DR. CURTIS SMITH, POLICE CHAPLAIN PROCLAMATION presented by MAYOR PULIDO to the Vietnamese Community of Orange County in recognition of its TET Celebration for the "Year of the Monkey ". CERTIFICATES OF RECOGNITION presented by MAYOR PULIDO to Santa Ana High School Girls Wrestling Team for winning a Dual City Title: Coaches: Ria Bitun, Tim Byers; Jose Chona. Players: Paola Arenas; Yesenia Bustos; Sophia Carrea; Elaine Centeno; Deysi Chona; Claribel Estrada; Maria Figueroa; Monserat Garcia; Margarita Gonzalez; Beatrice Hernandez; Daniela Hernandez; Lizbet Hernandez; Noemi Hernandez; Yuliana Hernandez; Briana Marquez; Josahandy Moreno; Casandra Parra; Kate Quintana; Ana Salinas; Elizabeth Santana; Liz Tapia; Samantha Vega. CITY COUNCIL MINUTES 3 FEBRUARY 16, 2016 1 0A -3 CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER REYNA to the winners of the Santa Ana Water Division Art Contest on conserving water: Ages 5 -8 Finalists: Melissa Cortes; Lilian Leal, Grand Prize Winner: Sara Ramirez Ages 9 -12 Finalists: Sarah Gomez; Julian Diaz Leyva, Grand Prize Winner: Adrian Cendejas Ages 13 -14 Finalists: Ava Bustamante; Hector Mora, Jr., Grand Prize Winner: Jose Silva Ages 15 -18 Finalists: Jesus Antonio Cervantes; Jessica Torres, Grand Prize Winner: Nelson Samona OATHS OF OFFICE Administered by Clerk of the Council Huizar to the following: • Mark McLoughlin, Planning Commissioner • Matthew Schauer, Community Redevelopment and Housing Commissioner CLOSED SESSION REPORT - See Item 19A for any reportable actions. PUBLIC COMMENTS • Ilya Tseglia, concerned with discrimination and treatment of son by staff at Orange County Regional Center. • Robert Tseglia, spoke of illegal arrest of his brother by Irvine Police, but detained at the Santa Ana Jail. • Betty Canech, tenant at Mauna Loa apartments, concerned with lack of communication to tenants by new owners and proposed change to rehabilitation center. • Veronica Sanchez, tenant at Mauna Loa apartments, concerned with lack of relocation assistance; request assistance o Mayor Pro Tern Sarmiento, noted that he would meet with tenants and provide information, as applicable. CONSENT CALENDAR ITEMS MOTION; Approve staff recommendations on Consent Calendar Items 10A through 31B, with the following modifications: MOTION: Reyna SECOND: Amezcua CITY COUNCIL MINUTES 4 FEBRUARY 16, 2016 1 0A -4 VOTE: AYES: NOES: _: ABSENT: MINUTES Amezcua, Benavides, Pulido, Reyna (4) None (0) None (0) Martinez, Sarmiento, Tinajero (3) ADMINISTRATIVE MATTERS 10A. MINUTES FROM THE REGULAR MEETING OF FEBRUARY 2, 2016 {STRATEGIC PLAN N0, 5, 11 - Clerk of the Council Office MOTION. Approve Minutes. ORDINANCESISECOND 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. APPROVE AMENDMENT APPLICATION NO. 2014 -04 FOR SPECIFIC DEVELOPMENT NO. 88 (SD -88) AND DEVELOPMENT AGREEMENT NO. 2015 -03 AS AMENDED FOR THE HERITAGE MIXED -USE DEVELOPMENT PROJECT — 2001 EAST DYER ROAD {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office Placed on first reading at the February 2, 2016 City Council meeting and approved by a vote of 6 -0 (Martinez absent). Published in the Orange County Reporter on February 5, 2016. MOTION: Place ordinances on second reading and adopt. A. ORDINANCE NO. NS -2892 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REZONING THE HERITAGE PROPERTY LOCATED AT 2001 EAST DYER ROAD FROM LIGHT INDUSTRIAL (M -1) TO SPECIFIC DEVELOPMENT NO. 88 (SD -88) (AA NO. 2014 -04) AND ADOPTING SPECIFIC DEVELOPMENT NO. 88 (SD -88) FOR SAID PROPERTY CITY COUNCIL MINUTES 5 FEBRUARY 16, 2016 1 0A -5 B. ORDINANCE NO. NS -2893 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A DEVELOPMENT AGREEMENT FOR THE PROPERTY LOCATED AT 2001 EAST DYER ROAD, BETWEEN THE CITY OF SANTA ANA AND HERITAGE VILLAGE OC, A DELAWARE LIMITED LIABILITY COMPANY BOARDS I COMMISSIONS I COMMITTEES 13A. NOMINATED BY COUNCILMEMBER REYNA AS THE WARD 5 REPRESENTATIVE (ALTERNATE) TO THE YOUTH COMMISSION FOR PARTIAL TERM EXPIRING DECEMBER 13, 2016 {STRATEGIC PLAN NO. 5, 1} - Clerk of the Council Office MOTION: Appoint Judith A. Carrillo, Ward 6 resident, (replacing J. Madrid). MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve settlement agreements as follow: 1. CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: • Ronald Anzai v. City of Santa Ana• Workers' Compensation Appeals Board case #ADJ Unassigned; ADJ8817863; ADJ8930334; ADJ220543; ADJ9810584; settlement in the amount of $25,456 approved by a 6 -0 vote (Martinez absent) • Ofrancia Perez v. City of Santa Ana; United States District Court Case No. SACV15- 00034 -CJC (RNBx); settlement in the amount of $45,000 approved by a 6 -0 vote (Martinez absent) 2. CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: Bristol Street Project Coalition Properties • Property: 1411 N. Bristol Street, Santa Ana, CA, APN 405 - 272 -18: Owners Yong Jae Lee and Hea Jung Lee; settlement in amount of $840,000 approved by a 6 -0 vote (Martinez absent) CITY COUNCIL MINUTES 6 FEBRUARY 16, 2016 1 0A -6 0 19C. EXCUSED ABSENCES —Clerk of the Council Office MOTION: Excuse the absence of Councilmember Martinez from the February 16, 2016 City Council Meeting. MOTION: Sarmiento SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento, (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Martinez, Tinajero (2) STRATEGIC PLAN MONTHLY REPORT FOR JANUARY 2016 {STRATEGIC PLAN NO. 5, 11 - City Manager's Office MOTION: Receive and file. 19D. QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES (OCTOBER 2015 — DECEMBER 2015) {STRATEGIC PLAN NO. 5, 31 - Community Development Agency Community Redevelopment and Housing Commission approved recommended action on January 13, 2016, by a vote of 6 -0 (Gomez absent). MOTION: Receive and file. 19E. FLOOD CONTROL UPDATE {STRATEGIC PLAN NO. 6, 1F}- Public Works Agency MOTION: Receive and file. 19F. PARK RANGER PROGRAM UPDATE {STRATEGIC PLAN NO, 1, 11 - Police Department MOTION: Receive and file. CITY COUNCIL MINUTES 7 FEBRUARY 16, 2016 1 0A -7 BUDGETARY MATTERS SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 16 -004 - HEWLETT PACKARD STORAGE FOR SERVERS AT CITY HALL — (Information Technology Department) — Finance and Management Services Agency Project is in accordance with the Council approved Surplus Allocation Plan dated October 20, 2015: Department Project Category Total Fundinq Technology Network, Data Centers and Servers/ Technology $385,000 Software Communications Upgrade MOTION: Authorize a one -time purchase and payment of purchase order to Golden Star Technology, Inc. in an amount not to exceed $34,700, subject to non - substantive changes approved by the City Manager and City Attorney. 22B. SPEC. NO. 15 -132 - FREIGHT SERVICE ELEVATOR MOTOR REBUILD - POLICE DETENTION FACILITY {STRATEGIC PLAN NO. 6, 21 - (Police Department) - Finance and Management Services Agency MOTION; Authorize a one -time purchase and payment to KONE, Inc, for rebuilding the failed hoist motor in freight elevator number 4H in the Police Department Detention Facility in an amount not to exceed $44,000.00, subject to non - substantive changes approved by the City Manager and City Attorney. 22C. SPEC. NO. 16 -023 - DOWNTOWN PARKING SMART METER PROGRAM OPERATIONS AND MAINTENANCE {STRATEGIC PLAN NO. 3, 4B, 4C} - Finance and Management Services Agency MOTION: Award a contract to IPS Group Inc. for the expansion of the smart meter program and enhancement of additional features for the balance of the initial five -year agreement expiring May 19, 2019, in an amount not to exceed $486,000, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 8 FEBRUARY 16, 2016 1 0A -8 AGREEMENTS 25A. AGMT NO. 2016 -022 - INCLUSIONARY HOUSING AGREEMENT WITH THE LINE AT SANTA ANA, LLC {STRATEGIC PLAN NO. 5, 3131 - Community Development Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an Inclusionary Housing Agreement with The Line at Santa Ana, LLC for The Line Apartments, in an amount not to exceed $1,221,437.20, subject to non - substantive changes approved by the City Manager and City Attorney. 2513. AGMT NO. 2016 -023 - DONATION TO SUPPORT AN ART COOPERATIVE {STRATEGIC PLAN NO. 5, 4} - Councilmember Amezcua MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Latino Health Access for a one -time donation amount of $1,500, subject to non - substantive changes approved by the City Manager and the City Attorney. 25C. AGMT NO. 2016 -024 - LEGAL DOCUMENT MANAGEMENT AND RESEARCH SOFTWARE {STRATEGIC PLAN 7, 5) - City Attorney's Office MOTION: Authorize the City Manager and the Clerk of the Council to execute a one year agreement with West Publishing Corporation in an amount of $30,576 for a term beginning February 1, 2016 through February 1, 2017, subject to non - substantive changes approved by the City Manager and City Attorney. 25D. AGMT NO. 2016 -025 - DONATION TO SUPPORT A SOCCER TOURNAMENT {STRATEGIC PLAN NO. 5, 4} - Councilmember Benavides MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with American Youth Soccer Organization for a one -time donation amount of $500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. 25E. AGMT NO. 2016 -026 - DONATION TO SUPPORT A CIVIC ENGAGEMENT PROGRAM FOR YOUTH {STRATEGIC PLAN NO. 5, 4} — Councilmember Amezcua MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Youth Developing Discipline through Martial Arts and Fitness for a one -time donation amount of $1,500, subject to non - substantive changes approved by the City Manager and the City Attorney. CITY COUNCIL MINUTES 9 FEBRUARY 16, 2016 1 0A -9 25F. AGMT NO. 2016 -027 - AMENDMENT - WASTE DISPOSAL SERVICES - CONTINUED IMPORTATION OF WASTE AT THE COUNTY'S THREE LANDFILLS, AND SECURE A PORTION OF FUTURE NET IMPORTATION REVENUES TO SUPPORT SOLID WASTE AND RECYCLING PROGRAM IMPLEMENTATION {STRATEGIC PLAN NO. 5, 21 - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment to the Waste Disposal Agreement with the County of Orange in the total amount of $3,184,732 for the Fiscal Years 2016 -2020, subject to non - substantive changes approved by the City Manager and City Attorney, to extend the terms of the Waste Disposal Agreement through June 30, 2025. 25G. AGMT NO. 2016 -028 - AMENDMENT - SMARTCOVER INSTALLATION AND MONITORING FOR SANITARY SEWER SYSTEM (NON- GENERAL FUND) {STRATEGIC PLAN NO. 6, 1Cj - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a first amendment to agreement A- 2014 -212 with Hadronex, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, to provide real -time, two -way wireless communication, and continuous remote alarm monitoring management services, extending the term of the agreement until June 30, 2018, and increasing the annual not to exceed amount by $100,000 for a new annual amount not to exceed $175,000, and a new total amount not to exceed $475,000 for the term of the agreement. 25H. AGMT NO. 2016 -029 - PURCHASE AND MAINTENANCE OF POLICE TRAINING SOFTWARE AND SOFTWARE SUBSCRIPTION {STRATEGIC PLAN NO. 1, 5) - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute a three -year agreement with Power DMS, for the period of January 19, 2016 through January 18, 2019, in an amount of $53,001, which includes a $5,000 contingency, subject to non - substantive changes approved by the City Manager and City Attorney. 251. AMENDMENT - VIDEO SECURITY SYSTEM ENHANCEMENTS HISTORIC DOWNTOWN DISTRICT AND SANTA ANA POLICE DETENTION FACILITY {STRATEGIC PLAN NOS. 1, 1J} - Police Department MOTION: Continue consideration of matter to the March 15, 2016 City Council Meeting, at the request of staff. CITY COUNCIL MINUTES 10 FEBRUARY 16, 2016 1 0A -10 MOTION: Amezcua SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento, (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Martinez, Tinajero (2) CONDITIONAL USE PERMITNARIANCES 31 A. CONDITIONAL USE PERMIT NO. 2015 -19 TO ALLOW A TYPE 41 ALCOHOL BEVERAGE CONTROL LICENSE AT KNIFE & GLASS LOCATED AT 601 EAST SANTA ANA BOULEVARD, UNIT A - MICHAEL CHO, APPLICANT {STRATEGIC PLAN NOS. 3, 2, 41 - Planning and Building Agency Planning Commission approved recommended action on January 25, 2016, by a vote of 6 -0 (Alderete absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2015 -19. 31 B. CONDITIONAL USE PERMIT NO. 2015 -22 TO ALLOW A TRADE SCHOOL AT 920 NORTH POINSETTIA STREET - AGC VOCATIONAL SCHOOL, APPLICANT {STRATEGIC PLAN NO. 3, 21 - Planning and Building Agency Planning Commission approved recommended action on January 25, 2016, by a vote of 6 -0 (Alderete absent). MOTION; Receive and file the staff report approving Conditional Use Permit No. 2015 -22 as conditioned. * *END OF CONSENT CALENDAR ** CITY COUNCIL MINUTES 11 FEBRUARY 16, 2016 1 0A -11 BUSINESS CALENDAR ITEMS ORDINANCES /FIRST READING 50A. ADOPT AN AMENDMENT AND AN ADDITION TO THE ROTATIONAL TOW ORDINANCE, SANTA ANA MUNICIPAL CODE SECTIONS 32 -107 AND 32- 107.1 {STRATEGIC PLAN 7, 5e} - Police Department and City Attorney's Office MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS. -2894 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SANTA ANA MUNICIPAL CODE SECTION 32 -107 RELATING TO TOW TRUCKS MOTION: Benavides VOTE: AYES: NOES: ABSTAIN ABSENT: RESOLUTIONS SECOND: Amezcua Amezcua, Benavides, Pulido, Reyna, Sarmiento (5) None (0) None (0) Martinez, Tinajero (2) 55A. RESOLUTION AUTHORIZING EXECUTIVE DIRECTORS TO SIGN COUNTY OF ORANGE 60 -DAY WAIVER NOTICES AUTHORIZING COUNTY OF ORANGE TO PROCEED WITH PROPOSED BIDS OR PROJECTS {STRATEGIC PLAN NO. 7, 5F} - Planning and Building Agency MOTION: Adopt a resolution. RESOLUTION NO. 2016 -014 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING CITY DEPARTMENT HEADS TO SIGN COUNTY OF ORANGE SIXTY -DAY WAIVER NOTICES REQUIRED BY GOVERNMENT CODE SECTION 25351 MOTION: Amezcua SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento (5) NOES: None (0) CITY COUNCIL MINUTES 12 FEBRUARY 16, 2016 1 0A -12 ABSTAIN: None (0) ABSENT: Martinez, Tinajero (2) CITY COUNCIL RECESSED AT 6:53 P.M. TO THE SUCCESSOR AGENCY MEETING AND RECONVENED THE CITY COUNCIL MEETING AT 6:54 P.M. WITH SAME MEMBERS PRESENT. WORK STUDY SESSION WS. CAPITAL IMPROVEMENT PLAN UPDATE — Public Works Agency CITY COUNCIL MINUTES 13 FEBRUARY 16, 2016 1 0A -13 CIP PROJECT SCHEDULE CM OF SANTA ANA- PUBLIC WORKS AGENCY CAPITAL IMPROVEMENT PROGRAM- EAECUTNE SUMMARY SCHEDULE MONTH OF JANUARY M16 n�+✓ up.���. W.�nnarWram. Xn+{nvtspW Wnmfe.wl uyu� wwMfn wnnuvnnr. vnwu�su Afm.. Frrvrsnnu Ommmf.wxMryammnpr�y�V famnmMlmanlsnmunsm�o-. n Wr..eru mom.. nwi � tam W a wrumwf w.r wn Mammnu wpw ran i+mway.0 wmr wn ua��u MV•Iwm�•mra.�al �' xn�x.nuwvvenm avmu.inuxsuumluf� f.wiamM1�NN Wpvlw up Hlpmmpn.ammaava. wwu /Yrewen.MU..wnw ��• �..ra CITY COUNCIL MINUTES 14 FEBRUARY 16, 2016 1 OA -14 wwfn.nwrm. ep �mm��ieltmpeiil 5'. iulwp . WaeammlwW wm M.1 S vpa!m.�•ea wel n�+✓ up.���. W.�nnarWram. Xn+{nvtspW Wnmfe.wl uyu� wwMfn wnnuvnnr. vnwu�su Afm.. Frrvrsnnu Ommmf.wxMryammnpr�y�V famnmMlmanlsnmunsm�o-. n Wr..eru mom.. nwi � tam W a wrumwf w.r wn Mammnu wpw ran i+mway.0 wmr wn ua��u MV•Iwm�•mra.�al �' xn�x.nuwvvenm avmu.inuxsuumluf� f.wiamM1�NN Wpvlw up Hlpmmpn.ammaava. wwu /Yrewen.MU..wnw ��• �..ra CITY COUNCIL MINUTES 14 FEBRUARY 16, 2016 1 OA -14 CIP PROJECT J SCHEDULE CRGOFSANTAOSR-PU U YWRRSAGENCY GRRpL IMRROYFMEM RRTHGFJ NUMY 2SUMMAR' MONTH Of JANUARY NIl6 CITY COUNCIL MINUTES 15 FEBRUARY 16, 2016 1 0A -15 rpuT �4ul Y+lwbrl waianln WW ra:vspu�wwM1r ri.roru /e�raiavkap4awrm w avw � au.w �rwu�mum u�aupa�v���wr+nMM'L w aF�N nn %u��aµwanlovrurp CITY COUNCIL MINUTES 15 FEBRUARY 16, 2016 1 0A -15 CITY COUNCIL MINUTES 16 FEBRUARY 16, 2016 1 0A -16 COMMENTS 90A. CITY MANAGER'S COMMENTS • Reported on the City's first AA Insurer Credit Rating by Standard and Poor • City Credit Strengths: • Seasoned and Highly Effective and Proactive City Management Team • Strong Fiscal Management and Policy Framework • Diversified Revenue Base • Strategic Location in the Heart of Orange County • Excellent Labor Relations • Flourishing Economic Development • Prudent Use of Debt 90B. CITY COUNCILMEMBER COMMENTS Councilmember Amezcua: • Thanked the City Manager and staff for City's excellent credit rating. Councilmember Reyna: • Thanked community for conserving water and encouraged all to continue efforts; • Reported on successful Youth in Government conference in Sacramento; over the weekend; and • Asked all to shop Santa Ana! Councilmember Benavides: • Congratulated Councilmember Reyna for leadership and role in Youth in Government Program; kudos to team; • Congratulated all on City's AA Credit Rating, City's tough decisions to get us to where we are now and effective economic development efforts; • Requested update on branding efforts and Community Development Block Grant funds from sale of properties along Bristol Street; • Requested update on long term strategy for homeless and civic center improvements; work with County Board of Supervisors on efforts and asked if City Council needs to prioritize projects; and • Urged all to support local economy and shop in Santa Ana. Mayor Pro Tern Sarmiento: • Congratulated the City Manager on City's strong credit rating and US President's line item budget approval for the OC Streetcar Project; thanked federal advocates Holland and Knight, for assisting in City's receipt of $5 million in UASIS funding; • Thanked the Mayor for inviting Supervisor Andrew DO to continue discussion on homeless and include CalOptima services that are lacking in Santa Ana; CITY COUNCIL MINUTES 17 FEBRUARY 16, 2016 1 0A -17 • Commented on recent escapees from the Orange County Sherriff's Jail that escaped into our community; need to avoid in the future and take responsibility where appropriate; and • Commented on recent death of US Supreme Court Judge Scalia, expressed support for Judge Paul Watford who sits on 9t" District Court of Appeals and is on the short list considered to replace Supreme Court Judge. Mayor Pulido: • Commented on US President's approval of $125 million for the OC Streetcar project that will be leveraged with Orange County Transportation Authority funds; • Adjourned meeting in memory of Dr. Juan Francisco Lara and Tony Barela. ADJOURNED- 7:24 p.m. - The next meeting of the City Council is scheduled for Tuesday, March 1, 2016 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 Dr. Juan Francisco Lara and Anthony "Tony" Barela Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Community Engagement Program • General Plan Update CITY COUNCIL MINUTES 18 FEBRUARY 16, 2016 1 OA -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: ORDINANCES - SECOND READING: ADOPT AN AMENDMENT TO THE ROTATIONAL TOW ORDINANCE, SANTA ANA MUNICIPAL CODE SECTION 32 -107 {STRRkT LAN IN , 11 v CITY MANAG RECOMMENDED ACTION Place ordinances on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER On February 16, 2016, the following Ordinances were introduced for first reading and City Council authorized publication of title by a vote of 5 -0 (Martinez and Tinajero absent): ORDINANCE NO. NS -2894 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SANTA ANA MUNICIPAL CODE SECTION 32 -107 RELATING TO TOW TRUCKS 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 action. Maria D. Huizar, Clerk of the Council EXHIBITS: 1. Ordinance No. NS -2894 11 A -1 11 A -2 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SANTA ANA MUNICIPAL CODE SECTION 32 -107 RELATING TO TOW TRUCKS 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. California Vehicle Code section 21100 provides authority to cities and counties to regulate tow operators within their jurisdiction. B. On September 2, 2003, the Santa Ana City Council adopted Ordinance NS -2630 enacting Article IV of Chapter 32 relating to Tow Trucks. The Ordinance, among other items, delegated authority to the Chief of Police to establish towing operation guidelines and a rotational list for tow operators. C. In an effort to standardize the process and increase the consistency with other competitive processes for City Services, the Chief of Police will recommend a rotational tow list to the City Council for approval. All other aspects of the Rotational Tow List including establishing written guidelines, standards for qualification, discipline, and removal from the List will remain the same. Section 2. Chapter 32, Article IV, Section 32 -107 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 32 -107- Towing operation guidelines; rotational list; authority of the chief of police to promulgate written guidelines; recommendation of list of rotational tow operators to the City Council. In order to provide a workable and comprehensive policy regarding the towing and /or storage of abandoned, disabled, stored or impounded vehicles from public or private property, the chief of police hereby authorized to promulgate and issue, by general order, and amend, if necessary written rules and regulations governing the following but by no means exclusive subjects: Ordinance No. NS -XXX Page 1 of 3 11 A -3 (a) Requirements and standards for placement on the rotational tow list; (b) Requirements and standards for continued placement on the rotational tow list; (c) Grounds for, and procedures governing, discipline and removal from the rotational tow list; and (d) Any other pertinent and relevant matters pertaining to the administration of a rotational tow list. 2. Such rules and regulations shall have the same force and effect of law, and the failure to obey same shall be deemed a violation of the provisions of this article for purposes of renewal, suspension or revocation of placement on the rotational tow list. 3. At least once every five (5) years, the chief of police will make a recommendation to the City Council of a list of rotational tow operators. Section 3. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this 1 st day of March, 2016 Ordinance No. NS -XXX Page 2 of 3 Miguel A. Pulido Mayor 11 A -4 APPROVED AS TO FORM: By: clw Sonia R. Carvalho City Attorney AYES: Councilmembers NOES: Council 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 March 1, 2016, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. L� Clerk of the Council City of Santa Ana 11 A -5 Ordinance No. NS -XXX Page 3 of 3 11 A -6 SANTA ANA UNIFIED SCHOOL DISTRICT /CITY OF SANTA ANA COUNCIL JOINT POLICY MEETING The Santa Ana Unified School District /City of Santa Ana Council Joint Policy Special Meeting will convene at the City Hall Ross Annex Building, Santa Ana, California, in Room 1600 at 5:30pm, Monday February 8, 2016. AGENDA February 8, 2016 CALL TO ORDER PUBLIC COMMENTS: 110 Approval of Minutes of the November 2, 2015 District /City Minutes. 2.0 Partnerships 21 Possible Joint -Use Agreements 2.1.1 Review Progress on Segerstrom High School 2.2 Update on Roosevelt /Walker Project 2.3 City of Santa Ana Library Card for Every SAUSD Student Project 2.4 Youth Service Provider Summit 2.5 City Produced Events 2.6 Mariachi Concerts 3.0 Follow Up Items 3.1 Santa Ana High School Tennis Courts 3.2 Schools Opening and Made Available for Community Use 4.0 Future Items for Discussion and Planning 5.0 Next scheduled meeting— Monday May 2, 2016 at 5:30p.m. —Santa Ana Unified School District, 1601 E. Chestnut Ave., Santa Ana, California, in the Board Room, located on the first floor at 5:30 PM ADJOURNMENT City of Santa Ana Council Member Sal Tinajero Council Member Angi Amezcua Council Member Roman Reyna City Manager David Cavazos 13A -1 Santa Ana Unified School Dlstrlct Board of Education President John Palacio Board of Education Vice President Cecllia Iglesias Superintendent Rick Miller 13A -2 Minutes Page 1 Santa Ana Unified School District 1601. E. Chestnut Avenue Santa Ana, California 92701 MINUTES Santa Ana Unified School District / City of Santa Ana Council Joint Policy Meeting November 2, 2015 CALL TO ORDER The meeting was called to order at 5:35 p.m. by Santa Ana Unified School District (SAUSD) Board President Palacio. SAUSD staff members present were Dr, Miller, Superintendent of Schools; Dr. Phillips, Deputy Superintendent, Operations; Dr. Haglund, Deputy Superintendent, Educational Services; Mr, Williams, Assistant Superintendent, Facilities and Governmental Relations; Dr. Lopez - Guerra, Director of Community Relations; and Dr. Rodriguez, Chief of School Police, City Council member present was Roman Rayne. City staff members present: David Cavazos, City Manager; Gerardo Mouet, PRCSA Executive Director; Ron Ono, Administrative Services Manager; Jeannie Jurado, Community Services Manager; Robert Cortez, Special Assistant to the City Manager; Jorge Garcia, Sr. Management Assistant, and Julie Castro - Cardenas, City of Santa Ana. PUBLIC CObMNTS There were no individuals wishing to comment. Change in Order of Agenda 4.0 Updates 4.1 City Produced Events: SOMOS, City Tree Lighting Ceremony, and Plaza Navidena Ms. Jurado provided an update on upcoming city events; Mr. Cavazos suggested synchronizing Plaza Navidef,a with the lighting of the tree; Mr. Rayne suggested for student Mariachis to collaborate with professional musicians at future events. Councilmember Ame>_cua arrived at 5;36 p.m, and Councilmember Tinajerc arrived at 5:41 p.m. 1.0 Approval of Minutes of the August 24, 2015 District /City Minutes Moved by Counoilmember Reyna and seconded by Councilmember Amezcua to approve Minutes of August 24, 2015, 13A -3 Minutes Page 2 2.0 Possible Joint -Use Agreements 2.1 Review Progress Report Mr. Mouet asked if there were any questions on agreements; Dr. Miller stated bid amounts are higher than anticipated; Councilmember Tinajero suggested two additional hitting cages /tunnels with lighting and a cement dugout at Segerstrom's outfield are his priorities to focus on varsity baseball; Dr. Miller stated district staff will investigate cost to get solid estimates for baseball options. hlr. Mouet added that the Santa Ana Public library has issued hundreds of library cards; Mr. Palacio stated district will look into possible library grant. 3.0 Follow up Items 3.1 Santa Ana High School Tennis Courts The Santa Ana High School tennis court has four of the eleven lights lit; follow -up on Santa Ana High School tennis courts required related to the infrastructure /base foundation. 5.0 Future Items for Discussion and Planning Councilmember Reyna requested to have an open dialogue related to providing community members and non- profit organizations the opportunity to use a school facility during non-instruction time, possibly keeping a school site open until 8 or 9 p.m.; shared community center for citizen classes, zumba dance, etc. Dr. Miller stated district can look into possibilities. Councilmember Tinajero proposed an opportunity in providing SAUSD intermediate students with resources, coaches, and speech debate assemblies. Dr. Miller and Councilmember Tinajero will schedule a follow -up meeting. 6.0 Next scheduled meeting - Monday, February 8, 2016, at 5:30 p.m. - City of Santa Ana, Room 1600, City Hall Ross Annex. ADJOURNMENT There being no further business, the meeting was adjourned at 6:33 p.m. ATTEST: 13A -4 CITY OF SANTA ANA [K41111LI [oil _11111 tl WTI 1111ii:14&1 :a*a /_\1111111Itil:114il [0 AGENDA DEVELOPMENT AND TRANSPORTATION COMMITTEE THURSDAY, FEBRUARY 11, 2016 5:00 P.M. CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Vincent Sarmiento, Chairperson David Benavides Recording Secretary: Lorrie Ortiz PUBLIC COMMENTS - Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS 1. Approval of Minutes — December 9, 2015 Special Meeting 2. Streetcar Project Update — David Cavazos {Strategic Plan Nos. 6, 1 G; 3, 2C} 3. Project W: Safe Transit Stops Follow -up - Action: Provide input on concept and approach updates — Suzi Furjanic {Strategic Plan No. 6, 1 G} 4. Water System Computerized Hydraulic Model Presentation — Action: Receive and File — Nabil Saba & ID Modeling Inc. {Strategic Plan No. 6, 1 & 21 5. OCTA Bus Plan Update — David Cavazos {Strategic Plan Nos. 3, 2C; 5, 4B & 6F } STAFF COMMENTS COMMITTEE MEMBER COMMENTS FUTURE AGENDA ITEMS ADJOURNMENT — The next meeting is scheduled for Thursday, April 7, 2016 at 5:00 p.m. The complete Strategic Plan document is available at http / /www.santa- ana.orq /strategic- planning/ lidIf you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 Cl 35.102] Santa Ana City Council Miguel A. Police, Vincent F. Sarmiento, Michele Martinez, Angelica Amezcua, P. David Benavides, Roman Rayne, Sal Tinajero, Mayor Mayor Pro Tem, Ward1 Ward Ward Ward Wards Ward MPuldo(dse, le -a,a a VSar enronsanta.ann.om MMatlinezldsa.eann.oro AAmezuarms� ana om Oaenavltlesfolsana an RRemi(:,a L -',ore STlnalemralsaMa -a City Hall, 20 Civic Center Plaza • P.O. Box 1988 . Santa Ana, California 92702 Mayor & Council Telephone: 714- 647 -6900 ! Agenda Item Inquiries: 714.647 -6520 • Website: www.santa- ana.ora 13A -5 13A -6 CITY COUNCIL COMMITTEE ON DEVELOPMENT AND TRANSPORTATION Special Meeting Minutes December 9, 2015 CALL TO ORDER The meeting was called to order at 5:11 p.m. in Room 1600 of the City Hall Ross Annex. ATTENDANCE The following Committee Members were present: Vincent Sarmiento, David Benavides Absent: Michele Martinez Staff present were: David Cavazos, City Manager; Hassan Haghani, Executive Director/ Planning & Building Agency; Fred Mousavipour, Executive Director /Public Works Agency; Kelly Reenders, Executive Director /Community Development Agency; Taig Higgins, Principal Civil Engineer; Robert Cortez, Special Asst. to the City Manager; Candida Neal, Planning Manager; Vince Fregoso, Principal Planner; Jorge Garcia, Senior Management Analyst; Julie Castro - Cardenas, Senior Management Analyst; and Rosa Barela, PBA Executive Secretary. PUBLIC COMMENTS — None AGENDA ITEMS APPROVAL OF MINUTES — October 14, 2015 Meeting Motion by Committee Member Benavides and seconded by Chairman Sarmiento to approve the minutes and approved unanimously by a vote of 2:0 (Martinez absent). THIRD & BROADWAY PROJECT {Strategic Plan No. 3, 5A} PBA Executive Director Hassan Haghani provided an update on the Third & Broadway Request for Qualifications (RFQ) process. Three developers responded to the Citys' RFQ. However, Caribou Industries was the only developer to include a hotel component in their proposed project as outlined in the RFQ. If the Committee would like to pursue negotiations with Caribou Industries, Mr. Haghani recommended that the Committee request that Caribou Industries prepare a detailed pro forma which would describe funding sources, scheduling and project phasing. The pro forma would be reviewed by staff review and scheduled for City Council consideration. Mike Harrah, representing Caribou Industries, noted they look forward to working on the project. Development & Transp. Council Committee Minutes 13A-7 December 9, 2015 Committee Member Benavides recognized that the pro forma and scheduling information were important and directed staff to move forward as expeditiously as possible and bring the project to the full Council for consideration. City Manager David Cavazos requested Committee concur with staff recommendation and once all documents are received and staff performs due diligence, will bring back to the full Council and indicated staff will have an initial meeting with Developer. Chairman Sarmiento requested updates on the project and reiterated a desire to move forward as expeditiously as possible. Mr. Haghani noted staff can provide by providing memos to Committee members and if necessary bring back to the Committee. Motion by Committee Member Benavides and seconded by Chairman Sarmiento to bring to the Council the Third and Broadway proposal from Caribou Industries with pro forma, financial plan and implementation schedule and approved unanimously by a vote of 2:0 (Martinez absent). 3. PRESENTATION — SIGNAL HILL PETROLEUM APPLICATION FOR GEOPHYSICAL SURVEY {Strategic Plan No. 6, 1A} Public Works Agency Executive Director Fred Mousavipour noted that in 2013 Signal Hill Petroleum requested permission to obtain a permit to perform a Geophysical Survey within certain sections of Orange County including sections of Santa Ana. City Manager David Cavazos noted staff has not encountered any negative reports after conducting due diligence. Principal Civil Engineer Taig Higgins provided background information on the proposed Geophysical Survey of 35 square miles in West Orange County that include northwest Santa Ana. Mr. Higgins noted the purpose of the survey was to provide Signal Hill Petroleum with 3D mapping of geological data, described the methodology used. Mr. Higgins discussed the possible impacts, schedule and recommended that an agreement be executed with Signal Hill Petroleum. Debra Russell, Signal Hill Petroleum Project Manager, spoke in support of entering into an agreement with the City for the mapping project noting they donate and share information with various agencies. Committee member Benavides requested staff confirm that affected agencies, such as the O.C. Sanitation District, various water districts and utility companies, are aware of the survey. Chairman Sarmiento requested at community outreach meetings to have multi- lingual discussion, and reiterated that the scope of this consent is limited to the survey. Development & Transp. Council Committee Minutes December 9, 2015 Motion by Chairman Sarmiento and seconded by Committee Member Benavides and direct staff to prepare an agreement with Signal Hill Petroleum for permitting survey for approval by the City Council and approved unanimously by a vote of 2:0 (Martinez absent). STAFF COMMENTS - None COMMITTEE MEMBER COMMENTS Committee member Benavides • Thanked staff for all their work this past year and wished everyone a Merry Christmas. Chairman Sarmiento: Wished everyone Happy Holidays. FUTURE AGENDA ITEMS - None ADJOURNED — 5:52 P.M. Rosa Barela Recording Secretary Planning & Building Agency rb:Council Comm \DeveI & Transp CC \12 -09 -15 Devel & Transp CC Minutes - Special 4A� �_ � Development &Transp. Council Committee Minutes , 3`— December 9, 2015 13A -10 1 CITY OF SANTA ANA [Y COUNCIL COMMITTEE MEETING AGENDA PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT SPECIAL MEETING February 22, 2016 5:30 P.M. CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Councilmembers Benavides, Tinajero Police Chief, OCFA Division Chief, Senior Assistant City Attorney Recording Secretary: Eileen Greene PUBLIC COMMENTS - Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS Approval of Minutes of the 1 -26 -16 Meeting Fireworks (Strategies to Ban Fireworks, Maintain Current Municipal Code or Modify the Municipal Code to Allow a Hybrid Model) — Commander Ken Gominsky {Strategic Plan Goal No. 1, 2d} COMMITTEE MEMBER COMMENTS If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title Il, 28 CFR 35.1021 Santa Ana City Council Miguel A. Pulido, Vince Sarmiento, I Michele Martinez, Angelica Amezcua, P. David Benavides, Roman Rayne, Sal Tinajero, Mayor Mayor Pro Tom, Ward Ward Ward Ward Ward MPUlldo(a•sente- ena.mn Ward MMariinezrvlsanta- eneoru AN nezouaratsanta -ana oru pBenevdw(vasaneena RRevne(o�sana an STlnaloro(olsankana . om VS— I -toGJS t. —aura City Hall, 20 Civic Center Plaza • P.O. Box 1988 • Santa Ana, California 92702 Mayor & Council Telephone: 714. 647.6900 • Agenda Item Inquiries: 714- 647.6520 • website: www.santa- ana.org 13A -11 21 FUTURE AGENDA ITEMS Measure BB Police Body Cameras Animal Services ADJOURNMENT — The next Public Safety and Neighborhood Improvement meeting is scheduled for Tuesday, March 22, 2016, at 5:30 PM at the City Hall Ross Annex, Room 1600, 20 Civic Center Plaza, Santa Ana, CA. The complete Strategic Plan document is available at http: / /www.santa- ana.org /strategic - planning /. If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title II, 26 CFR 35.102] Santa Ana City Council Miguel A. Pulido, Vince Sarmiento, Michele Martinez, Angelica Amezcua, P. David Benavldes, Roman Reyna, Sal Tinajsro, Mayor Mayor Pro Tem, Ward 2 Ward 3 Ward 4 Ward 5 Ward 6 MPUlitlorv]sene- ana.o,a Ward 1 VSarmlenlo W serve- ene.am RR,,- elsenta an STlna em(asanta -e City Hall, 20 Civic Center Plaza • P.O. Box 1988 • Santa Ana, California 92702 Mayor & Council Telephone: 714 - 647 -6900 • Agenda Item Inquiries: 714. 647 -6520 • Website: www.santa- ana.ora 13A -12 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT MINUTES January 26, 2016 CALL TO ORDER: Ross Annex, Room 1600 City Hall, 20 Civic Center Drive Santa Ana, California 5:30 PM ATTENDANCE: Council Committee members: David Benavides Sal Tinajero STAFF PRESENT: David Cavazos, CMO Carlos Rojas, PD Dave Anderson, OCFA Laura Rossini, CAO Kyle Nelleson, CAO Robert Cortez, CMO Jorge Garcia, CMO Alvaro Nunez, Planning & Building Eileen F. Greene, Recording Secretary PUBLIC SPEAKERS: Cherie Kerr Tim Rush Claire Braeburn Alex Cook Derek Warden PUBLIC COMMENTS Cherie Kenn, resident, expresses her support of a ban on fireworks. She is anxious to see the fireworks item on the next Agenda, perhaps the City Council Agenda. 13A -13 Tim Rush, resident, also commented on fireworks, a previous Agenda item. He is aware that fireworks are being studied by the City Attorney's Office and inquired as to whether once the study is completed, the results could leapfrog from this Committee and be brought straight to City Council. Realizes non- profits would need notice to make other arrangements for fundraising. Claire Braeburn, America On Track, sharing support for incorporating definition of e- cigarettes into tobacco ordinance. E- cigarettes are hazardous and contain toxic chemicals, and seeing an increase in usage by young people in Santa Ana. She would like to see adding language into any existing law that restricts smoking to include e- cigarettes and vape pens. Alex Cook, America On Track, also in support to restrict smoking of e- cigarettes. Ms. Cook gives presentations to the community to show the impact on young people and would like something added to the tobacco ordinance. AGENDAITEMS 1. Approval of Minutes of 11 -24 -15 Meeting Motion: Approve the Minutes of 11 -24 -15 meeting. MOTION: Tinajero SECOND: Benavides VOTE: AYES: Benavides, Tinajero NOES: None (0) Motion carries. AGENDA 2. Body Cameras (Update) — Chief Carlos Rojas {Strategic Plan Goal No. 1, if and 3b} Chief Carlos Rojas gives a brief update on police body cameras. Input has been received from the public, from the union, as well as the officers. A committee to study this issue was created in January, 2015. Body cameras will be going out to RFP in February, implementation by the end of the quarter, and training to be completed by the end of the summer. Chief Rojas introduces Sgt. Mike Gonzalez who will be running the Body Worn Camera program and dealing with all logistic issues. 13A -14 At this time, Chairman Benavides allows for one further continent from a citizen who arrived late. Derek Worden, CEO of SCSA, a permitted medical marijuana dispensary in the city, asks that the dispensaries be allowed to have armed security guards. Mr. Worden was shot four times as he got into his vehicle outside the dispensary on 11-3-15. Mr. Worden is asking for this issue to be revisited in order to prevent something like this in the future. 3. Measure BB (Update) — Chief Rojas {Strategic Plan Goal No. 1, le) Chief Rojas gives a brief summary of Measure BB. The city of Santa Ana is the first city in Orange County to regulate dispensaries since Measure BB was passed by 66 percent of the public. Using a lottery system, 20 registered applicants were selected out of 632 who applied for a regulatory safety permit in order to open and operate a medical marijuana dispensary within the city. So far eight dispensaries have been approved, eight are in the process, and four have not contacted the Police Department. The medical marijuana task force consists of 11 members who do enforcement on illegal operations and regulate the licensed permits. 87 out of 109 dispensaries that were operating illegally have been closed. Complaints have been received regarding billboards on the 55 freeway; however, this is not illegal. Measure BB has generated $1.4 million in fees which has funded enforcement efforts. 4. E- Cigarettes (Definition and Current Legislation) — Deputy City Attorney Kyle Nellesen {Strategic Plan Goal No. 1, ld} Kyle Nellesen addressed the topic of e- cigarettes with a power point presentation. City Attorney Nellesen gave a definition of e- cigarettes and their contents. Currently, the FDA does not regulate e- cigarettes. State legislation makes it unlawful to sell e- cigarettes to minors. The Santa Ana Municipal Code bans smoking in certain public places, but the definition of smoking does not specifically include e- cigarettes. A tobacco retail permit is required to sell e- cigarettes. City Attorney Nellesen gave a comparison of how other cities address e- cigarettes to include Costa Mesa, Garden Grove, and Laguna Hills in Orange County and Long Beach in Los Angeles County. Generally, e- cigarettes are regulated the same as tobacco and tobacco products. 5. Pulse Point (Software Downloaded to a Smart Phone if CPR is Needed to Increase Sudden Cardiac Arrest Survival Rates) — Chief Dave Anderson {Strategic Plan Goal No. 1, 2d and 6a} OCFA Chief Dave Anderson describes a new application that can be downloaded to anyone's smart phone in the event that CPR is needed nearby. The goal of the project is to increase sudden cardiac arrest survival rates through bystander CPR. Chief Anderson shows a video demonstrating a scenario where CPR is needed while an elderly couple is out shopping. The app 13A -15 alerts nearby CPR - trained bystanders simultaneously with first responders. It directs citizens to the victim and the nearest external defibrillator. Both a message and map are provided. Chief Anderson furnishes two websites where you can get started. COMMITTEE MEMBER COMMENTS Committee members were grateful for the progress being made on the police body cameras as community oriented policing is valuable to the residents of Santa Ana. They believe the use of body cameras will aid in transparency while protecting both residents and police officers. The Committee members applauded the Police Department's handling of the regulatory safety permit process and enforcement which has helped to rid the city of illegal operatives. On Item #3 (Measure BB): Chairman Benavides made a request that staff continue to keep the Committee updated on the implementation of Measure BB at subsequent meetings; that staff consider feedback from the permitted MMD operators and from Council with regard to any modifications that may need to be considered to the approved ordinance. Both Committee members Benavides and Tinajero were impressed with the technology that can be uploaded onto your phone in the event of someone needing medical attention related to CPR. They conclude by thanking staff for their diligence and continued hard work on these items. ACTION ITEMS 1) On Item #3 (Measure BB): City Manager directs the City Attorney's Office to look into amending the Regulatory Safety Permit Ordinance as it relates to advertising medical marijuana dispensaries, particularly on billboards throughout the city. Z) On Item #4 (E- Cigarettes): Committee Member Tmajero recommends an amendment to the current Tobacco Ordinance to include e- cigarettes. City Manager asked the City Attorney if the amended Ordinance would have to go to City Council, and Sr. City Attorney Laura Rossini replies affirmatively. Chairman Benavides requests that City Council consider modifying the Tobacco Ordinance to include e- cigarettes. Chairman Benavides further requests staff look at what other cities are doing and bring the study back to City Council. 3) On Item #5 (Pulse Point): City Manager directs staff to put information on the Pulse Point app on the City's website. 4) Chairman Benavides asked to have an update on Fireworks: whether we change the ordinance or the process. 13A -16 FUTURE AGENDA ITEMS ➢ Police Body Cameras ➢ Measure BB ➢ Fireworks ➢ Animal Services Chief of Police 13A -17 13A -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2616 G1ZKOINUAZ CLERK OF COUNCIL USE ONLY: 0 As Recommended ® As Amended ❑ Ordinance on 1e' Reading 0 Ordinance on 2nd Reading G Implementing Resolution ® Set Public Hearing For _ CONTINUED TO PILE NUMBER The February 2016 Capital Improvement Program Executive Summary Schedule (Exhibit 1) provides departmental activity in alignment with the stated goals of the Strategic Plan. The report includes tasks, next steps, outcomes, and percentage completed for each project. 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). Public Works Agency Fd NX I n Exhibit: 1. Capital Improvement Program -- Executive Summary Schedule 19C -1 19C -2 EXHIBIT 1 19C -3 am � a e a= 0 °ea m= = an II W J SO u u Q z W C N a a � w N 7 J K p f N � II 00 co E § _ ZQS Q 4R= °° °°, °°, °°,o°q°94g4q=44 =R 4 °a 4a °a °a4p°ag 44g4g4QQR4 mB. e .......... .^.$ 4 ° ° 44'^Y 4e 4N't 2 K _ _ Q Z 3; a d 0 d E .n _ ME c �= °2 C; o f 90 `v uF3cWb`u�R W�.X oEu3.°�'35�a w° W3zo Y 5L u LP EXHIBIT 1 19C -3 19C -4 a. g 0 a= ° C' Q N M Y W b N 1 1'Jp j O F N ° I I a° U W co � LLl m l d W C LL I Q K Q Z C7 Q�F !! ••S$gSS .^.^ �wgmRrS °na�R ° ° ag .°. w.$�rv.S N Q Z ow LL p Q®® Y 3 5 5 i� 9 0 0 I I y Q U pp o i :5E§ S .6-s% m90 b Y E F 3 �..q i E = i& S ag .a MMi e { m w J F% - e e r S GD f E I 3 F E E E a 9` 19C -4 C a` e a= p - aa al I $° I I w � a �n 85- ilillillillill I it � a e Q > W a NNE ° II O E ° 3Ur PN a= V L' p p CO r QK0 _SSA o _.44 °e,g S°�$$S SS$ ?�gHg 'RR �R'� QccZ N��SRSm N$ mo�mmm..Re� �.2 tie zoo B " "sN�N =� az5 n" of w } @@ pp a p J a � � z E ae € d L a yy e9 a Ls. 'c ` >E° E �3 EdS "W,Z A i 2 � " 9 a S F ;Ya E�3G iE8 .s abmd nOe^m3 Y �J EL p$ d a v E o 3 c r c a a d 5 A k. a - .3. C N N m x .i ' ° € a' V S'" o Q E '3 a 'F ° E. 'e 2 E° _E° S £ b �"s5xmmm8 °E EE E C =SaE£- wms °_h ptdS� �A ull I A 19C -5 s- mac£. . a 8 s. o:. a QI � I I W � J V a � I i ao .. 1 7 1 & e 5 aKp sy 1$ee a°°, =.$SS$e °g o88v o$Seevoo °°, $. Q 0 S w F 99 ti d n a c mV d N r e o az2 ^ »» "» o o W L�33 �' ........... am �.�. �..�.4. n n u .e i 3 .° d d as J � � e C °G d `o o c � = i � c. m ♦; o `u� a - ° m � � N � � E c da as qu�aa� 19C -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE; MARCH 1, 2016 CLERIC OF COUNCIL USE ONLY: TITLE: APPROVED CONSOLIDATED ANNUAL ❑ As Recommended PERFORMANCE EVALUATION REPORT ❑ As Amended ❑ Ordinance on Reading REVIEW FOR FY 2014.15 ❑ Ordinance on 2 "u Reading 2 {STRATEGIC PLAN NO, 4,1} ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGEFV RECOMMENDED ACTION G On September 15, 2015, the City Council authorized the submittal of fiscal year 2014-2015 Consolidated Annual Performance and Evaluation Report (CAPER) to U.S, Department of Housing and Urban Development (HUD), The CAPER reports on the City's success In achieving the five -year objectives of the Consolidated Five Year Plan, a comprehensive planning and application document that covers the three entitlement grants. These three entitlement grants Include Community Development Block Grant (CDBG), Emergency Solutions Grant (ESG), and HOME Investment Partnership (HOME'), HUD has reviewed the City's CAPER submittal for fiscal year 2014 -15 and issued a letter reporting that the City's performance has been rated as Good (Exhibit 1). Good is the highest possible rating, All major program requirements appear to be in compliance with regulatory requirements and there were no outstanding Issues raised during their review,. STRATEGIC PLAN ALIGNMENT Approval of these Items assists the City in meeting Goal #4 - Fiscal Sustalnability, Objective #1 (maintain a stable, efficient and transparent financial environment), FISCAL IMPACT There Is no fiscal Impact associated with this action, 19D -1 i 1 i Y Community Development Agency wi 19D-2 �atwaurnF 3' �V �OaNUeac� °e David Cavazos City Manager City of Santa Ana 20 Civic Center Plaza, 8th Floor P.O. Box 1988, M31 Santa Ana, CA 92701 JAN 2 a 2016 U.S. Department of Housing and Urban Development Office of Community Planning and Development Los Angeles Field Office, Region IX 611 West 6B' Street, Suite 1000 -9DD Los Angeles, California 90017.3101 Subject: Consolidated Annual Performance Evaluation Report (CAPER) Community Planning and Development (CPD) Entitlement Programs 2014 -15 Program Year Review Dear Mr. Cavazos: Enclosed you will find the Department's evaluation of the City of Santa Ana's performance utilizing its allocation of Entitlement program funds, Our review was based on the City's 2014 -15 program year Consolidated Annual Performance and Evaluation Report (CAPER), as well as reports from the Integrated Disbursement and Information System (IDIS), and the City's Consolidated Plan. This review covers Year Five of the City's Five Year Consolidated Plan cycle. As detailed in the attached table, the City's performance has been rated as Good. The City has addressed most strategic program goals and objectives, which give context and meaning to annual and cumulative accomplishments. All major program requirements appear to be in compliance with regulatory requirements. There were no outstanding issues raised during the 2014 -15 review. The Department's annual CAPER review makes no representation that activities, programs, and IDIS data included in the CAPER meet regulatory and statutory parameters. Compliance with program statutes and regulations will be, determined through monitoring or technical assistance visits. We have also enclosed HOME Program performance reports. The red flag symbols in the SNAPSHOT of HOME Program Performance Report red flag column indicate a lack of progress on projects as they have been established in IDIS. This information was updated as of September 30, 2015. Please review the report and work with us to address any data errors or omissions, or to correct program deficiencies. If you have any comments, please provide them to us within 30 days of the date of this letter. Please consider making our review public, and give a copy to your independent public accountant and /or external audit team as required by OMB Circular A -133. a;'! For further assistance, please contact Albert Proctor, CPD Representative, assigned to your City at (213) 534 -2583. Sincerely, a P.-- William G. Vasqu , Direct Office of Community Planni and Development cc: Sylvia Vazquez, Management Analyst, City of Santa Ana Enclosure(s) 19D-4 % ( �\ � \ co Ch ■ \ \ co (�§ 1§D.S ƒ� (2 _ /§ \� ()$ 8 aPy )\ � COL a \ ( y k\ 0 \) « e % ( �\ � \ co Ch ■ \ \ co (�§ 1§D.S ƒ� /§ / � COL a \ ( y , §/» 0 \) « \ \ 3 ) g -P # , § \ ( o \�� � !@ / a Vi \ w §\\ && §6 % ( �\ � \ co Ch ■ \ \ co (�§ 1§D.S O a jb.L ,�bp+y R1 W 19D-6 �v od orb ca Q a b ,o a. 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E QI ham- h N X y G O (L > d C9 Q W i i i 0 U I II ; l i i N i I Of O o ? j o is 0 I I c LL W s W6J M® n ! 6) CA W � C v v v 2w ' n x I O rn _Z u. R<z i OQ F-4 E 0 a wow UO0 n= Z � L IL ¢' Wa O�— 7i o m c -w� o FL m N p-WO ��ll Z¢2 N � o a�a c � L) � d U-ar0 O " O° L 0 Z Q� a 9 cn G m Y C r a � m E U 0. R C4 m U) C1� LL LU W i i i I II I II ; l i i N i I IL j is 0 I I W6J LO n ! 6) CA w v v v v n x I _Z z<Z R<z i OQ F-4 E O wow UO0 w< z mfg IrAa mU� Wa O�— w� -w� w C FL m N p-WO ��ll Z¢2 o a�a Uao �Q_ L) H �z 0 U-ar0 O " O° L 0 Z Q� a Z O W i i i; �i ICI 4 .. _...._.... 19D -17 W v O R a 4 3 N m �s a N F 7 E b 5 m v ro° °a m m O D � M EP E '2 ° O q q LLI � ao`d T � C m M p� C m gs a� m a o S R M �m a E Q 19D -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: QUARTERLY REPORT OF CONTRACTS VALUED AT $25,000 OR LESS ENTERED INTO BY THE CITY MANAGER AS PERMITTED BY CHARTER SECTION 421 (STRATEGIC PLAN NO. 4, 1) CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended d As Amended ® Ordinance on1 "Reading El Ordinance on 2 "d Reading 171 Implementing Resolution 0 Set Public Hearing I or CONTINUED TO FILE NUMBER Receive and file the Quarterly Report of Contracts entered into between July 1, 2015 to December 31, 2015 valued at $25,000 or less. DISCUSSION On November 7, 2006, the voters approved a Charter Amendment increasing the authority of the City Manager to enter into contracts and agreements up to a value of $25,000. Section 421 of the Charter requires the City Manager to report to the City Council quarterly on the contracts entered into under his authority for informational purposes. The report is required to include the names of contractors and the amounts of each contract. Exhibit A is a listing of all purchase orders and agreements entered into between July 1, 2015 to December 31, 2015, valued at amounts between $500 and $25,000. Unless included under a blanket contract, the City as a general rule does not purchase goods or services valued at under $500 through either a purchase order or an agreement. Purchase orders and service agreements valued at greater than $25,000 require approval by City Council. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort 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. 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'^ ➢ 'O ➢'. x n a' .v �Ni �,'O y �._ 0.. �:r n oo o'.D m In m,,m? Q.z O F r" D D �. GZI n D o 0.0 OT A° z D T-i DO K 5 D m'A oz z r0 ".G N Z.. �" m o y..m Ao ',ry y N.D D.n z - C� O:O D (� n O 03 -1 Z..Z� y m 6z1 A Z z -'N' z (N'D,.N A 'ND "GZi GO m z DI D T m, `G n �^' w 0 m D Z CI < D In o. Ivy >I N 19E -14 A m A O ^f 0 s D N O 0 Y O REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: "mySANTA ANA" SMARTPHONE APPLICATION {STRATEGIC PLAN NO. 7, 5A) I CITY MANA ' R RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: ►.MJrJ00IT14 l ❑ As Recommended ❑ As Amended ❑ Ordinance on 1®` Reading Ordinance on 2nd Reading Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER This report is intended to provide the City Council with details and background on staff's efforts to promote real -time dispatching for Public Works programs through smart phone reporting from the community. In 2011, the Public Works Agency launched the smartphone application (APP), "mySantaAna," for the community to report graffiti to the Public Works Agency for removal. The APP was originally marketed through Com -link, Graffiti Paint -Out Day, other community events, and staff's participation at neighborhood meetings. The first year in use, the community reported 638 requests for service to remove graffiti and, in the second year, that number increased by 78 percent for a total of 1,138 reports. During 2015, the total number of service requests for graffiti removal was 9,720. This is an 88 percent increase from the first year in use. By 2013, APP updates enabled community users to receive direct responses to their requests with updates of the completed work, including pictures. Field staff also benefited from the ability to receive requests and photos directly to their smartphone, which helped them to locate and address the service issue faster. As a result of these successes, portals for additional Public Works services were created to allow for additional reporting through the APP. Twelve service request types were added, which included abandoned property, bus shelter /furniture maintenance, potholes, sidewalk defects, street light repair, street signs, street sweeping, storm drains, trees, water pollution /hazardous waste, water wasting, and weeds. Below is a summary of all requests received through 2015. 19F -1 "mySantaAna" Community Reporting Application for Smartphones March 1, 2016 Page 2 TOTAL ANNUAL REQUESTS TYPE OF REQUEST 2011 2012 "2013 2014 2015 Graffiti 638 625 1,138 1,715 9,720 Abandoned Property 128 342 1,095 Trees 44 131 150 Sidewalk Defects 70 106 111 Street Signs 19 22 78 Potholes 15 23 68 Street Swee in 2 12 28 Weeds 46 28 54 Street Light Repair 24 40 77 Water Pollution /Hazardous Waste 8 14 180 Storm Drain 3 9 13 Water Wastin 9 152 Bus Shelter /Furniture Maintenance 46 GRAND TOTAL ANNUAL REQUESTS 638 625 1,497 2,451 11,772 In 2014, staff worked with App- Order, which is the application developer and partner company to the graffiti abatement contractor (Graffiti Protective Coatings), to develop a real -time dispatching pilot program. This program would enable City staff to respond directly to the public in real time through the APP, utilizing smartphones /tablets from the field. The pilot program focused on the abandoned property program within Public Works, Maintenance Services Division. This program has experienced a 64 percent increase in requests for service, with a 70 percent success rate for requests completed and closed within 24 hours. As part of the graffiti removal contract awarded by City Council in October 2015, staff successfully included the development of additional service portals to the mySantaAna APP for an annual fee of $10,000. This fee is a reduced rate to Santa Ana and $15,000 below the market rate for portal development and system maintenance. Real -time dispatching has now been launched for reporting issues with potholes, sidewalk defects, signs, and trees. Public Works field crews have been equipped with smartphones /tablets so they have the ability to receive a request directly from the community while in the field and provide expedited service. Marketing of the mySantaAna APP is an ongoing effort. Staff will continue to promote this valuable resource through neighborhood meetings, Com -Link, water billing notices, the City website, and other City community publications. 19F -2 "mySantaAna" Community Reporting Application for Smartphones March 1, 2016 Page 3 STRATEGIC PLAN ALIGNMENT This item supports the City's efforts to meet Goal #7 - Teem Santa Ana, Objective #5 (create a culture of Innovation and efficiency within the organization), Strategy A (promote the use of new technology to improve the delivery of services and information to staff and the community, ENVIRQNMME TTAL IMPACT There is no environmental Impact associated with this action, Any trees that are removed will be replaced on a one - for -one ratio, ISCALI PACT There is no fiscal impact associated with this action. Fred ousavipour Executive Director Public Works Agency FM:DM /PG Exhibits: 1, mySantaAna marketing flyer 2, mySantaAna statistics 19F -3 19F -4 Exhibit 1 "mySantaAna" puts the power of the Santa Ana city government in the palm of your hand! Quickly and easily report issues to the City for clean up. Residents with an Whone or Android can now download the "mySantaAna" application for free allowing them to point, click and send photos of maintenance issues such as: • graffiti removal • illegal dumping • potholes. • sidewalk defects • trees • weeds • street signs • street sweeping Santa An CaIIFOrnl��agg �PpOrtler , 0 Search "mySantaAna" • street light repair • storm drain • water wasting • water pollution on the App Store or Google play 0 Download �Caagleplay Avaimaleon�ne� AppStore v ? 0 0 the application and begin cleaning your neighborhood today... 2 2 "mySantaAna" Application (APP) Statistics % of Annual Request - Response Time Report RESPONSE TIME 2011 2012 2013 2014 2015 Avg. 5 Yr Period Within 24 Hours 91% 97% 86% 68% 70% 82% 24 -48 Hours 4% 1% 9% 11% 14% 8% 48 -72 Hours 3% 1% 3% 5% 7% 4% ' 72 Hours+ 2% 1% 2% 16% 9% 6% . Types & Amount of Annual Request TOTAL ANNUAL REQUEST Year TYPE OF REQUEST 201,1 20122 2013 2014 2015 Graffiti 638 625 1,138 1,715 9,720 Abandoned Propert 128 342 1,095 Trees 44 131 150 Sidewalk Defects 70 106 111 Street Si ns 19 22 78 Potholes 15 23 68 Street Swee in 2 12 28 Weeds 46 28 54 Street Light Repair 24 40 77 Water Pollution /Hazardous Waste 8 14 180 Storm Drain 3 9 13 Water Wastin 9 152 Bus Shelter /Furniture Maintenance 46 GRAND TOTAL ANNUAL REQUEST 638 625 1,497 2,451 11,772 Types of Users Annual Request Exhibit 2 19F -6 # of Year APP Users Type of Users 2011 9 Frequent Users 2012 4 Frequent Users 2013 63 Frequent Users (25) Anonymous Users (38) 2014 77 Frequent Users (32) Anonymous Users (45) 2015 402 Frequent Users (32) Anonymous Users (370) Exhibit 2 19F -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: APPROPRIATION ADJUSTMENT - WORKFORCE INNOVATION AND OPPORTUNITY ACT FUNDS FOR PROGRAM YEAR 2015 -2016 {STRATEGIC PLAN NO. 2,41 CITY MAN GER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED [7 As Recommended [I As Amended rl Ordinance on 1" Reeding L1 Ordinance on 2 "d Reading 171 Implementing Resolution 0 Set Public Hearing For CONTINUED TO FILE NUMBER Approve an appropriation adjustment recognizing additional Workforce Innovation and Opportunity Act grant funds in the total amount of $104,529 in revenue account (no. 12318002- 52001) and appropriating as follows: • $ 2,021 in Administrative Allowance funds to account no. 12318752 - 69011; • $ 9,254 in Adult funds to account no. 12318753- 69011; • $ 8,951 in Dislocated Worker funds to account no. 12318754 - 69011; • $84,303 in Rapid Response funds to expenditure account no. 12318756- various. DISCUSSION The federal Workforce Innovation and Opportunity Act (WIOA) was signed into law on July 22, 2014. WIOA is designed to help job seekers access employment, education, training, and support services to succeed in the labor market and to match employers with the skilled workers they need to compete in the global economy. WIOA supersedes the Workforce Investment Act of 1998 and is the first legislative reform of the public workforce system in 15 years. The WIOA went into effect on July 1, 2015 with the Department of Labor responsible for its implementation. California is a direct recipient of WIOA funding and contracts with designated Local Workforce Development Areas (LWDA) to address workforce needs of employers and the community. The California Workforce Investment Board recommended approval that Santa Ana be designated as a local workforce development area under WIOA. The Governor and Secretary of the Labor and Workforce Development Agency concurred with the recommendation. The designation is from July 1, 2015 to June 30, 2017 and will be reviewed and evaluated every two years against federal performance and compliance outcomes. 20A -1 Appropriation Adjustment — WIOA Grant Funds FY 15 -16 March 1, 2016 Page 2 On August 18, 2015, City Council authorized the execution of a new sub -grant agreement with the Workforce Services Division of the State Employment Development Department (EDD) and approved an appropriation adjustment to recognize the $13,554 additional Youth funds that were not anticipated at the time of the Fiscal Year (FY) 2015 -16 budget adoption. EDD has disbursed additional program funds to the Santa Ana Local Workforce Board through unilateral sub -grant modifications to the agreement. The final amounts of the WIOA funds allocated to Santa Ana Local Workforce Board for Program Year 2015 -16 are shown in the table below: The WIOA regulations allows each LWDA to use ten percent of Adult, Dislocated Worker, and Youth funds for administrative costs. Ten percent of the additional Adult and Dislocated Worker funds is $2,021. The remaining Adult and Dislocated Worker funds will be utilized to provide career and training services to participants in the community that need assistance. Rapid Response funds will be used to plan for and respond to layoffs and dislocations, and preventing or minimizing their impacts on workers and businesses. STRATEGIC PLAN ALIGNMENT Approval of these items assists the City in meeting Goal #2 — Youth, Education, Recreation, Objective #4 (Partner with groups and organization to promote education, senior services, job training and development for all Santa Ana residents). FISCAL IMPACT The adopted FY 2015 -16 budget included the estimated $1,100,490, $702,725, and $173,260 in WIOA Adult, Dislocated Worker, and Rapid Response grant funding, respectively. The final program allocation total for these three programs is $104,529 greater than the original amount budgeted. Approval of the appropriation adjustment will recognize $104,529 in revenue account (no. 12318002 - 52001) and increase the FY 2015 -16 expenditure accounts in the Rapid Response program budget by $84,303, and appropriate $20,226 for expenditure in FY 2016 -17 for the remaining programs as follows: 20A -2 Adult Dislocated Worker Youth Rapid Response Totals Final Allocation Amounts $1,110,771 $712,670 $1,136,469 $257,563 $3,217,473 Budgeted Amounts $1,100,490 $702,725 $1,122,915 $173,260 $3,099,390 Difference $ 10,281 $ 9,945 $ 13,554 $ 84,303 $ 118,083 The WIOA regulations allows each LWDA to use ten percent of Adult, Dislocated Worker, and Youth funds for administrative costs. Ten percent of the additional Adult and Dislocated Worker funds is $2,021. The remaining Adult and Dislocated Worker funds will be utilized to provide career and training services to participants in the community that need assistance. Rapid Response funds will be used to plan for and respond to layoffs and dislocations, and preventing or minimizing their impacts on workers and businesses. STRATEGIC PLAN ALIGNMENT Approval of these items assists the City in meeting Goal #2 — Youth, Education, Recreation, Objective #4 (Partner with groups and organization to promote education, senior services, job training and development for all Santa Ana residents). FISCAL IMPACT The adopted FY 2015 -16 budget included the estimated $1,100,490, $702,725, and $173,260 in WIOA Adult, Dislocated Worker, and Rapid Response grant funding, respectively. The final program allocation total for these three programs is $104,529 greater than the original amount budgeted. Approval of the appropriation adjustment will recognize $104,529 in revenue account (no. 12318002 - 52001) and increase the FY 2015 -16 expenditure accounts in the Rapid Response program budget by $84,303, and appropriate $20,226 for expenditure in FY 2016 -17 for the remaining programs as follows: 20A -2 Appropriation Adjustment — WIOA Grant Funds FY 15 -16 March 1, 2016 Page 3 Accounting Unit 12318756 12318748 ipa? l-IF1*3 12318754 Program Rapid Response WIB Admin Adult Dislocated Worker Kelly Reenders Executive Director Community Development Agenpy Expenditure in FY Amount 2015 -16 $ 84,303 2016 -17 2,021 2016 -17 9,254 2016 -17 8,951 TOTAL: $104,529 APPROVED AS TO FUNDS AND ACCOUNT: I Francisco Gutierrez Executive Director Finance and Management Services Agency 20A -3 20A -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: AGREEMENT FOR PEN -LINK SYSTEM PURCHASE AND MAINTENANCE AND APPROPRIATION ADJUSTMENT (STRATEGIC PLAN GOAL NO. 1, 5) CITY MANAGEIT RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED C7 As Recommended 71 As Amended 171 Ordinance on let Reading ® Ordinance on 2°° Reading [] Implementing Resolution dSet Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute a memorandum of agreement with the Federal Bureau of Investigation for the reimbursement of costs in an amount of $150,000 associated with the purchase and the City's agreement to maintain a Pen -Link PLX wire room monitoring and analysis system, subject to non - substantive changes approved by the City Manager and City Attorney, 2. Authorize the City Manager and Clerk of the Council to execute an agreement with Pen -Link, Ltd. for the purchase and maintenance of a Pen -Link PLX wire room monitoring and analysis system, for the period of March 1, 2016 through February 28, 2020 in an amount not to exceed $228,182, subject to non - substantive changes approved by the City Manager and City Attorney. 3. Approve an appropriation adjustment to recognize $150,000 in reimbursement funds from the Federal Bureau of Investigation in the Police Department's Miscellaneous Recoveries revenue account (no. 01114002 57402) and appropriate same amount to the Crimes Against Persons expenditure account (no. 01114440 - 66400). DISCUSSION The Santa Ana Police Department has a long standing partnership with the Federal Bureau of Investigation (FBI). The FBI has agreed to reimburse the City for a Pen -Link PLX wire room monitoring and analysis system to the Santa Ana Police Department to assist with complex investigations (Exhibit 1). The PLX system is Pen - Link's most updated wire room monitoring system and analysis tool. Pen -Link PLX will provide the Santa Ana Police Department with 12 workstations as opposed to the 10 current outdated workstations. 20B -1 Agreement and AA for Pen -Link System March 1, 2016 Page 2 Pen -Link PLX utilizes a Rimage system that eliminates the need for the jukebox that is currently used by the current system to house the evidence DVDs. The investigative tool incorporated into the Pen -Link PLX system allows for investigative analysis of individuals, groups and phone numbers at any workstation. This tool allows for link analysis for targets that could assist any investigation with actionable information or leads. The current system only allows for statistical analysis and filtered searches and is not formulated to accommodate extensive inquiries. Pen -Link PLX has a separate server for IP addresses which would allow live interception of communication over the internet (i.e. Facebook messages, Twitter, Viber, etc.). Pen -Link PLX allows for internet access at each workstation terminal for open source internet checks and research, a feature that is not available with the current system. Any research relevant to a call intercepted with the current system must be done on a secondary device (laptop) and then referenced on the respective call session notes. Pen -Link PLX allows for remote access use by outside agencies via a web link, which would allow the outside agency to remotely access the system and monitor telecommunication. The cost of the Pen -Link system is $150,000, which will be reimbursed by the FBI. The Santa Ana Police Department will be responsible for the system maintenance costs, which is further outlined in the agreement (Exhibit 2). The first year's maintenance costs will be covered by the purchase of the system. The following three years will be covered by the Santa Ana Police Department. The maintenance costs for years 2 -4 will be $24,800, $26,040, and $27,342, respectively, for a three -year total of $78,182. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 - Community Safety, Objective #5, (provide high quality Police and Fire /Emergency Medical Services response within the City of Santa Ana). 20B -2 Agreement and AA for Pen -Link System March 1, 2016 Page 3 FISCAL IMPACT An appropriation adjustment will recognize $150,000 in reimbursement funds from the Federal Bureau of Investigation in the Police Department's Miscellaneous Recoveries revenue account (no. 01114002 57402) and appropriate same amount to the Crimes Against Persons expenditure account (no. 01114440 -66400). Funds in the amount of $228,182 will be budgeted in the Police Department Crimes Against Persons contract services account (no. 01114440 - various) for the following fiscal years: FY 2015 -16 FY 2016 -17 FY 2017 -18 FY 2018 -19 FY 2019 -20 Total Carlos Rojas Chief of Police Santa Ana Police Department Exhibits: $150,000.00 $ 8,266.67 $ 25,213.33 $ 26,474.00 $ 18,228.00 $228,182.00 1. Memorandum of Agreement with FBI 2. Agreement with Pen -Link APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez 7V y Executive Director Finance & Mgmt. Services Agency 411W - r�- MEMORANDUM OF AGREEMENT BETWEEN THE FEDERAL BUREAU OF INVESTIGATION nom THE SANTA ANA POLICE DEPARTMENT 1. PURPOSE: The purpose of this Memorandum of Agreement (MOA) between the Federal Bureau of Investigation (FBI) and the Santa Ana Police Depaitnent (SAPD), hereinafter referred to as the "parties ", is to define the scope of work and responsibilities of the parties concerning funding for the equipment costs associated with their participation in the FBI's Santa Ana Gang Task Force ( SAGTF), an FBI Safe Streets Task Force. 2. BACKGROUND; Pursuant to a 2006 joint agreement between the FBI Los Angeles Field Office and the SAPD, the FBI provided the initial funding for the purchase of JSI wire room equipment for the SAPD, which has since been primarily utilized by the SAGTF, As per the 2006 agreement, the SAPD incurred and has paid the annual service and maintenance fee for this technology at an annual cost of $25,000.00 per year. In 2014, the manufacturer of the equipment, JSI, implemented a software upgrade, which also requires a corresponding hardware upgrade, As such, the wire room is currently in need of a hardware upgrade as well as the replacement of its current servers said computers. The JSI quoted cost for this upgrade is $135,710.00. This quote does not include the estimated $25,000.00 armual maintenance fee. The SAGTF sought competitive bids for this technology and prefers the new PEN -LINK system. The PEN -LINK system offers upgraded analytical capabilities, internet access, and two additional work stations for a total purchase cost of $150,000.00. This PEN -LINK quote does not include the estimated $25,000.00 annual maintenance fee. The SAGTF may be the only FBI Safe Streets Task Force uniquely housed at a municipal police agency with a stand -alone wire room. Much of the SAGTF's success can easily be attributed to this unique structure. Being housed at the SAPD grants SAGTF Agents and TFOs direct access to the SAPD's Gang Unit, Homicide Unit, street enforcement teams, as well as other law enforcement agencies in and around Orange County. This upgrade will undoubtedly continue to benefit this mutual and productive relationship. The FBI's Criminal Investigative Division, Violent Crime and Gang Section, Safe Streets and Gang Unit, has secured $150,000.00 needed to purchase the PEN -LINK system during Fiscal Year 2016. The SAPD will be responsible for the continued amoral service and maintenance fees pursuant to the 2006 agreement. Exhibit I rl- 3. AUTHORITY: The FBI is entering into this MOA under the authority provided by 28 U.S.C. §§ 533, 530(C) and 28 C.P.R. § 0.85. 4. SCOPE: This MOA defines the terms and conditions for funding by the FBI of expenditures incurred by the SAPD in equipping the task force with wire room equipment and is agreed upon by the parties as follows: Contingent on the availability of funds through the FBI Los Angeles Field Office, Criminal Investigations Division, the FBI will provide funding to the SAPD for equipment for the SAGTF. The following are expenditures, submitted through invoices from the SAPD to the FBI for the equipment provided for use by the SAGTF: ITEM QUANTITY QUANTITY UNIT TOTAL REQUESTED APPROVED PRICE Equipment to be See Attached. purchased (detailed information required) Shipping Total $150,000.00 S. FUNDING: The FBI hereby agrees, assuming funds are made available, to reserve within its financial management system a sum of appropriated funds not to exceed $150,000.00. These reserved fiords will be provided to the SAPD for the planning, development, and execution of the wire room equipment provided for use by the SAGTF. The SAPD shall retain ownership of the equipment and all subsequent support and repairs shall be borne by the SAPD and not by the FBI. The execution of a purchase and maintenance agreement is contingent upon the appropriation of funding by the City Council for this purpose. 6. LIABILITY: The parties agree that each party is responsible for the negligent and wrongful acts and omissions by its employees. In addition, the parties agree that should a claim arise under the terms and conditions of the Federal Tort Claims Act (FTCA), Title 28, United States Code, Sections 1346 and 2671 et seq., for the negligent and wrongful act and omission by either party's employee in the performance of assigned task force duties, the FBI shall be responsible for the investigation and disposition of said claim. Nothing herein should be construed as supplanting any applicable statute, rule or regulation. 7. POINTS OF CONTACT: The FBI and the SAPD will assign points of contact (POCs) for this agreement. The POCs will address and resolve all issues related to this agreement. The parties agree to coordinate liability issues, jurisdictional matters, and any other issues through their designated POC. rI- 8. SETTLEMENT OIL' DISPUTES: Disagreements between the parties arising under or relating to this MOA will be resolved only by consultation between the parties and will not be referred to a local, state, or federal court, 9. AMENDMENT, TERMINATION, ENTRY INTO FORCE, AND DURATION a. All activities of the parties under this MOA will be carried out in accordance with the terms and conditions of this MOA. b, Except as otherwise provided, this MOA may be amended by the mutual written consent of the parties' authorized representatives. 10. FORCE AND EFFECT This MOA, which consists of 10 Sections on 3 pages, will enter into effect upon signature of all parties and will remain in effect for the duration of the SAGTF, This MOA is the complete and exclusive statement of agreement between the parties with respect to the FBI's funding to the SAPD for the costs associated with the purchase of the above listed equipment to be utilized by the SAGTF. This MOA supersedes all written and oral proposals and other communications between the parties. All activities of the parties under this MOA will be carried out in accordance with the terms and conditions of this MOA, Nothing in this MOA is intended to create, nor does it create, an enforceable legal right or private right of action. The foregoing represents the understandings reached between the FBI and the SAPD upon the matters referred to herein. FOR THE FEDERAL BUREAU OF INVESTIGATION Signature Sal J. Randazzo Acting Special Agent in Charge FBI Los Angeles Field Office Date Signature Tammi L. Chapman Date Financial Manager FBI Los Angeles Field Office FOR THE SANTA ANA POLICE DEPT. SEE ATTACHED Signature Date Carlos Rojas Chief of Police Santa Ana Police Department 20B-7 ATTEST: CITY OF SANTA ANA MARIA HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: Carlos Rojas Chief of Police r1- EQUIPMENT PURCHASE AND MAINTENANCE AGREEMENT THIS AGREEMENT is made and entered into this 1 st day of March, 2016 by and between Pen - Link, Ltd., a Nebraska corporation (hereinafter "Consultant "), 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 equipment necessary for a wire room monitoring and analysis system and maintenance of said system. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. The total amount expended under this Agreement shall not exceed $228,182. $150,000 will be for purchase of the equipment which will include the Pen Link PLX system, 12 workstations, and the first year of maintenance. $78,182 will be for the system maintenance costs in years 2 -4 which will be $24,800, $26,040, and $27,342, respectively. b. Payment by City shall be made within forty -five (45) days following receipt of proper invoice evidencing work performed, subject to City's 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. TERM This Agreement shall commence on the date first written above and terminate on February 28, 2020 unless terminated earlier in accordance with Section 14, below. The term of this Agreement may be extended upon a writing executed by the parties. Exhibit 2 rl- • 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury; including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit B upon execution of this Agreement. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability Insurance with limits not less than $1,000,000 per accident. d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. 20B -10 (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not 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. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, their 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 death, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; 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. Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 7. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, their officers, agents, representatives, and employees against any and all liability from third parties, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs; contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 20B -11 goomog .•. Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City and Anaheim for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City and /or Anaheim to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 9. CONFIDENTIALITY If Consultant or City receive from each other information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, the parties agrees that they shall not use or disclose such information except in the performance of this Agreement, and further agree to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information; but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the either party without reference to information disclosed by the other party. 10. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714- 647 -6956 20B -12 With courtesy copies to: And Chief of Police City of Santa Ana 60 Civic Center Plaza (M -97) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -8007 City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -6515 To Consultant: Pen -Link, Ltd. 5936 VanDervoort Drive Lincoln, Nebraska 68516 Fax 402- 421 -9287 A party may change its address by giving notice in writing to the other parties. 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 fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 12. EXCLUSIVITY AND AMENDMENT This Agreement, the Contractor's terms and conditions on the invoice, and the Contractor's end user license agreement except section 15 (attached as Exhibit "C ") represent the complete and exclusive statement between the City, and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 20B -13 13. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein Without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 14. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions; As a condition of such payment, City may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deem appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 15. DISCRIMINATION Consultant shall not discriminate because of race; color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 16. JURISDICTION -VENUE This Agreement 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. All parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services 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 and Anaheim immediately and in writing of its inability to obtain or maintain such 20B -14 permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: CARLOS ROJAS Chief of Police CITY OF SANTA ANA DAVID CAVAZOS City Manager PEN -LINK. LTD. Tax ID# 20B -15 (Title) (Name) EXHIBIT A SCOPE OF SERVICES AND RATES OR CHARGES 20B -16 PEN -LINK, LTD 5936 VanDervoort Drive Lincoln, NE 68516 PH: (402)- 421.8857 Bill To: Santa Ana PD -Santa Ana -ND Invaae 14367 Date 2/19/2016 Page 11 Ship To: Contract Numher Purchase Order No Customer ID Sales erson ID 5hi in Method Po`ment Terms Ship Date SANPD- 0001 -01 JMS Net $0 2/19/2016 Ordered - Item Number I Description Unit Price - Ext. Price 1 C- SF•LINADM LINCOLN Telephony Services $5,000.00 $5,000:00 1 C- SE- LINADM LINCOLN IP Services $5,000.00 $5,000.00 12 C- CAL - PLX - INCT -FUL PLX - INTERCEPT CAL $7,975.00. $95,700.00 12 C- CAL - PLX - IPWIRE -A PLX - IP WIRE CAL (Add-on: Data :Source) $5,000.00 $50,000.00 12 C- CAL -PLX -INCT -ADD PLX - INTERCEPT CAL (Add -on: Pen - Proxy) $798.00 $9,576.00 12 C -SF- TARGET Target Channels $7,500.00 $90,000.00 1 &HARDWARE- PLX Server $9,810.23 $9,810.23 1 C- HARDWARE Telephony Recording Server $8,437.73 $8,437.73 1 C- HARDWARE PRI E1rr1 Card $6,736.25 $6,736.25 1 C- HARDWARE APO 241420 Rack .$1,554.91 $1,554.91 1 C- HARDWARE Tripplite 17" 6 -port console KVM $1,340,60 $1,340.60 2 C- HARDWARE APO Rack Mount 1000W /l500VA UPS $787.99 $1,575.98 1 &HARDWARE Dell Powerconnect 48 -port Switch $1,091.93 $11091.93 3 C- HARDWARE Tripplite USB KVM Cable $37.30 $111.90 1 C- HARDWARE Miss. Networking Supplies $550.00 $550.00 1 C- HARDWARE CISCO VPN Router 550 Package, 25 Tunnels $1,962.05 $1,962.05 1 C- HARDWARE External RDX Single Drive w/ 1 year supped $170.16 $170.16 2 &HARDWARE RDX 1T6 Cartridge $210.01 $420.02 1 C- HARDWARE Network Attached Storage(NAS) $2,174.70 $2,174.70 1 C- HARDWARE Rlmage 5000N Series Burn -on- demand System $13,732.00 $13,732.00 12 C- HARDWARE Dual Monitor Monitoring Workstation $1,945.76 $23,349.12 12 &HARDWARE Windows Server Device CAL $24.51 $294.12 1 C- HARDWARE Microsoft Outlook $66.63 $66.63 1 &HARDWARE -NETO Netop Guest $251.00 $251.00 1 SC- INSTALL Lincoln Service Install $10,000.00 $10,000.00 1 SA- PLX101 PLX 101 Training $13,910.00 $13,910.00 1 C- HARDWARE -SHIP Hardware Shipping $660.00 $660.00 1 DISCOUNT ($213,475.33) ($213,475.33) 1 C- MAINT- PREMIUM Option Year 1 Maintenance $24,800.00 $24,800.00 1 C- MAINT - PREMIUM Option Year 2 Maintenance $26,040.00 $26,040.00 1 C- MAINT - PREMIUM Option Year 3 Maintenance $27,342.00 $27,342.00 Please Remit to Above Address I Subtotal 2za,laz.o0 Tax 0.00 Total $22x,182,00 20B -17 EXHIBIT B ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy # _ Issued to this endorsement form as a part of Named Insured Countersigned by l+ 1 - Authorized Representative EXHIBIT C END USER LICENSE AGREEMENT 20B -19 ,. PEN - L 1.�1 It's the Key END-USER LICENSE AGREEMENT Please read the terms of this "End -User License Agreement" ( "EULA ") carefully. The EULA is a legal agreement between you, the end -user (any agency or company that the end user represents, or that employs the and user, are collectively referred to as the "USER'), and Pen -Link, Ltd. ( "PEN- LINK') for the Pen -Link computer software accompanying this End -User License Agreement, and any associated media, printed materials and any "online" or electronic documentation (collectively, "SOFTWARE'). This SOFTWARE does not include source code. Any updates or upgrades to such SOFTWARE that USER is entitled to receive and that has been provided to the USER by PEN -LINK shall also mean SOFTWARE for purposes of this EULA. 1. GRANT OF LICENSE: The SOFTWARE is licensed, not sold. By distributing, installing, copying or otherwise using the SOFTWARE, you agree to be bound by the terms of this EULA. If you do not agree to the terms of this EULA, you are not permitted to distribute, install, copy, or use the SOFTWARE. The USER assumes complete responsibility for the selection of the SOFTWARE to achieve the intended results, and for the installation, use and results obtained from the SOFTWARE 2. 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In addition, USER shall not release the results of any benchmark testing of the SOFTWARE to any third party without the prior written consent of PEN -LINK. 3. COPYRIGHT: This SOFTWARE, its documentation, and other accompanying and supporting materials are copyrighted property of PEN. LINK, and protected by copyright laws and international copyright treaties. PEN -LINK retains ownership of the SOFTWARE, documentation, and accompanying and supporting materials. 4. SUPERCEDING CONTRACTS: Part or all of the EULA may be superseded or augmented by one or more additional contracts or provisions (collectively, "PROVISIONS") between the USER, or the purchasing agency associated with the USER and PEN -LINK. 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SHOULD THE SOFTWARE PROVE DEFECTIVE, THE USER (NOT PEN -LINK) ASSUMES THE ENTIRE COST OF ALL NECESSARY SERVICING, REPAIR, OR CORRECTION. PEN -LINK does not warrant that the functions contained in the SOFTWARE will meet the USER's requirements or that the operation of the SOFTWARE will be uninterrupted or error free. PEN -LINK warrants the media on which the SOFTWARE is furnished to be free from defects in materials and workmanship under normal use for a period of ninety (90) days from the date of delivery to the USER, as evidenced by a copy of the USER's purchase order. 8. 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SOFTWARE MAINTENANCE AND SUPPORT PROVISION: USER may acquire under a separate agreement ( "MAINTENANCE AND SUPPORT AGREEMENT "), software maintenance and support services (collectively, "MAINTENANCE AND SUPPORT ") from PEN -LINK pursuant to the then applicable PEN -LINK Maintenance and Support Terms and Conditions (MAINTENANCE AND SUPPORT PROVISIONS) and the then list price in effect at the time the MAINTENANCE AND SUPPORT AGREEMENT is executed. The MAINTENANCE AND SUPPORT PROVISIONS can be provided to the USER upon request to PEN-LINK. 9, SERVICES PROVISION: USER may acquire under a separate agreement ( "SERVICES AGREEMENT "), education, installation, implementation, configuration, professional or consulting services (collectively, "SERVICES ") from PEN -LINK pursuant to the then applicable SERVICES policies and the then list price in effect at the time the SERVICES AGREEMENT is executed. The SERVICES to be performed are outlined in the SERVICES purchase agreement (e.g., a quote, a purchase order, an invoice or other purchasing document between the USER and PEN -LINK that outlines the SERVICES purchased, collectively "SERVICES PURCHASE AGREEMENT "). 10. GOVERNING LAW: 5944 VanDervoort Drive I Lincoln, NE 68516 1 402.421.8857 I Fax 402429.9287 I ponlink.com Copyright ©1997, 2016, Fen•Llnk, . Ltd. 20B -21 PEST_° L K _ ___._. - - - -. It's the Key" This EULA is governed by and construed in accordance with the laws of the State of Nebraska without regard to its conflicts of laws provisions. USER agrees to first negotiate and mediate disputes. If such efforts are unsuccessful within 90 days of written notice of dispute, as a last resort, USER submits to the jurisdiction of the federal and state courts of the State of Nebraska, and agrees that the exclusive venue for any and all actions related hereto shall be in such courts. 11. EXPORT CONTROL: USER shall comply fully with all relevant export laws and regulations of the United States and other applicable export and import laws to assure that neither the SOFTWARE, nor any direct product thereof, are exported, directly or indirectly, in violation of applicable laws. 12. SEVERABILITY: If any provision of this EULA shall be held invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions hereof shall not in any way be affected or impaired. 13. NO WAIVER: No waiver of any breach of any provision of this EULA shall constitute a waiver of any prior, concurrent or subsequent breach of the same or any other provisions hereof, and no waiver shall be effective unless made in writing and signed by an authorized representative of the waiving party. 14. TERMINATION: USER shall discontinue use and destroy, or return, to PEN -LINK all copies of the SOFTWARE and any SOFTWARE documentation upon the termination of this EULA. 15. ENTIRE AGREEMENT: This EULA sets forth the entire agreement of the parties and supersedes all prior or contemporaneous writings, negotiations, and discussions with respect to the subject matter hereof. Neither party has relied upon any prior or contemporaneous communications. 16. EXECUTION IN COUNTERPARTS: This EULA may be executed in one or more counterparts. Each counterpart will be an original, but all such counterparts will constitute a single instrument. 17, ORACLE PROVISIONS: This provision refers to Oracle America, Inc. ( "ORACLE ") A. RESTRICTIONS & LIMITATIONS Use of the embedded database and related software programs contained within the SOFTWARE (collectively referred to as "ORACLE PROGRAMS ") shall be limited to the USER as specified in this EULA. USER hereby understands that the ORACLE PROGRAMS are subject to a restricted license, and the ORACLE PROGRAMS can only be used in conjunction with the SOFTWARE and that USER is not permitted to modify the ORACLE PROGRAMS. Use of the ORACLE PROGRAMS shall be restricted to the scope of the SOFTWARE and to the internal business operations of the USER. USER may permit its agents or contractors, including, without limitation, outsourcers, to use the SOFTWARE on the USER's behalf for the USER's internal business operations, subject to the terms of this EULA. USER shall be responsible for the USER's agent's, contractor's, and /or outsourcer's use of the SOFTWARE and compliance with this EULA. PROHIBITED ACTIONS USER shall be prohibited from (a) transferring the ORACLE PROGRAMS except for temporary transfer in the event of computer malfunction, and (b) assigning, giving, or transferring the ORACLE PROGRAMS or an interest In the ORACLE 5944 VanDervoort Drive I Lincoln, NE 685161 402.421,88571 Fax 402.421.92871 penlink.com Copyright ©1997- 2016, Pen - Link, Ltd. 20B -22 QD PE_ 1v -L K PROGRAMS to another individual or entity. In the event USER grants a security interest in the ORACLE PROGRAMS, the secured party has no right to use or transfer the ORACLE PROGRAMS, USER shall be prohibited from use of the ORACLE PROGRAMS for rental, timesharing, subscription service, hosting, or outsourcing, USER shall be prohibited from removing or modifying any ORACLE PROGRAMS markings or any notice of ORACLE's or its licensors' proprietary rights. USER shall be prohibited from making the ORACLE PROGRAMS available in any manner to any third party for use in the third party's business operations, unless such access is expressly permitted for in the relevant ORACLE PROGRAMS' program license. This Agreement does not convey title in the ORACLE PROGRAMS to the USER er any other party USER shall be prohibited from reverse engineering, unless required by law for interoperability, disassembly or decompilation of the ORACLE PROGRAMS. The foregoing prohibition includes, but is not limited to review of data structures and /or similar materials produced by ORACLE PROGRAMS. USER shall be prohibited from duplicating the ORACLE PROGRAMS except for a sufficient number of copies of each program for USER's licensed use and one copy of each program media. USER shall be prohibited from publishing any results of benchmark tests run on the ORACLE PROGRAMS, C. EXPORT CONTROL USER shall comply fully with all relevant export laws and regulations of the United States and other applicable export and import laws to assure that neither the ORACLE PROGRAMS, nor any direct product thereof, are exported, directly or indirectly, in violation of applicable laws. D. ORACLE INTELLECTUAL PROPERTY ORACLE, or its licensors, retains all ownership and intellectual property rights to the ORACLE PROGRAMS. E. ORACLE'S ROLE IN AGREEMENT USER hereby disclaims, to the extent permitted by applicable law, ORACLE's liability for (a) any damages, whether direct, indirect, incidental, special, punitive or consequential, and (b) any loss of profits, revenue, data or data use, arising from the use of the ORACLE PROGRAMS. ORACLE is hereby designated as a third party beneficiary of this EULA, Nothing in this EULA shall require ORACLE to perform any obligations or incur any liability not previously agreed to between PEN - LINK and ORACLE. UNIFORM COMPUTER INFORMATION TRASACTIONS ACT The Uniform Computer Information Transactions Act shall not apply to this EULA, the SOFTWARE, any updates, any upgrades, the ORACLE PROGRAMS, or associated documentation related hereto. G. AUDITS USER shall permit PEN -LINK to audit USER's use of the ORACLE PROGRAMS, and USER shall provide reasonable assistance and access to information in the course of such audit and permit PEN -LINK to report the audit results to ORACLE or to assign its right to audit USER's use of the ORACLE PROGRAMS to ORACLE. If PEN -LINK assigns its right to audit to ORACLE, then ORACLE shall not be responsible for any of PEN -LINK or USER's costs incurred In cooperating with the audit. Fl. TERMINATION OF AGREEMENT USER shall discontinue use and destroy, or return, to PEN -LINK all copies of the ORACLE PROGRAMS and any ORACLE PROGRAMS' documentation upon the termination of this EULA. 5944 VanDervourt Drive I Lincoln, NE 685161 482.421.88571 Fax 492,421.9287 I penlink,com Copyright © 1997.2816, Pon-Link, Ltd, 20B -23 PE.'L?_. N ___. w it's the Key" I. MISCELLANEOUS USER is hereby informed that some ORACLE PROGRAMS may include source code that ORACLE may provide as part of its standard shipment of such programs. The source code shall be governed by the terms of this EULA. Further, third party technology that may be appropriate or necessary for use with some ORACLE PROGRAMS is specified in the SOFTWARE documentation or as otherwise notified by PEN -LINK, and such third party technology is licensed to USER only for use with the SOFTWARE under the terms of the third party license agreement specified in the SOFTWARE documentation or as otherwise notified by PEN -LINK and not under the terms of this EULA. 5,944 VanPervoort drive I Lincoln, NE 68516 1 402421,8857 1 Fax 402.421.8287 1 pen ink.com Copyright ©1907.2016, Pen -Link, Ltd. 20B -24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE. MARCH 1, 2016 TITLE: CONTRACTS AWARD FOR VEHICLE BODY REPAIR SERVICES (SPEC. NO. 15 -057) {STRATEGIC PLAN NO. 6,2) CITY MANAG� RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 210=1 +1►14�1 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 ®i Reading ❑ Ordinance on 2"" Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO IN[RALI ll��i1T ;7 Award contracts for vehicle body repair services for a one -year period expiring February 28, 2017, with provisions of four one -year renewals exercisable by the City Manager, in an annual aggregate amount not to exceed $175,000, subject to non - substantive changes approved by the City Manager and City Attorney, with the following vendors: Vendor Cosmetic auto Care Doffo Automotive Inc. Kelly's Body Shop, Inc. Riteway Auto Paint Bodyworks Top Finish Collision Center DISCUSSION Location Santa Ana Santa Ana Santa Ana Fountain Valley Santa Ana The Finance and Management Services Agency Facilities, Fleet Maintenance, and Central Stores Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The City has a fleet of 524 vehicles that at times requires auto body repair work due to accidents and operational needs such as painting and refurbishing. The notice inviting bids was advertised on December 16, 2015, on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 21 Vendors were notified 4 Santa Ana Vendors were notified 5 Bids were received 4 Bids received from Santa Ana Vendors 22A -1 Contracts Award for Vehicle Body Repair March 1, 2016 Page 2 The bids were opened on February 2, 2016 and evaluated (Exhibit A). All five bids, four from Santa Ana vendors, are responsive to the specifications and meet the City's requirements. Staff recommends awarding contracts to all five vendors to allow for flexibility in scheduling and optimal utilization. STRATEGIC PLAN ALIGNMENT Approval of this item assists the City's effort to meet Goal #6 Community Facilities & Infrastructure, Objective #2, (address deferred maintenance on City buildings and equipment). FISCAL IMPACT Funds in the amount of $50,000 for the remainder of FY 2015 -16 are available in the Equipment Maintenance — Garage Operation account (07510100- 62322). Subsequent funding in the amount of $125,000 will be budgeted and made available in FY 2016 -17. Upon exercising the renewal options funds in the amount of $50,000 will be budgeted and made available in FY 2016 -17, $175,000 in FY 2017 -18, FY 2018 -19, FY 2019 -20 and $125,000 in FY 2020 -21. APPROVED AS TO FUNDS AND ACCOUNT: Francisco Fr Gutierrez rez Executive Director Finance and Management Services Agency CLJsp 22A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED CONTRACT AWARD FOR POLICE 171 As Recommended MOTORCYCLES (SPEC. 16 -009) © 0 As Amended Ordinance on t'' Reading {STRATEGIC PLAN NO. 6, 2 } j] Ordinance on 2nd Reading {SURPLUS ALLOCATION FUNDING} L Implementing Resolution ® Set Public Hearing For CONTINUED TO iiii0 i +.V11i•11# i CITY MANAGER RECOMMENDED ACTION Authorize a one -time purchase and payment of purchase order to Iry Seaver Motorcycles for the purchase of 12 police motorcycles in an amount not to exceed $336,212, subject to non - substantive changes approved by the City Manager and City Attorney. A portion of the funds for this project is in accordance with the Council approved Surplus Allocation Plan dated October 20, 2015. Department: Project: Category: Total Funding: Finance Vehicle Replacement Facilities /Assets $400,000 FY 15 -16 DISCUSSION The Finance and Management Services Agency Facilities, Fleet Maintenance and Central Stores Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The City's Vehicle Replacement Policy provides guidelines and criteria for determining when vehicles need replacement. This criteria includes vehicle age, mileage, maintenance costs, and safety history. As a result of reviewing the City's replacement criteria, 12 police motorcycles purchased in 2007 with an average mileage of 90,943 miles have been identified for replacement. Ten of the motorcycles were included in the approved FY 2015 -16 Surplus Allocation Plan for Vehicle Replacement. When combined with the two Police Crime Scene Investigation (CSI) trucks that were awarded earlier this year, this purchase completes the first year of the Vehicle Replacement Plan. 2213-1 Contract Award for Police Motorcycles March 1, 2016 Page 2 The notice inviting bids was advertised on January 22, 2016, on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 6 Vendors were notified 7 Vendors downloaded the bid packet 3 Bids received 0 Bids received from Santa Ana vendors The bids were opened on February 09, 2016 and evaluated (Exhibit 1). The bid received from Iry Seaver Motorcycles is responsive to the specifications and meets the City's requirements. To allow for unanticipated charges, a five percent contingency has been included in the award amount. STRATEGIC PLAN ALIGNMENT Approval of this item assists the City's effort to meet Goal #6 Community Facilities & Infrastructure, Objective #2, (address deferred maintenance on City buildings and equipment). FISCAL IMPACT Funds in the amount of $280,177 are available in FY 2015 -16 Finance Fleet Maintenance account (05010022- 66400) and $56,035 in the Police Department Central Distribution Center account (01114450-66400). Carlos Rojas Chief of Police Santa Ana Police Department CL /sp Exhibit 1: Abstract of Bids APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez Executive Director Finance and Management Services Agency 228 -2 Contract Award for Police Motorcycles March 1, 2016 Page 3 ABSTRACT OF BIDS BMW POLICE MOTORCYCLES (16 -00' Iry Seaver Bidder Motorcycles Location 2016 base model Destination & delivery Sales tax (8.00 %) License & registration Sub -total Misc. charges not included above Total Bid per unit Pricing guaranteed through: Orange $24,706.94 Included $1,976.55 Included $26,683.49 $0.00 $26,683.49 4/30/2016 Long Beach BMW Beaudry Police Motorcycles Motors Coeur d' Arlene, Long Beach ID $24,752.82 $24,894.00 Included Included $1,980.23 $1,992.00 Included $246.00 $26,733.05 $27,132.00 $118.90 $0.00 $26,851.95 $27,132.00 12/31/2016 12/31/2016 EXHIBIT 1 22B -3 22B -4 REQUEST FOR COUNCIL. ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: CONTRACT AWARD TO DUKE'S ROOT CONTROL, INC. FOR SEWER ROOT FOAMING SERVICES (SPEC. NO. 15 -123) (STRATEGIC PLAN NO , 1C, 1F) CITY MANAGEff • � r a • CLERK OF COUNCIL USE ONLY: mWZW¢• _E ❑ As Recommended ❑ As Amended ❑ Ordinance on I6� Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Duke's Root Control, Inc., for sewer root foaming services for the three -year period from March 1, 2016 to February 28, 2019, with provision for a two -year renewal option exercisable by the City Manager, in an annual amount not to exceed $50,000, for a total amount not to exceed $250,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Water Resources Division operates a sanitary sewer collection system comprising of approximately 390 miles of sewer mains, 2 sewer lift stations, 48,500 sewer laterals, and 8,000 sewer manholes that are used to convey all sewer effluent from the city into the Orange County Sanitation District system for treatment. The City conducts ongoing video inspections of the sewer system in an effort to evaluate the structural integrity and the overall condition of the sewer collection system. Sewer assets identified with moderate to severe structural defects and major root intrusions are placed on a priority list for repair. This contract provides for sewer root foaming services of the sewer system main lines. The chemical root foaming of selected sewer mains will enhance effluent flow, prevent sewer system overflows, eliminate recurring maintenance, help prevent costly emergency repairs, and extend the useful life of the City's assets. The Notice Inviting Bids was advertised on November 18, 2015, on the City's online bid management and publication system. The summary of bid invitations and bids received is as follows: 29 Vendors notified 5 Vendors downloaded the bid packet 1 Bid received 0 Bids received from Santa Ana vendors 22C -1 Contract for Sewer Root Foaming Services March 1, 2016 Page 2 The bid received from Duke's Root Control, Inc., is responsive to the specifications, meets the City's requirements and complies with prevailing wage requirements. The annual contract amount is based on the projected budget allocation for these services. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard), and Strategy F (perform periodic measurements to monitor and update each asset's condition and ensure adequate funding for repair and /or replacement costs in future budgets). FISCAL IMPACT Funds in the amount of $50,000 for the remainder of FY 2015 -16 are available in the Sanitary Sewer Service account (05617640- 62300). Subsequent funding of $50,000 will be budgeted and made available in FY 2016 -17, FY 2017 -18, FY 2018 -19, and FY 2019 -20, for a total amount not to exceed $250,000, as detailed below. Unspent encumbrances will be carried forward to the subsequent fiscal year as needed to fulfill the contract term. Contract Period (three - years) Renewal Period (1 two -year renewal) Fiscal Year Amount Fiscal Year Amount 2015 -16 $50,000 2018 -19 $50,000 2016 -17 $50,000 2019 -20 $50,000 2017 -18 $50,000 Total $100,000 Total $150,000 APPROVED AS TO FUNDS AND ACCOUNTS: li�, 2 Fre Mousavipour Francisco Gutierrez Executive Director Executive Director Public Works Agency Finance & Management Services Agency 22Ci -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING [SATE: MARCH 1, 2016 TITLE: AGREEMENT WITH TRANSPORTATION STUDIES, INC., FOR TRAFFIC COUNTING SERVICES (PROJECT NO. 16 -6875) (STRATEGIC PLAN NO. 1, 31911 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: :+ . s ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Confirm denial of the bid protest from Quality Traffic Data, LLC, dated January 14, 2016. 2. Authorize the City Manager and Clerk of the Council to execute an agreement with Transportation Studies, Inc., to provide traffic counting services for a one -year term, beginning March 1, 2016, through February 28, 2017, with provision for two one -year term extensions exercisable by the City Manager and the City Attorney, in an amount not to exceed $50,000 over the life of the agreement, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The City received a bid protest on January 14, 2016, from Quality Traffic Data, LLC. The Public Works Agency, in consultation with the City Attorney's Office, reviewed and analyzed the basis of the protest. Attached are the findings and recommendation for denial. The City outsources annual traffic counting services to conduct counts for neighborhood studies, the biannual citywide traffic volume study, pedestrian /bicycle counts, and the annual traffic signal and left -turn signal priority studies. The scope of services for this agreement also includes data collection and speed surveys in support of the speed hump program. A Request for Proposals (RFP) for annual traffic counting services was posted on the City website on Tuesday, November 24, 2015. Two consultants submitted proposals which were reviewed by a three - member committee comprised of Public Works Agency staff. The ratings were based on experience, qualifications, project understanding, scheduling, past performance, and the overall proposal. Once rated, the sealed bids of the two firms were opened. 25A -1 Agreement for Traffic Counting Services March 1, 2016 Page 2 The RFP required each firm to submit proposed fees for a given work scenario. The scenario costs were for comparison purposes only and not related to the actual work to be done. The proposal scores and scenario costs are as follows: Rank Firm Average Score Total Scenario Cost 1 Transportation Studies, Inc. 96 $18,437.50 2 Quality Traffic Data, LLC 71 $17,850.00 Based on rating and cost, it is recommended that Transportation Studies, Inc., be retained for an amount not to exceed $50,000 for traffic data collection services. The consultant will be paid only for the services performed as requested by staff and in accordance with the rates submitted in its proposal. The contract will include an option to extend the agreement for two one -year terms, without an increase in compensation, for a total maximum of three years. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 — Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions). FISCAL IMPACT The total amount of the agreement is not to exceed $50,000. Funds have been budgeted and are available for expenditure in the FY 2015/16 Capital Improvement Program in the Measure M2 Local Fairshare account (No. 03217662 - 66220, Project 16 -6875) and will be budgeted in FY 2016/17 from the same account according to the spending plan below. Any unspent encumbered balance will be carried forward into subsequent fiscal years as needed to fulfill the agreement term. 25A -2 Agreement for Traffic Counting Services March 1, 2016 Page 3 Contract Period Fiscal Year Amount 2015/16 (March — June) $20,000 2016/17 (July — March) $30,000 Public Works Agency FM:ZK TOTAL: $50,000 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Protest Findings and Recommendation 2. Agreement 25A -3 25A -4 MAYOR Miguel A. Pulido MAYOR PRO TEM Vincent F. Sarmiento COUNCILMEMBERS Angelica Amezcua P. David Benavldes Michele Martinez Roman Reyna Sal Tinajero January 22, 2016 CITY OF SANTA ANA 20 Civic Center Plaza . P.O. Box 1988 Santa Ana, California 92702 (714) 647.5662 www.santa- ana.org Quality Traffic Data Attn: Dantry Gouhari 9701 W. Pico Blvd., Suite 205 Los Angeles, CA 90035 SUBJECT: TRAFFIC COUNTING SERVICES PROTEST Dear Mr. Gouhari: Exhibit 1 CITY MANAGER David Cavazos CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Hulzar This letter responds to Quality Traffic Data, LLC's ( "QTD ") bid protest, dated 'January 14, 2016, protesting the bid submitted by Transportation Studies, Inc. ( "TSI "), the bidder, for the field traffic counting services, See Attached Email. Following review and analysis of your protest and consultation with legal counsel, I have determined that your protest lacks merit for the reasons stated below. Therefore, I will recommend that the City Council reject QTD's bid protest and award the contract for the traffic counting service to TSI as the winning bidder. I. LEGALSTANDARDS In Section I11 (I) of the City's Request for Proposals, the City expressly reserves its rights to evaluate bid compliance and to waive minor bidding errors: "The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal." The City's discretion to waive inconsequential informalities or irregularities is well- established under California law: "flJt is further well - established that a bid which substantially conforn2s to a call,fbr bids znay, though it is not strictly responsive, be accepted if the variance cannot have affected the amount of the bid or given the bidder an advantage or benefit not allowed other bidders or, in other words, if the variance is inconsequential" (Bay Cities Paving & Grading, Inc. v. City of San Leandro (2014) 223 Cal.App,4th 1181, 1188 ( "Bay Cities'). SANTA ANA CITY COUNCIL Mlgool A. PuOdu vlo=t F. So, d ianto Michele Marlrnex Angelica Arnemua R 03vPo awn das Romeo rxey" Sal Tldalero Mayan Mayor Pro Tem, Ward l Ward ward Word Word Word ,mnuLdolsanta ena orq 4yo mlentaBlamis- on..olq mmod,de?' @,.dt. aaa.0IU aF l i l"d =q f dbC, avitl rramoftp2 is iadrg 51�s1ti3 a ! , rs Mr. Gouhari Page 2 fanuary 22, 2016 In general, issues of responsiveness are determined by looking exclusively at the face of the bid, (Great West Contractors, Inc. v. Irvine Unif, Sch. Dist. (2010) 187 Ca1.App.4th 1425, 1453.) Therefore, allegations that go beyond the face of the bid are generally not relevant for determining responsiveness. In addition, allegations of nonresponsiveness must be evaluated from a practical, rather than speculative or hyperteclmical perspective, and based on the public interest: "They must also be viewed in light of the public interest, rather than the private interest of a disappointed bidder. It certainly would amount to a disservice to the public if a losing bidder were to be permitted to comb through the bid proposal... of the low bidder after the fact, (and] cancel the low bid on minor technicalities, with the hope ofsecuring acceptance of his, a higher bid. Such construction would be adverse to the best interests of the public and contrary to public policy. " (Bay Cities, supra, at I189; internal quotation marks omitted.) From this legal framework, we consider the two basis for QTD's bid protest. IL ANALYSIS A. Citv Did Not Receive Three (3) Proposals Quality Traffic Data, LLC's bid protest alleges that the awarding of the contract should be halted because the City did not receive three (3) proposals in response to the RFP. QDT cites no authority for such a proposition and the City is not aware of any such legal impediment to the award of the contract on this basis. In fact, the RFP on its face states as section III (I) that the "City reserves the right to reject any and all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise." Furthermore, there is no requirement in the RFP itself that the receipt of three proposals is a condition precedent for award of the contract. B, TSI Provided Additional Fee Schedule The other basis for QTD's protest is based on the alleged "confusion to the public" caused by TSI's submission of another fee schedule. QTD does not provide any indication as to how or what mariner the fee schedule causes confusion. Nonetheless, this is rejected inasmuch as the fee schedule was submitted after the selection was made and does not impact the decision of the selection committee, The fee schedule merely clarified the original fee schedule submitted in TSI's winning bid 25A -6 Mr. Gouhari Page 3 January 22, 2016 There is no confusion or finding of any unfair advantage based on the submittal of the additional fee schedule. TSI's selection and winning bid stands based on its original submittal. III. CONCLUSION Based on the foregoing, Quality Traffic Data, LLC.'s bid protest dated January 14, 2016 is DENIED. This matter will be considered by the City Council at its regular meeting of March 1, 2016 at 5:45pm or soon thereafter. The location of the meeting is City Council Chamber; 22 Civic Center Plaza, Santa Ana, California. Sincer Fred Mousavinour. Executive Director c: TSI Enclosure: 1 25A -7 I(ekula, Zdenek From: danny.g @ qua Iitytrafficdata,com Sent: Thursday, January 14, 2D16 5:15 PM To: Kekula, Zdenek; Public _Records Cc: Danny,G @Qua lityTrafficData.com Subject: RE: PUblic Records Request for RFP 15 -090 Attachments: TSI Fee Proposal.pdf Mr, Kekula, City of Santa Ana, City of Santa Ana public records Item No. 1. Accept this e -mail as our formal and official protest to halt all award for RFP 15 -090. We reject the departments decision because the city did not receive three (3) proposals and TSI provided additional "fee schedule" which is confusing to the public. See attached. No contract shall be awarded until our protest is heard in front of your board and department in person, Your department selections was prejudice, racism, discrimination, unethical business practice and unprofessional. Again, no contract shall be awarded till our protest is heard In front of your board /department in person. Provide us with three (3) different dates and times so we can confirm a specific date and time to discuss our protest in person with your board and department. Item No, 2. Who is the chief procurement officer who oversees RFP # 15 -090. Provide first name, last name, e -mail address, phone number and physical address, Item No. 3, Explain to us in detail as to how your department created the score sheet? Item No, 4. Explain in detail why the Evaluator's first name, last name, phone number, contact info is missing? This Is unethical business practice and unprofessional Item No. 5, Provide us with the first name, last name, e -mail address and employment application for each Evaluator. Provide us the employment application for zdenelc "zed "Kekula,P.E'. Item No, 6, Explain to us in detail as to how your department selects a vendor for RFP # 15 -0907 Item No, 7, Who is the Vendor Ombudsman Advocate for vendors. Provide first name, last name, e-mail address, phone number and physical address. -- - - - - -- Original Message -- - - - - -- Subject: RE: PUblic Records Request for RFP 15 -090 From: "Kelcula, Zdenek" <ZKekula@santa-ana ora> Date: Thu, January 14, 2016 4:50 pm To; "'danny anciLialitytrafficclata.com "' < danny .at7qualitytrafficdata,com> Dear Mr. Gouhari, Enclosure 1 t 25A -8 This Is a follow up to our conversation earl iertoday to discuss the debriefing of your proposal. The Information requested via your public records request dated January 4 was provided to you on January 11, 2016, Your additional orsecond request was received on January 11, 2016 so we are still well within the allotted time to respond to your additional or second public records request. With the above information attached to this e- mail, this response Is completely responsive to your additional or second public records request dated January 11, 2016. Any further public records request need to he addressed to the City of Santa Ana Clerk of the Council. Sincerely, Zdenek "Zed" Kekula, AE. Senior Civil Engineer City of Santa Ana (714) 647 -5606 (714) 647.5616 fax From: dann , ualitytrafficdata com [maULgAannv nCilnuaht ytrafficdata com] Sent: Thursday, January 14, 2016 1,25 PM To: Kekula, Zdenek Subject: RE: Public Records Request for RFP 15 -090 ZND AT ",rFMPi' Provide us the requested documents by today before close of business. If we do not receive the requested documents by today we will file our formal and official protest, -- - - - - -- Original Message -- - - - - -- Subject: RE: Public Records Request for RFP 15 -090 From: <dannyyC nualitytrafficdata.com> Date: Mon, January 11, 2016 12:10 pm To: "Kekula, Zdenek" <ZKekula@santa -ana ora> Please advise the reason why Quality Traffic Data, LLC was not awarded the contract. Also, provide us with the score sheet for all consultants /vendors and the name of each Individual who evaluate the proposal. -- - - - - -- Original Message -- - - - - -- Subject: PUbllc Records Request for RFP 15 -090 From: "Kekula, Zdenek" <ZKeku1aL65anta- ana.crg> Date: Mon, January 11, 2016 11:49 am To: "danny.aCaqualitytrafficdata com" <danny,gCaaualitytrafficdata com> Dear Mr. Gouhari, In response to your public records request via e -mail dated January 4, 2015 attached please find files that include copies of the fee proposals and proposals for RFP No 15 -090 Traffic Counting Services. The selected consultant is Transportation Studies, Inc. With the above information attached to this e -mail, z 25A -9 this response is completely responsive to your public records request. For future public records request, please go to the City of Santa Ana Clerk's webpage to fill out the public records request. By the way, the City has 10 days to respond to public records requests. Sincerely, Zdenek "Zed" Kekula, P.E. Senior Civil Engineer City of Santa Ana (714) 647 -5606 (714) 647 -5616 fax 3 25A -10 1 Transportation Studies, Inc, A Traffic Data Collection Company CITY OFtSANTA ANA Pee Schedule 24Hbau•Machine Counts (MDirecttonal or directional) I to 300 Locations $ 29.50 per location 24 Hour Maclaine Counts (Approocfa) 4 Log Intersection $ 95.00 per location 3 Leg Intersection $ 82.50 per location [Plan anal Tarning Alovement Counts 1 person per location $ 31.25 per hour 2 people per location $ 62.50 per hoar 24 Flour Speed acid Axle Classf%icatioia Counts 2 Lanes $ 80.00 per location 3 -4 Lanes $ 160.00 per location 'Radar Surveys 1 -100 Locations $ 35,00 per location 100 -over $ 30.00 per location Video Cotmt & Video $ 45.00 per Flour Video Only $ 1. 0.00 per IIotu s 2640 WilnutAvanue, Suite H m Tustin, CA 92780 , (7.14) 608 - 6V?_ n Fax (714) a08,90i02 25A -11 APPENDIX ATTACHMENT 4: PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, widerstand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Attachment A) and am familiar with the scope of work Locations. I am familiar with all the existing conditions and limitation that may impact work requests, I understand and agree that I am responsible for reporting any errors, emissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Itern Price - Pricing shall be based on for services described in Attachment A. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for Tabor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. The purpose of this forth is to provide the City with a basis of comparison of the Consultant's fees. This form will be used for fee comparison purposes only. The table below is a possible annual cost scenario for traffic counting services. Fill in the appropriate unit prices from the Consultant's fee schedule and calculate the Consultant's annual total cost for the scenario. Type OF Count T Unit Cost No. of Locations -- No, cr Year Annual `total Cost 14 dour Sinele =Cnlie Count $ 5 x'I x50 • One intersection, a approaches a 50 separately requested counts per year L44t„,Ltu• DLaljube Count $ 215^' 0 x25 _ x5 A55llme; `- • 25 locations, Slfll0.itanC011$1y, In one neighborhood A 5 times per year IY[nnual`I`tu•nir Movement Counts $ 1 2?� Assume; • 4 -11our manual count (2 hours am & 2 hours pm) at 15 locations, simultaneously, in throughout the City one neighborhood or in various locations • One person counting at each location S times per year City of Santa Ana RFP '15.090 Pa e 24 25 -12 x 11110: * 4-hour count (2 hours am & 2 hours pill) at one location * One Pei-soil Counting 4 5 separately requested counts per year LEGAL 71V 361�. Pk Toy 36oz- 4-A� G. -1 M LICENSE NUMBER -(1F AF�pI_7cARI -r:) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE FEE PROPOSAL PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED —NONRE5ONSIVE. City Of Santa Ana RFP 15-090 P&C 25 2 A-13 ,I 25A -14 Exhibit 2 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is trade and entered into this I" day of March, 2016 by and between Transportation Studies, 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 traffic counting services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sure to be expended under this Agreement shall not exceed $50,000 during the term of this Agreement. Payment by City shall be made within Thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be rnade for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall continence on the date first written above and terminate on February 28, 2017, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise 25A -15 discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OR MATERIALS This Agreement creates a non - exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant tinder this Agreement ( "Documents & Data "). Consultant shall require all subcontractors to agree in writing that City is granted a non - exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Cornmereial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: 25A216 (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by consultant, without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury; including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; 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 challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terns of, or effects arising from this Agreement: City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. RECORDS 25A -17 Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shalt allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information, Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax 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.Q. Sox 1988 Santa Ana, CA 92702 -1988 Fax 714- 647 -6956 With courtesy copies to: 25A418 To Consultant: Fred Mousavipour, Exec. Director Public Works City Attorney Agency City Attorney's Office City of Santa Ana City of Santa Ana 20 Civic Center Plaza (M -43) 20 Civic Center Plaza (M -29) P.O. Box 1988 P.O. Box 1988 Santa Ana, California 92702 Santa Ana, California 92702 Fax 714- 647 -5635 Fax 714- 647 -6515 Transportation Studies, Inc Patti A. Tolten 2640 Walnut Avenue, Suite H Tustin, CA 92780 Fax No. 714- 508 -3602 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 fax, 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. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terns of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATIiON This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following 25A -19 conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City Curless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. K Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, [marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that maybe brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above 25A6 20 written. ATTEST: Maria D. Huizar Clerk of the Council SONIA R. CARVALHO City Atto e By Jose a doval Chi ssistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director — Public Works Agency CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: Patti Tolten President Tax IDA 033 - 0773179 25A -21 EXHIBIT A SCOPE OF SERVICES 25A -22 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR TRAFFIC COUNTING SERVICES RFP NO.: 15 -090 DESCRIPTION AND SCOPE OF WORK The City of Santa Ana is issuing this Request for Proposals (RFP) for Traffic Counting Services. Neighborhood requests for City assistance in solving intrusive traffic problems often require a series of traffic counts to be taken at specific locations over several days to confirm and then to monitor the intrusive traffic. In such a situation, it is important that the same firm be used throughout the study for consistency and reliability. In addition to typical counts for stop sign warrants, the annual contract for traffic counting services may also include the bi- annual city -wide Average Daily Traffic study, City -wide Turning Movement study, and traffic counts for our signal priority list studies. Pedestrian counts, speed surveys, vehicle classifications (using machines) and /or other services may also be requested as part of this contract. For services not specifically listed, a price for such services will be agreed to, if requested. From the proposals received, one or two firm(s) will be selected. The City will enter into an agreement with the firm(s). As traffic counting needs are identified, they will be requested on as needed basis. The City reserves the right to assign the work in any manner which will best serve the City's interests. A. IMPLEMENTATION I. City staff shall have the right to modify, reduce, or delete the services as needed by City. II. The term of the contract shall be for 1 year which shall commence on the date that City Council approves the award or the date that all required bonds and insurance have been approved by the City Attorney, whichever occurs last. III. City shall retain an option to renew on the same terms and conditions as set forth herein for 1 additional one -year terms, for a total maximum total of 3 years. B.SCOPE OF WORK The Consultant shall provide necessary services for collecting traffic count data for various studies on an as- needed basis. This may include, but not be limited to 24 -hour ADT counts, 24 -hour entering traffic volume counts, intersection turning movement counts for 2, 4, or 6 -hour, etc. periods, hourly pedestrian counts, speed surveys, and machine vehicle classifier data. For the assigned tasks, the Consultant shall compile the traffic data and provide the following to the City: For each ADT volume count, a two - directional 15- minute count sheet with hourly totals, similar in format to the sample in Attachment 5. Note: Consultant must be able to provide up to 25 simultaneous count locations for neighborhood traffic counts. For each entering traffic volume count, a 15- minute count sheet with hourly totals, containing all legs of the intersection (sample in Attachment 5). Page 10 25A -23 For each manual turning movement count, a 15- minute count sheet for each count period, with the actual peak hour(s) identified (sample in Attachment 5). Note: Consultant must be able to provide up to 15 simultaneous count locations for neighborhood traffic counts or for various intersection locations throughout the City. For each intersection pedestrian count, a 15- minute count sheet for each count period, plus a count sheet of manual (vehicle) turning movements, if requested. Note: Counts categorized by age group may be requested for certain locations. For the Citywide Average Daily Traffic (ADT) study: a. Count sheets as described above. Note: Consultant should be prepared to conduct counts at 280 locations within a 2 -month period. b. "Traffic Census" booklet (summary of ADTs), 25 bound copies and the associated electronic files. c. Traffic Flow Maps, sample in Exhibit 1, will be included in the 'Traffic Census" booklet. City will furnish the street map on computer diskette, compatible with AutoCAD or Microstation. Depending on the cost provided by the Consultant, the City may choose to complete this map in- house. d. If, due to the cost limit of the contract, more than one Consultant is needed to complete the study, the City will furnish the count data collected by the "secondary" Consultant to the "prime" Consultant who is compiling the 'Traffic Census" booklet. The "prime" Consultant will include this data in the count summary and on the flow maps of the "Traffic Census" booklet. e. Before the Consultant(s) begin the study, a schedule will be developed in cooperation with the Consultant(s) regarding when the counts will be conducted, and when the count data and 'Traffic Census" booklet will be delivered. Computer fike(s) for all counts conducted by the consultant, including manual or machine counts, in Excel spreadsheet format every three (3) months. Computerized files shall also be provided upon city' staff request. City of Santa Ana RFP 15 -090 Page 11 25A -24 EXHIBIT B Fee Schedule 25A -25 TSITransportation Studies, Inc. A traffic Data Collection Company CITY OFSANTA ANA Tee Schedule 24 Hour Machine Counts (Bi- Directional or directional) 1 to 300 Locations $ 29.50 per location 24 Hour Machine Counts (Approach) 4 Leg Intersection $ 95.00 per location 3 Leg Intersection $ 82.50 per location Manual Turning Movement Counts I person per location $ 31.35 per hour 2 people per location $ 62.50 per hour 24 Hour Speed andAxle Classification Counts 2 Lanes $ 80.00 per location 3 -4 Lanes $ 160.00 per location Radar Surveys I -100 Locations $ 35.00 per location 100 -aver $ 30.00 per location Video Count & Video $ 45.00 per Hour Video Only $ 10.00 per Hour 2640 Walnut Avenue, ,Suite H • tustin, CA 92780 • (714) 508 -3692 , Fax (714) 508 -3502 25A -26 APPENDIX ATTACHMENT 4: PROPOSERS CERTIFICATION anti PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Attachment A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on for services described in Attachment A. Fee must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. The purpose of this form is to provide the City with a basis of comparison of the Consultant's fees, This form will be used for fee comparison purposes only. The table below is a possible annual cost_ scenario for traffic counting services. Fill in the appropriate unit prices from the Consultant's fee schedule and calculate the Consultant's annual total cost for the scenario. Type of Covert Unit Cost No. of Locations — No. per Year Annual Total Cost 24- HourSinRie- TabeCount $ �_ x1 x50 =$ tfis Assume: * One intersection, d approaches 450 seoaratcly requested counts per year 24 -Hour Dual -'Cube Count $ 2 q, 5"o x25 x5 Assume: • 25 locations, simultaneously, in one neighborhood Q 5 times per year Manual Turnin Movement Counts $ n, S X 15 x5 = $ Assume: . h -hour inanual count (2 hours am & 2 hours pin) at 15 locations, simultaneously, in one neighborhood or in various locations throughout the City + One person counting at each location . 5 times per year City of Santa Ana RFP 15 -090 v�i� =2 2 7 Pedestrian Counts Tulle , 4-hour count (2 hours am & 2 hours pm) at one location * One person counting * 5 separately requested counts per year so OF COMPANY ADDRESS PHONE 3 FEDERAL b NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMDLR(|[-8PPL\UAULE) THIS FORM MUST BE COMPLETED AND INCLUDED WITH,.THE FEE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 15-090 Page 25 as - EXHIBIT C 25A -29 APPENDIX ATTACHMENT 3 -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA RE, QUEST FOR PROPOSALS FOR TRAFFIC COUNTING SERVICES RFP NO.: 15 -090 NON - COLLUSION AFFIDAVPf (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member oragent thereof to effectuate a collusive or sham bid. Note; The above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certification may subject the certifier to cyiminaorosecution. Sighed State of California County of _9 -� Subscribed and sworn to (or affirmed) before me on this 14 day of aef-- , 201 ,5 by AtC t, Sk , proved to me on the basis of satisfactory evidence to be the persotiA who appeared before me. t3 m COMIYI,,,i987801 Inn U � t ��ytFOAPAA �t m JAy term �p.Aupusl 13, 2016 Note y u rc Signature Notary Public Seal City of Santa Ana RFF 15 -090 Page 20 25A -30 APPENDIX F ATTACHMENT 3 -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR TRAFFIC COUNTING SERVICES RFP NO.: 15 -090 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress In connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities ". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U, S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that such sub recipients shall certify and disclose accordingly. Firrn iJ�� Signed and Printed Name:�Xlf %R7Il�CL/ _ Title PCes. Date I'L— )`-I— City of Santa Ana RFP 15 -090 Page 21 25A -31 APPENDIX —� ATTACHMENT 3 -3: NON - DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA RFQIIEST FOR PROPOSALS FOR TRAFFIC COUNTING SERVICES RFP NO., 15 -094 The undersigned consultant or corporate officer; during the performance of this' contract, certifies as follows The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following; employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. T'he Consultant 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 Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, I965, and of the rules, regulations, and relevant orders of the Secretary of Labor, 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his /her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. In the event of the Consultant's non - compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of - .. City of Santa Ana RFP 15 -090 Page 22 25A -32 September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, However, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant 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 Stars. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violations of the Chapter. Signed: Q`� , � ql�l Title: Firm: S:7l u-D,e 5, ,Jg6 Date: ), — City of Santa Ana RFP 15 -090 Page 23 25A -33 25A -34 REQUEST FOR COUNCIL- ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: CITY LOAN MODIFICATION AGREEMENT WITH DEPOT AT SANTIAGO, LP (STRATEGIC PLAN NO. 5, 3) ,w /z 'CITY CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED El As Recommended ❑ As Amended ❑ Ordinance on 1e' Reading El Ordinance on 2nd Reading Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute the City Loan Modification Agreement with Depot at Santiago, LP, to comply with new regulations and policies from the Housing and Community Development Department and California Housing Finance Agency, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On May 20, 2013, City Council approved a loan agreement with Depot at Santiago, LP in the amount of $3,000,000 for a proposed mixed -use project located at 923 N. Santiago Street. This project is a mixed -use development of 70 rental units (1, 2, and 3 bedrooms), 8,500 square feet of retail space, and a 3,000 square foot community room. Sixty -nine units are at various levels of affordability and one unit is for the onsite manager. The funds committed to this project were $2,634,566 from the HOME Investment Partnerships Program and $365,434 from the Community Development Block Grant program. Upon execution of the loan agreement, funds were disbursed into the escrow account for the development of the project. Subsequently, on January 26, 2016, the City received Low - Income Housing Tax Credit investor comments on the executed loan documents for the Depot at Santiago project. In addition, the developer has leveraged additional funds for the project from the California Department of Housing and Community Development ( "HCD ") and the California Housing Finance Agency ( "CaIHFA "). HCD and CaIHFA regulations and policies require that all residual receipt lenders share 50% of the residual receipts for loan payments proportionately, based on the amount of funds loaned by each lender. The City Loan Modification Agreement (Exhibit 1) includes revisions to the Loan Agreement, City Affordability Restrictions, and City Deed of Trust to add language allowing subordination of the City documents when required by other governmental agencies providing financing to the project. The City Loan Modification Agreement also incorporates an 2513-1 Modification to Loan Documents - Depot at Santiago March 1, 2016 Page 2 Amended and Restated City Promissory Note to address the change to the residual receipts allocation required by the HCD and CaIHFA funding for the project, as well as other clarifications, These revisions require approval by City Council, STRATEGIC E�AN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Health, Livability, Engagement and Sustainability, Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and Improve the livability of Santa Ana neighborhoods), There is no fiscal impact associated with this action, aIIYx �,� Kelly l� n rs Executive Director Community Development Agency Exhibit: 1. City Loan Modification Agreement 25B -2 FREE RECORDING REQUESTED PURSUANT TO GOVERNMENT CODE SECTION 27383 When Recorded Mail to: City of Santa Ana 20 Civic Center Plaza P.O. Box 1988 (M -37) Santa Ana, California 92702 Attn: Housing Manager CITY LOAN MODIFICATION AGREEMENT City of Santa Ana and Depot At Santiago, L,P, (Depot at Santiago, 923 N. Santiago Street, Santa Ana, California) This LOAN MODIFICATION AGREEMENT (this "Agreement ") is dated as of 2016 and is entered into by and between the City of Santa Ana, a charter city and municipal corporation ( "City "), and Depot. At Santiago, LP., a California limited partnership (the "Borrower "). The City and the Borrower shall collectively be referred to herein as "Parties." RECITALS A. Pursuant to that Loan Agreement between the City and the Borrower, dated July 11, 2013, and recorded in the Official Records of the County of Orange (the "Official Records ") as Instrument No. 2013000476763 on August 9, 2013, as amended by the Amendment to Loan Agreement between the City anal the Borrower, dated June 18, 2014, and recorded in the Official Records as Instrument No. 2014000255562 on June 27, 2014 (collectively, "Loan Agreement "), the City made a loan to the Borrower in the amount of $3,000,000 (the "City Loan ") to assist with the acquisition and development of certain real property, more particularly described in the attached Exhibit A, for the development of an affordable housing development. B. The City Loan is also evidence by that certain City Promissory Note, dated July 11, 2013, executed by the Borrower and payable to the City in the original principal amount of $3,000,000 ( "City Note "), which is secured by that certain City Deed of Trust and Assignment of Rents executed by Borrower in favor of City, dated July 11, 2013, and recorded in the Official Records as Instrument No. 2013000476764 on August 9, 2013 ( "City Deed of Trust "). C. Hz cormection with the City Loan, the City and Borrower entered into that certain Affordability Restrictions on Transfer of Property, dated July 11, 2013, and recorded in the Official Records as Instrument No. 2013000476766 on August 9, 2013, as amended by the 1076 \49 \18433t 12 Mij Amendment to Affordability Restrictions on Transfer of Property between City and Borrower, dated June 18, 2014, and recorded in the Official Records as Instrument No. 2014000255563 on June 27, 2014 (collectively, "City Affordability Restrictions "), The Loan Agreement, City Note, City Deed of Trust and City Affordability Restrictions are together referred to as the "City Loan Documents." D, Capitalized terms not defined in this Agreement shall have the meanings set forth in the Loan Agreement, E. The Borrower has arranged for equity and lender financing for the development of the affordable housing contemplated by the Loan Agreement and in connection therewith, the Patties desire to modify certain terns of the Loan Agreement, City Note and City Deed. NOW, TIIEREFORE, in consideration of the foregoing recitals, the mutual covenants and agreements hereinafter set forth, and other consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties hereto agree as follows: as follows: Modification of the Loan Agreement, The Loan Agreement is hereby modified a. Section 6.1(c), The last sentence of Section 6.1(c) of the Loan Agreement is hereby replaced in its entirety as follows: "The City's Affordability Restrictions on Transfer of Property shall remain in first position on title and shall not be subordinated except that the City's Affordability Restrictions on Transfer of Property, the City Deed of Trust and other City Loan Doctunents may be subordinated if required by other governmental agencies providing financing to the Project." 2. Modification of the City Affordability Restrictions. The City Affordability Restrictions are hereby modified as follows: a. Section IIA. The last sentence of Section 3.1A of the City Affordability Restrictions is hereby replaced in its entirety as follows: "The City's Affordability Restrictions on Transfer of Property shall remain in first position on title and shall not be subordinated except as may be required by other governmental agencies providing financing to the Project." 3. Modification of the City Deed of Trust. The City Deed of Trust is hereby modified as follows: a. Section 4. The Section 4 of the City Deed of Trust is hereby replaced in its entirety as follows: 2 1076\49 \1843311.2 25B -4 "4. Subordination. The City's Affordability Restrictions on Transfer of Property shall remain in first position on title and shall not be subordinated except as maybe required by other governmental agencies providing financing to the Project." 4. Modification of the City Note, The City accepts the executed original of the Amended and Restated Promissory Note, attached as Exhibit B to this Agreement, as the replacement promissory note for the City Note and hereby cancels the City Note, 5. Investor Limited Partner Rights. The City agrees that any cure tendered under the City Loan Documents by Borrower's limited partner shall be accepted or rejected on the same basis as if tendered by Borrower, and it will provide a copy of any notice delivered to Borrower under the City Loan Documents to: NEF Assignment Corporation, and its successors and /or assigns 10 South Riverside Plaza Suite 1700 Chicago, IL, 60606 Attn: General Counsel 6, Full Force and Effect. Except as set forth in this Agreement, the City Loan Documents remain unmodified and are in full force and effect 7. Headings. The headings used in this Agreement arc for convenience only and shall be disregarded in interpreting the substantive provisions of this Agreement. 8. Exhibits. All attached exhibits are incorporated herein by reference. 9. Successors and Assigns. This Agreement shall be binding on and inure to the benefit of the legal representatives, heirs, successors and assigns of the parties. 10. California Law. This Agreement shall be governed by and construed in accordance with the laws of the State of California. 11. Invaliditv. Any provision of the Agreement which is determined by a court to be invalid or unenforceable shall be deemed severed herefrom, and the remaining provisions shall remain in full force and effect as if the invalid or unenforceable provision had not been a part hereof, 12. Counte . arts. This Agreement may be signed by the different parties hereto in counterparts, each of which shall be deemed an original but all of which together shall constitute one and the same agreement. SIGX4TUTiES ONT4OLLOfVING PAGE 1076\49A1843311.2 25B -5 IN WITNESS WHEREOF, the City and the Borrower have duly executed this Agreement as of the day and year first above written. CITY: BORROWER: 1076\49\ 1843311.2 CITY OF SANTA ANA, a charter city and municipal corporation ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM CITY OF SANTA ANA David Cavazos City Manager DEPOT AT SANTIAGO, LP, a California limited partnership By: OHDC Depot, LLC, a California limited liability company, its managing general partner By: Orange Housing Development Corporation, a California nonprofit corporation, its sole member go Eunice Hobert, Chief Executive Officer By: C &C Depot, LLC, a California limited liability company, its administrative general partner By: C & C Development Co., LLC, a California limited liability company, its sole member r By: Todd R. Cottle, its member By: Barry A. Cottle, Trustee of The Cottle Family Trust Dated 3/8/1987, its member M A notary public or other officer completing this certificate verifies only the I identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document, STATE OF CALIFORNIA COUNTY OF On , before me, Notary Public, personally appeared who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acknowledged to me that he /she /they executed the same in his/her /their authorized capacity(ies), and that by his/her /their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify UNDER PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. 1076A49A1843311.2 WITNESS my hand and official seal. Name: Notary Public 25B -7 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfiihress, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF On , before me, , Notary Public, personally appeared who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acknowledged to me that he /she /they executed the same in his/her /their authorized capacity(ies), and that by his /her /their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. 1 certify UNDER PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. 1076 \49\1843311,2 WITNESS my hand and official seal. Name: Notary Public r - A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA ) COUNTY OF ) On , before me, , Notary Public, personally appeared who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acknowledged to me that he /she /they executed the same in his/her /their authorized capacity(ies), and that by his/her /their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument, I certify UNDER PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. 1076 \49 \18433112 WITNESS my hand and official seal. Name: Notary Public 25B -9 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF On , before me, Notary Public, personally appeared who proved to the on the basis of satisfactory evidence to be the person(s) whose name(s) is /are subscribed to the within instrument and acl<nowledged to me that he /she /they executed the same in his/her /their authorized capacity(ies), and that by his/her /their signature(s) on the instnunent the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify UNDER PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. 1076 \49 \1843311.2 WITNESS my hand and official seal. Name; Notary Public 25B -10 EXHIBIT A PROPERTY LEGAL DESCRIPTION Real property in the City of Santa Ana, County of Orange, State of California, described as follows: PARCEL 1: ALL OF BLOCK 52 OF THE TOWN OF SANTA ANA EAST, AS SHOWN ON THE OFFICIAL MAP OF SAID TOWN, RECORDED IN BOOK 10, PAGE 43, OF MISCELLANEOUS RECORDS, IN THE OFFICE OF THE RECORDER OF THE COUNTY OF LOS ANGELES. EXCEPTING AND RESERVING UNTO SOUTHERN PACIFIC RAILROAD COMPANY, A CORPORATION, THEIR SUCCESSORS AND ASSIGNS, ALL PETROLEUM, OIL, NATURAL GAS AND PRODUCTS DERIVED THEREFROM WITHIN OR UNDERLYING SAID LAND, OR THAT MAY BE PRODUCED THEREFROM AND ALL RIGHTS THERETO; PROVIDED, HOWEVER, THAT SAID SOUTHERN PACIFIC RAILROAD COMPANY, A CORPORATION, THEIR SUCCESSORS AND ASSIGNS, SHALL NOT USE THE SURFACE OF SAID LAND IN THE EXERCISE OF ANY OF SAID RIGHTS, BUT SHALL HAVE THE RIGHT TO ENTER INTO AND USE THE SUB - SURFACE OF SAID LAND BY LATERAL OR SLANT DRILLING AND BORING FOR SUCH PURPOSES; PROVIDED, FURTHER, THAT IN SO DOING SAID SOUTHERN PACIFIC RAILROAD COMPANY, A CORPORATION, THEIR SUCCESSORS OR ASSIGNS, SHALL NOT DISTURB THE SURFACE OF SAID LAND, OR ANY IMPROVEMENTS THEREON, OR REMOVE OR IMPAIR THE LATERAL OR SUBJECT SUPPORT OF SAID LAND, OR ANY IMPROVEMENT THEREON, BY DEED RECORDED JULY 14, 1945, IN BOOK 1326, PAGE 24, OFFICIAL RECORDS OF ORANGE COUNTY, CALIFORNIA, ALSO EXCEPTING THEREFROM THOSE PORTIONS OF LOTS 15 AND 16 OF BLOCK 52 GRANTED TO THE CITY OF SANTA ANNA, A MUNICIPAL CORPORATION BY FINAL ORDER OF CONDEMNATION, CASE NO. 160 973, RECORDED NOVEMBER 26, 1969, AS INSTRUMENT NO. 15762, IN BOOK 9148, PAGE 783 OF OFFICIAL RECORDS. PARCEL 2: THAT PORTION OF LOT 8 IN BLOCK D OF HAWKIN'S ADDITION TO SANTA ANA, AS SHOWN ON A MAP RECORDED IN BOOK 13, PAGE 36 OF MISCELLANEOUS RECORDS OF LOS ANGELES COUNTY, CALIFORNIA, DESCRIBED AS FOLLOWS: BEGINNING AT THE NORTHWEST CORNER OF SAID LOT 8 OF THE HAWKIN'S ADDITION TO SANTA ANA; THENCE SOUTHEASTERLY 77.22 FEET TO A POINT DISTANT SOUTHERLY, MEASURED AT RIGHT ANGLES 69.80 FEET FROM THE NORTH LINE OF SAID LOT 8, SAID POINT BEING ALSO DISTANT WESTERLY, MEASURED AT RIGHT ANGLES 93.87 FEET FROM THE EAST LINE OF SAID LOT 8; THENCE NORTHEASTERLYTO A POINT DISTANT SOUTHERLY, MEASURED AT RIGHT ANGLES 31.53 FEET FROM THE SAID NORTH LINE, SAID POINT BEING ALSO DISTANT WESTERLY, MEASURED AT RIGHTANGLES 14.34 FEET FROM THE SAID EAST LINE, SAID POINT BEING ALSO THE POINT OF TANGENCY WITH A CURVE CONCAVE NORTHWESTERLY, HAVING A RADIUS OF 25.00 FEET; THENCE NORTHEASTERLY ALONG SAID CURVE THROUGH A CENTRAL ANGLE OF 640 50'49" AN ARC - DISTANCE OF 28.36 FEET TO THE POINT OF TANGENCY WITH THE EAST LINE OF SAID LOT 8; THENCE NORTHERLY ALONG SAID EAST LINE 8.87 FEET; THENCE WESTERLY 126.9 FEET ALONG THE NORTH LINE OF SAID LOT 8 TO THE POINT OF BEGINNING, APN: 398- 202 -01 and 398 - 202 -10 1076\49 \184331 L2 A -1 25B -11 EXHIBIT B FORM OF AMENDED AND RESTATED CITY PROMISSORY NOTE AMENDED AND RESTATED CITY PROMISSORYNOTE $3,000,000.00 February 1, 2016 Santa Ana, California FOR VALUE RECEIVED, Depot At Santiago L.P., a California limited partnership (the "Borrower"), promises to pay to THE CITY OF SANTA ANA, a municipal corporation and charter city (the "City "), or order, at the City office at 20 Civic Center Plaza, Santa Ana, California 92701, or such other place as the City may designate in writing, the sum of Three Million Dollars ($3,000,000.00) (the "Note Amount "), in currency of the United States of America, which at the time of payment is lawful for the payment of public and private debts. This Amended and Restated City Promissory Note annends and restates, and cancels, in its entirety, the City Promissory Note in the original principal amount of Three Million 'Dollars ($3,000,000.00), dated as of July 11, 2013, executed by the Borrower in favor of the City. 1. Agreement. This Amended and Restated City Promissory Note (the "Note ") is given in accordance with that certain Loan Agreement executed by the City and Borrower, dated concurrently herewith (the "Agreement ") with regard to the development of the property located at 923 N. Santiago Street, Santa Ana, California ( "the Property ") for use as an affordable rental housing project ( "the Project "). The rights and obligations of the Borrower and the City under this Note shall be governed by the Agreement aid by the additional terms set forth in this Note. Capitalized terms not defined herein shall have the meaning ascribed to such tenn in the Agreement. In the event of any inconsistencies between the terms of this Note and the terms of the Agreement or any other document related to the Note Amount, the terms of this Note shall prevail. 2. Interest, The Note Amount shall bear simple interest at the rate of Three Percent (3 %) per annum, from the date of issuance of the Certificate of Occupancy /Completion. - 3. Repayment of Note Amount. The Note Amount shall be paid by the Borrower's annual payment to the City of an amount equal to thirty -one and forty -seven one hundredths percent (31.47 %) of the Residual Receipts (as defined below) from operation of the Project as determined by a residual receipts calculation from the operation of the Project the preceding calendar year. Annual Residual Receipts payment shall be paid by the Borrower and shall be delivered on or before one hundred fifty (150) days after the end of the Borrower's fiscal year, of each year dining the term of this Note first following the date the Project is placed in service, until the Note Amotmt and all rmpaid interest thereon has been repaid in full. Any remaining portion of the Note Amormt shall be due and payable on the earlier to occur of (a) the fifty -fifth B -1 1076 O 843311.2 25B -12 (55th) anniversary of the date of the issuance of the Certificate of Completion for the Project; or (b) July 11, 2071. Notwithstanding the foregoing, the full Note Amount may be accelerated as set forth in Section 14 hereof. 4. Definitions. As used herein, "Annual Project Revenue" shall mean all gross income and all revenues of any kind from the Project in a calendar year, including without limitation, rent, Section 8 housing assistance payments, if any, late charges, vending machine income, and any other revenues of whatever kind or nature from the Project, except that security deposits (until applied), interest on security deposits and required reserves, sales proceeds, and the proceeds of loans, refinancings, condemnation, insurance claims, and partner capital contributions, shall not be considered Annual Project Revenue, As used herein, "Applicable Federal Rate" means the interest rate set by the United States Treasury from time to time for the purpose of determining applicable Low Income Housing Tax Credit interest rates published by the Internal Revenue Service in monthly reserve rulings. As used herein, "Debt Service" means regularly scheduled payments of principal and interest made in a calendar year pursuant to the financing obtained for the development and ownership of the Project which has been approved by the City pursuant to the Agreement, and which is senior in lien priority to the City Loan, but excluding payments made pursuant to the Promissory Note. As used herein, "Capital Replacement Reserve" shall mean a reasonably required reserve not to exceed $250 per unit per year (or such greater amount as may be required by lenders or investors for the Project, to be used for the purpose of replacing capital items. On or before one hundred fifty (150) days after the end of the Borrower's fiscal year, of each year commencing in the year after the issuance of the Certificate of Completion for the Project, the Borrower shall annually provide the City an audited financial statement for the Project and a Residual Receipts Report, in the form attached hereto as Exhibit A, which shall describe in detail the Annual Project Revenue, Debt Service, Operating Expenses, Capital Replacement Reserve (including deposits therein and expenditures therefrom), and Residual Receipts for that year for the Project. The Borrower shall also submit to the City, on or before one hundred fifty (150) days after the end of the Borrower's fiscal year, of each year commencing in the year of the issuance of the Certificate of Completion for the Project, annual audited financial statements with respect to the Project that have been reviewed by an independent certified public accountant, together with an expressed written opinion of the certified public accountant that such financial statements present the financial position, results of operations, and cash flows fairly and in accordance with generally accepted accounting principles. " Operating Budget" and "Annual Budget" shall mean the annual operating budget for the Project that sets forth the projected Operating Expenses for the upcoming year that is subject to and shall be submitted for review and approval by the Deputy City Manager or his /her designee, in his /her reasonable discretion, each year during the Affordability Period pursuant to the Agreement. B -2 1076\49 \i843311.2 25B -13 "Operating Expenses" shall mean actual, reasonable and customary (for comparable high quality rental housing developments in Orange County) costs, fees and expenses directly incurred, paid, and attributable to the operation, maintenance and management of the Project in a, calendar year, and which is reasonably consistent with the annual Operating Budget for the Project approved by City pursuant to the Agreement, including: painting, cleaning, repairs, alterations, landscaping, utilities, refuse removal, certificates, permits and licenses, sewer charges, real and personal properly taxes, assessments, insurance, security, advertising and promotion, janitorial services, cleaning and building supplies, purchase, repair, servicing and installation of appliances, equipment, fixtures and furnishings, fees and expenses of property management, fees and expenses of accountants, attorneys and other professionals, the cost of social services and other housing supportive services provided at the Project consistent with Borrower's approved Tax Qedit Applications to TCAC for the Project, repayment of any completion or operating loans made to Borrower, and other actual, reasonable and customary operating costs and capital costs which are directly incurred and paid by Borrower, but which are not paid from or eligible to be paid from the Capital Replacement Reserve or any other reserve accounts for the Project. To the extent the Operating Expenses for the Project are not reasonably consistent with the annual Operating Budget for a given year, the City Manager shall reasonably review and approve to confirm such Operating Expenses are reasonable and actually incurred; provided, no approval shall be required for emergency expenditures reasonably necessary or appropriate to preserve life, limb, or property. Operating Expenses shall exclude all of the following: (i) salaries of employees of Borrower or Borrower's general overhead expenses, or expenses, costs and fees paid to an Affiliate of Borrower, to the extent any of the foregoing exceed the expenses, costs or fees that would be payable in a bona fide arms' length transaction between unrelated parties in the Orange County area for the same work or services; (ii) any amounts paid directly by a tenant of the Rental Portion of the Project to a third party in connection with expenses which, if incurred by Borrower, would be Operating Expenses; (iii) optional or elective payments with respect to financing approval pursuant to the Agreement (the "Senior Loan") (unless made with the consent of the City Manager in her reasonable discretion); (iv) expenses, expenditures, and charges of any nature whatsoever arising or incurred by Borrower prior to completion of the Project with respect to the development, maintenance and upkeep of the applicable the Project, or any portion thereof, including, without limitation, all costs and capitalized expenses incurred by Borrower in connection with the acquisition of the Site from the City (e.g. not leasing to low income tenants), all predevelopment and preoonstruction activities conducted by Borrower in connection with the Project, including, without limitation, the preparation of all plans and the performance of any tests, studies, investigations or other work, and the construction of the Project and any on -site or off-site work in connection therewith; (vi) depreciation, amortization, and accrued principal and interest expense on deferred payment debt; and (vii) any partnership related fees to the extent they are not paid as capitalized expenses. "Partnership Agreement" means the most current partnership agreement between the Borrower and the Investor Limited Partner. of: 1076 \49 \1843311..2 "Residual Receipts" shall mean Amoral Project Revenue for the Project less the sum II 25B -14 (i) Operating Expenses; (ii) Debt Service; (iii) Reserve Deposits to the Capital Replacement Reserve; (iv) Borrower paid Expenses, including without limitation, an asset management or similar fee paid to the Borrower's investor limited partner or its affiliate in amounts not to exceed $5,000 per year escalating at 3% amntally (provided, however, such fee shall only be payable during the fifteen (15) -year compliance period as described in Section 42(i)(1) of the Code) and a partnership management fee or similar fee paid to the managing general partner of Borrower in amounts not to exceed $25,000 per year escalating at 3% annually; (v) Unpaid Tax Credit adjustment amounts, if any (after review and reasonable verification by City Manager of documents provided by Borrower showing propriety of such amounts and payments); (vi) Repayment of loans, if any, made by the limited partner(s) of Borrower, including interest at the Applicable Federal Rate (the propriety of any such loans must be reasonably verified by City Manager); (vii) Property management fee for the Project which remains unpaid after payment of Operating Expenses, if any; (viii) Deferred Developer Fee for the Project which remains unpaid, if any, including interest at the Applicable Federal Rate, if applicable; (ix) Repayment of outstanding development and operating loans, if any, made by the administrative and /or managing general partners and/or the Guarantors to the Project, including interest at the Applicable Federal Rate (the propriety of any such loans pursuant to the terms of the Partnership Agreement must be reasonably verified by City Manager); and (x) Capital contributions to the Project, if any, made by the general partners or managing member, as applicable, of Borrower that were used to pay the Borrower Fee. 5. Security. This Note is secured by a Deed of Trust (the "Deed of Trust ") dated as of the same date as this Note. 6. Nonrecourse. This Note shall constitute a nonrecourse obligation of Borrower. Neither Borrower, not any of its partners (general or limited) shall have any personal liability for payment or performance of this Note. In the event of a default hereunder, the City's sole recourse shall be to proceed against the collateral described in the Deed of Trust. Waivers. a. Borrower expressly agrees that this Note or any payment hereunder may be extended from time to time at the City's sole discretion and that the City may accept security in B -4 1076 \49 \18433112 25B -15 consideration for any such extension or release any security for this Note at its sole discretion all without in any way affecting the liability of Borrower. b. No extension of time for payment of this Note made by agreement by the City with any person now or hereafter liable for the payment of this Note shall operate to release, discharge, modify, change or affect the original liability of Borrower order this Note, either in whole or in part, C. The obligations of Borrower under this Note shall be absolute and Borrower waives any and all rights to offset, deduct or withhold any payments or charges due under this Note for any reasons whatsoever. d. Borrower waives presentment, demand, notice of protest and nonpayment, notice of default or delinquency, notice of acceleration, notice of costs, expenses or leases or interest thereon, notice of dishonor, diligence in collection or in proceeding against any of the rights of interests in or to properties securing of this Note, and the benefit of any exemption under any homestead exemption laws, if applicable. C. No previous waiver and no failure or delay by City in acting with respect to the terms of this Note or the Deed of Trust shall constitute a waiver of any breach, default, or failure or condition under this Note, the Deed of Trust or the obligations secured thereby. A waiver of any terns of this Note, the Deed of Trust or of any of the obligations secured thereby rust be made in writing and shall be limited to the express written terms of such waiver. 8. Attorneys' bees and Costs. Borrower agrees that if any amounts due under this Note are not paid when due, to pay in addition, all costs and expenses of collection and reasonable attorneys' fees paid or incurred in connection with the collection or enforcement of this Note, whether or not suit is filed. 9. Joint and Several Obligation. This Note is the joint and several obligation of all makers, sureties, guarantors and endorsers, and shall be binding upon them and their heirs, successors and assigns. 10. Amendments and Modifications. This Note may not be changed orally, but only by an amendment in writing signed by Borrower and by the City. 11. City May Assign. City may, at its option, assign its right to receive payment under this Note without necessity of obtaining the consent of the Borrower. 12. Borrower Assignment Prohibited. In no event shall Borrower assign or transfer any portion of this Note without the prior express written consent of the City, which consent shall not unreasonably be withheld, except pursuant to a transfer which is permitted or approved pursuant to the terms of the Agreement. 13. Terms. Any terms not separately defined herein shall have the same meanings as set forth in the Agreement. B -5 1076WJ843311,2 25B -16 14. Acceleration and Other Remedies. Upon: (a) the occurrence of an event of Default as defined in the Agreement and delivery of notice and expiration of the cure period described therein, or (b) Borrower selling, contracting to sell, giving an option to purchase, conveying, leasing, farther encumbering, mortgaging, assigning or alienating the Borrower's interest in the Project (other than as permitted or approved pursuant to the Agreement), whether directly or indirectly, whether voluntarily or involuntarily or by operation of law, or any interest in the Project, or suffering its title, or any interest in the Project to be divested, whether voluntarily or involuntarily, without the consent of the City or as otherwise approved or permitted under the Agreement, City may, at City's option, declare the outstanding principal amount of this Note, together with the then accrued and unpaid interest thereon and other charges hereunder, and all other sums secured by the Deed of Trust, to be due and payable immediately, and upon such declaration, such principal and interest and other sums shall immediately become and be due and payable without demand or notice, all as further set forth in the Deed of Trust. All costs of collection, including, but not limited to, reasonable attorneys' fees and all expenses incurred in connection with protection of, or realization on, the security for this Note, may be added to the principal hereunder, and shall accrue interest as provided herein. City shall at all times have the right to proceed against any portion of the security for this Note in such order and in such manner as such City may consider appropriate, without waiving any rights with respect to any of the security. Any delay or omission on the part of the City in exercising any right hereunder, under the Agreement or under the Deed of Trust shall not operate as a waiver of such right, or of any other right, No single or partial exercise of any right or remedy hereunder or under the Agreement or any other document or agreement shall preclude other or further exercises thereof, or the exercise of any other right or remedy. The acceptance of payment of any sum payable hereunder, or part thereof, attar the due date of such payment shall not be a waiver of City's right to either require prompt payment when due of all other sums payable hereunder or to declare an event of Default for failure to make prompt or complete payment. 15. Permissible Refinancing. The Borrower shall only be permitted to refinance under the following circumstances, after obtaining prior approval of the Deputy City Manager or his/her designee: a. refinance in order to obtain a better /lower interest rate; or b. refinance for major rehabilitation/repairs necessary to preserve the Property. 16. Successors and Assigns, Whenever "City" is referred to in this Note, such reference shall be deemed to include the City of Santa Ana and its successors and assigns, including, without limitation, any subsequent assignee or holder of this Note. All covenants, provisions and agreements by or on behalf of Borrower, and on behalf of any makers, endorsers, guarantors and sureties hereof which are contained herein shall inure to the benefit of the City and City's successors and assigns. 17. Buy Out Option. In the event that there is a decision to sell the Property to an outside entity not affiliated with the Developer, its Managing General Partner or its Administrative General Partner, the Managing General Partner of Borrower or its affiliate Orange Housing Development Corporation shall be given the first right of refusal or the General B -6 107649 \1843311.2 25B -17 Partners may exercise the purchase option pursuant to the Borrower's Partnership Agreement. If neither of these options or the right of first refusal are exercised by the General Partners of Borrower, then the City shall have the second right of refusal. 18. Miscellaneous. Time is of the essence hereof This Note shall be governed by and. construed under the laws of the State of California except to the extent Federal laws preempt the laws of the State of California. Borrower irrevocably and unconditionally submits to the jurisdiction of the Superior Court of the State of California for the County of Orange in connection with any legal action or proceeding arising out of or relating to this Note. Borrower also waives any objection regarding personal or in rem jurisdiction or venue. ,Signatures on Following Page B -7 1076 \49 \1843311.2 25B -18 IN WITNESS WHEREOF, Borrower has executed this City Promissory Note as of the date set forth hereinabove. BORROWER: Depot at Santiago, LP, a California limited partnership By: OHDC Depot, LLC, a California limited liability company, its managing general partner By: Orange Housing Development Corporation, a California nonprofit corporation, its sole member 0 Eunice Robert, Chief Executive Officer By: C &C Depot, LLC, a California limited 'liability company, its administrative general partner By: C & C Development Co., LLC, a California limited liability company, its sole member M 0 Todd R. Cottle, its member Bany A. Cottle, Trustee of The Cottle Family Trust Dated 3/8/1987, its member B -8 1076449\1 843311.2 25B -19 25B -20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE, MEMORANDUM OF UNDERSTANDING WITH THE SEIU PART TIME NON CIVIL SERVICE UNIT (STRATEGIC PLAN NO. 7,6) CITY MA GE�4A R� RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: UTM10071t FA M As Recommended [] As Amended ❑ Ordinance on 1m Reading [� Ordinance on 2 Reading ❑ Implementing Resolution © Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Memorandum of Understanding with the Service Employees International Union, Part Time Non Civil Service Unit, subject to non - substantive changes approved by the City Manager and City Attorney, regarding wages and other terms and conditions of employment for a two -year period ending June 30, 2017, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The City and the Service Employees International Union (SEIU) recently completed contract negotiations, resulting in a new Memorandum of Understanding for the Part Time Non Civil Service Unit. The provisions of this agreement include: 1) Term: A two -year term, from July 1, 2015 through June 30, 2017. 2) Salary: A 2.5% increase on both July 1, 2015 and July 1, 2016. 3) Paid Sick Leave /Personal Necessity: 24 to 52 hours of paid time provided to employees based on years of service. 4) Increase in Allowable Work Hours: Employees enrolled in the CalPERS retirement system may work up to 1040 hours per year (20 hours per week). 5) Holiday Overtime: Employees may receive overtime for work on July 4t" (actual holiday) instead of July 3rd (observed holiday) when the holiday falls on a Saturday. 6) Employee Terminations: An employee being terminated from employment may receive a review from the department head and City Manager or designee. 25C -1 Agreement with the SEIU Part Time Non Civil Service Unit March 1, 2016 Page 2 7) Paycheck: An employee who does not receive a paycheck due to City's administrative error may receive a special paycheck within five business days. 8) Training: Employees will receive training and policies /procedures. 9) Uniforms: Uniformed employees will receive a sufficient number of uniforms per year and may request additional uniforms. 10) Callback Pay: Employees who are called back to work when not scheduled will receive a minimum of one hour of pay. 11) Work - Related Expenses: Employees will be reimbursed for pre- approved work - related expenses. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #6 - (Provide a positive workplace environment that supports the health of its employees and celebrates its success and Goals). FISCAL IMPACT This agreement will result in a cost of $156,167 during fiscal year 2015 -16 and a cost of $316,238 during fiscal year 2016 -17 for a total cost to the City of $472,405 during the term of the Memorandum. Funds are budgeted and available within the various Departmental salary accounts. APPROVED AS TO FUNDS AND ACCOUNTS: I\ Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1: Memorandum of Understanding, SEIU PTNCS Unit 25C -2 JULY 1, 2015 - JUNE 30, 2017 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND SANTA ANA CITY EMPLOYEES, CHAPTER 1939 /SERVICE EMPLOYEES INTERNATIONAL. UNION LOCAL 721, PART TIME NON CIVIL SERVICE EMPLOYEE REPRESENTATION UNIT 25C -3 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND SANTA ANA CITY EMPLOYEES, CHAPTER 1939 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721, PART TIME EMPLOYEE NON CIVIL SERVICE REPRESENTATION UNIT FOR THE PERIOD JULY 1, 2015 — JUNE 30, 2017 TABLE OF CONTENTS ARTICLE SUBJECT PAGE Article I Recognition 3 Article I1 Non - Discrimination Clause 4 Article III Working Conditions 5 Article IV Compensation and Overtime 7 Article V Union Trust & Insurance l l Article VI City -Paid Training /Instruction 12 Article VII Uniform Maintenance, Safety Shoes & Tools 13 Article VIII Miscellaneous Provisions 14 Article IX Grievance Review Procedure 17 Article X Agency Shop, Dues Deduction & Indemnification 19 Article XI City Rights 21 Article XII Waiver of Bargaining During Tern of Agreement 23 Article X111 Emergency Waiver Provision 23 Article XIV Separability Provision 23 Article XV Tenn of Agreement 24 Article XVI Ratification & Execution 25 Exhibit A SEIU Part Time Hourly Wage Rate Schedule 27 (Effective 7 -1 -15) 25C -4 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers- Milias -Brown Act, Government Code Section 3500, et seq., the City of Santa Ana (hereinafter called the "City ") has recognized Santa Ana City Employees, Chapter 1939 /Service Employees International Union Local 721, (hereinafter called the "Union ") as the exclusive representative of the representation unit which includes part time personnel employed by the City as defined in Section 1.2, immediately hereafter. 1.2 To be entitled to the contract rights provided in this Part-Time Employee Representation Unit, employees must be employed in the classifications listed in Exhibit A respectively. 1,3 In accordance with Article X, Section 1002 of the City Charter of the City of Santa Ana, all Part Time positions or employments requiring less than twenty (20) regular hours of employment per week are in the "Excepted Service" of the City; that is, they are not covered by the Civil Service System of the City. Nothing in this Agreement shall be deemed to confer any vested rights or rights greater than those provided in the Charter or ordinances of the City to employees in the Part Time representation unit. 25C -5 ARTICLE II 2.0 NON - DISCRIMINATION 2.1 The City and the Union agree that they shall not discriminate against any employee because of race, color, sex, age, sexual orientation, national origin or alienage, political or religious opinions or affiliations, or union membership, and that all jobs are open to males and females. The City and the Union shall reopen any provision of this Agreement for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in any provision or provisions of this Agreement in compliance with State or Federal anti - discrimination laws. 2.2 Whenever reference is made to the feminine gender, it shall be understood to include the masculine gender, unless expressly stated otherwise. 4 25C -6 ARTICLE III 3.0 WORKING CONDITIONS 3.1 Hours of Work. The Department Head, or his or her designee, subject to regulation and control by the City Manager, shall determine the number of hours of work per day and work week which any Part Time employee may be required to work, or whether such Part Time employee shall work at all. A. Rest Period. A paid rest period of fifteen (15) minutes duration may be granted during each work period of four (4) or more hours, subject to the operational needs and staffing requirements of the department during that period. B. Meal Period, Part Time employees who are scheduled to work and who work a minimum of six (6) hours in a day shall be entitled to a non -paid lunch period of one -half (%) hour. Such non -paid lunch periods shall be scheduled at or about the midpoint of each work shift. 3.2 Maximum Hour Limits. Part Time employees are limited to a maximum of twenty (20) hours of work per week. A. Part Time employees who are not members of the California Public Employees Retirement System (CaIPERS) are limited'to a maximum of nine hundred and ninety -nine (999) hours per fiscal year (July 1 each year through June 30 of the following year). B. Part time employees who are members of CaIPERS may work a maximum of 1040 hours per fiscal year. The City will provide timely notification to Part Time employees prior to the attainment of their maximum annual limit of work hours, but failure to provide such notification shall not be the basis for any liability of the City. 3.3 Public Relations. The parties agree that the image of the public employee in the community must be maintained if high levels of employee morale are to be achieved. To this end, the parties agree to mutually pledge their best efforts over the life of this Agreement to continuously encourage employees to be courteous, helpful and industrious in all their public contacts and when in public view during the full duty period. 3.4 Health and Safety. The parties agree that industrial health and safety are mutual concerns of the City and of the Union. The City and the employees covered by this Agreement agree to comply with all applicable Federal, State, and local laws, and City of Santa Ana 25C -7 regulations, which pertain to health and safety. The Union agrees to encourage employees to work safely and efficiently. 15 Sub - Contracting. In the event the City decides to sub - contract the work currently performed by bargaining unit employees it will provide notice to the Union. 25C -8 ARTICLE IV 4.0 COMPENSATION AND OVERTIME 4.1 Wage Rate Schedule. The wage rates for designated class titles to which Part Time employees are assigned are specified on the attached Exhibit A. Effective July 1, 2015, the base salaries of employees covered by this MOU shall be increased by 2.5 %. Effective July 1, 2016, the base salaries of employees covered by this MOU shall be increased by 2.5 %. 4.2 Compensation for Hours Worked. An employee's paycheck shall reflect the actual hours worked during that pay period. A. Adjustment of Time Sheets. The employee must be given an explanation of any changes to his /her time sheet within 24 hours of any change. B. Pay Day; If an employee's timesheet and /or paycheck payroll record is not processed in the applicable designated pay period and the employee is not at fault for improperly submitting paperwork, the employee may request a special paycheck to be paid within five business days of the regular pay day. The employee must verify that they have submitted the proper paperwork by the department payroll deadline and the Department will have the opportunity to review the claim. Upon confirnvng the employee is not at fault, the special paycheck will be produced within five business days. 4.3 Initial Wade Rate. The initial wage rate for new employees covered by this Agreement shall be the lowest rate assigned to the class title in the aforementioned Park Time Wage Rate Schedule (Exhibit A) to which the employee is appointed; provided, however, the Appointing Authority may appoint a new employee at a 'higher step in the applicahle wage rate range assigned to the class title if there has been unusual difficulty in recruiting competent employees at the lowest rate, or the higher initial rate selected is commensurate with the education and experience of the appointee. An employee shall be entitled to advance to the next higher step, if any, in the rate range assigned to his or her class title in accordance with further provisions of this Article. 4.4 Advancement within Ranges. A. Part Time employees shall be entitled to advance from Step A to Step B after completing 1040 hours of work, effective the first day of the pay period next following the date of completion of said number of work hours. 25C -9 B. Progression to successively higher steps shall be in accordance with the following schedule. 1. Step B to Step C, after completion of 1040 hours of work at Step B; 2. Step C to Step D, after completion of 1040 hours of work at Step C; 3. Step D to Step E, after completion of 1040 hours of work at Step D, The effective date of an increase to a higher step shall be the first day of the pay period next following the date of completion of the specified number of work hours required for advancement. 4.5 Bilingual Pay. A Part Tune employee who is assigned by a Department Head or his or her designee to a position requiring bilingual capability in both English and any other languages designated by the Orange County Registrar of Voters as necessary for official voting information and or Federal Voting Rights Act, shall be paid an hourly assigmnent pay differential in accordance with the criteria and amounts set forth below: A. Certification by the Executive Director of Personnel Services, or his or her designee, as having satisfactorily demonstrated conversational fluency in both languages for any position requiring bilingual capability. B. Positions where it has been determined by the Department Head that bilingual proficiency is essential to carry out duties and responsibilities of a critical and /or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major, essential or integral element of the work being performed, shall be designated as Primary Bilingual Assignments. A qualified incumbent of such position shall be paid a differential of one dollar and one cent ($1.01) per hour above his or her base hourly rate effective first full pay period after ratification and adoption by City Council. C. Positions where it has been detennined by a Department Head that regular and frequent bilingual usage is necessary to the performance of duties, but not major, essential, or integral element of the work, shall be designated as a Secondary Bilingual Assignment. A qualified incumbent of such position shall be paid a differential of twenty -three cents ($,23) per hour above his or her base hourly rate. D. The number of such Primary and/or Secondary Bilingual Assignments shall be no larger than the requirements of the department as determined solely by the Department I-lead and the City Manager. E. There shall be periodic recertification of such bilingual capability. 4.6 Deferred Compensation. The City has adopted a qualified retirement plan for all Part Time, Temporary and Emergency employees not covered by CalPERS to satisfy the 25C -10 requirements of the Omnibus Budget Reconciliation Act of 1990. This plan is a qualified Section 457 Deferred Compensation Plan. The disbursement fi-om the plan shall be consistent with the law and the policies and procedures established by the City. A. The City and the Union further agree that all such employees shall be required to contribute 3.75% of their wages into the City- adopted qualified retirement plans, such as Section 457 Deferred Compensation Plan. B. The City agrees to contribute 3.75/0 of all such employees' wages into the employees' retirement plan. C. If, at any time in the future, the Internal Revenue Service rules that the adopted retirement plan does not meet Federal requirements as a qualified alternative retirement system to Social Security coverage, the City shall discontinue its contributions into said plan for affected employees and shall not assume responsibility for the payment of any back taxes due for Social Security coverage or for payments to any other qualified retirement plan for affected employees except for those payments mandated by law to be paid for by an employer. D. In consideration of the inclusion in CaIPERS of all Part Time employees working in excess of 999 hours in any fiscal year, the Union and the City agree that: With respect to Miscellaneous employees covered by this MOU who do not qualify as "New Members" under the California Public Employees' Pension Reform. Act of 2013 (PEPRA), shall be enrolled in the 2.7% r% 55 benefit formula and shall pay the 8% member contribution. New CaIPERS members (as defined under the California Public Employees' Pension Reform Act (PEPRA) of 2013) will be enrolled in the 2% © 62 benefit formula paying one half of the normal cost rate, as established by CalPERS. For FY 15/16, one half the normal cost rate is 6.75 %, E. The City at no time shall be required to pay contributions to two separate retirement systems, 4.7 Overtime. Any work in excess of forty (40) hours in a workweek shall entitle the employee to overtime compensation, at a rate equal to one and one -half (I '/) times the employee's regular hourly rate of pay. A. Employees who work overnight trips and remain available for duty for any 24 hour period shall be paid for 16 hours each 24 hour period. B. Any partial day worked shall be paid based on actual hours worked on that day. 4.8 Holidays. Employees who are required to work on an official City holiday will be compensated at time and one -half (1.5x) for all hours worked. In those years when an employee works on July 4"' but the City observes the holiday on July 3 "', that employee 25C -11 will be compensated at time and one -half (1.5x) for all hours worked on July 4th. If an employee works both July 3" r and July 4"' they will only receive the time and one -half compensation for one of those days. 4.9 Report Pay. Any employee who reports to work for a scheduled shift of 2 hours or more, but is dismissed prior to the completion of 2 hours, shall be compensated for a total of 2 hours. 4.10 Callback Pay. An employee required to report to work when not scheduled, will receive a minimum 1 hour of pay. 4.11 Paid Leave Time. If any of the following events occur during a PTNCS employee normally scheduled work time such employees shall be allowed paid time off for the following purposes: City conducted job examinations /interviews, jury duty and if subpoenaed as a witness in City related litigation. 4.12 Paid Sick Leave. Employees will accrue paid sick leave time in accordance with California's Healthy Workplaces /Healthy Families Act of 2014 (A& 1522) also known as California's Paid Sick Leave Law. The accrued paid sick leave time can be used for purposes as defined in the law for illness or other qualified reasons. Additionally, 50% of the total leave time available for use in a calendar year may be used for personal necessity. The Department may request medical verification if the employee uses sick leave for more than 3 consecutive work days. Each employee can begin using accrued paid sick leave time beginning after the 9011' day of employment according to the following usage schedule: 0 -4 Years of Service 24 hours (12 hours may be used for Personal Necessity) 5 -9 Years of Service 40 hours (20 hours may be used for Personal Necessity) 10+ Years of Service 52 hours (26 hours may be used for Personal Necessity) The word "service" as used in this section shall be deemed to mean continuous, part time service or an equivalent number of hours where one (1) year of service = 1040 hours. Any unused accrued sick leave shall carry over to the following year of employment in accordance with the law. lr 25C -12 ARTICLE V 5.0 UNION TRUST & INSURANCE 5.1 Union Trust Fund. The Union is desirous of establishing a trust fund to reimburse active unit employees for certain benefits. The parties intend that the Union will establish said designated fund to administer certain benefits for active unit employees. The eligibility criteria and benefit levels shall be developed, administered and managed solely by the union. The Trust Fund shall be established in accordance with federal and state laws and the Union shall defend and indemnify the City for any claims regarding the administration of, or the payment of, benefits arising out the administration of the Trust Fund. The Union may elect to cover the costs of establishing and administering the Trust from the City's allocation. The City will set aside the sum of $200,000 on an annual basis to the fund administered by the Union. Annual payments will be made by February 111 of each fiscal year. 5.2 hrsurance Benefits. PTNCS workers may voluntarily participate in the insurance programs offered by the Union's Benefit Trust through payroll deduction. 25C -13 ARTICLE IV 6.0 CITY PAID TRAINING /INSTRUCTION 6.1 The City will provide the necessary training and orientation so that new employees are advised of City -wide policies and procedures and those relating to their assigned work unit. If a Part Time employee is required by his or her Department Head to attend a workshop, seminar, conference or similar training/educational activity, the expense, if any, shall be borne entirely by the department, including the employee's wages. 12 25C -14 ARTICLE VII 7.0 UNIFORM MAINTENANCE, SAFETY SHOES & TOOLS 7.1 Uniform Maintenance. All Part Time employees who are required by the City to wear it uniform while on duty shall be provided a sufficient number of clean uniforms per fiscal year at no cost to the employee. Employees may request additional uniforms based on operational need or to replace worn uniforms with uniforms that are in good condition. The Department shall make a reasonable effort to accommodate all such requests. The City shall provide weather gear (hat, rain gear, rain boots, and a plastic water bottle) for field personnel. 7.2 Safety Shoes. A. The City agrees to pay up to two hundred dollars ($200) per fiscal year per affected employee, for the purchase and /or repair of approved safety shoes/boots, The option of purchase and /or repair shall be at the sole discretion of the employee, B. All safety shoes /boots purchased under this program must meet the requirements under the American Society for Testing and Materials (ASTM) F 2412 -05 and F 2413 -05, C. If a particular class of employment is designated as requiring its incumbents to wear safety shoes, then it will be mandatory for all incumbents of that class to wear the type of safety shoe (boot or low - quarter) deemed to be appropriate by the Department Head (some exemptions may be allowed, on a case -by -case basis, depending on the type and amount of exposure to hazard in particular positions and subject to the approval or disapproval of the City's Safety Officer). D. The procedure necessary to be followed for the implementation and operation of this program shall be in accordance with the existing policies and procedures as previously established by the City. 7.3 Tool Reimbursement Policy. Unit employees with at least one year of service, who are assigned to fleet and are required to use their own tools, will receive a tool reimbursement up to $500 per fiscal year. 13 25C -15 ARTICLE VIII 8.0 MISCELLANEOUS PROVISIONS 8.1 During the term of this Agreement: A. It is understood and agreed that the parties to this MOU are subject to all current and future applicable Federal and California laws, the City of Santa Ana Charter and Municipal Code, as well as the City's Employer - Employee Relations Resolution (Council Resolution No. 8t-75). It is the intent of the parties hereto that the provisions of this Agreement shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and /or personnel rules and regulations or administrative codes, provisions of the City, oral or written, express or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder during the term of this Agreement. This Agreement is not intended to conflict with Federal or State law or the City Charter, The City will provide employees covered by this Agreement a copy of this Agreement and its attachments, including a section containing the Employer - Employee Relations Resolution of the City of Santa Ana. B. Notwithstanding the foregoing, personnel rules and regulations and departmental rules and regulations exist within the City. These riles and regulations shall be continued to the extent they do not contravene specific provisions of this Agreement. Such riles and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, and/or other terns and conditions of employment, the City shall meet and confer with the Union; provided, further, however, no provision of the rules and regulations shall be changed to contravene specific provisions of this Agreement. C. If any part time employee with at least five (5) years of service (5200 hours) is scheduled to be terninated from employment with the City, he or she may request a review of the action with the Department Head or designee and said meeting will take place prior to the effective date of the tenmination. Employees may request further review of the action and the Department Head's response from die City Manager or his /her designee prior to the termination date. D. Union Release Time for Union Officials, Board Members, and Employee Representatives. 1) The City's Executive Director of Personnel Services shall be provided with a list of names and classification titles of the part-time employees serving as the 14 25C -16 Union's Board members, Officers, and Employee Representatives. Such Board members, Officers, and Employee Representatives shall be considered work site representatives. 2) During the term of this Agreement, the City agrees to grant up to a total of fifty (50) hours per fiscal year on a non - cumulative basis to this bargaining unit to allow its work site representatives, without loss of pay, to perform the responsibilities of their positions as follows: the investigation and processing of grievances, including representation at all levels of the grievance procedure; meetings with Department Heads involving the termination of part-time employees, as referenced in Article VII, Section 7.1C; joint labor - management meetings; meet and confer sessions; and contract negotiations. 3) Such part -time work site representatives shall make advance arrangements with their supervisors prior to absenting themselves for such purposes and shall be required by the City to record and report to their supervisors on the work time spent in assisting other employees or on Union business, as defined in #2 above. Such time shall be recorded as "union representative time." 4) Officers, worksite leaders /stewards and /or paid Union representatives shall be permitted to visit break and hunch areas designated by the City, before or after work or during designated lunch periods for the purpose of discussing Union business, ,provided that arrangements are made in advance with the manager responsible for the worksitc. E. Executive Board Member's Union Release Time. 1) The City's Executive Director of Personnel Services shall be provided with the name and classification title of the part -time employee serving as the Union's Executive Board Member. 2) One (1) designated SBIU Local 721 Executive Board Member shall be allowed up to 20 hours per year without loss of pay and benefits to perform the responsibilities of his /her position. 3) The Union shall reimburse the City for 100% of the salary, including any premium payments and benefit costs for Union Release Time. 4) The Union agrees to pay for Union Release Time within thirty (30) days of receiving the bill from the City. 5) Such Executive Board Member shall make advance arrangements with his or her supervisor prior to absenting him or herself for such purpose and shall be required by the City to record and report to his or her supervisor on the work time spent in Union Release Time. Such time shall be recorded as "union release time." 15 25C -17 E Electronic Time keeping. The City agrees to meet and confer when and if it desires to implement an electronic time keeping. G. Promotional Opportunities. The City shall give part -time employees the opportunity to apply for full -time "open," "open and promotional," and "restricted" positions. H. Expense Reimbursement. The City shall reimburse part employees for any pre - approved work - related expenses. 16 25C -18 ARTICLE IX 9.0 GRIEVANCE REVIEW PROCEDURE 9.1 Nothing in this grievance procedure shall be deemed to confer tiny vested rights or rights greater than those provided in the Charter or ordinances of the City of Santa Ana to employees in this representation unit. 9.2 Definition of a Grievance. A grievance shall be defined as a tunely complaint by an employee or group of employees or the Union concerning the interpretation or application of specific provisions of this Agreement, and /or the City's personnel and /or departmental rules applicable to Unit employees. No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure. 9.3 Informal Process _. First Step. A. An employee and /or his or her designated representative must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of fifteen (15) calendar days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within fifteen (15) calendar days, a mutually acceptable solution has not been reached at the informal level, the employee and/or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to the employee's Department Head. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above within fifteen (15) calendar days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. D. Any resolution of the grievance at the informal stage by any person other than a mid -level manager or above shall not become precedence or be used to establish past practice regarding implementation, interpretation, or application of this Agreement. 17 25C -19 9.4 Formal Process. A. Second Step, The Department head, or his or her designated representative, shall meet with the employee and /or the employee's designated representative within Been (15) working days after the grievance has been submitted to the Department Head. The Department Head, or his or her designated representative, shall review the grievance and may affirm, reverse or modify the disposition made at the First Step and shall deliver his or her answer to the employee and /or the employee's designated representative within ten (10) calendar days after said meeting. B. Third Step. If the grievance is not satisfactorily resolved at the Second Step, the employee and /or the employee's representative may submit the grievance in writing to the City Manager, or his or her designated representative, within thirty (30) days of being informed of the disposition made at the Second Step. Failure of the grievant and /or his or her designated representative to take this action shall constitute a waiver and bar to the grievance, and the grievance shall be considered settled on the basis of the disposition made at the Second Step. The City Manager, or his or her designated representative, shall meet with the employee and /or the employee's designated representative, within fifteen (15) calendar days after submission of the grievance. The City Manager, or his or her designated representative, after carefirl review, may affirm, reverse or modify the disposition made at the Second Step and his or her decision, which shall be final and binding, shall be delivered, in writing, to the employee and /or the employee's designated representative within fifteen (15) calendar days after said meeting. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his or her representative's written decision shall be filed in the personnel records of the department and the grievant's personnel jacket maintained in the City Personnel Services Department. 9.5 Reservation of Rights. After the procedure set forth in this Article has been exhausted, the grievant, the Union, and the City shall have all rights and remedies to pursue said grievance under the law. 18 25C -20 ARTICLE X 10.0 AGENCY SHOP, DUES DEDUCTION & INDEMNIFICATION 10.1 Agency She p. A. All employees covered by this MOU, as defined in Article I, shall, as a condition of continuing employment, become and remain members of the Union or shall pay to the Union a service fee in lice thereof. Such service fee shall be one dollar ($1) per month less than Union dues if legally authorized. B. When an employee is hired and meets the qualifying threshold as defined in Article I, the Personnel Services Department shall provide him or her with an authorization form for the deduction of Union dues. Said employees shall have thirty (30) calendar days following the qualifying date to frilly execute the Authorization Form of his or her choice and to return said form to the Agency /Department payroll section. The City shall initiate payroll deduction of Union dues, service fees, or charitable contributions beginning the first pay period of employment. C. Any employee of the City subject to this MOU who wishes to execute a written declaration claiming a religious exemption from paying Union dues, and who is a member of a bona fide religion, body or sect which has historically held conscientious objections to joining or financially supporting a public employee organization and which is recognized as such by the Public Employer Relations Board, shall, upon presentation of verification of active membership in such religion, body or sect be permitted to make a charitable payment. Declarations or applications for religious exemption and any supporting documentation shall be forwarded to the Union within fifteen (15) calendar days of receipt by the City. The Union shall have fifteen (15) calendar days after receipt of a request for religious exemption to challenge any exemption granted by the City Manager or his or her designee. If challenged, the deduction to the charity of the employee's choice shall commence but shall be held in escrow pending resolution of the challenge. Charitable contributions shall be by regular payroll deduction only. For purposes of this section, 'charitable deduction" means a contribution to one of three non - profit organizations, with the United Way being one of them. The Santa Ana City Employees, Chapter 1939 /Service Employees International Union Local 721, shall indemnify and hold the City, its officers and employees, harmless from any and all claims, demands, suits, or any other action arising from the Agency Shop provisions herein. In no event shall the City be required to pay 19 25C -21 from its own funds, Union Dues, service fees or charitable contributions, which the employee was obligated to pay, but failed to pay, regardless of the reasons. 20 25C -22 ARTICLE XI 11.0 CITY RIGHTS 11.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of Management which have not been expressly abridged by specific provision of this Agreement or by law to manage the City, as such rights existed prior to the execution of this Agreement. The sole and exclusive rights of Management, as they are not abridged by this Agreement or by law, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or nonexistence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services, D. To determine the nature, manner, means, technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To detennine types of equipment and /or technology to be used. G. To determine and /or change the facilities, methods, technology, means, and size of the work force by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions including but not limited to the right to contract for or subcontract any work or operation of the City, I. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. J. To relieve employees from duties for lack of work or similar non- disciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this Agreement. K. To establish and modify productivity and performance programs and standards. 21 25C -23 L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code, M. To determine job classifications and to reclassify employees. N. To lure, transfer, promote and demote employees for non - disciplinary reasons in accordance with this Agreement. O. To determine policies, procedures, and standards for selection and training and promotion of employees. P. To establish employee performance standards including but not limited to quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and /or modify rules and regulations to maintain order and safety in the City which are not in contravention with this Agreement, S. To take any and all necessary action to carry out the mission of the City in emergencies. 11.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Union regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this Agreement. 22 25C -24 ARTICLE XII 12.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT 12.1 During the term of this Agreement, the parties mutually agree that they shall not seek to negotiate or bargain with regard to wages, hours and terms and conditions of employment, whether or not covered by the Agreement or in the negotiations leading thereto, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this Agreement. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement in writing, agree to meet and confer about any matter during the term of this Agreement. ARTICLE XIII 13.0 EMERGENCY WAIVER PROVISION 13.1 In the event of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this Agreement and /or personnel and /or departmental rules applicable to unit employees, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergency. After the emergency is declared over, this Agreement shall be reinstated immediately. The Union shall have the right to meet and confer with the City regarding the impact on employees of the suspension of the provisions in the Agreement during the course of the emergency. ARTICLE XIV 14.0 SEPARABILITY PROVISION 14.1 Should any provision of this Agreement be found to be inoperative, void, or invalid by a court of competent jurisdiction, all other provisions of this Agreement shall remain in full force and effect for the duration of this Agreement, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. 23 25C -25 ARTICLE XV 15.0 TERM OF AGREEMENT 15.1 This MOU will expire on June 30, 2017. 24 25C -26 ARTICLE XVI 16.0 RATIFICATION & EXECUTION 16.1 The City and the Union have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto shall jointly urge said Council to adopt this Agreement which provides for the wages, hours and other terms and conditions of employment for employees represented by the Part Time Employees Representation unit. The City and the Union acknowledge that this Agreement shall not be in full force and effect until ratified by the membership of the Union and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this Agreement is hereby executed by the authorized representatives of the City and the Union and entered in to this _ day of 2016. Dated: Dated: Dated: ATTEST: MARIA D. HUIZAR CLERIC OF THE COUNCIL CITY OF SANTA ANA, a municipal Corporation of the State of California MAYOR By: CITY MANAGER EXECUTIVE DIRECTOR OF PERSONNEL SERVICES APPROVED AS TO FORM: SONIA R. CARVALHO CITY ATTORNEY Laura A. Rossini Senior Assistant City Attorney F 25C -27 This Agreement has been ratified by the membership of the Santa Ana City Employees, Chapter 1939 /Service Employees International. Union Local 721, Part Time Employees Representation Unit. Dated: Dated: Dated: Bob Hunt SEN Legal Counsel Michael Lopez SEN President Renee Hernandez, Board Member Dated: Sidney Straut, Board Member 26 25C -28 SEIU PART -TIME HOURLY WAGE RATE SCHEDULE EFFECTIVE JULY 1, 2015 EXHIBIT A JOB TITLE ACCOUNT CLERK I ACCOUNT CLERK 11 ACCOUNTANT ADMINISTRATIVE AIDE ANIMAL KEEPER I ANIMAL KEEPER 11 ASSISTANT SPECIAL EMPLOYMENT COUNSELOR ASSOCIATE SPECIAL EMPLOYMENT COUNSELOR BUILDING MAINTENANCE ASST. CASHIER CLERICAL AIDE CLERK TYPIST 1 CLERK TYPIST 11 COMBINATION INSPECTOR COMMUNITY CENTER AIDE COMPUTER TECHNICIAN CUSTOMER SERVICE CLERK DATA ENTRY CLERK EQUIP. SVC. ATTENDANT GRAPHICS AIDE HOUSING AUTHORITY ASST. INFORMATION DESK CLERK JANITOR LIBRARIAN (PART -TIME) LIBRARY ASSISTANT LIBRARY CLERK I LIBRARY CLERK 11 LOSS CONTROL. OFFICE ASST, MAINTENANCE ATTENDANT MEDIA RELATIONS SPECIALIST MOBILE LIBRARY CLERK MUNICIPAL UTILITY READERICOLL, PAGE PAINTER PARK MAINTENANCE ASST. PARK RANGER (PART TIME) PARK SECURITY GUARD PARKING METER MAINTENANCE AIDE PERMIT PARKING AIDE PLANNING TECHNICIAN POLICE RECORDS CLERK I POLICE RECORDS CLERK II POLICE SUPPLY CLERK PROGRAM COORDINATOR PROGRAM LEADER I PROGRAM LEADER II PUBLIC WORKS RECORDS ASSISTANT PURCHASING AGENT PURCHASING CLERK 27 25C -29 STEP A _STEP_B STEP_C STEP D STEP E 19,02 19,95 20.95 22.00 23.09 21.04 22.09 23.22 24.35 25.57 32.32 33,94 35.63 37.42 39.29 24.12 25.33 26.59 27.92 29.32 11.85 12,45 13.06 13.72 14.39 13.75 14.41 15.15 15.90 16.69 12.55 13.16 13.83 14.53 15.24 14.12 14.82 15.57 16.35 17.16 20.73 21.76 22.85 24.02 25.18 11.62 12.21 12.82 13.49 14.15 1160 14.28 15.02 15.79 16,54 14.95 15.70 16.49 17.32 18.17 17.57 18,44 19.37 20.34 21.33 29.46 30.92 32.49 34.10 35.82 17.96 18.86 19.80 20.80 21.84 19.17 20.13 21.14 22.20 2133 19.76 20.73 21.77 22.86 24.02 16.38 17.21 18.10 18.99 19.94 18.44 19.34 20,34 21.32 22.41 13,44 14.12 14,82 1&57 16,35 21.22 22.27 23.40 24.58 25.81 15.41 16,17 16.99 17.85 18.72 15.11 15.86 16,65 17.48 18.38 21.98 23,07 24.23 25.45 26.72 18.50 19,42 20.39 21.42 22.51 15.41 16.17 16.99 17.85 18,72 17.07 17.92 18.80 19.76 20,73 19.08 20.04 21.02 22,08 23.19 10.32 10,84 11.38 11.97 12.59 19.08 20.04 21.02 22.08 23.19 18.78 19.76 20.71 21,76 22.85 18.90 19,84 2032 21.87 22.97 10.25 10.77 11,30 11.86 12.44 17.91 18,78 19.75 2011 21.76 16.01 16.82 17.67 18.56 19.49 26.58 27.91 29.30 30.78 32.33 19.17 20.13 21,14 22.20 23.33 17.39 18.26 19.19 20.14 21.15 20.39 21.41 22.51 23.61 24.79 24.23 25.43 26.71 28.05 29.46 16.46 17.29 18.15 19.07 20.02 17.91 18.78 19.76 20.71 21,76 17.96 18.86 19.80 20.80 21,84 15.56 16,33 17,14 18.00 18.94 10.25 10Y7 11.30 11.86 12.44 10.74 1128 11,84 12.44 1104 22.71 23.86 25.06 26.31 27.62 30.05 31,54 33.12 34.78 36.51 18.95 19.89 20.91 21.94 23.02 RECREATION FACILITY ATTENDANT RIGHT OF WAY TECHNICIAN SENIOR ADMINISTRATIVE AIDE SENIOR CLERICAL AIDE SENIOR PROGRAM LEADER SPECIAL EVENTS LEADER I SPECIAL EVENTS LEADER II SR, LIBRARY ASSISTANT SR. MAINTENANCE AIDE I SR. MAINTENANCE AIDE II SR. MAINTENANCE WORKER SR. SPECIAL EMP. COUNSELOR SR. TUTOR STORES AIDE STRUCTURAL PLAN EXAMINER I STRUCTURAL PLAN EXAMINER 11 SUPERVISING PARK RANGER (PART TIME) TUTOR WATER CONSERVATION REPRESENTATIVE 28 25C -30 16.01 16.82 17.67 18.56 19.49 15.24 16.01 16.84 17.66 18.52 26.55 27.86 2926 30.72 32.27 15.41 16.17 16.99 17.85 18.72 12.72 1331 14.01 14.70 15.43 12.39 13.01 13.65 14.34 15.06 15.11 15.86 16.65 17.48 18.38 19.64 20.61 21.63 22.73 2186 11.79 12.36 12.98 13.62 14.30 13.36 14.05 14.75 15.46 16.26 16.76 '17.59 18.48 19.38 20.36 15.24 16.01 16.84 17.66 18.52 14.88 15.64 16.40 17.22 18.11 17.59 18.48 19.38 2036 21.36 32.33 33.95 35.64 37.43 39.29 34.61 36.36 38.15 40.06 42.06 30.02 31.54 33.12 34.78 36.51 12.55 13.16 13.83 14.53 15.24 15.56 16.33 17.14 18.00 18.94 25C -31 25C -32 l 1 0 . 'm 0 A WANWAIMANNOMONCO CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: AGREEMENT WITH FRIENDS OF SANTA ANA ZOO FOR THE BENEFIT AND SUPPORT OF THE SANTA ANA ZOO AT PRENTICE PARK (STRATEGIC PLAN NO. 2,2E) k CITY MANAGER CLERK OF COUNCIL USE ONLY :--I;• 1p ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Friends of Santa Ana Zoo for an amount of $60,000 plus 10% of net revenues, estimated at $40,000, for the benefit and support of the Santa Ana Zoo at Prentice Park, for a term from March 1, 2016 through February 28, 2019, with a one, two -year renewal period, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Friends of Santa Ana Zoo ( FOSAZ) is a nonprofit 501(c)3 organization. Their purpose is to market and solicit charitable donations to support the operations, maintenance and expansion of the Santa Ana Zoo at Prentice Park (SAZAPP). FOSAZ recently raised funds for the Zoo's newest exhibit, the Brazilian Ocelot Habitat, and is currently raising funds for the upcoming Giant River Otter Habitat. FOSAZ and the City of Santa Ana collaborate on programs to further the mission of the Santa Ana Zoo at Prentice Park. FOSAZ oversees many planning and fundraising efforts, including the annual "Boo at the Zoo" event, "Sunsets at the Zoo" summer concert series, and " Zoofari" black -tie gala. They also provide staffing and maintenance for the zoo membership program, special events, zoo rentals, Zoofari Express Train and Endangered Species Carrousel rides, and the Treetop Toys Gift Shop. The original agreement between FOSAZ and the City of Santa Ana was approved in December 2001 and amended in December 2006, August 2010, and December 2010. This updated agreement incorporates all of the previous amendments into one document. Additionally, this agreement adds two new revenue sources and clarifies the revenue from FOSAZ's zoo membership sales. Currently, FOSAZ contributes $20,000 annually to help offset the costs of SAZAPP veterinary services. Last year, FOSAZ added an annual $40,000 contribution to the City to help offset the cost of a full -time education staff position. FOSAZ remits 10% net of Gift Shop and Rental revenues to the City's General Fund to reduce the zoo's subsidy. Ride concession revenues from the train and carousel are not currently included in this remittance. In 25D -1 Agreement with Friends of Santa Ana Zoo at Prentice Park for Benefit and Support of the Zoo March 1, 2016 Page 2 this agreement FOSAZ will remit to the City 10% net of all FOSAZ's ride concession revenues. In the current agreement, FOSAZ is required to remit 10% gross of membership sales revenue. To be consistent with other contributions, membership sales revenue will be changed from 10% gross to 10% net, with an approximate annual amount of $40,000. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #2 - Youth, Education, Recreation, Objective #2 (Expand youth programming), Strategy E (Partner with outside agencies and secure funding to rehabilitate zoo exhibits and expand the Santa Ana Zoo at Prentice Park). FISCAL IMPACT Revenues in the amount of $20,000, $40,000 and $40,000 will be budgeted in FY 2016 -2017 Friend of Zoo Vet Contribution (no. 01113002- 57380), Friend of Zoo Contribution (no. 01113002 57383) and Friend of Zoo Education Contribution (no. 01113002 - 57385) revenue accounts, respectively. Future years beyond FY 2016 -2017 will be adjusted, if needed, and budgeted accordingly. Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency EXHIBIT: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, Executive Director Finance and Management Services Agency 25D -2 AGREEMENT BETWEEN THE CITY OF SANTA ANA AND THE FRIENDS OF SANTA ANA ZOO FOR THE BENEFIT AND SUPPORT OF THE SANTA ANA ZOO AT PRENTICE PARK THIS AGREEMENT is made and entered into on this I" day of March, 2016, by and between the City of Santa Ana, a charter city and municipal corporation drily organized and existing under the constitution and laws of the state of California ( "City "), and Friends of Santa Ana Zoo, a California non -profit public benefit corporation, organized for the purpose of supporting the operation, maintenance and expansion of the Santa Ana Zoo at Prentice Park through charitable fmld- raising ( "FOSAZ "). RECITALS A. City owns and operates for the public benefit the Santa Ana Zoo at Prentice Park ( "Zoo "), which is under management and control of the Parks, Recreation and Community Services Agency ( "Agency"). B. FOSAZ was first incorporated in 1982 as Friends of the Children's Zoo for the purpose of supporting and funding a children's petting zoo at the Zoo, and entered into its first agreement with the City for installation of animal food dispensers at the children's zoo. In 1987, the name was changed to Friends of Santa Ana Zoo. C. For over thirty years, the City and FOSAZ (collectively, the "Parties "), have cooperated to develop the Zoo, including the development of new animal habitats, coordination of volunteer services, concession management, and fundraising. D. Cooperation and support by FOSAZ remain ongoing and the Parties now desire to enter into an updated agreement that builds upon the Parties' historical relationship and reflects the present collaborative arrangements between them in support of the Zoo. THEREFORE, the Parties agree as follows; 1. DUTIES AND RESPONSIBILITIES OF CITY A. Ownership and Operation of the Zoo City owns the Zoo property and all exhibits, support facilities, infrastructure, and animals contained within Prentice Park, including exhibits, support facilities, infrastructure, and animals previously purchased by or funded at FOSAZ expense. FOSAZ retains ownership of FOSAZ office building, property and equipment contained within the office, the "Zoofari" train ride, carousel ride, and other subsequently acquired assets as may be agreed by the Parties. In the event of the dissolution of FOSAZ, any and all assets of FOSAZ shall be used to discharge any liabilities and debts of FOSAZ. The balance of such assets, if any, becomes the property of City to be used exclusively for the benefit of the Zoo. In the event that the Page 1 of 11 25D -3 Zoo ceases to exist, the balance of FOSAZ assets shall be distributed by a committee made Lip of the FOSAZ executive committee and an equal number of individuals from the City. B. Administration of the Zoo The Zoo Manager shall be exclusively responsible for the administration and management of the Zoo and direction of Zoo staff, within the policy guidelines set forth by the City Council, City Manager, and Executive Director of the Agency. This includes without limitation all matters related to animal care, maintenance, visitor services, and education, including outreach programs except as otherwise specified in this Agreement. Zoo shall provide that a representative of FOSAZ be permitted to attend regular Zoo management staff meetings. C. Projoct Management City shall have the responsibility for managing all capital and deferred maintenance projects at Zoo. Zoo staff shall oversee all capital and deferred maintenance projects at the Zoo and serve as the primary contact liaison between the City and consultants, architects, engineers, and contractors, Zoo staff shall be the primary contact and liaison between the Parties regarding all capital and deferred maintenance projects at the Zoo. 2. DUTIES AND RESPONSIBILITIES OF FOSAZ A. Oreanizational Structure FOSAZ shall maintain a board of directors as may be provided by its articles of incorporation and by -laws, Unless otherwise provided by FOSAZ, the board of directors shall have the power to bind FOSAZ under this Agreement, FOSAZ shall provide that the Zoo Manager or his or her designee shall be a non - voting advisor to the FOSAZ board, and shall receive notice of meetings in the same manner as a member of the board and shall be entitled to attend and frilly participate in all meetings of the Board with the exception of voting. FOSAZ may appoint an Executive Director who shall act as the primary liaison between the Parties, and shall maintain frequent communication with the City so that the Parties can coordinate FOSAZ fiend- raising activities and Zoo activities. FOSAZ shall provide annually a calendar of special events for approval by the City along with specific staffing requirements. B. Canital Fundraisine The primary mission of FOSAZ under this Agreement shall be to seek and provide financial support for Zoo capital improvements. The Parties (through a joint strategic planning committee) shall mutually develop annual FOSAZ fundraising goals and prioritize exhibits and /or projects to be funded with FOSAZ proceeds. City authorizes FOSAZ to solicit individual, corporate, and foundation finds and contributions for the benefit of the Zoo. Page 2 of i l 25D -4 Sources for fa ndraising shall include, but not be limited to, solicitations, gifts, bequests, charitable events, grants, and special programs. FOSAZ shall coordinate the tinning and format of find raising activities with the Zoo Manager, as set forth in more detail in Section 3 below. C, Membershin FOSAZ is hereby recognized as the official support group for the zoo, and is authorized to solicit membership in its organization based on such status. FOSAZ is authorized to include special privileges at the Zoo, including, but not limited to, free admission, as maybe approved from time to time by the Zoo Manager. FOSAZ may organize and sponsor special events for its members, including afterhours access of Zoo grounds, for the purpose of fundraising for capital improvements, marketing and promotion, educational purposes, and benefit of membership, as approved by the Zoo Manager. D. Volunteer Recruitment and Coordination FOSAZ shall cooperate with the City for volunteer recruitment and shall serve as a contact with the public inquiring about volunteer opportunities at the Zoo. Zoo shall train, or provide orientation, and supervise all volunteers used for education programs, Zoo monitors, animal services, student research, and maintenance. FOSAZ shall train, provide orientation, and supervise volunteers used for FOSAZ special events, community outreach programs, Zoofari train ride operations, or other concessions approved by the City. E. Community Outreach FOSAZ may conduct community outreach programs with the approval of the Zoo Manager that serve to promote the Zoo and promulgate goodwill for the Zoo. The Zoo Manager must approve educational activities and materials. F. Marketing and Promotion FOSAZ may engage in public relations activities, including issuing press releases related to membership acquisition, fund- raising activities, and special events, as approved by the Zoo Manager. Such activities shall include, but not be limited to: marketing, advertisement and promotional materials; Public Service Announcement materials, including videos; social media; and production and management of the Zoo's web page. G. Use and Distribution of Fundraising Proceeds and Membership Fees Funds received by FOSAZ, including the net proceeds of all FOSAZ fundraising activities, shall be used exclusively for and expended for the benefit of the Zoo in accordance with plans approved by the Parties. Any fluids not remitted to the City for the benefit of Zoo shall Page 3 of 11 25D -5 be used for FOSAZ administration and operations. FOSAZ shall disclose in all solicitations and membership requests that it is raising funds for the Zoo, and that a portion of the fluids shall be used for FOSAZ administrative costs. 3. FOSAZ CONCESSIONS As part of its fundraising activities, FOSAZ shall have the non - exclusive right to operate the concessions at the Zoo listed below and other concessions that may be approved by City from time to time. All net operating proceeds From the concessions shall be used for Zoo purposes as approved, by the Zoo Manager, or as specified herein. FOSAZ shall provide City with an annual accounting of all concessions proceeds, including operating costs. A. Gift Shop FOSAZ may operate a gift shop at the Zoo to sell appropriately related gift, souvenir, and novelty items. FOSAZ shall be responsible for all expenses related to purchase and sale of items in the gift shop. City shall provide space in the concessions building for the gift shop and be responsible for maintenance and repair of the building structure and utilities. FOSAZ shall be responsible for store furnishings and interior improvements and renovations. B. Ride Concessions At its own expense, FOSAZ may operate the existing Zoofari train ride, the carousel ride, and any other ride concessions that may be approved by the City ( "Ride Concessions "). C. Animal Food FOSAZ shall have the right to sell animal food approved by the Zoo Veterinarian and Zoo Curator in locations approved by the Zoo Manager. City shall provide approved animal food. FOSAZ shall pay for and maintain approved animal food dispensers, D. Other Concessions City may from time to time approve other FOSAZ concessions, Nothing herein shall prohibit City from granting concessions to persons or entities other than FOSAZ. E. Donation Receptacles City agrees to permit FOSAZ to maintain upon the Zoo premises one or more secure locking receptacles for the purpose of receiving donations. Such receptacles shall display a statement of the nature and purpose of FOSAZ as a non -profit organization independent from the City. Funds shall be accounted for separately and be used for Zoo improvements as mutually agreed upon by the Parties. Page 4 of 11 25D -6 F. Subcontracting The Zoo concessions currently operated by FOSAZ maybe subcontracted by FOSAZ pursuant to a Request for Proposals meeting all City requirements. City retains right to approve subcontractor. Any agreements between FOSAZ and subcontractors for Zoo concessions shall be expressly subject to termination in the event of termination of this Agreement. G. Financial Contribution & Concession Revenue Sharine i. On or before December 31 of each year, FOSAZ shall remit the sum of twenty thousand dollars ($20,000) to the City to be used for veterinary expenses, These funds shall be deposited into a City revenue account with the City General Fund. ii. On or before December 31 of each year, FOSAZ shall remit the sum of forty thousand dollars ($40,000) to the City to be used towards the salary of a full -time educational position. These funds shall be deposited into a City revenue account with the City General Fund. iii. In addition to the funds provided in (i) and (ii) above (which shall not be deducted from gross revenues when calculating net revenue), on the 15`x' day of each quarter of the calendar year beginning on April 15, FOSAZ shall remit to the City ten percent (t0 %) of all net concession revenues from the Gift Shop, Ride Concessions, Facility Rental Areas (discussed in section 3.H, below), and any other approved FOSAZ concessions received, (discussed in 3.13, above) in the preceding quarter. iv. City shall deposit concession revenue into a City revenue account with the City General Fund to be used by the City for Zoo capital and operating expenses including, but not limited to, improvement projects, educational opportunities, staff development, and /or purchase of animals, as determined by the Zoo Manager. V. Quarterly, FOSAZ shall remit ten percent (10 %) of the net proceeds of all membership sales to City. These funds shall be deposited by City into a revenue account with the City General Fund to be used by the City exclusively for Zoo capital and operating expenses including, but not limited to, improvement projects, educational opportunities, staff development, and /or purchase of animals, as reasonably determined by the Zoo Manager. H. Facility Rental Areas Subject to paragraphs (ii) through (vi) below, FOSAZ shall have the non - exclusive right to restrict access and charge rent to any or all portions of the Zoo for private events, which may include, but are not limited to, birthday parties, receptions, or corporate events. Page 5 of 11 25D -7 ii. FOSAZ shall obtain approval from the Zoo Manager prior to renting out any area of the Zoo. The Zoo Manager shall be permitted to deny any facility rental or to limit the scope of the rental at his sole and absolute discretion, iii. FOSAZ shall oversee the rental of equipment and facilities and shall be responsible for primary maintenance of such rentals. iv. FOSAZ shall have a designated staff member present during the entirety of the private event. FOSAZ shall be responsible for ensuring the designated staff member follows the closing and lock -up procedures established by the Zoo Manager and then in effect, as provided to FOSAZ by Zoo, and as may be amended from time to time. V. FOSAZ shall be responsible for cleaning up the rental location upon the conclusion of the private event. vi. City shall have the right to restrict access and rent any rentable areas without paying a rental fee to FOSAZ. 4. JOINT ACTIVITIES A. Establishment of Fund - Raising Goals and Timetables Annually, as soon as practicable before adoption of the City's annual budget, the Zoo Manager shall provide FOSAZ with a plan of new exhibits, ancillary facilities, and other capital projects that the Zoo may wish to implement in the succeeding fiscal year. Within sixty (60) days of receipt of City's plan, FOSAZ shall propose to the City a plan and timetable for fund- raising plans and activities to complement the City's plan to construct capital improvements. Thereafter, the Zoo Manager and FOSAZ Execrative Director shall establish fund- raising goals and related timetables for the upcoming fiscal year. B, Agreements for Construction Projects City and FOSAZ may enter into separate agreements approved by the City Council and FOSAZ Board of Directors for capital improvements (including deferred maintenance projects) that shall be funded in whole or in part by FOSAZ. Such projects shall be carried out in accordance with all applicable City ordinances and procedures covering such matters as bid process, project administration requirements, and other legal requirements. 5. REPORTS A. City Reports to FOSAZ Annually, and within sixty (60) days of approval of the Zoo's fiscal operating budget by the City Council, Zoo Director shall present to FOSAZ a copy of the Zoo's operating budget. Upon request by FOSAZ, City shall provide FOSAZ with an annual income and expenditure statement. Page 6 of 11 25D -8 B. FOSAZ Reports to City Annually, and within sixty (60) days of approval by the FOSAZ Board of Directors, the FOSAZ Executive Director shall present a copy of the FOSAZ annual operating budget to the City. Upon request by the City, FOSAZ shall provide City with an annual income and expenditure statement. C. Accounting Systems, Funds and Accounts i, The Parties shall work together to establish a system of funds and accounts so that the financial conditions and status of each is clearly comprehensible to both organizations. ii. The Parties shall establish process, procedures, and time lines whereby FOSAZ shall transfer money from FOSAZ accounts to the City on a periodic basis in accordance with membership and concession revenue sharing. The Parties shall establish process and procedures whereby FOSAZ deposit funds into escrow accounts for funding of capital improvements as provided by separate agreements, iii. The Parties shall establish process and procedures for transferring obligated City expenses to FOSAZ. 6. AUDIT OF BOOKS AND RECORDS A. FOSAZ shall have its books and records audited or reviewed annually by an independent accounting firm at FOSAZ expense, City shall receive annually from FOSAZ an audited or reviewed financial report, which shall include, but not be limited to, its statements of financial position and activities, This reviewed financial report shall be prepared by FOSAZ and accompanied by an independent auditor's report. B. City, using its own staff or all independent accounting firm and generally accepted accounting principles, shall have the right, at its expense, to audit all FOSAZ books and records annually. likewise, FOSAZ, using an independent accounting firm and generally accepted accounting principles, shall have the right, at its expense, to audit annually the City's books and records related to funds transmitted to the City by FOSAZ, City retains the right to audit FOSAZ administrative costs and other costs used to maintain the FOSAZ organization. 7. SPACE AND UTILITIES City shall provide space within Prentice Park for FOSAZ to establish an office at no charge to FOSAZ. Additionally, City shall provide utilities to FOSAZ at no charge. City shall provide telephone and computer online connections, but FOSAZ shall be responsible for monthly telecommunication charges, Page 7 of 11 25D -9 8. INSURANCE FOSAZ shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: i. Commercial General Liability Insurance. FOSAZ shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers, and representatives as additional insured(s) and shall include, but not be limited to, protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of FOSAZ's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, voluunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. ii. 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. iii. Worker's Compensation Insurance. In accordance with the provisions of California State Law, FOSAZ, if FOSAZ has any employees, is required to be insured against liability for worker's compensation or to -undertake self-insurance. FOSAZ shall obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. iv. The following requirements apply to the insurance to be provided by FOSAZ pursuant to this section: a. FOSAZ shall maintain all insurance required above in full force and effect for the entire period covered, by this Agreement. Page 8 of 11 25D -10 b. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. C. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 9. INDEMNIFICATION A. FOSAZ shall protect, indemnify, hold harmless, and defend City, its officials, officers, employees, representatives , and agents, from and against any and all claims, losses, liability, demands, damages, costs, expenses, or attorneys' fees, caused by or arising out of FOSAZ's negligent acts or omissions, or willful misconduct, in the performance or nonperformance of their obligations under the covenants, terms, conditions, and provisions of this Agreement. B. City shall protect, indemnify, hold harmless, and defend FOSAZ, its directors, officers, employees, and agents, against any and all claims, losses, liability, demands, damages, costs, expenses, or attorneys' fees, arising out of City's negligent performance or nonperformance of its obligations under the covenants, terms, conditions, and provisions of this Agreement. 10, GENERAL LICENSE City hereby grants FOSAZ, its directors, officers, employees, contractors, subcontractors, and consultants a nonexclusive license to enter upon and use the Zoo facilities in connection with FOSAZ's execution of its responsibilities established by this Agreement, includ ng, but not limited to, organizing small group meetings and large /group community meetings and events at the Zoo, such as fundraising events, programs, and torus of Zoo facilities in connection with this Agreement. Any use of the Zoo facilities by FOSAZ must be approved by the Zoo Director, 11. INDEPENDENT CONTRACTOR In the exercise of its obligations under this Agreement, FOSAZ shall act at all times as an independent contractor and not as an employee of the City. Nothing in this Agreement shall be construed to establish a partnership, joint venture, group, pool, syndicate, or agency be ween'the Parties. No provision contained herein shall be construed as authorizing or empowering either party to asstane or create any obligation or responsibility, whatsoever, express or implied, on behalf, or in the name of, the other party in any manner, or to make any representation, warranty, or commitment on behalf of the other party. In no event shall Page 9 of 11 25D -11 either party be liable for a) any loss incurred by the other party in the course of its performance hereunder, orb) any debts, obligations, or Iiabilities of the other party, whether due or to become due. This Agreement shall continence on the date first written above and terminate on February 28, 2019, unless tenninated earlier in accordance with Section 15, below. The term of this Agreement may be extended for one (2) two -year period, upon a writing executed by the City Manager and the City Attorney. 13. ASSIGNMENT The Parties shall not assign, transfer, or convey this Agreement or any interest that it may have in this Agreement without the other party's express consent or approval. Any attempted assignment without the required consent or approval shall be void and shall confer no right, title, or interest in or to this Agreement, or part thereof In the event of an unauthorized assignment, at the option of the party not making the assignment, this Agreement may be terminated upon reasonable notice to the party making the assignment. 14. ENTIRE AGREEMENT This Agreement represents the entire agreement between the Parties regarding the subject matter herein, and supersedes all prior negotiations, representations, and contracts, written or oral. This Agreement may only be amended by an instrument, in writing, signed by the Parties. This Agreement may be executed in any number of counterparts, each of which shall be an original, but all of which together shall constitute one and the same instrument. 15. WAIVER The waiver of either party of any breach or violation of any covenant, tenn, condition, or provision of this Agreement shall not be deemed to be a waiver of any such covenant, term, condition, or provision, 16. TERMINATION This Agreement may be terminated by either party upon ninety (90) days written notice. In such event, the Parties shall satisfy all their respective obligations under this Agreement that may be due and owing through the effective date of termination. 17. SEVERABILITY In the event that one or more of the phrases, sentences, clauses, paragraphs or sections contained in this Agreement shall be declared invalid or unenforceable by valid judgment or decree of a court of competent jurisdiction, such invalidity or unenforceability shall not affect Page 10 of 11 25D -12 any of the remaining phrases, sentences, clauses, paragraphs or sections of this Agreement, which shall be interpreted to carry out the intent of the parties hereunder. 18. GOVERNING LAW AND 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of Council APPROVED AS TO FORM: CITY OF SANTA ANA David Cavazos City Manager SONIA R. CARVALHO FRIENDS OF THE SANTA ANA ZOO City Attorney By. John .Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: Gerardo Monet Executive Director Parks, Recreation, and Community Services Agency Page I1 of I I 25D -13 25D -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: AGREEMENT WITH FRIENDS OF SANTA ANA ZOO FOR INSTALLATION AND OPERATION OF A FERRIS WHEEL CONCESSION AT THE SANTA ANA ZOO AT PRENTICE PARK (STRATEGIC PLAN NO. 6, 1B) k' CITY MAN 1bER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 16' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Friends of Santa Ana Zoo ( FOSAZ) to install and operate a Ferris wheel concession at the Santa Ana Zoo at Prentice Park (SAZAPP) for 10% of the net concession revenues to be provided to the City, for a term from March 1, 2016 to allow for the installation of the Ferris wheel and to continue as long as the Master Support Agreement or any updated or replacement agreement remains effective for the continued operations of the Ferris wheel concession, which is expected to begin in January 2017, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Friends of Santa Ana Zoo is a nonprofit 501(c)3 organization. Their purpose is to market and solicit charitable donations to support the operations, maintenance and expansion of SAZAPP. FOSAZ recently raised and donated the funds for the Zoo's newest exhibit, The Brazilian Ocelot Habitat. FOSAZ and the City of Santa Ana collaborate on programs to further the mission of SAZAPP. FOSAZ oversees many planning and fundraising efforts, including the annual "Boo at the Zoo" event and "Zoofari" black -tie gala. They also provide staffing and maintenance for special events, zoo rentals, and the Treetop Toys Gift Shop. The Friends of Santa Ana Zoo currently own and operate two concession rides at SAZAPP, the Zoofari Express Train Ride and the Endangered Species Carousel. These attractions are favorites of the Zoo's guests. The two rides bring in over $250,000 a year in net concession revenue for FOSAZ that is spent on projects and operations at SAZAPP. FOSAZ would add a third ride, a 65 -foot tall Ferris wheel, next to the train and carousel. This new attraction will provide guests with an exciting ride and unique view of the zoo. The Ferris wheel will be maintained and operated by FOSAZ. The Ferris wheel is projected to be open in January 2017 and raise an additional $100,000 in net concession profits annually for FOSAZ. 25E -1 Agreement with Friends of Santa Ana Zoo to Install and Operation a Ferris Wheel Concession March 1, 2016 Page 2 FOSAZ will contribute 10% of its net concession revenues from rides to the City's Friends of Zoo Contribution revenue account with the remainder of these profits used to support SAZAPP operations and projects like the upcoming Giant River Otter Habitat. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #2 Youth, Education, Recreation, Objective #2 (Expand youth programming), Strategy E (Partner with outside agencies and secure funding to rehabilitate zoo exhibits and expand SAZAPP). FISCAL IMPACT Revenues in the amount of $5,000 (covering January-June 2017) will be added to the FY 2016- 2017 Friend of Zoo Contribution revenue account (no. 01113002 57383) and will be included as part of the City's FY 2016 -2017 budget. Future years beyond FY 2016 -2017 will be adjusted, if needed, and budgeted accordingly. Gerardo Mouet, " Executive Director Parks, Recreation an Community Services Agency EXHIBIT: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNT: Via) Francisco Gutierrez, Executive Director Finance and Management Services Agency 25E -2 AGREEMENT BETWEEN THE CITY OF SANTA ANA AND THE FRIENDS OF SANTA ANA ZOO FOR THE INSTALLATION AND OPERATION OF A FERRIS WHEEL CONCESSION AT THE SANTA ANA ZOO AT PRENTICE PARK. THIS AGREEMENT is made and entered into on this 18T day of March, 2016, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the constitution and laws of the state of California ( "City "), and Friends of Santa Ana Zoo, a California non -profit public benefit corporation, organized for the purpose of supporting the operation, maintenance and expansion of the Santa Ana Zoo at Prentice Park through charitable fund- raising ( "FOSAZ "), RECITALS A. City owns and operates for the public benefit the Santa Ana Zoo at Prentice Park ( "Zoo "), which is under management and control of the Parks, Recreation and Community Services Agency. B. FOSAZ was first incorporated in 1982 as Friends of the Children's Zoo for the purpose of supporting and funding a children's petting zoo at the Zoo, and entered into its first agreement with the City for installation of animal food dispensers at the children's zoo. In 1987, the name was changed to Friends of Santa Ana Zoo. C. For over thirty years, the City and FOSAZ (collectively, the "Parties "), have cooperated to develop the Zoo, including the development of new animal habitats, coordination of volunteer services, concession management, and fundraising. D. Cooperation and support by FOSAZ remain ongoing. Under the Parties' "Agreement Between the City of Santa Ana and the Friends of Santa Ana Zoo for the Benefit and Support of the Santa Ana Zoo at Prentice Park" dated December 3, 2001 and as amended ("Master Support Agreement "), the Parties may from time to time agree on new concessions at the Zoo to be operated by FOSAZ and collaborate on joint activities, including capital improvements at the Zoo. E. The Parties now desire to enter into an agreement for the installation and operation of a Ferris Wheel at the Zoo for the benefit and betterment of the Zoo. THEREFORE, the Parties agree as follows: 1. CONSTRUCTION AND INSTALLATION OF FERRIS WHEEL A. The Parties shall mutually agree on a site at the Zoo that is most optimal fbr the construction and installation of a Ferris Wheel. Page I of 8 25E -3 B. With City's input, and in accordance with all applicable City ordinances and procedures covering such matters as bid process, project administration requirements, and other legal requirements, FOSAZ shall retain qualified consultants and contractors for the geotechnical investigation, surveying, civil engineering, site plan, structural engineering, and site improvements (including but not limited to the structural foundation) necessary for the provision and installation of the Ferris Wheel, C, Prior to construction and installation of the Ferris Wheel, FOSAZ shall provide to City all materials related to the construction and installation of the Ferris Wheel, including without limitation reports, surveys, studies, calculations, plans, and specifications. No work shall commence without City's prior review and approval of such materials. D. FOSAZ shall provide all funding and assume all costs related to the design, construction, provision, installation, and inspection of the Ferris Wheel, including installation of all necessary utilities, City shall pay for utilities upon operation. All work shall be coordinated with City and Zoo staff. E. Prior to operation of the Ferris Wheel, FOSAZ shall obtain all approvals and certificates necessary under applicable federal, state, and local law, including without limitation approval from the Amusement Ride and Tramway Unit of the California Department of Industrial Relations or other government agencies responsible for amusement ride oversight. F. Prior to operation of the Ferris Wheel, FOSAZ shall provide City with all final plans, drawings, as- builts, and similar documents. Operation of the Ferris Wheel may not commence without City's approval. 2. OPERATION, MAINTENANCE, AND INSPECTION OF FERRIS WHEEL A. At its sole cost, FOSAZ shall be responsible for the daily inspection, operation and maintenance of the Ferris Wheel with qualified personnel to ensure its safe and successful operation. Any subcontractors retained for these purposes must be approved by the City. B. FOSAZ shall operate the Ferris Wheel in accord with safety standards and protocols that are best practices in the amusement ride industry. C. FOSAZ shall comply with, coordinate, and obtain all approvals and certifications that are required by the Amusement Ride and Tramway Unit of the California Department of Industrial Relations or other government agencies responsible for amusement ride oversight, including without limitation regular safety inspections conducted by a Qualified Safety Inspector. Page 2 of 8 25E -4 D. On a quarterly basis, FOSAZ shall provide City with all records of operation, maintenance, inspections, and certifications. At any time, FOSAZ shall permit City or its authorized representatives to inspect Ferris Wheel operations and equipment. E. Hours of operation and ticket prices shall be mutually agreed upon by the Parties and may be adjusted from time to time. 3. CONCESSION REVENUE SHARING All revenue generated by the operation of the Ferris Wheel shall be subject to the concession revenue- sharing provisions of the Master Support Agreement, or any updated or replacement agreement between City and FOSAZ for the benefit, and support of the Zoo. 4. OWNERSHIP OF FERRIS WHEEL City owns the Zoo property and all exhibits, support facilities, infrastructure, and animals contained within Prentice Park, including exhibits, support facilities, infrastructure, and animals previously purchased by or funded at FOSAZ expense. FOSAZ shall retain ownership of the Ferris Wheel and any other assets previously agreed to by the Parties, In the event of the dissolution of FOSAZ, any and all assets of FOSAZ shall be used to discharge any liabilities and debts of FOSAZ, The balance of such assets, if any, becomes the property of City to be used exclusively for the benefit of the Zoo. In the event that the Zoo ceases to exist, the balance of FOSAZ assets shall be distributed by a committee made up of the FOSAZ executive committee and an equal number of individuals from the City. 5. GENERAL LICENSE City hereby grants FOSAZ, its directors, officers, employees, contractors, subcontractors, and consultants a nonexclusive license to enter upon and use the Zoo facilities in connection with FOSAZ's execution of its responsibilities under this Agreement. 6. INSURANCE FOSAZ shall maintain and shall require its contractors and consultants, if any, to obtain and maintain insurance as described below: A, Comunercial General Liability Insurance, FOSAZ shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers, and representatives as additional inset ed(s) acid 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 FOSAZ's operations in the performance of this Agreement, including, without limitation, Page 3 of 8 25E -5 acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. B. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired, and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of California State Law, FOSAZ, if FOSAZ has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. FOSAZ shall obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. D. For any licensed professional such as an architect or engineer performing services under this Agreement: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. E. The following requirements apply to the insurance to be provided by FOSAZ pursuant to this section; i. FOSAZ 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 by the City. iii. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 7. INDEMNIFICATION A. FOSAZ shall protect, indemnify, hold harmless, and defend City, its officials, officers, employees, representatives, and agents, from and against any and all claims, losses, liability, demands, damages, costs, expenses, or attorneys' fees, caused by or arising out of FOSAZ's or its subcontractors' negligent acts or omissions, or willful misconduct, in Page 4 of 8 25E -6 the performance or nonperformance of their obligations under the covenants, terms, conditions, and provisions of this Agreement. B. City shall protect, indemnify, hold harmless, and defend FOSAZ, its directors, officers, employees, and agents, against any and all claims, losses, liability, demands, damages, costs, expenses, or attorneys' fees, arising out of City's negligent performance or nonperformance of its obligations under the covenants, terms, conditions, and provisions of this Agreement. 8. INDEPENDENT CONTRACTOR In the exercise of its obligations under this Agreement, FOSAZ shall act at all times as an independent contractor and not as an employee of the City. Nothing in this Agreement shall be construed to establish a partnership, joint venture, group, pool, syndicate, or agency between the Parties, No provision contained herein shall be construed as authorizing or empowering either party to assume or create any obligation or responsibility, whatsoever, express or implied, on behalf, or in the name of, the other party in any manner, or to make any representation, warranty, or commitment on behalf of the other party. 9. TERM This Agreement shall commence on the date first written above and continue so long as the Master Support Agreement, or any updated or replacement agreement between City and FOSAZ for the benefit and support of the Zoo, remains effective. The Ferris Wheel shall be completed on or before January 31, 2017. Following completion of the Ferris Wheel, either Party may terminate this Agreement with ninety (90) days prior written notice. This Agreement shall automatically terminate in the event of termination of the Master Support Agreement, or any updated or replacement agreement between City and FOSAZ for the benefit and support of the Zoo, In the event of termination, FOSAZ shall arrange for the timely removal of the Perris Wheel, and the Parties shall satisfy all their respective obligations under this Agreement that may be due and owing through the effective date of termination. 10. ASSIGNMENT The Parties shall not assign, transfer, or convey this Agreement or any interest that it may have in this Agreement without the other party's express consent or approval. Any attempted assignment without the required consent or approval shall be void and shall confer no right, title, or interest in or to this Agreement, or part thereof. In the event of an unauthorized assignment, at the option of the party not making the assignment, this Agreement may be terminated upon reasonable notice to the party making the assignment. Page S of 8 25E -7 11. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be property given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) F.O. Box 1988 Santa, Ana, CA 92702 -1988 Fax 714- 647 -6956 With courtesy copies to: To FOSAZ: Executive Director Parks, Recreation, and Community Services Agency City of Santa Ana 20 Civic Center Plaza M -23 P.O. Box 1988 Santa Ana, California 92702 Fax 714 -571 -4211 City Attorney's Office City of Santa Ana 20 Civic Center Plaza (M -29) P,O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -6515 Executive Director Friends of Santa Ana Zoo 1801 East Chestnut Avenue Santa Ana, CA 92701 Fax 714 -550 -0346 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 now 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 fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report Page 6 of 8 25E -8 issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 12. ENTIRE AGREEMENT This Agreement represents the entire agreement between the Parties regarding the subject matter herein, and supersedes all prior negotiations, representations, and contracts, written or oral. This Agreement may only be amended by an instrument, in writing, signed by the Parties. This Agreement may be executed in any number of counterparts, each of which shall be an original, but all of which together shall constitute one and the same instrument, 13. WAIVER The waiver of either party of any breach or violation of any covenant, term, condition, or provision of this Agreement shall not be deemed to be a waiver of any such covenant, tenn, condition, or provision. 14. SEVERABILITY In the event that one or more of the phrases, sentences, clauses, paragraphs or sections contained in this Agreement shall be declared invalid or unenforceable by valid judgment or decree of a court of competent jurisdiction, such invalidity or unenforceability shall not affect any of the remaining phrases, sentences, clauses, paragraphs or sections of this Agreement, which shall be interpreted to carry out the intent of the parties hereunder. 15. GOVERNING LAW AND 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA Maria D. Hrrizar David Cavazos Clerk of Council City Manager -- signatures continue on following page -- Page 7 of 8 25E -9 APPROVED AS TO FORM: SONIA R. CARVALHO FRIENDS OF SANTA ANA ZOO City Attorney By: UVAW AW — Jolm .Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: Gerardo Monet Executive Director Parks, Recreation, and Community Services Agency Page 8 of 8 25E -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE; CONDITIONAL USE PERMIT NO. 2016-26 TO ALLOW A 60 -FOOT HIGH MAJOR WIRELESS FACILITY FOR VERIZON WIRELESS AT 4501 WEST MACARTHUR BOULEVARD — CORE DEVELOPMENT, APPLICANT (STRATEGIC PLAN NO. 3,, 22)`� CiTY MANAGfP MENROMW RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: S--\* X1 Cl As Recommended 0 As Amended El ordinanoe on 101 Reading El ordinance on 2 "4 Reading CI Implementing Resolution �i Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2015 -26 as conditioned. t, r At Its regular meeting on February 6, 2016 by a vote of 7:0, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2016 -26 as conditioned to allow a 60 -foot high major wireless facility disguised as a eucalyptus tree (mono - eucalyptus) located at 4501 West MacArthur Boulevard located In the Heavy industrial (M -2) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). Verizon Wireless is proposing to construct a 60 -foot high wireless facility disguised as a eucalyptus tree (mono - eucalyptus), This facility is intended to provide increased cellular coverage and call capacity in the southwest sector of the City. To give the facility the appearance of a tree, the tower will be designed to have branches that will extend seven feet above the antennas to a maximum height of 60 feet. Equipment for the wireless facility will be installed within a 20 -foot by 10 -foot enclosure with aright foot high block walls. The mono - eucalyptus and equipment enclosure will be located to the north of the existing mini - warehouse building. Two 36 -inch box eucalyptus trees will be installed to assist with the steaithing of the mono - eucalyptus, with decorative vines and shrubs planted along the block walls of the equipment enclosure to further screen the facility. The proposed wireless facility will have three sectors containing four panel antennas per sector, 12 remote radio units, and one microwave antenna mounted to the mono - eucalyptus, while all ancillary equipment and one RC generator will be installed within the proposed enclosure. Full -sized site plans are available for public viewing In the Clerk of the Council Office, 31A-1 March 1, 2016 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet goal #3 - Economic Development, Objective #2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT RS: rb R&ReyorMCUP 2015.251GUP15 -26 R hoo 31A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: FEBRUARY 8, 2016 TITLE: PUBLIC HEARING - FILED BY MAREE HOEGER FOR CONDITIONAL USE PERMIT NO. 2015-26 TO ALLOW A 60 -FOOT HIGH MAJOR WIRELESS FACILITY FOR VERIZON WIRELESS AT 4501 WEST MACARTHUR BOULEVARD (STRATEGIC PLAN NO. 3,2) Prepared by Ricardo Soto PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicants Request • Staff Recommendation CONTINUED TO E Director Piannin anager RECOMMENDED ACTION Adopt a resolution approving Conditional Use Permit No. 2015 -26 as conditioned. Request of Applicant Maree Hoeger, representing Verizon Wireless, is requesting approval of a 60 -foot high major wireless facility disguised as a eucalyptus tree (mono - eucalyptus) at 4501 West MacArthur Boulevard. Major wireless communication facilities require approval of a conditional use permit pursuant to Section 41- 198.3(b) of the Santa Ana Municipal Code (SAMC). Proiect Location and Site Description The project is proposed to be constructed on a 4.36 -acre parcel of land located on the north side of MacArthur Boulevard and east of the Santa Ana River. The site is currently improved with a mini - storage building, surface parking lot, landscaping, and trash enclosure. The General Plan land use designation for the site is Industrial (IND), which allows for light and heavy manufacturing and industrial uses, as well as commercial uses that are ancillary to industrial uses in the district. Uses such as wireless facilities are consistent with this General Plan land use designation. The zoning for the site is Heavy Industrial (M2). The Heavy Industrial zoning district allows for mini- storage and warehouse uses with ancillary wireless facilities. The proposed use is also consistent with the zoning designation. Land uses surrounding the site include industrial uses to the north and south, a bus terminal to the east, and commercial uses to the west across the Santa Ana River (Exhibits 1, 2 and 3). Project Description Verizon Wireless is proposing to construct a 60 -foot high wireless facility disguised as a eucalyptus tree (mono - eucalyptus). This facility is intended to provide increased cellular coverage and call capacity in this area of the City, To give the facility the appearance of a tree, the tower will be EXHIBIT A 31A-3 Conditional Use Permit No. 2015 -26 February 8, 2016 Page 2 designed to have branches that will extend seven feet above the antennas to a maximum height of 60 feet. Equipment for the wireless facility will be installed within an enclosure that measures approximately 20 -feet by 10 -feet for an approximate total of 200 square feet. The mono - eucalyptus and equipment enclosure will be located at the rear (north) of the existing building. Two 36 -inch box eucalyptus trees will be installed to the northwest of the facility to assist with the stealthing, with vines and shrubs planted along the block walls of the equipment enclosure to further screen the facility. The proposed mono - eucalyptus will have three sectors containing four panel antennas per sector, 12 remote radio units, and one microwave antenna, while all ancillary equipment and one DC generator will be installed within the proposed enclosure (Exhibits 4, 5 and 6). Protect Analysis In July 1998, the City Council adopted Ordinance No. NS -2356, which established regulations for wireless communication facilities throughout the City. Major wireless communication facilities such as the proposed Verizon Wireless facility are required to have a stealth design and be located in an area that provides the greatest amount of visual screening. Further, these major facilities require the approval of a conditional use permit. Staff has reviewed the applicant's request to operate a major wireless communication facility at this location. In analyzing the conditional use permit request, staff believes that the following analysis warrants staff's recommendation of approval for the conditional use permit. As part of the development review of the project, staff worked closely with the applicant to identify the appropriate design of the major wireless communication facility, the optimal location at the site to minimize aesthetic intrusion on the surrounding community, and the appropriate landscape improvements to be required in tandem with the facility and equipment enclosure. These improvements reflect the requirement to screen the facility from view, to provide enhanced landscaping through the planting of vines to deter graffiti, and to minimize the project's overall impacts on the surrounding community. This location is also optimal to provide the coverage necessary for existing and expanding service. The proposed facility will provide a benefit to Santa Ana residents, businesses and motorists who subscribe to Verizon Wireless by expanding cellular and data coverage in the area. The proposed facility will be in compliance with Federal law that governs health related issues for wireless facilities, including safety regulations from the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA). Finally, the use will comply with all provisions pertaining to the construction and installation of wireless facilities identified in Chapter 41 (Zoning Code) of the SAMC. The facility will not adversely affect the General Plan as cellular facilities that are designed to be compatible with the surrounding environment are consistent with the goals and objectives of the Land Use Element. Goal 1 promotes 31A-4 Conditional Use Permit No. 2015 -26 February 8, 2016 Page 3 a balance of land uses to address community needs, which includes means of communication that will be served by the proposed monopole. In addition, Goals 3 and 5 require preservation of neighborhood character and integrity as well as mitigation of developments' impacts. The monopole's location behind the existing self- storage building minimizes visual impact on the area and assists with screening the facility from pedestrian and vehicular traffic along MacArthur Boulevard, while the planting of two eucalyptus trees to the west of the facility will assist with screening the monopole from Santa Ana River Trail users, Further, Policy 2.2 encourages land uses that accommodate the City's needs for services. Enhancing a cell phone provider's coverage in the area adds to the services that are readily available for business owners, workers, and residents in the immediate vicinity. Public Notification The project site is located near the western boundary of the City and is not within or near the boundaries of any neighborhood association. Staff notified the Cities of Fountain Valley and Costa Mesa of the proposed major wireless facility, who have not identified any concerns with this project. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and notices were sent to all property owners and occupants 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 This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The project is exempt from further review pursuant to Section 15303, This Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures; the installation of small new equipment and facilities in small structures; and the conversion of existing small structures from one use to another. The wireless facility is a new, small facility that has been found by the City's development review agencies to not create any adverse impacts. The wireless facility is proposed to be located on a site that is not designated by federal, state, or local agencies to be an environmental resource of hazardous or critical concern. The cumulative impact of this project will not be significant as there are no other wireless facilities currently on or near the site, the property is already served by roads and utilities, and will not create any adverse impacts such as noise, traffic, or safety concerns. There is no reasonable possibility that the project will have a significant effect on the environment due to unusual circumstances. The project is not located within a highway officially designated as a state scenic highway and will not result in damage to scenic resources. The project is not located on a site which is included on any list compiled pursuant to Section 65962.5 of the Government Code. Lastly, the project is not proposed on a site that is considered a historical resource or that is listed in the Santa Ana Register of Historic Properties. As a result, Categorical Exemption Environmental Review No. 2014 -56 will be filed for this project. 31A-5 Conditional Use Permit No. 2015 -26 February 8, 2016 Page 4 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). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2015 -26 as conditioned. Ricar Soto Assistant Planner I RS:jm RS.RepotlslCLIP 2015- 2614501 Wmt MacArthur Blvd -CtJP 2015.26.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Elevations Exhibit 6 — Photo Simulations 31A-6 WARNER city ml mi mi JAI mi V,i If ml ]M2 M2 "' < Nil M2 MI mi FTF-��PROJECr BLVD. AI f3l% ALAMOJLTJALt m CXMIEFOALRODIENTIAL m 3Nr3ZFAMIKYFE90BMAL _E MF4QNGMo)]RCAn0N Gc GDVIJNMFNTCIJV m TACIPAIAILYFMIQWCE GEM 0DIMMERUALSOUTH MAIN M1 JUITINI m MUU 1)5%WMIURE cl MMMUNITYMMMOIJAI. M2 HEAWINDUSMAL FAMIII CI-MD COMM. C0MMEFMJMU3n1M DISII MID MIUTAR(01`@5AI70NS N SUBUFWAMRTMENTS C2 GENIFALOOMMISUAL 0 0" EFACE PE F IDM7ALSTW m CENTRAL"NESS p F FIEMCNA_ ED 91m9cDM0RMIENT aA CENTAL6MNE53ARfl5TMLU1(K pco R.ANNI1)WMMUNIWDeJaPWENT w SIPMAGPILAN G PLANNE)S40PRNGIUNIER II PLANNEDFODWAILDEMOrMfM cb ARIFffiALCOMMWAL CUP 2015-26 VERIZON WIRELESS MONO-EUCALYPTUS ilk 4501 WEST MACARTHUR BOULEVARD =500 FEET T' = 1000 FET P L A M N I N G A IN D B U I L D, N G A 0 E N C Y EXHIBIT 1 VICINITY MAP 31A-7 CUP 2015 -26 VERIZON WIRELESS MONO - EUCALYPTUS & aW 4501 WEST MACARTHUR BOULEVARD; 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 EXHIBIT2 31A-8 n �� a r� Pik (P) 36" Box Eucalyptus Tree (P) 36" Box Eucalyptus Tree (P) 60' -0" High Mono - eucalyptus r I f i' 1 1 i lr J If p L 44 TXgFA Y. AAN: 41C Wi -51 1 ... I (E) n:aUM `RMFE.'. SiRXTOW . I d k {Ej i�kPPEA7Y LI'•E PAIIFORNW EDISON Ivl_(i C AR_TI IUI._ BLVD._ EXHIBIT 4 31A -10 L.....-l- __ - i Q 1 1 i lr J If p L 44 TXgFA Y. AAN: 41C Wi -51 1 ... I (E) n:aUM `RMFE.'. SiRXTOW . I d k {Ej i�kPPEA7Y LI'•E PAIIFORNW EDISON Ivl_(i C AR_TI IUI._ BLVD._ EXHIBIT 4 31A -10 L.....-l- __ - i TA. (P) 4ERIZON VORELESS F '-' Lm «a �� � t +i� ESQ <-k _ ()TE ERJI MCV RL CY O'-V 111 H PANEL PANEL AIJTENNA5 L )y „ rA.�'r �, MONO EUCALtPTaIS TYP a PER smula ELEY, 50 " -0" (AC. L�) 5 (P VEHUON AVELES� VANEL !k -t ENNAS RAD MITER J, T.U. (E) BUILDING_ 9" ELE'. 24' -6" (�VL) (E) BLOC. (OEYONO) — TO (P) 4ERIZON YARmz, (E) CuRa (� TINI'iHEU S;RAiiE ELEV. 0. -O' EXHIBIT 6 31A-1 1 (P) 'VEMON WIRp1.E3M' RRU W/ A2 MODULE MOVNEED BEHINO, (P) AMENNA, TYP, i- PER SECTOR (TOTAL -12) V,1RE1.EST 910RUNAVE DISH (P) 6.' -0" MONOD- MALYi*R.S, (P) - MRIZON WIRUMS &C' -D" HIGH MCNO- EUCALYPM (Ei kT HUI IJVE TREE TU OEE PROTECTM IN PUCE TOTAL - f)--'\ M W/ 2013 CFC 570¢,2.7,3,3 ( ?) 'vERIZON 'AMiELESS' STAND -OY GENEPATOR ON (P) CONCRFM PM) ( ?) 'VERIZON wIRCLESS` EQUIPME>IT P.aANEES ON (N) C,Ow:RETE PAD, TP. (TOPAL -S) (R) 'VERIZON WIRELESS' CORRUGATED METAL ACCESS GATE ,,;; 'y'': �: L5 2.8.16 RESOLUTION NO, 2016 -xx A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2015 -26 AS CONDITIONED FOR A MAJOR WIRELESS FACILITY ON THE PROPERTY LOCATED AT 4.501 WEST MACARTHUR BOULEVARD 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. 2015 -26 to allow for the installation of a 60 foot tall major wireless facility at the property located at 4501 West MacArthur Boulevard. B. Santa Ana Municipal Code Section 41- 198.3(b) requires approval of a conditional use permit for the installation of major wireless facilities. C. On February 8, 2016, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2015 -16. D. The Planning Commission of the City of Santa Ana determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code (SAMC) Section 41 -638, have been established for Conditional Use Permit No. 2015 -26 to allow for the installation of a major wireless facility: That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. The project will provide a service or facility which will contribute to the community. The proposed mono - eucalyptus will provide a service to Santa Ana residents, businesses, and motorists who subscribe to Verizon Wireless services by reducing the gaps in cellular service and providing additional calling capacity for its users in the southwest sector of Santa Ana. 2. 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. Resolution No. 2.016 -xx Page 1 of 7 31A -13 The proposed wireless facility at this location will not be detrimental to persons residing or working in the area as the proposed facility will be in compliance with Federal law that governs health related issues for wireless facilities, including safety regulations from the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA). Moreover, the nearest residential use is located over 2,500 linear feet from the site, further reducing any potential impacts. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The proposed mono - eucalyptus will be compatible with the surrounding area and will not adversely affect the economic viability in the area. The stealth appearance, two live eucalyptus trees, and site enhancements will maintain and increase the economic stability for this industrial corridor by providing an additional service for business owners, workers, and residents in the area. Further, the stealth appearance and the planting of live eucalyptus trees will help screen the facility from the Santa Ana River Trail. 4. That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. The use will comply with all provisions pertaining to the construction and installation of wireless facilities identified in Chapter 41 (Zoning Code) of the Santa Ana Municipal Code. The proposed facility will be stealthed as a eucalyptus tree, will feature new and enhanced landscaping, will provide an equipment enclosure, and will comply with other standards outlined in the SAMC. 5. 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. The proposed mono - eucalyptus will not adversely affect the General Plan as cellular facilities that are designed to be compatible with the surrounding environment are consistent with the goals and objectives of the Land Use Element. Goal 1 promotes a balance of land uses to address community needs, which includes means of communication that will be served by the proposed mono- eucalyptus. In addition, Goals 3 and 5 require preservation of neighborhood character and Resolution No. 2016 -xx Page 2 of 7 31A -14 integrity as well as mitigation of developments' impacts. The proposed mono - eucalyptus is designed to minimize visual impact on the area by implementing stealth design and the planting of two eucalyptus trees to screen the facility. Further, Policy 2.2 encourages land uses that accommodate the City's needs for services. Enhancing a cell phone provider's coverage in the area enhances services that are readily available for business owners, workers, and residents in the immediate vicinity. E. In accordance with the California Environmental Quality Act, the recommended action is exempt for further review per Section 15303. The Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures; the installation of small new equipment and facilities in small structures; and the conversion of existing small structures from one use to another. The wireless facility is a new, small facility that has been found by the City's development review agencies to not create any adverse impacts. The wireless facility is proposed to be located on a site that is not designated by federal, state, or local agencies to be an environmental resource of hazardous or critical concern. The cumulative impact of this project will not be significant as there are no other wireless facilities currently on or near the site, the property is already served by roads and utilities, and will not create any adverse impacts such as noise, traffic, or safety concerns. There is no reasonable possibility that the project will have a significant effect on the environment due to unusual circumstances. The project is not located within a highway officially designated as a state scenic highway and will not result in damage to scenic resources. The project is not located on a site which is included on any list compiled pursuant to Section 65962.5 of the Government Code. Lastly, the project is not proposed on a site that is considered a historical resource or that is listed in the Santa Ana Register of Historic Properties. Categorical Exemption Environmental Review No. 2014 -56 will be filed for this project. Section 2. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any environmental review or approval, except to the extent caused by the negligence of the City of Santa Ana. Section 3. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2015 -26 as conditioned In Exhibit A, attached hereto and incorporated herein, for the project located at 4501 West MacArthur Boulevard. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Resolution No. 2016 -xx Page 3 of 7 31A-15 Commission Action dated February 8, 2016, and exhibits attached thereto; and, the public testimony, written and oral, all of which are incorporated herein by this reference. ADOPTED this 81h day of February, 2016. AYES: Commissioners: NOES: Commissioners: ABSENT: Commissioners: ABSTENTIONS: Commissioners: James Gartner Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2016 -xx to be the original resolution adopted by the Planning Commission of the City of Santa Ana on February 8, 2016, Date: Planning Commission Secretary City of Santa Ana Resolution No, 2016 -xx Page 4 of 7 31A -16 EXHIBIT A Conditions of Approval for Conditional Use Permit No. 2015 -26 Conditional Use Permit No. 2015 -26 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below rip or to exercising the rights conferred by this approval. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division The applicant must comply with all conditions and requirements of the Development Review Committee for the development project (DP No. 2014-25). Any amendment to this conditional use permit must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The mono - eucalyptus shall be maintained as per approved plans and any existing landscaping shall be protected in place during the construction period for the 60 -foot high wireless facility. 4. The proposed monopole shall be maintained per the following specifications: a, The mono - eucalyptus facility should have 3.1 branches per foot for full density coverage with limited spacing between the branches; 70 percent of the branches should be eight (8) feet or longer. b. Branch disbursement should be random so that longer branches and shorter branches are intermingled to give a natural appearance. C. Branches should exceed all antennas by a minimum of 12 inches. d. Branches should start at 15 feet above the ground. Resolution No. 2016 -xx Page 5 of 7 31A -17 e. There should be a minimum space of seven (7) feet between the top of the antenna and the top of the branches. f. Branches should have an upward sweep similar to that of an actual deciduous or broadleaf tree. g. Branch foliage color should be an olive green with some brown leaves to match an actual deciduous or broadleaf tree. A sample shall be submitted for approval prior to fabrication. h. Full bark cladding with a custom color should be submitted for approval prior to fabrication. I. All antennas shall be covered with "antenna socks" that match the approved foliage color. j. All "stand -off mounts" and support pipe mounts shall be concealed behind antennas and painted a darker shade or green (or black) with a "flat' paint finish to reduce reflection and visibility of the mounting. k. Include the tree specifications (selected manufacturers and models) with photo simulations (also a site plan review requirement). 1. Show the location of the GPS antenna on all elevations. M. Provide a "unistrut" detail for the utility cabinet; an "H- frame" is not acceptable. n. Provide a note on the plans stating "install underground utilities sleeving for two carriers during construction of the structure ". Shrouds on the outside of the pole are not acceptable. o. All exterior conduit and electrical meters shall be installed and screened in one metal enclosure painted to match the structure. 5. The permit applicant shall provide a 24 -hour phone number to which Interference problems may be reported. This condition will also apply to all existing facilities in the City of Santa Ana. 6. The permit applicant will provide a "single point of contact' in its Engineering and Maintenance Departments to insure continuity on all interference issues. The name, telephone number, fax number and e -mail address of that person shall be provided to the City's designated representative upon activation of the facility. Resolution No. 2016 -xx Page 6 of 7 31A -18 7. The permit applicant shall insure that lessee or other user(s) shall comply with the terms and conditions of this permit, and shall be responsible for the failure of any lessee or other users under the control of permit applicant to comply. am The permit applicant shall provide a coverage and cell site location map for each existing and proposed facility in Santa Ana. 9. Locate all equipment and related appurtenances (appleton plug and electric meter) on the inside of the existing equipment enclosure or inside the building and underground all electrical power from the utility source shown on the approved site plan. 10. Conditional Use Permit No. 2015-26 expires ten (10) years from the date of City Council approval. Resolution No. 2016 xx Page 7 of 7 31A -19 31A-20 CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: RESOLUTION AMENDING CLASSIFICATION TO CREATE, RETITLE AND DELETE POSITIONS AND ADJUST COMPENSATION PLAN OF VARIOUS FULL -TIME AND PART -TIME POSITIONS FOR FISCAL YEAR 2015 -16 BUDGET {STRATEGIC PLAN NO. 7,6) CITY MANAGE CLERK OF COUNCIL USE ONLY: W &-:• _g ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 2i>1x.nrm Adopt a resolution that reestablishes the Basic Classification and Compensation Plan and amends the Fiscal Year 2015 -16 Annual Budget. DISCUSSION Over the last several months, the Personnel Services Department has received a number of requests to make adjustments to the City's classification and compensation plan as part of a fiscal year 2015 -16 mid -year budget process. These requests have been reviewed and classification /compensation studies have been conducted, resulting in recommendations to create, retitle, delete and adjust the compensation level of various full -time and part -time job classifications. All of the proposed classification and /or compensation adjustments have been shared with the appropriate bargaining unit representatives. City Attornev The City Attorney is requesting the creation of a job classification titled Executive Secretary to the City Attorney WC), and the reallocation of one Senior Legal Secretary (UC) position to this new job title, to accurately reflect the duties and responsibilities of the secretarial position directly responsible for providing assistance to the City Attorney. There will be no change in compensation. Finance and Management Services Agency In an effort to conserve financial resources and create efficiencies, the Executive Director of Finance and Management Services is proposing the creation of a job classification combining oversight of the Building Maintenance Division and Fleet Services Division. This middle management classification will be titled Facilities and Fleet Maintenance Manager MM and 55A -1 Resolution Amending Classification & Compensation Plan and Fiscal Year 2015 -16 Budget March 1, 2016 Page 2 compensation will be set at the level currently assigned to the Corporate Yard Facilities /Fleet Services Manager (MM) classification. The Corporate Yard Facilities /Fleet Services Manager (MM) and Facilities Maintenance Superintendent (MM) positions will be reallocated to this new job title. A cost savings will result from the combining of these two middle management positions. Personnel Services Department After reviewing the schedule of part -time job classifications, the Executive Director of Personnel Services proposes to add, delete and change classification titles. The added job classifications will meet the current needs of City departments and will be used to fill positions requiring incumbents to work up to 20 hours per week. The deleted classifications are vacant, obsolete and duplicated by other part -time job classifications. The changed job classification title is simplified and more descriptive. Added job titles: Assistant Special Employment Counselor, Associate Special Employment Counselor, Information Desk Clerk, Recreation Facility Attendant, and Water Conservation Representative. Compensation changes are identified for each classification in the resolution (Exhibit 1). Deleted job titles: Special Employment Counselor 1, Special Employment Counselor II, Special Employment Counselor 111, Maintenance Aide I, Sports Attendant, Clerical Assistant, and General Assistant. Changed job title: Maintenance Aide II to Maintenance Attendant. Planning and Building Agency The Executive Director of Planning and Building Safety is proposing that the title Community Development District Manager be changed to Senior Community Planner and two positions be reallocated to this new classification title. This recommendation reflects the principal focus of work assignments and integrates positions into the Agency in which neighborhood improvement functions have been transferred. There will be no compensation adjustments. In addition, job title changes and position reallocations with no change in compensation are proposed in the Code Enforcement and Permits and Plan Check Sections of the Agency: Code Enforcement Coordinator to Code Enforcement Principal; Code Enforcement Technician to Code Enforcement Associate; Permit Processor to Permit Services Processor; Permit Supervisor to Permit Services Supervisor; and Permit Technician to Permit Services Technician. The Executive Director is also requesting the addition of one Senior Planner position and two Associate Planner positions to perform work related to the updating of the City's General Plan. Funding for these positions has already been allocated through City Council action. Finally, he is requesting the reallocation of one vacant Senior Management Analyst position to Administrative Services Manager (MM). This middle management position will be instrumental in developing and monitoring contracts related to the Agency's activities, including those pertaining to the 55A -2 Resolution Amending Classification & Compensation Plan and Fiscal Year 2015 -16 Budget March 1, 2016 Page 3 General Plan, and will manage and coordinate all of the Agency's responsibilities in the areas of personnel, finance and computer services. Funding for this position has been identified and will be allocated upon City Council approval, after which selection interviews will be conducted and this position will be filled using a candidate eligible list recently established. The Administrative Services Manager (MM) position, as well as a Management Aide position to be requested in the upcoming annual budget, will further the Executive Director's reorganization of administrative functions for his agency. Public Works Agency The Executive Director of Public Works is requesting two job classification title changes in order to more clearly and accurately describe the job responsibilities. Maintenance Enterprise Administrator (AM) will be changed to Assistant Public Works Maintenance Manager (AM) and Safety Coordinator will be changed to Public Works Safety Coordinator. In addition, it is recommended that the compensation level assigned to both of these new and vacant classifications be reduced: Assistant Public Works Maintenance Manager (AM) will be reduced by 5% and Public Works Safety Coordinator will be reduced by 13.5 %. Parks, Recreation and Community Services Agency The Executive Director of Parks, Recreation and Community Services is requesting the deletion of the full -time, vacant job classification of Park Maintenance Leader. This classification is not needed or relevant given the current methods of ensuring park maintenance through contracted services. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #6 - (Provide a positive workplace environment that supports the health of its employees and celebrates its success and goals). � R � Two of the above actions will have a fiscal impact. The reallocation of two middle management positions to the new classification of Facilities and Fleet Maintenance Manager (MM) will result in a cost savings of $31,000 for the remainder of the fiscal year. The reduction in salary assigned to the Assistant Public Works Maintenance Manager (AM) job classification will result in a cost savings of $3,000 for the remainder of the fiscal year. 55A -3 Resolution Amending Classification & Compensation Plan and Fiscal Year 2015 -16 Budget March 1, 2016 Page 4 ti Edward S. Raya� Executive Director Personnel Services Department Sonia R. Carvalho City Attorney Hassan Ha n Executive !rector of Planning and Building Safety >avipour Director of Public Works Gerardo Mouet Executive Director o Recreation and Parks APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Resolution — Amendment to Basic Classification and Compensation Plan and Annual Budget for Fiscal Year 2015 -16. 55A -4 RESOLUTION NO. 2016- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO. 2015 -026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLANS AND TO AMEND THE CURRENT ANNUAL BUDGET FOR FISCAL YEAR 2015 -2016. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On June 16, 2015, the City Council passed and adopted Resolution No. 2015 -026 amending and re- establishing the Basic Classification and Compensation Plan for all Full -Time and Part -Time Classifications of Officers and Employees of the City of Santa Ana. C. On July 7, 2015, the City Council passed and adopted Ordinance No. NS- 2878, establishing the City's Budget for Fiscal Years 2015 -2016, authorizing position allocations for Fiscal Years 2015 -2016, and requiring that alterations in the allocation of authorized positions be reviewed and approved by the City Council. D. On December 15, 2015, the City Council adopted Resolution No. 2015- 069 which amended Resolution No. 2015 -026 by revising the Executive Management Salary Schedule. E. It is the City's practice to assign job titles that reflect the duties and responsibilities of the classification and are consistent with other classifications within the City's organizational structure as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates. F. The Personnel Services Department has completed a mid -year review of the various departmental requests to make changes to the City's organizational structure, classification titles, and staffing which revealed the need to effect certain changes to the City's basic classification and compensation plans. Resolution 2016 -XXX Page 1 of 6 55A -5 G. It is now desired to amend Council Resolution No. 2015 -026, as amended, and the Annual Budget for Fiscal Years 2015 -2016, as amended, in order to effect these changes, as shown below: Section 2: The Santa Ana City Council amends Resolution No. 2015 -026, Exhibit "B" as follows: A. Adding the following full time classification title at the monthly six -step salary rate range indicated: Classification Title Executive Secretary to City Attorney (UC) 6 -Step Salary Rate Range Effective 01/01/16 Monthly Salary SSR Minimum - Maximum 610 $4246 - $5423 Section 3: The Santa Ana City Council amends Resolution No. 2015 -026, Exhibit "E" as follows: A. Adding the following full time classification title at the monthly seventeen - step salary rate range indicated: Classification Title Facilities and Fleet Maintenance Manager (MM) 17 -Step Salary Rate Range Effective 01/01/16 Monthly Salary SSR Minimum - Maximum MM -22 $8511 - $12632 B. Changing the following full time vacant classification title with a salary adjustment at the monthly five -step salary rate range indicated: Classification Title 5 -Step Salary Rate Range Effective 01/01/16 Monthly Salary From: SSR Minimum- Maximum Maintenance Enterprise Administrator (AM) AM760 $8837 - $10741 To: SSR Minimum - Maximum Assistant Public Works Maintenance Manager (AM) AM750 $8415 - $10230 Section 4: The Santa Ana City Council amends Resolution No. 2015 -026, Exhibit "F as follows: A. Changing the following full time vacant classification title with a salary adjustment at the monthly seven -step salary rate range indicated: Resolution 2016 -XXX Page 2 of 6 'P�PM Classification Title 7 -Step Salary Rate Range Effective 01/01/16 Monthly Salary From: SSR Minimum - Maximum Safety Coordinator 695 $6200 - $8309 To: SSR Minimum - Maximum Public Works Safety Coordinator 665 $5356 - $7176 B. Deleting the following full time vacant and obsolete classification titles at the monthly seven -step salary rate range indicated: 7 -Step Salary Rate Range Effective 01/01/16 Monthly Salary Classification Title SSR Minimum - Maximum Park Maintenance Leader 610 $4091 -$5488 C. Changing, in alphabetical sequence, the following full time job classification titles with no change in compensation: 1. Community Development District Manager to Senior Community Planner. 2. Code Enforcement Coordinator to Code Enforcement Principal. 3. Code Enforcement Technician to Code Enforcement Associate. 4. Permit Processor to Permit Services Processor. 5. Permit Supervisor to Permit Services Supervisor, 6. Permit Technician to Permit Services Technician. Section 5: The Santa Ana City Council amends Resolution No. 2015 -026, Exhibit "H" as follows: A. Adding the following part time classification titles at the wage rates indicated: Part Time Classification Title Assistant Special Employment Counselor* Associate Special Employment Counselor* Information Desk Clerk* Recreation Facility Attendant* Water Conservation Representative* Hourly Wage Rates Effective 1/1/16 Step A Step B Step C Step D Step E $12.55 $13.16 $13.83 $14.53 $15.24 $14.12 $14.82 $15.57 $16.35 $17.16 $15.41 $16.17 $16.99 $17.85 $18.72 $16.01 $16.82 $17.67 $18.56 $19.49 $15.56 $16.33 $17.14 $18.00 $18.94 *Includes 2.5% Salary Increase effective 7/1/15. Resolution 2016 -XXX Page 3 of 6 55A -7 1. Deleting the following part time and obsolete classification titles at the wage rates indicated: Part Time Classification Title Special Employment Counselor I Special Employment Counselor 11 Special Employment Counselor III Maintenance Aide I Sports Attendant Clerical Assistant General Assistant Hourly Wage Rates Effective 1/1/16 Step A Step B Step C Step D Step E $10.00 $10.51 $11.02 $11.57 $12.14 $10.00 $10.51 $11.02 $11.57 $12.14 $10.00 $10.51 $11.02 $11.57 $12.14 $10.00 $10.51 $11.02 $11.57 $12.14 $10.00 $10.51 $11.02 $11.57 $12.14 $10.00 $10.51 $11.02 $11.57 $12.14 $10.00 $10.51 $11.02 $11.57 $12.14 2. Changing the following part time classification title with no change in compensation: 1. Maintenance Aide II to Maintenance Attendant Section 6: That the City Budget for Fiscal Years 2015 -2016, as amended, is hereby further amended by: A. Adding three (3) full time positions in the Planning and Building Agency, at the monthly seven -step rate ranges as indicated: To: Executive Secretary to City Attorney (UC) 610 $4246 - $5423 Resolution 2016 -XXX Page 4 of 6 y • 7 -Step Salary Rate Range Effective 01/01/16 Number of Monthly Salary Classification Title Positions Added SSR Minimum - Maximum Senior Planner 1 718 $6937 - $9296 Associate Planner 2 698 $6291 - $8431 B. Reallocating one (1) full time position in the City Attorney's Office as follows: 6 -Step Salary Rate Range Effective 01/01/16 Classification Title Monthly Salary From: SSR Minimum - Maximum Senior Legal Secretary (UC) 610 $4246 - $5423 To: Executive Secretary to City Attorney (UC) 610 $4246 - $5423 Resolution 2016 -XXX Page 4 of 6 y • C. Reallocating two (2) full time positions in the Finance and Management Services Agency as follows: Classification Title From: Corporate Yard Facilities /Fleet Services Manager (MM) And, Facilities Maintenance Superintendent (MM) To: Facilities and Fleet Maintenance Manager (MM) 17 -Step Salary Rate Range Effective 01/01/16 Monthly Salary SSR Minimum - Maximum MM -22 $8511 - $12632 MM -18 $7710 - $11443 MM -22 $8511 - $12632 Section 7: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated. Section 8: That except as amended by this Resolution, all other provisions of Resolutions Nos. 2015 -026, as amended, and the Annual Budget for Fiscal Years 2015- 2016, as amended, shall remain in full force and effect. Section 9. This Resolution is operative from and after March 1, 2016. ADOPTED this 15t day of March, 2016. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Laura A. Rossini Senior Assistant City Attorney Resolution 2016 -XXX Page 5 of 6 Miguel A. Pulido Mayor 55A -9 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2016 - to be the original Resolution adopted by the City Council of the City of Santa Ana on March 1, 2016. Date: 55A -10 Clerk of the Council City of Santa Ana Resolution 2016 -XXX Page 6 of 6 CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: APPROPRIATION ADJUSTMENT, RESOLUTION AND AGREEMENT ACCEPTING FISCAL YEAR 2015 -16 EMERGENCY MANAGEMENT PERFORMANCE GRANT {STRATEGIC PLAN NO. 1, 2E, 2F, 6C} CITY MANAGER 10FPir&II5100A�Z�+3�C *]�I CLERK OF COUNCIL USE ONLY: ;..»• k ❑ As Recommended ❑ As Amended ❑ Ordinance on 16` Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and the Clerk of the Council to execute a one -year agreement with the County of Orange, commencing July 1, 2015 through June 30, 2016 for the Emergency Management Performance Grant in an amount not to exceed $49,665, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing $49,665 in Emergency Management Performance Grant Fiscal Year 2015 -16 funds in revenue account (no. 12814002 - 52001) and appropriating same to expenditure account (no. 12814414 - various). 3. Adopt a resolution authorizing the City Manager to act on behalf of the City of Santa Ana for the purpose of obtaining federal funds related to homeland security, emergency management and /or disaster recovery provided by the US Department of Homeland Security. DISCUSSION In October 2015, the Police Department applied for the Emergency Management Performance Grant (EMPG), which is funded by the US Department of Homeland Security and passed through the State of California Office of Emergency Services. The grant is administered by the County of Orange. The Police Department has received an award from the EMPG grant in the amount of $49,665 for FY 2015 -16. These funds will reimburse the City for a portion of the salary and benefits of the Emergency Operations Coordinator position. Awards are set forth from July 1, 2015 -June 30, 2016. The EMPG grant is designed to assist state and local emergency management and disaster preparedness programs with employment and development of emergency management staff, development of emergency plans and procedures, and preparing cities for disaster response. The EMPG grant is distributed by population to counties and cities that maintain emergency management staff and meet training, exercising and reporting requirements. 55B -1 Emergency Management Performance Grant Agreement, Appropriation Adjustment, & Resolution March 1, 2015 Page 2 Staff is requesting approval of the appropriation adjustment of $49,665 from the EMPG revenue account to the EMPG expenditure account. Furthermore, staff is recommending approval of a resolution authorizing the City Manager to act on behalf of the City of Santa Ana for the purposes of obtaining funds related to homeland security, emergency management and /or disaster recovery provided by the US Department of Homeland Security and sub granted through the State of California. STRATEGIC PLAN ALIGNMENT Approval of these items assists the City in meeting Goal #1 - Community Safety, Objective #2 (Broaden communications, information sharing and community awareness of public safety activities), Strategy E (Update the City's Emergency Operations Center (EOC) emergency preparedness plan to include a community evacuation strategy to respond to natural disasters), Strategy F (Partner with emergency assistance and disaster relief organizations to promote community awareness of emergency preparedness), and Objective #6 (Enhance Public Safety integration, communications and community outreach), and Strategy C (Continue to develop and implement joint command level training in collaboration with the Police Department's Emergency Operations Coordinator). FISCAL IMPACT The appropriation adjustment will recognize $49,665 in EMPG Grant funds in Fiscal Year 2015- 16 revenue account (no. 12814002 - 52001), and appropriate same to Fiscal Year 2015 -16 expenditure account (no. 12814414 - various). Police Department funding of the Emergency Operations Coordinator position fulfills the requirement for matching funds. Carlos Rojas Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibits: 1. Transfer Agreement with the County of Orange a. Attachment A— FY 2015 EMPG Notice of Funding Opportunity b. Attachment B — FY 2015 Financial Forms Workbook c. Attachment C — FY 2015 California Supplement to Federal Guidance d. Attachment D — FY 2015 EMPG Agreement Articles and Assurances 2. FY 2015 EMPG Resolution 55B -2 Exhibit 1 55B -3 55B -4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 AGREEMENT TO TRANSFER FUNDS FOR 2015 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM THIS AGREEMENT is entered into this day of 20_, which date is enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political subdivision of the State of California, hereinafter referred to as "COUNTY," and a municipal corporation, hereinafter referred to as "SUBRECIPIENT." WHEREAS, COUNTY, acting through its Sheriff - Coroner Department, hereinafter referred to as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant ") from the California Office of Emergency Services ( "CaIOES "). WHEREAS, the purpose of the grant is to support comprehensive emergency management at the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation, response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FY2015 Emergency Management Performance Grants [EMPG] Program Funding Opportunity Announcement [FOA]), which is attached hereto and incorporated herein by reference, NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: 1. COUNTY shall transfer to SUBRECIPIENT grant funds, in arrears, as necessary to reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF all required information and documentation, as set forth in Attachment .B (EMPG City Financial Management Forms Workbook), which is attached hereto and incorporated herein by reference. 2. Throughout their useful life, grant .property and equipment shall be used by SUBRECIPIENT only for grant purposes in accordance with Attachment A hereto. 3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and equipment from damage or destruction and shall provide regular maintenance and such repairs for grant Emergency cyMa 55B -5 P.mergency MAnayetnanl PeaYonnattce Grant Department of Homeland security Page 1 of - 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 property and equipment as are necessary, in order to keep said grant continually in good working order. property and equipment. 4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it only in accordance with the instructions of COUNTY or the agency from which COUNTY received the grant funds. 5. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and information in accordance with requirements set out in the Attachment C (Emergency Management Performance Grant Program: California Supplement to the Federal Program Funding Opportunity I Announcement; or, The State Guidance), which is attached hereto and incorporated herein by reference, 6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (FY15 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions) hereto. SUBRECIPIENT shall notify COUNTY immediately upon discovery that it has I not abided or no longer will abide by any'applicable provision of this Agreement or Attachments A, B, C, or D hereto. 7. . SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the agency from which COUNTY received grant funds, and their elected and appointed officials, officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work, services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement, including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the performance of this Agreement, including Attachments A, B, C, and D hereto. 8. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or agreement not incorporated herein shall be binding on any of the parties hereto. 91 SUBRECIPIENT may not assign this Agreement in whole or in part without the express I written consent of COUNTY, CVDA! 97.042 Emergency Maaagemeat Petformance Grant 55 B— Department of Homeland Secu ly Page 222222 of 4 11 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 10. SUBRECIPIENT shall provide to COUNTY all records and information requested by COUNT' for inclusion in quarterly reports and such other reports or records as COUNTY may be required to provide to the agency from which COUNTY received grant funds or other persons or agencies. 11, For a period of three years after the final Federal Financial Report hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve and maintain all documents, papers and records relevant to the work performed or property or equipment acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the same time period, SUBRECIPIENT shall make said documents, papers and records available to COUNTY and the agency from which COUNTY received the grant funds or their duly authorized representatives), for examination, copying, or mechanical reproduction on or off the premises of SUBRECIPIENT, upon request, during usual working hours. . 12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State Auditor General with respect to this Agreement for a period of three years after the final Federal Financial Report hereunder. 13. COUNTY may terminate this Agreement and be relieved of the payment of any consideration to SUBRECIPIENT if a} SUBRECIPIENT fails to perform any of the covenants contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the time and in the manner herein provided, or b) COUNTY loses funding under the grant. In the event of termination, COUNTY may proceed with the work in any malmer deemed proper by COUNTY. 14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which COUNTY received grant funds. 15. By signing this Agreement, SUBRECEIPIENT understands and agrees that; a. Failure to follow grant guidance, including those detailed below, will result in ineligibility for any reimbursement under the FY15 EMPG: ;TDA: 97.042 55B-7 Emetgency Management PeiToimance Grpnt Danarlmeni of Hnmelnnd 4 nCA 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 i b. A SUBRECIPIENT representative must attend half of the Orange County Emergency Managers Organization meetings held from July 1, 2015 through June 30, 2016; c. SUBRECIPIENT must maintain National Incident Management System (NIMS) compliance; d. For any personnel whose salary is charged to the grant, that specific individual must meet the training and exercise requirements set forth in the grant guidance; and c. Only those expenditures specifically detailed in the Financial Management Forms Workbook are approved for funding; ally changes must be pre - approved by the California Office of Emergency Services. IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange, State of California. DATED: 120_ COUNTY OF ORANGE, apolitical subdivision of the State of California I DATED: CFDA: 47.042 Emw�gency Management Pwfoisnance Giant Depulment of Homeland security By Sheriff-Coroner "COUNTY" APPROVED AS TO FORM: COUNTY COUNSEL By Nicole A. Sims, Deputy DATED: 20 ,20_ SUBRECIPIENT: By ATTEST: 55B -8 Page 4 of 4 City Clerk DATED: Department of Homeland Security Notice of Funding Opportunity FY 2015 Emergency Management Performance Grant Program NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take 4 weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants. gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants. gov at: http://www.grants.gov/ web /erantslapplicants /applicant- resources html. A. Notice of Funding Opportunity (NOFO) Description Issued By U.S. Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Grant Programs Directorate (GPD) Catalog of Federal Domestic Assistance (CFDA) Number 97.042 CFDA Title Emergency Management Performance Grant (EMPG) Program Notice of Funding Opportunity Title Emergency Management Performance Grant Program NOFO Numbers Grant Program Title NOFO Number Emergency Management Performance Grants (EMPG) — Region I DHS -I5 -GPD- 042 - 001 -01 Emergency Management Performance Grants (EMPG) — Region II DHS -I5 -GPD- 042 - 002 -01 Emergency Management Performance Grants (EMPG) — Region III DHS -I5 -GPD- 042 - 003 -01 Emergency Management Performance Grants (EMPG) — Region IV DHS -I5 -GPD- 042 - 004 -01 Emergency Management Performance Grants (EMPG) — Region V DHS -I5 -GPD- 042 - 005 -01 Emergency Management Performance Grants (EMPG) — Region VI DHS -I5 -GPD- 042 - 006 -01 Emergency Management Performance Grants (EMPG) — Region VII DHS -I5 -GPD- 042 - 007 -01 Emergency Management Performance Grants (EMPG) — Region VIII DHS -I5 -GPD- 042 - 008 -01 Emergency Management Performance Grants (EMPG) — Region IX DHS -I5 -GPD- 042 - 009 -01 Emergency Management Performance Grants (EMPG) — Region X I DHS -I5 -GPD- 042 - 010 -01 Exhibit A 55B -9 Authorizing Authority for Program Section 662 of the Post - Katrina Emergency Management Reform Act of 2006 (PKEMRA), as amended, (Pub. L. No. 109 -295) (6 U.S.C. § 762); the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended (Pub. L. No. 93 -288) (42 U.S.C. §§ 5121 et seq.); the Earthquake Hazards Reduction Act of'1977, as an-tended (Pub. L. No. 95 -124) (42 U.S.C. §§ 7701 et seq.); and the National Flood Insurance Act of 1968, as amended (Pub. L. No. 90 -448) (42 U.S.C. §§ 4001 et seq.). Appropriation Authority for Program Department of Homeland Security Appropriations Act, 2015, (Pub. L. No. 114 -4) Program Type New Program Overview, Objectives, and Priorities Overview The purpose of the Emergency Management Performance Grant (EMPG) Program is to provide Federal funds to states to assist state, local, territorial, and tribal governments in preparing for all hazards, as authorized by Section 662 of the Post Katrina Emergency Management Reform Act (6 U.S.C. § 762) and the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. §§ 5121 gt M.). Title VI of the Stafford Act authorizes FEMA to make grants for the purpose of providing a system of emergency preparedness for the protection of life and property in the United States from hazards and to vest responsibility for emergency preparedness jointly in the Federal Government, states, and their political subdivisions. The Federal Government, through the EMPG Program, provides necessary direction, coordination, and guidance, and provides necessary assistance, as authorized in this title, to support a comprehensive all hazards emergency preparedness system. The FY 2015 EMPG will provide Federal funds to assist state, local, tribal, and territorial emergency management agencies to obtain the resources required to support the National Preparedness Goal's (the Goal's) associated mission areas and core capabilities. The Federal government, through the EMPG Program, provides necessary direction, coordination, and guidance, and provides necessary assistance, as authorized in this title, to support a comprehensive all hazards emergency preparedness system. Objectives The EMPG Program supports a comprehensive, all- hazard emergency preparedness system by building and sustaining the core capabilities contained in the Goal. Examples of EMPG funded activities include: Initiating or achieving an all -of- Nation/whole community approach to security and emergency management; Strengthening a state or community's emergency management program; Updating emergency plans; FY 2015 EMPG Program 55B -10 • Completing the State Preparedness Reports (SPR), including the Threat and Hazard Identification and Risk Assessment ( THIRA) process; • Designing and conducting exercises that engage an all -of- Nation/whole community of stakeholders and validate core capabilities; and • Conducting training Priorities The National Preparedness System is the instrument the Nation employs to build, sustain, and implement core capabilities to achieve the Goal of a secure and resilient Nation. Complex and far - reaching threats and hazards require a collaborative and all -of- Nation/whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government. The guidance, programs, processes, and systems that support each component of the National Preparedness System allow for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal. The Department of Homeland Security expects EMPG recipients to prioritize grant funding to address capability targets and gaps identified through the annual THIRA and SPR process. Recipients should prioritize the use of grant funds to maintain/sustain current capabilities, to validate capability levels, and to increase capability for high - priority core capabilities with low capability levels. Additional information, including guidelines for completing the THIRA and SPR, can be found at: httis: / /www.fema.gov/ media- librarv/assets/ documents /26335 and htWs://www.fema.gov/media-librarv/assets/docutuents/24748. Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients are expected to support state, local, regional, tribal, territorial and national efforts to achieve the desired outcomes for these priorities. For additional details on priorities for the EMPG Program, please refer to Appendix A — FY 2015 EMPG Program Priorities. B. Federal Award Information Award Amounts, Important Dates, Extensions Available Funding for the FY 2015 EMPG NOFO: $350,100,000 Period of Performance: Twenty -four (24) Months Extensions to the period of performance are allowed. For additional information on period of performance extensions, refer to Section H of this NOFO, Additional Information (Extensions). Period of Performance Start Date(s): 10/1/2014 FY 2015 EMPG Program 55B -11 Period of Performance End Date(s): 9/30/2016 Funding Instrument: Grant C. Eligibility Information Eligible Applicants State governments (State Administrative Agency [SAA] or the State's Emergency Management Agency [EMA]) Eligibility Criteria All 56 states and territories, as well as the Republic of the Marshall Islands and the Federated States of Micronesia, are eligible to apply for FY 2015 EMPG Program funds. Either the SAA or the EMA is eligible to apply directly to FEMA for EMPG Program funds on behalf of each state or territory. However, only one application will be accepted from each state or territory. Other Eligibility Criteria: Emergency Management Assistance Compact (EMAC) Membership In support of the Goal, EMPG recipients must belong to, be located in, or act as temporary member states of EMAC, except for American Samoa, the Federated States of Micronesia, the Republic of the Marshall Islands, and the Commonwealth of the Northern Mariana Islands, which are not currently required to belong to EMAC. All assets supported in part or entirely with FY 2015 EMPG Program funding must, where applicable, be readily deployable to support emergency or disaster operations per existing EMAC agreements. National Incident Management System (NIMS) Implementation Prior to allocation of any Federal preparedness awards in FY 2015, recipients must ensure and maintain adoption and implementation of NIMS. Emergency management and incident response activities require carefully managed resources (personnel, teams, facilities, equipment and/or supplies) to meet incident needs. Utilization of the standardized resource management concepts such as typing, credentialing, and inventorying promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management and NIMS resource typing definitions and job titles /position qualifications is available under http://www.fema.govlresource-management-mutual-aid. FEMA developed the NIMS Guideline for Credentialing of Personnel to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes, and identifies tools which Federal Emergency Response Officials (FEROs) and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses. FY 2015 EMPG Program 55B -12 Although state, local, tribal, and private sector partners — including nongovernmental organizations —are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so in order to leverage Federal investment in the Federal Information Processing Standards (FIPS) 201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction. Additional information is available from the NIMS Guideline for the Credentialina of Personnel. Maintenance of Effort There is no Maintenance of Effort requirement for this program. Cost Match Criteria A cost match is required under this program. The Federal share that is used towards the EMPG Program budget shall not exceed 50 percent of the total budget. The state must equally match (cash or in -kind) the Federal contribution pursuant to Sections 6110) and 613 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Pub. L. No. 93 -288), as amended, (42 U.S.C. §§ 5121- 5207). Unless otherwise authorized by law, Federal funds cannot be matched with other Federal funds. FEMA administers cost matching requirements in accordance with 2 C.F.R. § 200.306. To meet matching requirements, the recipient contributions must be verifiable, reasonable, allowable, allocable, and necessary under the grant program and must comply with all Federal requirements and regulations. In accordance with 48 U.S.C. § 1469a, match requirements are waived for the insular areas: the U.S. territories of American Samoa, Guam, the U.S. Virgin Islands, the Federated States of Micronesia, the Northern Mariana Islands, and the Republic of the Marshall Islands. Application and Submission Information Submission Date and Other Key Dates and Times Date Posted to Grants.gov: Application Submission Deadline: March 25, 2015 April 24, 2015 at 11:59:59 p.m. (EDT) All applications must be received by the established deadline. The Non - Disaster (ND) Grants System has a date stamp that indicates when an application is submitted. Applicants will receive an electronic message confirming receipt of the full application. In general, FEMA will not review applications that are not received by the deadline or consider them for funding. FEMA may, however, extend the application deadline on request for any applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant's control that prevent submission of the application by the deadline, or other FY 2015 EMPG Program 55B -13 exigent or emergency circumstances. Extensions based on exigent or emergency circumstances will be made on case by case basis with the final determination resting with FEMA. If you experience technical issues, you must notify the respective EMPG Regional Program Analyst as soon as possible. Anticipated Award Date: No later than 9/30/2015 Other I {ey Dates The chart below outlines suggested/estimated deadlines for completing the five steps required for a successful application submission prior to the deadline. These dates are only recommendations as applicants are responsible for planning far enough in advance to complete their application. The requirements outlined in the chart below are outside of FEMA's purview. Therefore, FEMA does not guarantee the timeframes for completing those processes. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application may disqualify their application from funding. Applicants are encouraged to register early for Authorized Organizational Representative (AOR) authorization. The registration process can take four weeks or more to be completed. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines. Task Suggested timeframe for completion of task to meet submission deadline Obtain DUNS Number March 31, 2015 Obtain valid Employer Identification Number (EIN) March 31, 2015 Update SAM registration April 10, 2015 Submit initial application in grants.gov Aril 17, 2015 Address to Request Application Package Application forms and instructions are available at Grants.gov. To access these materials, go to http: / /www.grants.g_ov , select "Applicants" then "Apply for Grants," read the registration requirements and register if necessary (Allow up to 7 -10 business days after you submit before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information). In order to obtain the application package, select "Download a Grant Application Package," enter the CFDA and /or the funding opportunity number located on the cover of this NOFO, select "Download Package," and then follow the prompts to download the application package. If you experience difficulties accessing information or have any questions, please call the Qrants.xov customer support hotline at (800) 518 -4726. Hard copies of the NOFO can be downloaded from the common electronic "storefront" in Grants.gov. FY 2015 EMPG Program 55B -14 In addition, the Telephone Device for the Deaf (TDD) and /or Federal Information Relay Service (FIRS) number available for this Notice is: (800) 462 -7585. Applications will be processed through the Grants.gov portal and FEMA's Non - Disaster Grants (ND Grants) System. Content and Form of Application Submission Applying for an award under this program is a multi -step process and requires time to complete. To ensure that an application is submitted on time, applicants are advised to start the required steps well in advance of their submission. Please review the table above under "Submission Dates and Other Key Dates and Times" for estimated deadlines to complete each of the six steps listed below. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application may disqualify their application from funding. The steps involved in applying for an award under this program are: 1. Applying for, updating or verifying their DUNS Number; 2. Applying for, updating or verifying their EIN Number; 3. Updating or verifying their SAM number; 4. Establishing an Authorized Organizational Representative (AOR) in Grants.gov; 5. Submitting an initial application in Grants.gov; and 6. Submitting the complete application in ND Grants. For additional information regarding the DUNS Number, EIN Number, SAM Number, and AOR requirements, please see the section below entitled Dun and Bradstreet Universal Numbering System (DUNS) Number, System for Award Management (SAMh and Authorized Organizational Representative (AOR). Submitting an Initial Application in Grants.gov. All applicants must submit their initial application through Grants. goy. Applicants may need to first create a Grants.gov user profile by visiting the Get Registered section of the Grants.gov website. Successful completion of this step is necessary for FEMA to determine eligibility of the applicant. Applicants should complete this initial step on -line, which requires completing: • Standard Form 424 (SF -424), Application for Federal Assistance, and • Grants. gov (GG) Form Certification Regarding Lobbying Form. Both forms are available in the Forms tab under SF -424 Family. The initial application cannot be started or submitted in Grants.gov until the applicant's registration in SAM is confirmed. Application forms and instructions are available at Grants.gov by selecting Apply for Grants. Enter the CFDA number or the Opportunity ID Number noted in this NOFO, select Download Application package, and follow the prompts to download the application package. The information submitted in Grants. gov will be retrieved by ND FY 2015 EMPG Program 55B -15 Grants, which will allow FEMA to determine if an applicant is eligible. Applicants are encouraged to submit their initial application in Grants.gov at least seven days before the April 24, 2015,11:59:59 p.m. (EDT) application deadline. If you need assistance applying through Grants.gov, please go to the Grant Application page, contact sunportna,grants.gov, or call 800 -518 -4726. FEMA cannot assist applicants with questions related to registering with Grants.gov. Submitting the Complete Application in Non Disaster Grants System (ND Grants). Eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application. In ND Grants, applicants will be prompted to submit all of the information contained in the following forms. Applicants should review these forms before applying to ensure they include all required information: • Standard Form 424A, Budget Information (Non- construction); • Standard Form 424B, Standard Assurances (Non- construction); and • Standard Form LLL, Disclosure of Lobbying Activities (if the recipient has engaged or intends to engage in lobbying activities). In addition applicants must submit copies of the following in ND Grants: • Standard Form 424D, Standard Assurances (Construction) if applying for funds to use for construction; • Standard Form 424C, Budget Information (Construction) if applying for grants to support construction; • Program Work Plan; and • Indirect Cost Rate Agreement, if applicable If you need assistance registering for the ND Grants system, please contact ndgrantsAfema.gov or(800)865-4076. Dun and Bradstreet Universal Numbering System (DUNS) Number, System for Award Management (SAM), and Authorized Organizational Representative (AOR) DHS is participating in the Grants.gov Initiative that provides the Grant Community a single site to find and apply for grant finding opportunities; therefore, applicants with electronic access are to submit their applications electronically through http: / /www.grants gov/ web /grants/ applicants /apply- For- grants.html. Before you can apply for a DHS grant at grants.gov, you must have a DUNS number and must be registered in SAM. Obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) Number The DUNS number must be included in the data entry field labeled "Organizational DUNS" on the SF -424 form. Instructions for obtaining a DUNS number can be found at FY 2015 EMPG Program 55B -16 the following website: http:llwww.Qrants.govll web /,grants /applicantsIorganization- registrationlstim-1 - obtain- duns - number, html The applicant must provide a DUNS number with their application. This number is a required field for all subsequent steps in the application submission. Applicants should verify they have a DUNS number, or take the steps necessary to obtain one. Applicants can receive a DUNS number at no cost by calling the DUNS number request line at (866) 705 -5711. FEMA cannot assist applicants with questions related to obtaining a current DUNS number. Obtain an Employer Identification Number (EIN) FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and for grant award payment; both EIN and DUNS are also required to register with SAM (see below). The EIN base for an organization is the Internal Revenue Service (IRS) Tax ID number; for individuals it is their social security number, both the EIN and social security numbers are nine -digit numbers. Organizations submitting their applications must correctly differentiate the EIN from the DUNS since both are 9 -digit numbers. If these numbers are not correctly identified in the application, this may result in a delay in the issuance of the funding award and/or incorrect payment to a recipient organization. Organization applicants M13jng for an EIN should plan on a minimum of two full weeks to obtain an EIN. If you need assistance registering an EIN please contact the IRS helpline. FEMA cannot assist applicants with questions related to obtaining a current EIN. Register with the System for Award Management (SAM) Applicants applying for grant funds electronically through Grants. gov must register with the Federal System for Award Management (SAM). Step -by -step instructions for registering with SAM can be found at: http:11www.gran1s. gov/ web /grants/ applicants loreanization- rggistration /step- 2- register- with-sam.html. All applicants must register with SAM in order to apply online. Failure to register with the SAM will result in your application being rejected by Grants.gov during the submissions process. Payment under any FEMA award is contingent on the recipient's having a current SAM registration. The SAM registration process must be completed by the applicant. It is imperative that the information provided by the applicant is correct and current. Please ensure that your organization's name, address, DUNS number, and EIN are up to date in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards. SAM registration is a multi -step process that includes validating your EIN with the IRS and obtaining a Commercial and Government Entity (CAGE) code. The CAGE code is only valid for one year after issuance and must be current at the time of application. FY 2015 EMPG Program 55B -17 SAM sends notifications to the registered user via email 60, 30, and 15 days prior to expiration of the SAM registration for the Entity. SAM registration may lapse due to inactivity. To update or renew your Entity record(s) in SAM you will need to create a SAM User Account and link it to your migrated Entity records. If you need assistance registering, please go to SAM. go or call 866 - 606 -8220. FEMA cannot assist applicants with questions related to registering in SAM or obtaining a current CAGE code. Authorized Organizational Representative The next step in the registration process is creating a username and password with Grants.gov to become an Authorized Organizational Representative (AOR). AORs will need the DUNS number of the organization for which they will be submitting applications to complete this process. To read more detailed instructions for creating a profile on Grants.gov visit: http• / /www grants.gov/ web /rants /applicants /or¢anization- registration /step- 3- username- password.html. AOR Authorization After creating a profile on Grants.gov, the E -Biz 'Point of Contact (E -Biz POC), a representative from your organization who is the contact listed for SAM, will receive an email to grant the AOR permission to submit applications on behalf of their organization. The E -Biz POC will then log in to Grants.gov and approve an applicant as the AOR, thereby giving him or her permission to submit applications. To learn more about AOR Authorization visit: http://www rQ ants.gov/ web /Qr ants / applicants /organization - registration /step- 4 -aor- authorization.html. To track an AOR status visit: ht�e / /www grants zov/ web /grants/ applicants / organization- re2istrcitionlsten-5- tracic- aor-status.html. Applicants are encouraged to register early. The registration process can take four weeks or more to be completed. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required submission deadlines. After you have been approved as an AOR, you will be able to submit your application online. Electronic Signature Applications submitted through Grants.gov constitute a submission as electronically signed applications. The registration and account creation with Grants.gov with E -Biz POC approval establishes an AOR. When you submit the application through Grants.gov, the name of your AOR on file will be inserted into the signature line of the application. Applicants must register the individual who is able to make legally binding commitments for the applicant organization as the AOR; this step often is overlooked and it is crucial for valid submissions. FEMA may not make an EMPG award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time FEMA is ready to make an award, FEMA 10 FY 2015 EMPG Program 55B -18 may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant. Intergovernmental Review An intergovernmental review may be required. Applicants must contact their state's Single Point of Contact (SPOC) to comply with the state's process under Executive Order 12372 (see http:// www. fws .RoLlpolicvllibraglrgeo]2372.p4fl. Name and addresses of the SPOCs are maintained at the Office of Management and Budget's home page at http: / /www.whitehouse.kovlombl gry ants Woos to ensure currency. Funding Restrictions Federal funds made available through this award may only be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other Federal award, lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the Federal government or any other government entity. EMPG Program recipients may only fund activities and projects that were included in the FY 2015 EMPG Program Work Plan that was submitted to and approved by FEMA. Activities and projects may include the sustainment of capabilities supported by previous EMPG Program funds provided the sustainrent activity is cited in the FY 2015 Work Plan. Environmental Planning and Historic Preservation (EHP) Compliance As a Federal agency, FEMA is required to consider the effects of its actions on the environment and/or historic properties to ensure that all activities and programs funded by the agency, including grants - funded projects, comply with Federal EHP regulations, laws and Executive Orders as applicable. Recipients and subrecipients proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description that explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. In some cases, FEMA also is required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed and approved before funds are released to carry out the proposed project. FEMA will not fund projects that are initiated without the required EHP review. Additionally, all recipients are required to comply with FEMA EHP Policy Guidance. This EHP Policy Guidance can be found in FP 108- 023 -1, Environmental Planning and Historic Preservation Policy Guidance, and FP 108.24.4, Environmental Planning and Historical Preservation Policy. 11 FY 2015 EMPG Program 55B -19 SAFECOM Recipients (including subrecipients) who receive awards under EMPG that wholly or partially provide funding for emergency communication projects and related activities must comply with the most recent version of the SAFECOM Guidance on Emer2ency Communications Grants. This guidance provides recommendations to recipients regarding interoperable emergency communications projects, including allowable costs, eligible activities, grants management best practices for emergency communications grants, and information on technical standards that ensure greater interoperability. The guidance is intended to ensure that Federally- funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. Recipients (including subrecipients) investing in broadband - related investments should review IB 386 Clarification on Use ofDFIS/FEMA Public Safety Grant Funds for Broadband - Related Expenditures and Investments, and consult their FEMA Regional Program Analyst on such investments before developing applications. Pre -award costs Pre -award costs are allowable only with the prior written approval of FEMA and if they are included in the award agreement. To request pre -award costs a written request must be included with the application, signed by the Authorized Representative of the entity. The letter must outline what the pre -award costs are for, including a detailed budget break -out of pre -award costs from the post -award costs, and a justification for approval. Direct Costs Cost Principles Costs charged to this award must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. Planning Planning related costs are allowed under this program only as described in this NOFO. Organization Organization costs are allowed under this program only as described in this NOFO. Equipment Equipment costs are allowed under this program only as described in this NOFO. Training Training related costs are allowed under this program only as described in this NOFO. Exercise Exercise related costs are allowed under this program only as described in this NOFO. 12 FY 2015 EMPG Program 55B -20 Travel Domestic travel costs are allowed under this program, as provided for in this NOFO. International travel is not an allowable cost under this program unless approved in advance by FEMA. Construction and Renovation Construction and renovation costs are allowed under this program only as described in this NOFO. Operational Overtime Operational Overtime costs are allowed under this program only as described in this NOFO. Maintenance and Sustainment Funding may be used for the sustainment of programs that help achieve core capabilities that, while they may not be physically deployable, support national response capabilities such as Geographic /Geospatial Information Systems (GIS), interoperable communications systems, capabilities as defined under the Response Mission Area of the Goal, and fusion centers. For additional details on the use of funds, please refer to Appendix B -FY 2015 EMPG Funding Guidelines. Management and Administration (M &A) Management and Administration (M &A) activities are those directly related to managing and administering the award, such as financial management and monitoring. It should be noted that salaries of state and local emergency managers are not typically categorized as M &A, unless the state or local EMA chooses to assign personnel to specific M &A activities. M &A costs are allowable for both state and local -level EMAs. The state EMA may use up to five percent (5 %) of the EMPG award for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the amount received from the state for local M &A purposes. If the SAA is not the state -level EMA, the SAA is not eligible to retain funds for M &A. Indirect or Facilities and Administrative (F &A) Costs Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.414(t), recipients must have an approved indirect cost rate agreement with their cognizant Federal agency to charge indirect costs to this award. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's cognizant Federal agency) is required at the time of application, and must be provided to FEMA before indirect costs are charged to the award. 13 FY 2015 EMPG Program 55B -21 E. Application Review Information Criteria FY 2015 EMPG Program applications will be evaluated for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed Work Plan. The results from the review process may require applicants to revise submissions before the release of EMPG funding. Review and Selection Process Initial Review Once program guidance and application requirements are released publicly, eligible applicants can submit applications for funding. Application release and review periods are primarily determined through the appropriations process. FEMA's Regional EMPG Program Managers conduct all pre -award reviews for Emergency Management Performance Grants. All EMPG Program Work Plans will require final approval by the appropriate FEMA regional office. Funds for recipients who have not submitted their EMPG Program Work Plan as part of their application will not be released until such Work Plan is received, reviewed, and approved by FEMA. Recipients will be notified by their FEMA Regional Program Manager should any component of the EMPG Program application require additional information. Overall Review Submitted applications will undergo a complete content review within their respective FEMA Region. Each FEMA Regional EMPG Program Manager will be responsible for reviewing FY 2015 EMPG Program Work Plans for their respective states /territories in order to assess their emergency management sustainment and enhancement efforts for building, sustaining, and/or delivering the core capabilities. For additional details on application review information please refer to Appendix C — FY 2015 EMPG Program Work Plan. F. Federal Award Administration Information Notice of Award Notification of award approval is made through the ND Grants system through an automatic e -mail to the awardee authorized official listed in the initial application. The "award date" for EMPG awards will be the date that FEMA approves the award. The awardee should follow the directions in the notification to confirm acceptance of the award. Recipients must accept their awards no later than 90 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline. For instructions on how to accept 14 FY 2015 EMPG Program 55B -22 or decline and award in the ND Grants system, please see pages 40 -43 in the ND Grants Grantee Training Manual. Funds will remain on hold until the recipient accepts the award through ND Grants and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90 day timeframe may result in a loss of funds. Pass through funding Each state shall obligate 100 percent (100 %) of its total EMPG Program allocation amount to the designated state -level EMA. If the SAA is also the EMA, this requirement is automatically met. If the SAA is a separate agency, or has a separate budget processes, then EMPG funds must be obligated to the EMA within 15 days of the grant award date. In instances where the state EMA is making sub - awards to local jurisdictions, FEMA expects the state EMA to make these awards as expeditiously as possible. Administrative and National Policy Requirements Successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions, which are available online at: http: / /www.dhs.gov /publication/ 15 -dhs- standard - terms- and - conditions. Before accepting the award the authorized official should carefully read the award package. The award package contains instructions on administering the grant award, as well as terms and conditions with which the recipient must comply. Recipients must accept all the conditions in this NOFO as well as all Terms and Conditions in the Notice of Award to receive an award under this program. Reporting Recipients are required to submit various financial and programmatic reports as a condition of their award acceptance. Future awards and fund drawdowns may be withheld if these reports are delinquent. Federal Financial Reporting Requirements Federal Financial Report (FFR) Recipients must report obligations and expenditures on a quarterly basis through the FFR (SF -425) to FEMA. Recipients must file the FFR electronically using the Payment and Reporting System (PARS). An FFR must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. The final FFR is due 90 days after the end date of the performance period. Future awards and fund drawdowns may be withheld if these reports are delinquent, demonstrate lack of progress, or are insufficient in detail. Recipients may review the FFR Form (SF -425) at: http:// www .whitehouse.eov /siCes /deFault/ files /omb/grantslapproved forms /SF- 425.Pdf, SF -425 OMB #00348 -0061. 15 FY 2015 EMPG Program 55B -23 Financial Reporting Periods and Due Dates The following reporting periods and due dates apply for the FFR: Reporting Period Report Due Date October 1 —December 31 January 30 January 1 — March 31 April 30 April 1— June 30 July 30 July 1 — September 30 October 30 Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all Federal funding sources during the fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with the requirements of U.S. Government Accountability Office's (GAO) Government Auditing Standards, located at ht : / /www.gao.QOV /govaud /ybk01.htm, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http: / /Www.ecfr.gov/eei- bin /text- idx? SID= 55e12eead565605b4d529d82d276105c &node = 2:1.1.2.1.1.6 &ren =div6 For audits of fiscal years beginning prior to December 26, 2014, recipients that expend $500,000 or more from all Federal funding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report. The audit must be performed in accordance with GAO's Government Auditing Standards, located at http •/ /www.�,,ao.gov/¢ovaud/vblc01.htm, and OMB Circular A -133, Audits of States, Local Governments, and Non -Profit Organizations, located at htW:Ilwww whitehouve gov/omb /circulars /a133 compliance supplement 2012. Program Performance Reporting Requirements Performance Progress Reports (SF -PPR) Recipients are responsible for providing updated performance reports to FEMA using the SF -PPR on a quarterly basis. The Quarterly Performance Progress Reports must be based on the approved EMPG Program Work Plan and are due no later than 30 days after the end of the quarter (i.e., on January 30, April 30, July 30, and October 30). Recipients must complete the cover page of the SF -PPR (OMB Control Number: 0970 -03341 and submit it as an attachment to the ND Grants system. Recipients are required to report quarterly on progress towards completing activities and projects approved in their EMPG Program Work Plans, how expenditures support maintenance and sustainment of current Goal core capabilities, and progress made towards implementing the National Preparedness System. This includes reporting on the following information: List of completed training courses and exercises and the Training and Exercise Data Table (templates are available in Appendix C — FY 2015 EMPG Program Work Plan). 16 FY 2015 EMPG Program 55B -24 Percent completion of the Training and Exercise Plan (TEP) outlined in the FY 2015 EMPG Program Work Plan (templates are available in Appendix C — FY 2015 EMPG Program Work Plan). Programmatic Reporting Periods and Due Dates The following reporting periods and due dates apply for the PPR: Reporting Period Report Due Date October 1 — December 31 January 30 January 1 — March 31 April 30 April 1 — June 30 July 30 July 1— September 30 October 30 Standardized Reporting through the EMPG Program Work Plan Template The EMPG Program Work Plan Template has been modified to standardize data collection for improved analysis and reporting. The EMPG Program Work Plan includes five components: (1) Program and Budget Narrative, (2) Personnel Data Table, (3) Training Data Table, (4) Exercise Data Table, and (5) Grant Activities Outline. Baseline data on Personnel, Training, and Exercise as well as the Grant Activities Outline must be provided in the EMPG Program Work Plan at the time of application and will form the basis of the Quarterly Performance Progress Report (SF -PPR) submissions. The Grant Activities Outline is structured to enable reporting of quarterly activities according to Emergency Management Function (EMF) projects, as well as standardized reporting of activity completion status. The EMPG Program Work Plan must summarize program activities in the following areas: • Plannin¢: Planning efforts should span all five Goal mission areas. The EMPG Program Worlc Plan should provide a baseline for determining potential threats and hazards, required capabilities, required resources, and establish a framework for roles and responsibilities. Planning efforts should demonstrate the engagement of the whole community in the development of a strategic, operational, and/or community -based approach to preparedness. • Ornanization: EMPG Program funds may be used for all- hazards emergency management operations, staffing, and other day -to -day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer (SHMO) position, and staffing Community Emergency Response Team (CERT) and Citizen Corps positions at the state and local levels in order to promote whole community engagement in all phases of emergency management and across the mission areas. • Equipment: Allowable equipment categories for the EMPG Program are listed on the web -based version of the Authorized Equipment List (AEL) available at http: / /www.fema.QOV /preparedness- non- di.vaster- ¢rants or http: / /wwwema.gov /grants. Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA- adopted standards to be eligible for purchase 17 FY 2015 EMPG Program 55B -25 using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Training: EMPG Program funds may be used for a range of emergency management - related training activities to enhance the capabilities of State and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, Multi -Year Training and Exercise Plan (TEP) developed through an annual Training and Exercise Plan Workshop (TEPW). Exercises: Exercises conducted with grant funds should test and evaluate performance towards meeting capability targets, established through the development of a jurisdiction's THIRA for the core capabilities needed to address their greatest risks. Exercise priorities should align to a current, Multi -Year TEP developed through an annual TEPW. For more details on the EMPG Program Work Plan, please refer to Appendix C -FY 2015 EMPG Program Work Plan. Threat and Hazard Identification and Risk Assessment ( THIRA) Recipients must update their THIRA by December 31 annually. Further details on the THIRA as it relates to EMPG Program requirements can be found in Appendix A — FY 2015 EMPG Program Priorities. For additional guidance on THIRA, please refer to Comprehensive Preparedness Guide (CPG) 201, Second Edition, available at httos: / /www. fema.QOV/ threat - and - hazard - identification- and- rislc- assessment State Preparedness Report (SPR) Submittal Section 652(c) of the Post- Katrina Emergency Management Reform Act of 2006 (Pub. L No. 109 -295), 6 U.S.C. §752(c), requires any state that receives Federal preparedness assistance to submit an SPR (OMB Control Number: 1660 -0131) to FEMA. States submitted their most recent SPRs in December 2014, thus satisfying this requirement to receive funding under the FY 2015 EMPG Program. Emergency Operations Plan (EOP) Recipients must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPG) 101 v.2, Developing and Maintaining Emergency Operations Plans. Recipients will use the SPR to communicate their compliance with this reporting requirement. Biannual Strategy Implementation Reports (BSIR) In addition to the Quarterly Performance Progress Reports, recipients are responsible for completing and submitting BSIR reports. The BSIR is due within 30 days of the end of the reporting period (July 30 for the reporting period of January 1 through June 30 (the summer BSIR); and January 30 for the reporting period of July 1 through December 31. Updated obligations and expenditure information must be provided within the BSIR to show progress made toward meeting strategic goals and objectives as well as how expenditures support Planning, Organization, Equipment, Training and Exercise 18 FY 2015 EMPG Program 55B -26 (POETE) activities. Accordingly, expenditures should support gaps identified in the recipient's TH1RA and SPRs. FY 2015 Unified Reporting Tool (URT) The URT is FEMA's collection mechanism for THIRA/SPR and other related preparedness information. The FY 2015 SPR includes questions related to NIMS adoption and implementation, and CPG 101 v 2.0 compliance. Information on the URT, to include when recipients will receive the tool and how to use the tool, will be sent to recipients in summer 2015. Closeout FEMA will close out the grant award when it determines that all applicable administrative actions and all required work of the EMPG award have been completed by the recipient. This section summarizes the actions that the recipient must take to complete the closeout process in accordance with 2 C.F.R. § 200.343 at the end of the grant's period of performance or the expiration of an approved extension via Grant Adjustment Notice (GAN) issued to close out the grant. Within 90 days of the end of the period of performance, or after expiration of a close out extension via GAN, recipients must submit a final FFR and final performance progress report detailing all accomplishments and a qualitative summary of the impact of those accomplishments throughout the period of performance, as well as all the following documentation: 1) Final request for payment, if applicable; 2) SF -425 —Final Federal Financial Report; 3) SF -PPR — Final Performance Progress Report to include final Activity Outline Report from Work Plan; 4) A qualitative summary of the impact of accomplishments throughout the entire period of performance. Summary is submitted to the respective Regional Program Manager in a Word document; 5) SF -428 —Tangible Personal Property Report —Inventory of all tangible personal property acquired using funds from this award; and 6) Other documents required by program guidance or terms and conditions of the award. If applicable, an inventory of all construction projects that used funds from this program has to be reported using the Real Property Status Report (Standard Form SF 429) available at http: / /www.whitehouse.gov /sites /de aultl zles lomb /grantslctvnroved forms/sl 429. d . Additionally, the recipient must liquidate all obligations incurred under the EMPG award no later than 90 calendar days after the end date of the period of performance or expiration of a GAN that closes out the award, whichever comes first. Recipients who do not liquidate their obligations within this time period may have the costs of their unliquidated obligations disallowed. Recipients are also responsible for promptly 19 FY 2015 EMPG Program 55B -27 returning to FEMA the balance of any funds that have been drawn down, but remain unliquidated. After final reports have been reviewed and approved by FEMA, a close -out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds the recipient has not drawn down that will be deobligated, and address requirements for record retention, and disposition and reporting requirements for any equipment or real property purchased using EMPG grant funding. In addition, any EMPG recipient that issues subgrants to any subrecipients is responsible for closing out those subgrants as described in 2 C.F.R. § 200.343. EMPG recipients must ensure that they complete the closeout of their subgrants in time to submit all necessary documentation and information to FEMA during the closeout of their own grant award. G. DHS Awarding Agency Contact Information Contact and Resource Information Centralized Services and Information Desk (CSID) The Centralized Services Information Desk (CSID) is a non - emergency comprehensive management and information resource developed by DHS for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, state, and local levels. When necessary, recipients will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at (800) 368 -6498 or by e -mail at ASKCsid &fema.gov, Monday through Friday, 8:00 a.m. — 5:30 p.m. EST. GPD Grant Operations Division GPD's Grant Operations Division Business Office provides support regarding financial matters and technical assistance. Additional guidance and information can be obtained by contacting the FEMA Call Center at (866) 927 -5646 or via e -mail to ASK- GMD@dhs.gov. dhs.gov. FEMA Regions FEMA Regions manage, administer, and conduct the application budget review, create the award package, approve, amend, and close out awards, as well as conduct cash analysis, financial and programmatic monitoring, and audit resolution for the EMPG Program. The Regions also provide technical assistance to EMPG Program awardees. Systems Information Grants.gov. For technical assistance with Grants.gov, please call the Grants. go customer support hotline at (800) 518 -4726. Non Disaster (ND) Grants. For technical assistance with the ND Grants system, please contact ndgrants(a fema.gov or (800) 865 -4076. 20 FY 2015 EMPG Program 55B -28 GPD Environmental Planning and Historic Preservation (GPD -EHP) The FEMA GPD -EHP Team provides guidance and information about the EHP review process to recipients and subrecipients. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent to gpdehpinfo@fema.gov. EHP Technical Assistance, including the EHP Screening Form, can be found at http://www.fema.govlmedia-librarv-datal2Ol3O726- 1806-25045-28391 gpd ehp screening Lorm omb 1660 0115 Lune 2011.pdf. Telephone Device for the Deaf (TDD) The Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this announcement is: (800) 462 -7585. Hard copies of the NOFO Hard copies of the NOFO can be downloaded from the common electronic "storefront" Grants. go . H. Additional Information Extensions Extensions to this program are allowed. Extensions to the initial period of performance identified in the award will be limited and considered only through formal, written requests to the recipient's respective Regional Program Manager and must contain specific and compelling justifications as to why an extension is required. States are advised to coordinate with the Regional Program Manager as needed, when preparing an extension request. All extension requests must address the following: 1) Grant Program, Fiscal Year, and award number; 2) Reason for delay — this must include details of the legal, policy, or operational challenges being experienced that prevent the final outlay of awarded funds by the applicable deadline; 3) Current status of the activity /activities; 4) Approved period of performance termination date and new project completion date; 5) Amount of funds drawn down to date; 6) Remaining available funds, both Federal and cost match; 7) Budget outlining how remaining Federal and non - Federal funds will be expended; 8) Plan for completion including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and 9) Certification that the activity /activities will be completed within the extended period of performance without any modification to the original EMPG Work Plan approved by FEMA. 21 FY 2015 EMPG Program 55B -29 Awardees must submit all extension requests to DHS /FEMA for review and approval no later than 120 days prior to the end of the period of perfonmance. In accordance with GPD policy, extensions are typically granted for no more than a six month time period. Extension requests will be granted only due to compelling legal, policy, or operational challenges. National Preparedness DHS coordinates with local, state, territorial, and tribal, governments as well as with other Federal agencies and private and nonprofit organizations to facilitate an all -of- nation/whole community, risk driven, and capabilities -based approach to preparedness. This approach is grounded in the identification and assessment of risk through the THMA. States must maintain and update their THIRAs and their SPRs annually to ensure that the community's shared understanding of risk evolves to account for changes in the risk landscape, including successful mitigation efforts, emerging threats, hazards, and associated consequences. Information on the National Preparedness System can be found in the http •//www.fema rov /national preparedness- system (released Nov 2011), which is posted on the FEMA website. Additional details regarding the National Preparedness System and how it is supported by the EMPG Program can be found in Appendix A — FY 2015 EMPG Program Priorities. Payment FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial reporting, invoicing and tracking payments. DHS /FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD /EFT, the recipients must complete a Standard Form I I99A, Direct Deposit Form. Monitoring EMPG recipients will be monitored programmatically and financially biannually and as needed by FEMA staff to ensure that the activities and project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring may be accomplished through either a desk -based review or on -site monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance and administrative processes, policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance, corrective actions and other support that may be needed. 22 FY 2015 EMPG Program 55B -30 Conflict of Interest To eliminate and reduce the impact of conflicts of interest in the subaward process, recipients and pass - through entities must follow their own policies and procedures regarding the elimination or reduction of conflicts of interest when malting subawards. Recipients and pass - through entities also are required to follow any applicable state, local, or tribal statutes or regulations governing conflicts of interest in the malting of subawards. The recipient or pass - through entity must disclose to FEMA, in writing, any real or potential conflict of interest as defined by the Federal, state, local, or tribal statutes or regulations or their own existing policies that may arise during the administration of the federal award. Recipients and pass - through entities must disclose any real or potential conflicts to their Regional Program Manager within five days of learning of the conflict of interest. Similarly, subrecipients must disclose any real or potential conflict of interest to the pass - through entity as required by the Recipient's conflict of interest policies, or any applicable state, local, or tribal statutes or regulations. Conflicts of interest may arise during the process of FEMA making a Federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEMA employee. 23 FY 2015 EMPG Program 55B -31 FY 2015 EMPG Program Allocations Emergency Management Performance Grant (EMPG) awards are based on Section 662 of the Post - Katrina Emergency Management Reform Act of 2006, as amended, (6 U.S.C. § 762). All 50 states, the District of Columbia, and Puerto Rico receive a base amount of 0.75 percent of the total available funding appropriated for the EMPG program. Four territories (American Samoa, Guam, Northern Mariana Islands, and the U.S. Virgin Islands) receive a base amount of 0.25 percent of the total available funding appropriated for the EMPG program. The balance of the funds appropriated for the EMPG Program funds are distributed on a population -share basis. Pursuant to Article X of the Federal Programs and Services Agreement of the Compact of Free Association Act (Pub. L. No. 108 -188), a set amount of funds ($100,000 total) are also available from the Disaster Relief Fund for the Federated States of Micronesia and for the Republic of the Marshall Islands. fY i ergenpy. Management • fterformM nce Grantfgi" Program Fun • Ing Allocations m • Allocation Alabama $5,780,028 New Hamps ire $3,488,231 Alaska $3,104,321 New Jersey $8,440,219 Arizona $7,004,535 New Mexico $3,981,883 Arkansas $4,554,934 New York $15,471,989 California $27,870,091 North Carolina $9,094,590 Colorado $6,109,552 North Dakota $3,106,110 Connecticut $4,965,015 Ohio $10,168,217 Delaware $3,233,715 Oklahoma $5,148,078 District of Columbia $3,053,679 Oregon $5,208,056 Florida $15,567,673 Pennsylvania $10,944,419 Georgia $9,194,379 Rhode Island $3,311,501 Hawaii $3,548,573 South Carolina $5,769,036 Idaho $3,688,390 South Dakota $3,180,080 Illinois $11,005,166 Tennessee $6,886,039 Indiana $6,916,945 Texas $20,163,325 Iowa $4,646,511 Utah $4,539,666 Kansas $4,514,370 Vermont $3,032,644 Kentucky $5,496,416 Virginia $8,042,123 Louisiana $5,650,101 Washington $7,219,265 Maine $3,490,362 West Virginia $3,828,831 Mar land $6,513,279 Wisconsin $6,370,898 Massachusetts $7,013,594 Wyoming $3,005,053 Michigan $9,072,413 Puerto Rico $4,933,604 Minnesota $6,175,463 U.S. Virgin Islands $942,773 Mississippi $4,572,962 American Samoa $910,469 Missouri $6,570,000 Guam $979,748 Montana $3,290,945 Northern Mariana Islands $908,495 Nebraska $3,849,115 Republic of the Marshall Islands $50,000 Nevada $4,472,131 Federated States of Micronesia $50,000 $350,10Q,000 24 FY 2015 EMPG Program 55B -32 Appendix A - FY 2015 EMPG Program Priorities Alignment of the EMPG Program to the National Preparedness System The Nation utilizes the National Preparedness System to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal (the Goal) of "a secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk." The objective of the National Preparedness System is to facilitate an integrated, all -of- Nation, risk informed, capabilities -based approach to preparedness. The guidance, programs, processes, and systems that support each component of the National Preparedness System enable a collaborative, whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith -based organizations, and all levels of government(httn: //www.fe ov /whole - community). The FY 2015 EMPG Program contributes to the implementation of the National Preparedness System by supporting the building, sustaimnent, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the Goal. Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. The EMPG Program's allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and Recovery mission areas. Emphasis is placed on capabilities that address the greatest risks to the security and resilience of the United States, and the greatest risks along the Nation's borders. When applicable, funding should support deployable assets that can be utilized anywhere in the Nation through automatic assistance and mutual aid agreements, including but not limited to the Emergency Management Assistance Compact (EMAC). The FY 2015 EMPG Program supports investments that improve the ability of jurisdictions nationwide to: • Preventing a threatened or an actual act of terrorism; • Protecting our citizens, residents, visitors, and assets against the greatest threats and hazards; • Mitigating the loss of life and property by lessening the impact of fature disasters; • Responding quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/or • Recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by a catastrophic incident. The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities, to improve training and exercise programs, promote innovation, and to ensure that the appropriate administrative, finance, and logistics systems are in place. 25 FY 2015 EMPG Program 55B -33 Recipients will use the components of the National Preparedness System to support building, sustaining, and delivering these core capabilities. The components of the National Preparedness System are: Identifying and Assessing Risk; Estimating Capability Requirements; Building and Sustaining Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing and Updating. For more information on each component, read the National Preparedness System description available at http / /Www. ema.gov /national - preparedness -s stem. Recipients are expected to use this process when using grant funds to address their capability gaps. Reporting on the Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements In order to qualify for EMPG Program funding, all recipients shall develop and maintain a THIRA, which informs and supports an annual SPR. A THIRA provides a comprehensive approach for identifying and assessing risks and associated impacts. It expands on existing local, tribal, territorial, and state Hazard Identification and Risk Assessments (HIRAs) and other risk methodologies by broadening the factors considered in the process, incorporating the whole community throughout the entire process, and by accounting for important community- specific characteristics. A guide on how to complete a THIRA is available at https / /www fema Qov /threat- and - hazard - identification- and - risk - assessment. In Step Four of the THIRA process, a jurisdiction should estimate the resources required to deliver the capability targets established in their THIRAs. Communities express resource requirements as a list of resources needed to successfully manage their threats and hazards. Through the capability estimation process, jurisdictions should identify the resources from across the whole community needed to meet capability targets. Each jurisdiction should decide which combination of resources is most appropriate to achieve its capability targets. The SPR is an annual self - assessment of state preparedness submitted by the 56 states and territories to the FEMA. The Post - Katrina Emergency Management Reform Act of 2006 (PKEMRA) requires an SPR from any state or territory receiving federal preparedness assistance administered by the Department of Homeland Security. Reporting: • States are required to submit an annual update to their THIRA. States will submit their THIRA update along with their SPR through the URT and email a copy of the URT to their respective FEMA Regional Federal Preparedness Coordinator and copy fema- sprg/ema.dhs.pov. THIRA submissions shall be in alignment with CPG 201, Second Edition. State submissions of the THIRA and SPR are due no later than December 31 annually. Building and Sustaining Core Capabilities EMPG Program recipients should ensure that grant funding is utilized to sustain critical core capabilities within the National Preparedness System that were funded by past EMPG Program funding cycles. New capabilities should not be built at the expense of maintaining current and critically needed core capabilities. If new core capabilities are being built utilizing EMPG Program funding, recipients must ensure that the capabilities are deployable outside of their 26 FY 2015 EMPG Program 55B -34 community, where applicable, to support regional and national efforts or otherwise shareable with regional partners and aligned with a capability target identified in the THIRA or a capability gap identified through the SPR. Reporting: • Recipients will be required to: (1) describe how expenditures support maintenance and sustainmem of current Goal core capabilities, and (2) describe how expenditures support a capability target identified in the THIRA or a gap identified in the SPR and report these within the quarterly performance progress reports. NIMS Implementation Recipients receiving EMPG funding are required to implement the NIMS, and EMPG funds may be used to meet the requirements described below. The NIMS uses a systematic approach to integrate the best existing processes and methods into a unified national framework for incident management. Incident management refers to how incidents are managed across all homeland security activities, including prevention, protection, and response, mitigation, and recovery. FY 2015 EMPG recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources. Reporting • Recipients report on NIMS implementation through the SPR. Planning to Deliver Capabilities All EMPG Program recipients shall maintain, or revise as necessary, jurisdiction -wide, all threats and hazards EOPs consistent with the CPG 101 v.2, which serves as the foundation for state, local, tribal, and territory emergency planning. CPG 101 v.2 can be found at https://www.fema.gov/ media - library /assets /documents /25975. Recipients must update their EOP at least once every two years. In building future EOPs, planners should anticipate the increasing complexity and decreasing predictability of the future operating environment. These efforts should actively use strategic foresight, including the multiple driving forces of change and the associated evolving strategic needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report. The Report can be found at httn:// www. fema .gov /Strcitetyie- planning-anal sis -. pa-divivion/strategic-foresight- initiative. Reporting: • Recipients will report EOP compliance with CPG 101 v2 in the SPR. Validating Capabilities Recipients should develop long -term training and exercise priorities that examine, validate and /or address capability targets identified through their annual THIRA and or capability gaps identified through their annual SPR. Recipients should also review and consider areas for improvement identified from real -world events and exercises, and national areas for 27 FY 2015 EMPG Program 55B -35 improvement identified in the most recent National Preparedness Report when developing exercise priorities. The Training and Exercise Program (TEP) should consider the risks and capability requirements described in the THIRA along with the guidance provided by elected and appointed officials to identify and set training and exercise program priorities and develop a multi -year schedule of exercise events and supporting training activities to meet those priorities. A TEP that is developed from a Training and Exercise Planning Workshop (TEPW) provides a roadmap to accomplish the multi -year priorities identified by elected and appointed officials and whole community stakeholders. These priorities help curriculum and exercise planners design and develop a progressive program of training and exercises that build, sustain, and increase the ability to deliver core capabilities. Information related to TEPs and TEPWs can be found on the Homeland Security Exercise and Evaluation Program (HSEEP) website at bLtps://www.fema.gov/exercise. In addition to training activities aligned to and addressed in the TEP, all EMPG Program funded personnel shall complete the following training requirements and record proof of completion: NIMS Training, Independent Study (IS) 100, IS 200, IS 700, and IS 800, and other hndependent Study courses identified in FEMA Professional Development Series. Previous versions of the IS courses meet the NIMS training requirement. A complete list of Independent Study Program Courses maybe found at http: / /traininy.fema.gov /is. All recipients will develop and maintain a progressive exercise program, consistent to the degree practical, with the Homeland Security Exercise and Evaluation Program (HSEEP) in support of the National Exercise Program (NEP). The NEP is critical to our Nation's ability to test and validate core capabilities. To this end, grantees are highly encouraged to nominate exercises into the NEP. For additional information on the NEP, please refer to htW:Ilwww. ema. ov /national - exercise progr(tm. Recipients shall conduct no less than four quarterly exercises (i.e., one EMPG funded exercise and/or an exercise that includes EMPG funded personnel per quarter) of any type (i.e., discussion -based or operations- based) and one full -scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned. All EMPG funded personnel shall participate in no fewer than three exercises in a 12- month period. A progressive, multi -year exercise program enables organizations to participate in a series of increasingly complex exercises, with each successive exercise building upon the previous one while also taking into account prior lessons learned. Regardless of the exercise type, each exercise within the progressive series is linked to a set of common program priorities and designed to test associated capabilities. Reporting: • Recipients are required to develop a multi -year TEP that identifies a combination of exercises and associated training requirements that address priorities identified in the 28 FY 2015 EMPG Program 55B -36 TEPW. The TEP shall be submitted to hseeg2fema. dhs. gov no later than June 1 annually. States are encouraged to post their training and exercise schedules to the National Exercise Scheduling System (NEXS) at htt ps://www. ema. ov /exercise. List of completed training courses and exercises and the Training and Exercise Data Table to be included in the Quarterly Performance Progress Report. Percent completion of the TEP outlined in the FY 2015 EMPG Program Work Plan to be included in the Quarterly Performance Progress Report. In order to report on the required exercises, recipients can either submit one After Action Report/Improvement Plan (AAR/IP) for the culminating full -scale exercise from all 5 exercises conducted within a 12 -month period; or individual AAR/IPs for each of the 5 exercises to hseep@Lema.dhs.gov, and the appropriate Regional EMPG Program Manager no later than 90 days after completion of the exercise. In accordance with HSEEP guidance recipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Recipients are encouraged to use the HSEEP AAR/IP template located at https ://www.jema.gov /exercise and utilize the Corrective Action Program (CAP) System at https ://hseep.dhs.gov /caps /, as a means to track the implementation of corrective actions listed in the AAR/IP. If a state /territory /local jurisdiction has experienced a major disaster, and would like to request exemptions for a scheduled exercise, the recipient should send this request to its assigned FEMA Regional Program Manager through the Quarterly Performance Progress Report. Exemptions will be reviewed on a case -by -case basis by the Regional Program Manager. Reviewing and Updating On a recurring basis, capability levels, resources, and plans should be reviewed to determine if they remain relevant or need to be updated. This review should be based on a current risk assessment and utilize information gathered during the capability validation process. These reviews will provide a means to determine priorities, direct preparedness actions, and calibrate goals and objectives. Additional considerations Strengthening Governance Integration DHS /FEMA preparedness grant programs are intended to support the core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response, and Recovery that are necessary to prepare for incidents that pose the greatest risk to the Nation's security. Each program reflects the Department's intent to build and sustain an integrated network of national capabilities across all levels of government and the whole community. Disparate governance structures must be integrated and refined to ensure resources are targeted to support the most critical needs of a community based on risk driven, capabilities -based planning. Strong and inclusive governance systems better ensure that disparate funding streams are coordinated and applied for maximum impact. DHS /FEMA requires that all governance processes that guide the allocation of preparedness grant funds adhere to the following guiding principles: 29 FY 2015 EMPG Program 55B -37 • Coordination of Inves tments — resources must be allocated to address the most critical capability needs as identified in their SPR and coordinated among affected preparedness stakeholders. • Transparency — stakeholders must be provided visibility on how preparedness grant funds are allocated and distributed, and for what purpose. • Substantive Local Involvement— the tools and processes that are used to inform the critical priorities, which DHS /FEMA grants support must include local government representatives. At the state and regional levels, local risk assessments must be included in the overarching analysis to ensure that all threats and hazards are accounted for. • Flexibility with f4ccountability— recognition of unique preparedness gaps at the local level, as well as maintaining and sustaining existing capabilities. • Support of Regional Coordination — recognition of inter /intra -state partnerships and dependencies at the state and regional levels, and within metropolitan areas. 30 FY 2015 EMPG Program 55B -38 Appendix B — FY 2015 EMPG Funding Guidelines Allowable Costs Management and Administration (M &A) M &A activities are those defined as directly relating to the management and administration of EMPG Program funds, such as financial management and monitoring. It should be noted that salaries of state and local emergency managers are not typically categorized as M &A, unless the state or local EMA chooses to assign personnel to specific M &A activities. If the SAA is not the EMA, the SAA is not eligible to retain funds for M &A. M &A costs are allowable for both state and local -level EMAs. The state EMA may use up to five percent (5 %) of the EMPG award for M &A purposes. In addition, local EMAs may retain and use up to five percent (5 %) of the amount received from the state for local M &A purposes. Indirect Costs Indirect costs are allowable under this program as described in 2 C.F.R. § 200.414. With the exception of recipients who have never received a negotiated indirect cost rate as described in 2 C.F.R. § 200.414(f), recipients must have an approved indirect cost rate agreement with their cognizant Federal agency to charge indirect costs to this award. A copy of the approved rate (a fully executed, agreement negotiated with the applicant's cognizant Federal agency) is required at the time of application, and must be provided to FEMA before indirect costs are charged to the award. Planning Planning spans all five National Preparedness Goal (the Goal) mission areas and provides a baseline for determining potential threats and hazards, required capabilities, required resources, and establishes a framework for roles and responsibilities. Planning provides a methodical way to engage the whole community in the development of a strategic, operational, and /or community -based approach to preparedness. EMPG Program funds may be used to develop or enhance emergency management planning activities. Some examples include: • Development of THIRA and SPR • Development of an all- hazards mitigation plan based on identified risks and hazards Emergency Management /Operation Plans • Maintaining a current EOP that is aligned with guidelines set out in CPG 101v.2 hops: //www.fema. gov /media- library /assets /documents /25975 • Modifying existing incident management and emergency operations plans • Developing /enhancing large -scale and catastrophic event incident plans Communications Plans • Developing and updating Statewide Communication Interoperability Plans 31 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -39 • Developing and updating Tactical Interoperability Communications Plans Continuity /Administrative Plans • Developing /enhancing Continuity of Operation (COOP) /Continuity of Government (COG) plans • Developing /enhancing financial and administrative procedures for use before, during, and after disaster events in support of a comprehensive emergency management program All- of- Nation/Whole Community Engagement/Planning • Developing /enhancing emergency operations plans to integrate citizen/volunteer and other non - governmental organization resources and participation • Engaging the whole community in public education and awareness activities • Planning to foster public - private sector partnerships, including imiovation for disasters initiatives that support the mission areas identified in the Goal • Executing an America's PrepareAthon! activity to engage the whole community in a hazard - specific activity on the National Day of Action • Establishing a Citizen Corps Council that brings together representatives of the whole community to provide input on emergency operations plans, risk assessments, mitigation plans, alert and warning systems, and other plans; assist in outreach and education of community members in preparedness activities; and build volunteer capability to support disaster response and recovery • Delivering the CERT Basic Training Course and supplemental training for CERT members who have completed the basic training, the CERT Train - the - Trainer Course, and the CERT Program Manager course (strongly encouraged) • Developing or enhancing mutual aid agreements /compacts, including required membership in EMAC Resource Management Planning • Developing /enhancing logistics and resource management plans • Developing/enhancing volunteer and/or donations management plans • Acquiring critical emergency supplies such as: shelf stable food products, water, and/or basic medical supplies. Acquisition of critical emergency supplies requires each state to have FEMA's approval of a five -year viable inventory management plan if planned grant expenditure is over $100,000; an effective distribution strategy; sustainment costs for such an effort Evacuation planning • Developing /enhancing evacuation plans, including plans for: alerts /warning, crisis communications, pre - positioning of equipment for areas potentially impacted by mass evacuations, sheltering, and re- entry. Recovery Planning • Disaster housing planning, such as creating/supporting a state disaster housing task force and developing/enhancing state disaster housing plans 32 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -40 Pre -event response /recovery /mitigation plans in coordination with state, local, and tribal governments Developing /enhancing other response and recovery plans Developing recovery plans and preparedness programs consistent with the principles and guidance in the National Disaster Recovery Framework (NDRF) that will provide the foundation for recovery programs and whole - community partnerships. Preparedness and pre- disaster planning was given special attention within the NDRF with specific guidance: Planning for a Successful Disaster Recovery (pages 63 -70). For more information on the NDRF see hg2: / /www. Tema. gov /ndf/recoveryframework/ndrLpdf. Federal (and Mutual Aid) Emergency Response Official (F/ERO) Credentialing and Validation • Working group meetings and conferences relating to emergency responder credentialing and validation • Compiling data to enter into an emergency responder repository • Coordinating with other state, local, territorial, and tribal partners to ensure interoperability among existing and planned credentialing and validation systems and equipment • Planning to incorporate emergency responder identity and credential validation into training and exercises. Organization Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, (42 U.S.C. §§ 5121 - 5207), EMPG Program funds may be used for all- hazards emergency management operations, staffing, and other day -to -day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer (SHMO) position; staffing CERT and Citizen Corps positions at the state and local levels in order to promote whole community engagement in all phases of emergency management; performing close -out activities on FEMA Disaster Assistance grants; and supporting fusion center analysts who are directly involved in all- hazards preparedness activities as defined by the Stafford Act. Proposed staffing activities should be linked to accomplishing the activities outlined in the EMPG Program Work Plan. Recipients are encouraged to fund at least one dedicated Planner, Training Officer, and Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe benefits, are allowable costs with EMPG Program funds. These costs must comply with 2 C.F.R. Part 200, Subpart E — Cost Principles. Equipment Allowable equipment categories for the EMPG Program are listed on the web -based version of the Authorized Equipment List (AEL) at hgp://www.fema. ovloreparedness- non - disaster - grants or hyp: / /www.fema.gov /grants. Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA- adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. 33 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -41 Allowable equipment includes equipment from the following AEL categories: • Information Technology (Category 4) • Cyber security Enhancement Equipment (Category 5) • Interoperable Communications Equipment (Category 6) • Detection Equipment (Category 7) • Power Equipment (Category 10) • Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 11) • CBRNE Incident Response Vehicles (Category 12) • Physical Security Enhancement Equipment (Category 14) • CBRNE Logistical Support Equipment (Category 19) • Other Authorized Equipment (Category 21) In addition to the above, general purpose vehicles are allowed to be procured in order to carry out the responsibilities of the EMPG Program. If state agencies and/or local governments have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their FEMA Regional Program Manager for clarification. Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316. Training EMPG Program funds may be used for a range of emergency management - related training activities to enhance the capabilities of state and local emergency management personnel through the establishment, support, conduct, and attendance of training. Training activities should align to a current, Multi -Year TEP developed through an annual TEPW. Further guidance concerning the TEP and the TEPW can be found at ham: / /Www.fema.zov /exercise. Training should foster the development of a community oriented approach to emergency management that emphasizes engagement at the community level, strengthens best practices, and provides a path toward building sustainable resilience. EMPG Program funds used for training should support the nationwide implementation of NIMS. The NIMS Training Program establishes a national curriculum for NIMS and provides information on NIMS courses; recipients are encouraged to place emphasis on the core competencies as defined in the NIMS Training Program. The NIMS Training Program can be found at http://www.fema.goKlpd /emergencL/nims/nims training program.pdf. The NIMS Guideline for Credentialing of Personnel provides guidance on the national cedentialing standards. The NIMS Guidelines for Credentialing can be found at http• / /wwwfema.goEl f /emergency /nims /nims cred guidelines report.pdf. 34 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -42 To ensure the professional development of the emergency management workforce, the recipients must ensure a routine capabilities assessment is accomplished and a TEP is developed and implemented. For additional information on review and approval requirements for training courses funded with preparedness grants please refer to the following policy: http://www.fema.govlmedia-library- datall 1]5d44eO6367bb895]Oaalbe79c]8751FINAL GPD+Training +Three +for +Frees -Polite 09 +10 +13.pdf. Additional types of training or training related activities include, but are not limited to, the following: • Developing /enhancing systems to monitor training programs • Conducting all hazards emergency management training • Attending Emergency Management Institute (EMI) training or delivering EMI train -the- trainer courses • Attending other FEMA- approved emergency management training • State - approved, locally- sponsored CERT training • Mass evacuation training at local, state, and tribal levels Allowable training - related costs include the following: • Funds Used to Develop, Deliver, and Evaluate Training. This includes costs related to administering the training: planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the training cycle. States are encouraged to use existing training rather than developing new courses. When developing new courses states are encouraged to apply the Analysis Design Development and Implementation Evaluation (ADDIE) model for instruction design. • Overtime and Bachfill. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of attendance at FEMA and/or approved training courses and programs are allowable. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. • Travel. Travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related to approved training. • Hiring of Full or Part-Time Staff or Contractors/Consultants. Full or part-time staff or contractors /consultants may be hired to support direct training- related activities. Payment 35 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -43 of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable. Certification✓Recertifieation of7nstructors. Costs associated with the certification and re- certification of instructors are allowed. States are encouraged to follow the FEMA Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation of student learning. This is particularly important for those courses which involve training of trainers. Exercises Allowable exercise - related costs include: • Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Recipients are encouraged to use free public space /locations /facilities, whenever available, prior to the rental of space /locations /facilities. Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any exercise or exercise gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the exercise cycle. • Hiring of Full or Part -Time Staff or Contractors/Consultants. Full or part—time staff may be hired to support direct exercise activities. Payment of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable. The services of contractors /consultants may also be procured to support the design, development, conduct and evaluation of exercises. • Overtime and Backfill. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. • Travel. Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise activities. • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise activities (e.g., gloves, non - sterile masks, and disposable protective equipment). • Implementation ofHSEEP. This refers to costs related to developing and maintaining an exercise program consistent with HSEEP. • Other Items. These costs are limited to items consumed in direct support of exercise activities such as the rental of space /locations for planning and conducting an exercise, rental of equipment, and the procurement of other essential nondurable goods. Recipients 36 Appendix 13- FY 2015 EMPG Program Funding Guidelines 55B -44 are encouraged to use free public space /locations, whenever available, prior to the rental of space /locations. Costs associated with inclusive practices and the provision of reasonable accommodations and modifications that facilitate full access for children and adults with disabilities are allowable. Unauthorized exercise - related costs include: Reimbursement for the maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire tracks, ambulances). The only vehicle costs that are reimbursable are fuel /gasoline or mileage. Equipment that is purchased for permanent installation and /or use, beyond the scope of exercise conduct (e.g., electronic messaging signs) Durable and non - durable goods purchased for installation and /or use beyond the scope of exercise conduct Construction and Renovation Construction and renovation projects for a state, local, territorial, or Tribal government's principal Emergency Operations Center (EOC) as defined by the SAA are allowable under the EMPG Program. Written approval must be provided by FEMA prior to the use of any EMPG Program funds for construction or renovation. Requests for EMPG Program funds for construction of an EOC must be accompanied by an EOC Investment Justification (FEMA Form 089- 0 -0 -3; OMB Control Number; 1660 -0124 ( http:// www. %ma.gOILflizovenament/zrant /2011 /fvll eoc invp& to their Regional Program Manager for review. Additionally, recipients are required to submit a SF- 424C Budget and Budget detail citing the project costs. When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal Communication Commission's (FCC) Section 106 review process has been completed and submit all documentation resulting from that review to GPD prior to submitting materials for EHP review. Recipients and subrecipients are also encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in 44 C.F.R. § 10.8, must also be identified to the FEMA Regional Program Manager within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP review packets should be sent to gpdeh ip nfogfema.gov. EMPG Program recipients using funds for construction projects must comply with the Davis - Bacon Act (40 U.S.C. §§ 3141 et seq.). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis -Bacon Act, including Department of Labor (DOL) wage 37 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -45 deterininations, is available from the following website: httn: //www.dol.gov /compliance /laws /comp- dbra.htm. Maintenance and Sustainment The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active grant awards, unless otherwise noted. EMPG Program grant funds are intended to support the Goal and fund activities and projects that build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in GPD's IB 379 (Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding) allows for the expansion of eligible maintenance and sustainment costs, which must be in: (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas contained within the Goal, and (4) shareable through the EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either Federal grant funding or any other source of funding other than DHS/FEMA preparedness grant program dollars. Additional guidance is provided in FEMA Policy FP 205- 402 - 125 -1, Maintenance Contracts and Warranty Coverage Funded by Preparedness Grants, located at: hgQ://www.fema.gov/media- li brary /assets /documents /32474. Unallowable Costs • Expenditures for weapons systems and ammunition • Costs to support the hiring of sworn public safety officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities • Activities and projects unrelated to the completion and implementation of the EMPG Program In general, recipients should consult with their FEMA Regional Program Manager prior to making any investment that does not clearly meet the allowable expense criteria established in this Guidance. 38 Appendix B- FY 2015 EMPG Program Funding Guidelines 55B -46 Appendix C — FY 2015 EMPG Program Work Plan EMPG Program Work Plan Instructions All EMPG Program applicants are encouraged to use the templates to submit a required Work Plan that outlines the state's emergency management sustainment and enhancement efforts, including new and ongoing activities and projects, proposed for the EMPG Program period of performance. The Work Plan consists of a Program and Budget Narrative, Personnel Data Table, Training Data Table, Exercise Data Table, and Grant Activities Outline. FEMA Regional Program Managers will work closely with states to monitor Work Plans during the performance period and may request further documentation from the recipients to clarify the projected work plan. In addition, FEMA Regional Program Managers must approve final Work Plans before states may draw down EMPG Program funds. Grant funds will be released upon approval of the state's final Work Plan. Program and Budget Narrative Provide a brief description of the state emergency management priorities and initiatives that will be addressed with EMPG Program funds. In addition, the narrative should address the following: • Overview of the state's risk profile resulting from the current THIRA • Areas of need identified through assessment processes such as the State Preparedness Report, Emergency Management Accreditation Program Assessment Process, National Emergency Communications Plan Goal Assessments, or other emergency management assessment processes • Baseline inventory of where states are now relative to goals and objectives identified in relevant strategic plans per CPG 101 v.2 • State emergency management priorities and planning focus for current budget year (including linkage to the core capabilities identified in the Goal) • Detailed Budget Narrative justifying the requested funding for the identified Work Plan activities • Description of how projects and programmatic activities support the building or sustainment of the core capabilities as outlined in the Goal Personnel Data Table To facilitate consistent data reporting and performance measures collection, a Personnel Data Table should be completed for state, local, tribal and territory (SLTT) personnel supported with EMPG Program funds. This will assist in documenting the extent to which EMPG Program funding supports personnel at the state - level. Submit this template with the EMPG Program Work Plan and a roster of EMPG - funded personnel. The roster of EMPG - funded personnel should be updated only if numbers change more than 10 percent during the award period of performance. 39 Appendix C- FY 2015 EMPG Program Work Plan 55B -47 Personnel Data Table Template Personnel Metries Data EMPG Program funds (Federal and match) allocated towards state emergency management personnel EMPG Program funds (Federal and match) allocated towards non -state emergency management personnel (local, Tribal, territories) Total Number of state emergency management full -time equivalent (FTE) personnel including those supported and not supported by the EMPG Program) Number of state emergency management fall -time equivalent (FTE) personnel supported (fully or partially) by the EMPG Program Total Number of state, local, Tribal and territory (SLTT) emergency management personnel supported (fully or partially) by the EMPG Program Personnel Data Table Definitions Line 1 — All EMPG Program funds (Fed & match) allocated for state emergency management personnel Line 2— All EMPG Program funds (Fed & match) allocated towards non -state emergency management personnel (Local, Tribal, Territories) Line 3 — Total Number of state emergency management full -time equivalent (FTE) personnel (including those supported and not supported by the EMPG Program) Line 4 — Number of state emergency management full -time equivalent (FTE) personnel supported by the EMPG Program Line 5 — Total Number of state and local emergency management personnel funded (fully or partially) by the EMPG Program. This number provides the "Universe" number for the Training & Exercise templates. Training Data Table To facilitate consistent data reporting and performance measures collection, a Training Data Table should be completed for training courses that meet the EMPG reporting requirements. This template should reflect training activities outlined in the Multi -Year TEP and completion of EMPG Program training requirements. EMPG Program funded personnel should complete the listed training requirements and record proof of completion. 40 Appendix C- FY 2015 EMPG Program Work Plan 55B -48 Training Data Table Template Training Data Table Definitions: Col 1 —Name of Training Col 2 — Is the course required of EMPG funded personnel? Col — # of Personnel Trained Col 4 — Total # of SLTT EMPG Funded Personnel (Universe) Col 5 — Total # of SLTT EMPG Funded Personnel that completed the Course Col 6 — Is the training identified in the multi -year TEP? Exercise Data Table To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG requirements and /or exercises conducted in whole or part with EMPG funds. Recipients shall conduct no less than four quarterly exercises and one full -scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a progressive exercise series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned. The exercises should be part of the recipient's progressive exercise program and outlined in the multi -year TEP. EMPG Program funded personnel shall participate in no less than three exercises. 41 Appendix C- FY 2015 EMPG Program Work Plan 55B -49 Total # of SLTT EMPG Total# of EMPG Training Number of SLTT Name of Training Required Personnel EMPG. Funded Identified Training? Personnel in TEP (YEN) Trained Funded that (Y/1) Personnel completed the Course Training Data Table Definitions: Col 1 —Name of Training Col 2 — Is the course required of EMPG funded personnel? Col — # of Personnel Trained Col 4 — Total # of SLTT EMPG Funded Personnel (Universe) Col 5 — Total # of SLTT EMPG Funded Personnel that completed the Course Col 6 — Is the training identified in the multi -year TEP? Exercise Data Table To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG requirements and /or exercises conducted in whole or part with EMPG funds. Recipients shall conduct no less than four quarterly exercises and one full -scale exercise within a 12 -month period. The five exercises shall be linked to common program priorities and reflect a progressive exercise series of increasingly complex exercises with each building upon the previous one while incorporating prior lessons learned. The exercises should be part of the recipient's progressive exercise program and outlined in the multi -year TEP. EMPG Program funded personnel shall participate in no less than three exercises. 41 Appendix C- FY 2015 EMPG Program Work Plan 55B -49 Exercise Data Table Template Name/ Description of Exercise Date Excreise Scheduled/ Completed Type of Exercise Program Priority y Exercised Exercise � Fulfills Progressive 1 rogressive Exercise Requirement f� /N} Total # of MPG Funded Personnel Number of SLTT EMPG Program Funded Personnel Participating in Exercise Exercise Fulfills. EMPG Exercise Requirement Rcrynirement 1N) Exercise Identified in /N) 42 Appendix C- FY 2015 EMPG Program Work Plan 55B -50 Exercise Data Table Definitions: Col 1 — Name /Description of Exercise Col 2 — Date of exercise Col 3 — Type of exercise (e.g., seminar, workshop, tabletop, games, drills, functional, and/or full- scale) Col 4 — Program priority associated with the exercise Col 5 — Is the exercise part of a progressive exercise series? Col 6 — Total # of SLTT EMPG Funded Personnel (Universe) Col 7— Total # of SLTT EMPG Funded Personnel Participating in Exercise Col 8 — Does the exercise fulfill the EMPG requirement that EMPG Program funded personnel participate in no less than three exercises? Col — Is exercise identified in the multi -year TEP? Grant Activities Outline To facilitate performance measures and focus on outcomes, an EMPG Program Grant Activities Outline should be completed for activities supported with FY 2015 EMPG Program funds (including construction and renovation projects). The data outlined in this template will be used to evaluate the timely completion of planned emergency management activities. Recipients are encouraged to complete a separate Grant Activities Outline for each Emergency Management Function (EMF). Quarterly training activities should be reported against EMIT #13, "Training," and quarterly exercise activities should be reported against EMF #14, "Exercises, Evaluations and Corrective Actions." Recipients should complete a template as shown on the next page and address the following areas: • EMF Number. Identify how the grant activities relate to the EMFs outlined in the September 2007 version of the Emergency Management Accreditation Program (EMAP) Standard (e.g. Resource Management, Communications and Warning, etc.) • Name of Planned Project. Provide a descriptive name of each planned project. Examples include "Development of Emergency Function Annexes ", "Development of Earthquake Scenario Loss Estimations ", "Implementation of Statewide Interoperability • Plan ", "NIMS Training for Emergency Management Personnel', "Development of Emergency Preparedness Plan for Individuals with Disabilities ", etc. • Project Objective. Briefly explain the major objective of the project, including how the project will address gaps identified through various assessments conducted. 43 Appendix C- FY 2015 EMPG Program Work Plan 55B -51 • Core Capability Addressed. Briefly describe which of the 31 core capabilities (multiple can be selected) the project addresses. • Performance Measure and Basis of Evaluation. Indicate the performance measure that will be used to evaluate this project. • Challenges /Risks. Identify any challenges to implementing this project or any of its activities. • Quarterly Activity. Break each project down into quarterly activities. For each quarter, briefly identify the activities that will accomplish the planned project. This information will provide the foundation for the second component of the Quarterly Performance Progress Report. • Step. Provide the status of planned quarterly activities. • Comments. Briefly describe the reason for the project status and provide other comments as needed. Include the number of training sessions funded and the number of personnel trained in this section. Grant Activities Outline - Template Name of Planned Project: Project Objective: Core Capabilities Addressed: Performance Measure and Basis of Evaluation: Challenges /Risks: 1" Quarter Activity Planned Activities: Step: Comments: (10/1/14 - 12/31/14) 2" Quarter Ac tivity Planned Activities: Step: Comments: 1/1/15- 3/31/1 5) 3` Quarter Activity Planned Activities: Step: Comments: 4/1/15- 6/30/15) 4' Quarter Activity Planned Activities: Step: Comments: 7/1/15- 9/30/15 5, Quarter Activity Planned Activities: Step: Comments: 10 /1M-elr /31/15) 6" Quarter Activity Planned Activities: Step: Comments: 1/1/16- 3/31/16 7 Quarter Activity Planned Activities: Step: Comments: (4/1/16- 6/30/16 8` Quarter Activity Planned Activities: Step: Comments: 7/1/16- 9/30/16 44 Appendix C- FY 2015 EMPG Program Work Plan 55B -52 Project Management Lifecycle Steps Description Process The authorization to begin work or Involves preparing for, assembling Initiate resume work on any particular resources and getting work started. May activity apply to any level, e.g. program, project, phase, activity, task. The purposes of establishing, at an early Involves working out and extending the Plan date, the parameters of the project that theoretical, practical, and /or useful is going to be worked on as well as to try application of an idea, concept, or to delineate any specifics and /or any preliminary design. This also involves a plan peculiarities to the project as a whole for moving a project concept to a viable and /or any specific phases of the project. project. The period within the project lifecycle Involves directing, accomplishing, Execute during which the actual work of managing, and completing all phases and creating the project's deliverables is aspects of work for a given project. carried out. A mechanism which reacts to the Involves exercising corrective action as Control current project status in orderto ensure necessary to yield a required outcome accomplishment of project objectives. consequent upon monitoring performance. This involves planning, measuring, Or, the process of comparing actual monitoring, and taking corrective action performance with planned performance, based on the results of the monitoring, analyzing variances, evaluating possible alternatives, and taking appropriate correct action as needed. The completion of all work on a project. Involves formally terminating and concluding Close Can also refer to completion of a phase all tasks, activities, and component parts of Out of the project. a particular project, or phase of a project 45 Appendix C- FY 2015 EMPG Prograin Work Plan 55B -53 55B -54 Exhibit B Instructions 55B -55 55B -56 CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal DES) This tab provides detailed instructions on how to complete the Financial Management Farms Workbook v1.15. For further guidance, please refer to your Program Representative. TA8 ISECTION EXPLANATION INSTRUCTIONS FOR ENABLING MACROS IN EXCEL 2003, EXCEL 2007 AND EXCEL 2010 INSTRUCTIONS FOR ENABLING MACROS- EXCEL 2003 Save the FMFW v1.15 to your computer With the FMFW v1.15 open, click on TOOLS, MACRO, SECURITY... Under the SECURITY LEVEL tab, select the MEDIUM or LOW setting. The MEDIUM setting will prompt you to enable /disable macros each time the file Is opened. This will prevent potentially unsafe macros from running. The LOW setting will enable macros without prompt. it Is recommended that You have vws snftwere Installed and updated If using the LOW setting to prevent unsafe macros from running In other Flies. Save, Close, and Re -open the workbook- Macros will be enabled. INSTRUCTIONS FOR ENABLING MACROS- EXCEL 200] Save the FMFW vi. 15W your computer Open the FMFW VI Click on the round Office button In the top left Click on Excel Options In the lower right of the drop down box Select Popular module along the left side Check the Show Developer tab in the Ribbon option Hit OK Click on the round office button In the top left (again) Click on Excel Options In the lower right of the drop down box Select the Trust Center module along the left Click on the Trust Center Settings... button Select the Macro Settings module along the left Set the Macro Settings to Enable all macros... Check the Trust eases to the VBA protect.. option Hit OK Save, Close, and Re -open the workbook- Macros will be Contend. INSTRUCTIONS FOR ENABLING MACROS- EXCEL 2010 Save the FMFW v1.15 to your computer Open the FMFW v1.15 Click on the File tab, choose Options to open the Excel Options dlaloo box. Click on Customize Ribbon on the left side of the dialog box Under Choose commands from the left side of the dialog box, select Popular Commands. Under Customise the ribbon on the left side of the dialog box, select Main Tabs and then select the Developer check box Hit OK Click OR the File tab, choose Options to open the Excel Options dialog box (again). Click on Trust Center on the left side of the dialog box Click on Trust Center Settings from the right side of the dialog box Select Macros Settings on the left side of the dlaloo box Under Macros Settings click on "Enable all macros" Check the Trust access to the VBA project... option Hit OK Save, Close, and Reopen the workbook- Macros will be enabled. Note: Soma computer. m.V at run Macros correctly even If enabled by Excel. A Non -Macro notation of the workbook Is available under such circumstances. This Image represents buttons mat are placed throughout me workbook, Explanations are provided In cle chose an how to use apedgc buttons. Use the Grant Subaward Face Sheet to apply for grant programs. Each grant program requires its own separate Grant Subaward Face Sheet. Cal DES Section: The top portion of the form contains blocks for four (4) Important numbers. Please do not fill in these blocks. These numbers will be entered by Cal DES. Please print the Grant Subaward Face Sheet in portrait format. Provide an original signature of the authorized official. The use of white out or face is Prohibited and will invalidate the slanahlre on the Grant Subaward Face Sheet. 1. Subrecipient The Subreclplent Is the unit of government or community based organization (CBO) that will have legal responsibility for these grant funds (e.g. County of Alameda, City of Fresno or Women's Place of Merced). Enter the legal title of the Subreclplent. IS. Federal DUNS Number Enter the full 91 Federal Data Universal Numbering System (DUNS) ID number for the Subreciplent. If the Subrecipient does (Grant Subrecipient) not yet have a DUNS number assigned, one may be obtained by contacting Dun & Bradstreet at 866.705 -5711 or at www.dnb.com. This applies to federally funded grants only. Your DUNS # must be current and active in the System for Award Management (SAM) at the time of your Award. 2. Implementing AgencV Enter the complete name of the agency responsible for the day -to -day operation of the grant (e.g. Sheriff, Police Department, or Department of Public Works). If the Implementing Agency Is the same as the Grant Subreciplent, enter the same title again. 2a. Federal DUNS Number Enter the full 9 -dlglt Federal Data Universal Numbering System (DUNS) ID number for the Implementing Agency. If the (Implementinq Agency) Implementing Agency does not yet have a DUNS number assigned, one may be obtained by contacbng Dun & Bradstreet at 865- 705 -5711 or at www.dnb.mm. This applies to federally funded grants only. Your DUNS # must be current and active In the System for Award Management at the time of your Award. 3. Implementinq Agency Address Enter the address of the Implementing Agency. Provide the complete nine digit zip code (Zip +4). 4. Location Of Project Enter the City and County/Operational Area where the project is located. Provide the complete nine digit zip code (Zip +4). 5. Disaster /Program Title Enter the name of the Disaster or Program providing the funds for this grant award. A disaster may be referred by the federal declaration number. Program titles should be complete without the use of acronyms. 6. Performance Period Enter beginning and ending dates of the performance period for the grant (mm /dd /yvl 7. Indirect Cost Rate Indicate whether you are using the 10% up Minimis rate based on Modified Total Direct Costs (MTDC) or your current cognizant agency approved indirect cost rate agreement. A copy of the approved ICR Negotatin Agreement must be enclosed with your application. Indicate N/A if you will not be claiming indirect Costs under the award. Indirectcosts may ormay not be afiewab7e under all Fetlerat fund sources. SA. - 12G. Fund Allocations For each fund source used In the program, select the correct grant year and acronym from the drop down lists, the amount of and Total Project Cost State or Federal grant funds requested, the amount of cash and /or unkind match contributed and the resulting totals. Please do not enter both State and Federal on the same line. Block 12G should correspond to the total project cost specified In the budget. 13. Certification Paragraph Please review the Certification Paragraph. 14. Official Authorized to sign for Enter the name, title, telephone number, and e-mail address of the official authorized to enter Into the Grant Subaward the Subrecipient Agreement for the Grant Subrecpient as stated in Block 1 of the Grant Subaward Face Sheet. Enter the Payment Mailing 55B -57 FMFW vi - 2015 Address where grant funds should be sent. 15. Federal Employer ID Number Enter the 9 -diqlt Federal Employer Identification Number for the Implementinq Agency. Provide information on additional Authorized Agents (AA) and Grant Program Contacts, Additional Authorized Agent Provide the contact information of any addltlonal Authorized Agents (AA) and staff related to grant activities. It Is Contact Information recommended that more than one person be designated as the Authorized Agent (AA) so that if one AA Is not available, a second AA can slqn the requests for reimbursements. 55B -58 FMFW v1.15 - 2015 MEMUse the FFATA Financial Disclosure to provide information required by the Federal Funding Accountability and Transparency Act of 2005. If your organization Is not subject to the FFATA Financial Disclosure requirements, check the "Not Subject to FFATA Financial Disclosure" box at the bottom of the page. Executive Name Provide the full name of the executive. Title Provide the title of the executive. Annual Salary Provide the annual salary of the executive. Annual Dollar Value of Benefits Provide the Annual Dollar Value of Benefits. Total Compensation Automatic calculation of Annual Salary and Annual Dollar Value of Benefits. Warring l Do not enter Information in this column, contains formulas. sUse the Project Descriptions to describe the various details of each Project. Maximum of 20 projects are allowed. Project Enter the letter (required) and name (optional) of each project. A maximum of 20 projects are allowed (A -T). NPG Mission Area Select a National Preparedness Goal (NPG) Mission Area from the drop down menu that corresponds to your traded. NPG Core Capabilities Link the National Preparedness Goal (NPG) Core Capability that match to each of your Mission Area projects. Cal IDES Goals Select a Cal DES Goal from the drop down menu option that corresponds to your project. Project Description Provide a detailed but concise description of the project. Note: Do not exceed 1,000 characters underling punctuation end ecoo). Word Wrap featare will terminate after this Ilmit end text will not be visible. Match Description Provide a detailed Match Description. Need Explain why this project is needed and how this need was determined. Project Milestone St Justification Provide estimates on milestones for your projects In terms of percentage completeness and amounts expended for the next 6 and 12 months. Leave 15 month blank. Use this ledger to submit funding information for projects, as well as submitting Reimbursement Requests and Modifications. 55B -59 FMFW V1.15 -2015 Note: outer on all tabs Project, Morning, Organization, Equipment, Training, Exercise, MBA, consultant, Personnel and Match) pertomt the same tasks. Descriptions will only be mentioned In this section of the Instructions page. Ledger Type Using the Macro buttons, specify what type of ledger is being completed (Initial App, Reimbursement Request, Modification). Complete the additional information that displays below the ledger type (Today's Date, Expenditure Period and Request #). Ledger will not be accepted without this Information. New Modification Use this button to create a single new line Item modification. The selected row will turn Its font color to red with the strikethrough property (to Indicate an Incorrect Item) and create a copy of itself. Modify the copied row (automatically colored In blue font) as needed. New REIMB /MOD Request Use this button to create a copy of the Project Ledger to submit Reimbursement or Modification requests. After clicking the button, enter the name of the request and press enter, The copy will place Itself accordingly before the Planning tab. If Macros are disabled, a copy of the Project Ledger can be created manually by performing the following steps: Right click on the 'Project Leger' tab -> Select MOVE OR COPY... from the list of options -> Place the copy before the Planning tab but after the last working Project Ledger -> Check CREATE A COPY -> Click OR. Rename the copied Project Ledger appropriately to reflect a Reimbursement request or Modification. Row Size Auto Use this button to automatically resize ALL rows In your project ledger to fully display text that is not visible. Row Size 15 Use this button to automatically r.size all rows to a height of 15 pixels. Formula Reset If formulas are inadvertently deleted, use this button to reset all formulas. Black/Red /Blue buttons Use these buttons to change font colors. Selection will change the color of only what Is selected. Row will change the color of (All tabs) only the raw which contains the active cell (the cell that is currently selected). Use Selection buttons to change font colors on multiple rows. Project Select the project letter from the drop -down list, or manually enter the letter In capkallzation format. Direct/Subaward Use the drop -down list to Identify if the Project is Direct or SUbaward Project Name Enter the name of the project. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Row 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be viewed In Comments (place corset over Column E, Row 21), Solution Area Select a Solution Area from the drop -dawn list. Solution Area Sub - Category Select a Solution Area Sub - Category from the drop -down list. This list is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub- Category will not display the drop -down list unless a Solution Area Category Is selected. 55B -59 FMFW V1.15 -2015 Total Obligated Enter the total amount of grant funding obligated for each project in this column. Amount Approved Previous Automatic calculation of Amount Approved Previous. I Warningl Dc not enter lrhimatlon In this column, contalns formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Match Amount If match amount is required, place the amount in this column. If not required, disregard this column. Total Approved Automatic calculation of Total Approved. WarninglD -not enter information In this column, contains formulas. Remaining Balance Automatic calculation of Remaining Balance. WarninglD -not enter Information In up column, contains formulas. Percent Expended Automatic calculation of Percentage Complete. Warningl no notenwr Information in this column, contalns formulas. Provide detailed information on Planning activities. NOTE: Consultants and Contractors are used interchangeably and changes for either require the completion of the ConsultantiCOntractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Project Project Select the project letter from the drop -down list, or manually enter the letter in capitalization format. Direct/Subaward Use the drop -dawn list to Identify if the Project is Direct or Subaward Planning Activity Enter the planning activity. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Raw 21). (place curler over Column D, Raw 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be reviewed in Comments (place curser over Column E, Row 21). (place curser over Column E, Row 21). Solution Area Sub - Category Select a Solution Area Sub - Category from the drop -down list. Expenditure Category Select an Expenditure Category from the drop down list, This list is dependent on a selection from the Solution Amount Approved Previous Area Sub- Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Amount This Request Area Sub- Category Is selected. Final Product Enter a description of the final product of this diamond activity. This must be a tangible item such as Total Approved a manual, procedure, etc. Please contact your Program Representative for further examples of final products. Hold Trigger Projects may be placed an hold. Please select an option from drop down list. Approval Date Enter the approval date. Part of a Procurement over 150k Select YES or NO from the drop down list, Sole Source Involved Select YES or NO from the drop down list, Budgeted Cost Enter the total amount of grant funding budgeted for each project In this column. Amount Approved Previous Automatic calculation of Amount Approved Previous. I Warningl Do not enter information in this wlumn, contains fomimas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Reimbursement Request Number Enter the Reimbursement Request number for this planning activity. Total Approved Automatic calculation of total reimbursed. Warningl W eenWr Information in this column, contalns formulas. Remaining Balance Automatic calculation of Remaining Balance. Warningl Dona enter mformatlon in this column, contalns formulas. Provide detailed information on 0,ganizatlonal activities. NOTE: Consultants and Contractors are used interchangeably and changes for either require the completion of the Consultant/Contractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Project Select the project letter from the drop -down list, or manually enter the letter in capltallzatlon format. Direct/Subaward Use the drop -down list to Identify if the Project Is Direct or Subaward Organization Enter the organizational activity. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Raw 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be viewed In Comments (place curser over Column E, Row 21). Solution Area Sub - Category Select a Solution Area Sub-Category from the drop -down list. Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub - Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub-Category Is selected. Detail Select a Detail option from the drop -down list. Budgeted Cost Enter the total amount of grant funding budgeted for each project In this column. 55B -60 FMFW Y1.15 - 2015 Amount Approved Previous Automatic calculation of Amount Approved Previous. Warningl Do not enter Information In this column, contains lbmmlas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Reimbursement Request Number Enter the Reimbursement Request number for this organizational activity. Total Approved Automatic calculation of total reimbursed. warning) Do not enter Information In this column, contains formulas. Remaining Balance Automatic calculation of Remaining Balance. Warningl Dc not enter'mformation In this column, contains formulas. 55B -61 FMFW v1.15 - 2015 r Select the project letter from the drop -down list, or manually enter the letter in capitalization format. Provide detailed Information on Equipment that is purchased with grant funding. Project Select the project letter from the drop -down list, or manually enter the letter In capitalization format. Equipment Description Provide a description of equipment and quantity. If Item is Mobile or Portable Identify as such. & (Quantity) AEL Number &Title Place the AEL Number and Title In these columns. The AEL Number and Title can be aotblui from the following link: Select a Discipline from the drop -down list. A full description of the Disciplines on be viewed In Comments hope i/wwwAlisdius.a.alkincralockialbase SAFECOM Compliance Select YES, NO or N/A from the drop -down list. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments Select an Expenditure Category from the drop -dawn list. This list Is dependent on a selection from the Solution (place purser over Column F, Row 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be viewed In Comments Area Sub- Category Is selected. (place curser over Column G, Row 21). Solution Area Sub - Category Select a Solution Area Sub- Category from the drop -down list. Invoice Number Enterthe Invoice Number for the equipment. Vendor Name Enter the name of vendor from whom the equipment was purchased. ID Tap Number Enter the ID Tag Number used to identify this equipment with. Subgrantee may use their own internal numbering Enter the approval date. format to tag equipment. ID Tag Number must be available during monitoring visits. Condition and Disposition Enter the condition of equipment by selecting the appropriate drop -down item. If the equipment Is not in use, please use the following column (Deployed Location) to explain. Deployed Location Enter the equipment's current location. Acquired Date Enter the date that this equipment was acquired from vendor. Part of a Procurement over 150k Select YES or NO from the drop down list. Sole Source Involved Select YES or NO from the drop down list. Hold Trigger Projects may be placed on hold. Please select an option from drop -down list. Approval Date Enter the approval date. Budgeted Cost Enter the total amount of grant funding budgeted for each project In this column. Amount Approved Previous Automatic calculation of Amount Approved Previous. Warningi Do not enter Information In this column, contains formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement in this column. Reimbursement Request Number Enter the Reimbursement Request number. Total Approved Automatic calculation of total reimbursed. Warming[ Do not enter information In this column, contains formulas. Remaining Balance Automatic calculation of Remaining Balance. Warning! Do not enter Information In this column, contains formulas. Provide detailed information on planned or attended training courses. NOTE: Consultants and Contractors are used interchangeably and changes for either require the completion of the Consultant /Contractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Project Select the project letter from the drop -down list, or manually enter the letter in capitalization format. Direct/Subaward Use the drop -dawn list to Identify If the Project Is Direct or Subaward Course Name Enter course name. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Row 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines on be viewed In Comments (place corset over Column E, Row 21). Solution Area Sub - Category Select a Solution Area Sub- Category from the drop -down list. Expenditure Category Select an Expenditure Category from the drop -dawn list. This list Is dependent on a selection from the Solution Area Sub- Category drop -down list. The Expenditure Category will not display the drop -dawn list unless a Solution Area Sub- Category Is selected. Feedback Number Enter the feedback number forthis training activity. The Feedback number can be obtained from the Cal DES websits: htcu /1wmw caloes ca kry Click on TRAINING, then Training Division, then TRAINING REQUEST FORM. Training Activity Please identify your training activity from the drop -down list. Hold Trigger Projects may be placed on hold. Please select an option from drop -down list. Approval Date Enter the approval date. 55B -62 FMfW 0 .15 - 2015 Total #Tralnee(5) Enter the total number of tralnee(s). Identified Host If you are not the host, please Identify who Is the host. For further guidance, please refer to your Program Representative. Part of a Procurement over 150k Select YES or NO from the drop -down Ilst. Sole Source Involved Select YES or NO from the drop -down list. Budgeted Cost Enter the total amount of grant funding budgeted for each project in this column. 55B -63 FMFW v1.15 - 2015 Amount Approved Previous Automatic calculation of Amount Approved Previous. I Warn InoI Do not enter Information um Is column, mum Ins formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Reimbursement Request Number Enter the Reimbursement Request number for this training activity. Total Approved Automatic calculation of total reimbursed. warnings or not enter'mformation In this column, mntalns formulas. Remaining Balance Automatic calculation of remaining balance. warning! oo notenter Inmrma cir in this column, contains formulas. Provide detailed information on Exercise activities. Consultants and Contractors are used interchangeably and chances for either require the completion of the Consultant/Contractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Discipline Project Select the project letter from the drop-down list, or manually enter the letter In capitalization format. Direct/SUbaward Use the drop-down list to Identify If the Project Is Direct or Subaward Exercise Title Enter the title of the exercise activity. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments Area Sub- Category dropAown list. The Expenditure Category will not display the drop -down list unless a Solution (place corset over Column D, Row 21). Discipline Select a Discipline from the drop-down list. A full description of the Disciplines can be viewed in Comments Select a Detail option from the drop -down list, (place cursor over Column E, Row 21). Solution Area Sub - Category Select a Solution Area Sub - Category from the drop-down list. Expenditure Category Select an Expenditure Category from the drop-down list. This list is dependent on a selection from the Solution Area Sub - Category drop-down list. The Expenditure Category will not display the drop-down list unless a Solution Area Sub- Category Is selected. Hold Triqqer Projects may be placed on hold. Please select an option from drop -down list. Approval Date Enter the approval date. Date of Exercise Enter the date of when this exercise was conducted. Exercise Activity Please select your exercise activity from the drop -down list. Identified Host If you are not the host, please Identify who Is the host. For further guidance, please refer to your Program Representative. Date AAR e- mailed to HSEEP Enter the date that the After Action Report (MR) was e- malled to hseep@fema.dhs.gov. The After Added Report requirement can be obtained from the fallowing link: https,//www.Ilis .dhs .coy /h,ee p Part of a Procurement over 150k Select YES or NO from the drop-di list. Sole Source Involved Select YES or NO from the tlrop -tlown list. Budgeted Cost Enter the total amount of grant funding budgeted for each project In this column. Amount Approved Previous Automatic calculation of amount approved previous. I Warning) DO not enter Information In this column, contains formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement in this column. Reimbursement Request Number Enter the Reimbursement Request number for this exercise activity. Total Approved Automatic calculation of total reimbursed. Warnmg] on not emorinformahon In this column, contains formulas. Remaining Balance Automatic calculation of remaining balance. Warning) DO wtamer Information in this coumn, contains formulas. Provide detailed information on M&A activities. Consultants and Contractors are used interchangeably and changes for either require the completion of the Consultant/Contractor tab. Staff salaries and Staff Intelligence Analyst expenditure categories require the completion of the Personnel tab. Project Select the project letter from the drop-down list, or manually enter the letter In capitalization format. Activity Provide detailed information on M&A activity. Funding Source Select a Funding Source from the drop-down list. A full description of the Funding Source can be viewed In Comments (place curser over Column D, Row 21). Discipline Select a Discipline from the drop-down list. A full description of the Disciplines can be viewed In Comments (place curse over Column E, Raw 21). Solution Area Sub - Category Select a Solution Area Sub - Category from the drop -down list. Expenditure Category Select an Expenditure Category from the drop-down list. This Ifist Is dependent on a selection from the Solution Area Sub- Category dropAown list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub- Category is selected. Detail Select a Detail option from the drop -down list, Budgeted Cost Enter the total amount of funding budgeted for each project in this column. Amount Approved Previous Automatic calculation of amount approved previous. Wamingl Do nonenter information in this column, contains formulas. 55B -64 FMFW v1.15 - 2015 Amount This Request Reimbursement Request Number Total Approved Remalninp Balance FMFW v115 - 2015 For Reimbursement requests, enter the requested amount of reimbursement In this column. Enter the Relmbursement Request number. Automatic calculation of total reimbursed. Automatic calculation of remaining balance. 55B -65 Warning! Do not enter Information In this column, contains formulas. Warning! Do not enter Information In this mllumn, contains formulas. MENEM Provide nformatio in on who is being paid with grant funds, and what consultant /contractor costs are being charged to the grant. Project Select the project letter from the drop -down list, or manually enter the letter in caplWllzation format. Consulting Firm If claiming indirect costs under the award, provide detailed information on the total estimated indirect costs and the Indirect cost rate at which, you & Consultant Name will be claiming. If you have a federally - approved rate, provide information on the direct cost base on which, the rate is calculated, e.g., Salary and Wages (S /W), Salary, Wages and Benefits (SW &B), Total Direct Costs (TDC), Modified Total Direct Costs (MTDCj, the De Minimis Rate of 10% of MTDC (10% MrTi or another base (Other). Project Select the project letter from the drop -down list, or manually enter the letter in capitalization format. Activity Provide detailed information on Indirect Cost activity. Funding Source Select a Funding Source from the dromdown Ilk. A full description of the Funding Source can be viewed In Comments (place Solution Area Sub - Category curser over Column D, Row 21). Solution Area Sub-Category Select a Solution Area Sub - Category from the drop -down list. ICR Base Select an ICR Base from the drop -down Ilk. Rate Enter the Percentage Rate. Budgeted Cost Enter the total amount of grant funding budgeted for each project in this column. Amount Approved Previous Automatic calculation of amount approved previous. I VVUr lDo not enter information In this column, contains formulas. Amount This Request For Reimbursement requests, enter the requested amount of reimbursement In this column. Reimbursement Request Number Enter the Reimbursement Request number. Total Approved Automatic calculation of total reimbursed. Warning! Do not enter information In thlscolumn, containsfmmula Remaining Balance Automatic calculation of remaining balance. Warning! Do not enter information In this column, contains lommlas. MENEM Provide nformatio in on who is being paid with grant funds, and what consultant /contractor costs are being charged to the grant. Project Select the project letter from the drop -down list, or manually enter the letter in caplWllzation format. Consulting Firm Provide the name of the Consulting Firm and Consultant Name. & Consultant Name Project & Description of Services Provide detailed Information on the project and description of services. Deliverable If your consultant/contrador invoiced you for their services using a fee for each deliverable ($10,000 for a reverse 911 1telephone emergency metrication system), then describe the product In the Deliverable column. Solution Area Select a Solution Area from the drop down list. Solution Area Sub - Category Select a Solution Area Sub- Category from the drop -down list. This list Is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub - Category will not display the drop -down list unless a Solution Area Category is selected. Expenditure Category Select an Expenditure Category from the drop -down list. This list is dependent on a selection from the Solution Area Sub - Category dromdown Ilsh. The Expenditure Category will not display the drop -down list unless a Solution Area Sub - Category Is selected. Period of Expenditure Enter the Period of Expenditure In this column. Fee for Deliverable If your consultant/contractor Invoiced You for their services using a fee for each deliverable ($10,000 for a reverse 911 /telephone emergency notification system), then fill In the cost for the product In the Fee for Deliverable column. Billable Hour Breakdown section If your consultant/contractor Invoiced you for their services uslnq an hourly rate ($50 /hour for 10 hours of work), then 011 in the three (3) columns of the Billable Hour Breakdown, Reimbursement Request Number Enter the Reimbursement Request number. Total Cost Charged to this Grant Enter the Total Cost Chamed to the Grant In this column. Provide information on who is being paid with grant funds, and what staff costs are being charged to the grant. Project Select the project letter from the drop -down list, or manually enter the letter In capitalization format. Employee Name Provide the name of the employee. Project /Deliverable Provide detailed information on the project and description of services. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Commnets (place curser over Column E, Row 21). Discipline Select a Discipline from the drop down list. A full description of the Disciplines an be viewed In Comments (place curser over Column F, Row 21). Solution Area Select a Solution Area from the drop -down list. Solution Area Sub - Category Select a Solution Area Sub - Category from the drop -down list. This list is dependent on a selection from the Solution Area Category drop-down list. The Solution Area Sub- Category will not display the drop -down list unless a Solution Area Category Is selected. 55B -66 FMFW v1.15 - 2015 Dates of Payroll Period Total Salary and Benefits Charged for this Reporting Period Total Project Hours Reimbursement Request Number Total Cost Charged to this Grant Provide the Dates of the Payroll Period. Provide the Total Salary and Benefits Charged for the Reporting Period Enter the Total Project Hours In this column. Enter the Reimbursement Request number. Enter the Total Cost Charged to the Grant In this column. Provide detailed Information on Match (Not applicable for all grants). Project Select the project letter from the drop -down list, or manually enter the letter In capitalization format. Direct/Subaward Use the drop -down list to Identify if the Project is Direct or Subaward Project Name Enter the name of the project. Funding Source Select a Funding Source from the drop -down list. A full description of the Funding Source can be viewed In Comments (place purser over Column D, Row 21). Discipline Select a Discipline from the drop -down list. A full description of the Disciplines can be viewed in Comments (place cursor over Column E, Row 21). Solution Area Select a Solution Area from the drop -down list. Solution Area Sub - Category Select a Solution Area Sub- Category from the drop -down list. This list Is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub- Category will not display the drop -down list unless a Solution Area Category is selected. Type of Match Select the Type of Match options from the drop -down list Total Obligated Match Enter the total obligated match amount for this project In this column. Previous Match expended Automatic calculation of amount approved previous. warnlnei Do not enter mfmmaton in this column, contains formulas. Current Match For Reimbursement requests, enter the current match amount In this column. Reimbursement Request Number Enter the Reimbursement Request number for this reimbursement. Total Match Expended Automated calculation of Total Match Expended. Warning, Do not enter'nformation In this column, contains formulas. Remaining Balance Automatic calculation of Remaining Balance. warningl on not enter Information In this column, contains formulas. Percentage Expended Automatic calculation of Percentage Expended. Wominyi Dc not enter information m this column, contains formulas. Authorized Agent sheet must accompany ALL Reimbursement Requests, Modifications and the Initial Application, Type Click on the appropriate button to describe what type of workbook is being submitted. Available options are: INITIAL APPLICATION, REIMBURSEMENT REQUEST, FINAL REIMBURSEMENT REQUEST and MODIFICATION Expenditure Period Dates Enter the beginning and ending expenditure period dates. REIMBURSEMENT REQUEST: Expenditure periods are decided by the Subgrantee and can span single or multiple months at a time. NOTE: Expenditure periods cannot cross state fiscal year. Modifications do not require expenditure period entries. REIMB or MOD Request # Enter the REIMB or MOD Request # that Is associate with the most recent request. Amount This Request Enter the amount that is being requested. Authorized Agent Enter the name of Authorized Agent. Sign and date after printing. Original signature required. Send hard copy of workbook to address (provided). Mail workbook to: E..ra.nw Management PerformanceGrants EMPG. Program Specialist Name California Governor's Office of Emergency Services 3650 Schriever Avenue Mather, CA 95655 55B -67 FMFW v1.15 - 2015 55B -68 Exhibit B Facesheet 55B -69 55B -70 Cel DES # 1 059 -00000 FIPS # 059 -00000 VS# (Cal OES Use Only) Subaward # 2015 -0049 CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES GRANT SUBAWARD FACE SHEET c e c The California Governor's Office of Emergency Services (Cal DES) hereby makes a Grant Subaward of funds to the following: 1. Subreciplent: County of Orange 1a. DUNS# 00- 965 -7602 2. Implementing Agency: City of Santa Ana 2a. DUNS# 3. Implementing Agency Address: 6D Civic Center Driva Santa Ana : 92701'1981 veer city zip +4 4. Location of Project: Santa Ana ` Orange 92701-1981 City County Zip14 5. Disaster /Program Title: Emergency Management Performance Grant 6. Performance Period: 07/01/15 to 06/30/16 7. Indirect Cost Rate: N /A; 10% de Mlnlmis; Federally Approved ICR; Grant Fund Source A. State B. Federal C. Total D. Cash Match E. In-Kind F. Total Match G. Total Year Match Project Cost 2015 8, EMPG $0 $49,665 $49,665 $49,665 Select 9. Select $0 $0 Select 10. Select $0 $0 Select 11. Select $0 $0 12. TOTALS zc.mui aropn cone $0 $0 $0 49 665 0 $49 685 $49 665 13. This Grant Subaward consists of this title page, the application for the grant, which Is attached and made a part hereof, and the Assurances /Certlficatlons. I hereby certify I am vested with the authority to enter into this Grant Subaward, and have the approval of the City /County Financial Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Subreciplent certifies that all funds received pursuant to this agreement will be spent exclusively on the purposes specified in the Grant Subaward, The Subreciplent accepts this Grant Subaward and agrees to administer the grant project in accordance with the Grant Subaward as well as all applicable state and federal laws, audit requirements, federal program guidelines, and Cal DES policy and program guidance. The Subreciplent further agrees that the allocation of funds may be contingent on the enactment of the Stale Budget. 14. Official Authorized to Sign for Subreciplent: 15. Federal Employer ID Number: 95- 6000785 Name: David Cavazos Title:. City Manager Telephone: 714- 647 -5200 FAX Emall: dcavazos(afsants- ana.org (area code) area co e Payment Mailing Address: 60 Civic Center Drive PO Box 1981 City: Santa Ana Zip +4: 92701-1981 Signature: Date: (FOR Cal OES USE ONLY) I hereby certify upon my personal knowledge that budgeted funds are available for the period and purposes of this expenditure stated above Cal OES Fiscal Officer Date Cal CES Director (or designee) Date 55B -71 Grant Award Face Sheet - Cal DES 2 -101 (Revised 7/2015) 55B -72 Exhibit B Authorized Agent and Contact Information 55B -73 55B -74 a p a ui w M z O z_ O U FQ Z Q ❑ N O o� O O o 0 ck °o U L 55B -75 R E E w N m m m 0 n ^ n m a a N � a c � U Vl U �i m x m° n � v 0 0 C U C U a °o V 0 n � O C `E z v E $ 55B -75 55B -76 Exhibit B FFATA Financial Disclosure 55B -77 55B -78 \ \ § \ § \ \ § \f. 4 \7{! {( ; { Lo \\ \ \ \ \ \ }\ \ \ \ \ \ \ \ \} )2f \f!! \! 3 \ \[ UO E # : 55B-79 \ 55B -80 Exhibit B Authorized 55B -81 55B -82 It \ Mh 3 \ \\ 55B-83 \ \ ) \ ! \! {/ , !! ® ) �— f\ ) \\ \ k \ �R , { 2} k: \} \ ) aEl �- — L% ( m : : Sq )zz!)! :2 2(5{ {; } ){ of \))S \� \\EF 55B-83 \ \ ) \ 55B -84 Exhibit B Project Descriptions 55B -85 55B -86 55B -87 = 3 ry 00 n is S w . 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W �S �v Er FT n o� QH pH F w off mF nG r G i D F.a as E.a F.a °. �,rpa =o as Fa �a a m ararpp. aa. a° =a, a = 55B -94 Exhibit B Project Ledger 55B -95 55B -96 P C Q N 'e a E ab `oo 9� NE fiFa s "N mamEgg aoN��o m oNv E ac9 saE �v& °c3S �y c Q�go $�vE E o aao�5a ..moo y�oq owa a o S o 0 v m Y: LL i°n o g $ m o .�'+.. o° 'e a E ab `oo 9� NE fiFa s "N mamEgg aoN��o m oNv E ac9 saE �v& °c3S �y c Q�go $�vE E o aao�5a ..moo y�oq owa a o S o 0 v LL i°n g $ m o .�'+.. o° n a E E E E o 0 O O O O o T 55B -97 h N N 55B -98 0 a n R a d d a R o d d n n a d d o d n a a a dda n nd a d d£ d a '$ as =< 3 3 s S s o 9 E z 3 m 3 3 3 5 59 59 3 3 3 m3 3 59 3 3 59 3m 3 c a Ll y3 y3 LI Ll y5 4) y3 Gl 41 y3 L1 � L1 � Ll Ll Ll y5 L1 93 Ll L1 y3 LI Ll Ll y3 L1 y3 LI y3 LI Ll 9 Ll � y3 � LI y3 y3 GI Li Ll � Ll � � 3 3 3 5 3 3 I 3 3 5 m3 3 3 3 5 3 3 3 5 3 3 3 3 5 Sm33 3 Mm 3 3 5 p' L1 L1 Ll Gl Ll Ll Ll Ll L1 Ll L1 Ll Gl Ll Ll L1 4l Ll Ll Ll Ll 61 Ll Ll L1 L1 L1 Ll Ll = 00 00 m 3 s _- %' �A =4 �cq3 3E�° E�° 9v O e a D D �gw 3 °e c T N 3 p 9 °a i A (p N 55B -98 55B -99 55B -100 Exhibit B Planning 55B -101 55B -102 i U z K E LL ti QQ N C Q E wp � JF 8 P O 0 �OpGS� V o °ry 55B -103 E A I — Y tp B6 ryKU ga tle Yqq �o 68086 BEd 2$5 aE& $ 8 9 9 9 @ 8 @ 8 9 8 — Sa" �yy r �qqb Act S O =EYq oJE A °aq z �qqyp� ry a z s a ��ga ¢� GE S.o EH GV £p E u ➢ 2 V ➢ H ➢ H m a"O qsg E5 q�F g6E gqF 8Ag t�F dg Eqg ua� Se SS�� %t 3dt�S E% m� o"sE o"c� s g �mv €E v gv $" E q EE £v a �. o @➢ 2' „�� od a od o tip �P £ �� oq� FB fla�° RE �tl�b g &� o 2H 1 � dU s' 8� E 'E 4 g 4 P 4a 4 55B -103 55B -104 Exhibit B Organization 55B -105 55B -106 55B -107 N O 55B -108 _I_I _ I_ VI VI Ut _N F d d d d fiT L�1 L9l G1 G1 L3l G3) Ll G31 51 � ff B g Exhibit B Equipment 55B -109 55B -110 Zgff Von 55B -111 A I Elt 11 tit t! tp t og 2 2 2 2 2 2 RHP Z Z 55B -111 55B -112 Exhibit B Training 55B -113 55B -114 V O C O �d O s 0 s Q � S O �W v 0 08 x� V a n 55B -115 55B -116 Exhibit B Exercise 55B -117 55B -118 `o a g G � oP nea 44 V§-y 55B -119 55B -120 Exhibit B 55B -121 55B -122 55B -123 55B -124 Exhibit B Indirect Cost 55B -125 55B -126 O O N 55B -127 s N H 7 55B -128 Exhibit B Consu Ita nt /Contractor 55B -129 55B -130 \ ( ( 55B-1 31 (!� ! \| \ } .,_ \ ! & , � 9 gig ! / �{ ) ! ! .�!!„ M� H /2\ . g /; � \) /\� ) -- \ 55B-1 31 55B -132 Exhibit B 55B -133 55B -134 55B -135 C 10 <O S-5 Id jE 'gas E le� E, L5 Iz 0. 5 'Eq �J mr 0 0 0 0 0 0 E E E 21 21 - to E 0 49 0 0 0 0 0 0 0 0 1 0 0 0 2 2 2 �2 0 0 > > ZZ cz 12 55B -135 55B -136 —T-7 7— dd- v B 6 n C 3 3 3 v ° o o n^ v 3 °° 3 9 = �� °o m n °a o n as a a a =a a a S a o vry d d n o d d o,2m o'er .°° < ` 3 v 3 3 0-4 3 e o .-'o v v �Q02 Q 3 n�'�° �2 - Qt2IX2 ° �+�m f°2 3- 3 3 a3�' n.2 G 3 3 �° m' 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 so 2 C 6 Ll 4l� Ll 41 G1 L] Ll L1 L1 Ll Ll L1 Ll 4l L] L1 Ll Ll L] L] �'� 0 3 3 3 3 3 3 3 3 3 3 3 Ll 3 Ll 3 G1 3 Gl 3 Ll 3 Ll 3 Ll 3 0 3 G] 3 L] 3 L1 ti = L1 Ll Ll L1 Gl G] L] Ll Ll G1 O O 0 0 O O O a 0 O 1Nn O y v y y o c 6$a c° mo ?I co 3oM-?i a� v�v A -.'3: �Z v° 0 S � El Aar, w S � a 0 0 0 A Q 3 R I� N a ryS 55B -136 Exhibit B Match 55B -137 55B -138 55B -139 ee O o 69 ig z go 2 oo 8 o o o 0 Er 55B -139 3 55B -140 O ry q 0 n P 39 3 3 39 3 39 3 39 9 �.Q y3 4) G1 LR � G1 LR Ll y3 41 L1 � y3 cl Ll � � m m � � !n � O L�l 43l L31 L31 431 L31 GEi L) Ll = � a 3 a� y; G o a 0 o0 E 3� fi o 3c a n 'n xo A �ry � 3 55B -140 ( SSB.141 ) \ ] ) ) \ ) { ) \ ) \ ) /\ ! ! ! ! - ! - ! - f - ! ; ! ! ; ; ( SSB.141 ) \ ] ) ) \ ( SSB.141 ) \ \ ) ) \ ) { ) \ ) \ ( SSB.141 3 55B -142 it y3 3 39 3 39 3 9 39 3 39 3 9 O O s u a 0 3 °y ^� 3c �rpn �m a Ila m° 55B -142 \� £ ] , \ \ ) \ \ \ \ \ \ ) }# / ® » © 6-2 ! y £ ] , \ ) \ \ \ \ \ \ ) SSB.142 \ ) \ \ \ \ \ \ ) SSB.142 55B -144 Exhibit B Indirect Cost- Summary Recap of Costs Claimed 55B -145 55B -146 \ /§§ §EE ou ae )§ \) /§ \� R k SSB.147 / 221,�g �;aa =;KR:, :a,s(N3 ^�® 6 � � � � R � � � � � k)2E\() } \�f{k °f(\ ) F T 3 r N O N 55B -148 1 O rt a � Y O O a � r a m 'd n CL 1 n � o o `^ N OI V V r N W W W W 01 C t� "� t ", t t A Fiscal Year 2015 EMERGENCY MANAGEMENT PERFORMANCE GRANT (EMPG) PROGRAM California Supplement to the Federal Program Notice of Funding Opportunity; or, The State Guidance Exhibit C Director's Message The California Governor's Office of Emergency Services (Cal OES), serves as the State's leader for emergency management and homeland security agencies in California. As such, Cal OES realizes that our vision of building a safer and more resilient California will be achieved through collaboration and coordination with emergency management partners from communities large and small throughout our diverse state. We recognize that our mission to protect lives and property, build capabilities, and support our communities for a more prepared California can only be achieved because of the dedication of like- minded professionals, who are willing to work alongside Cal OES to support the National Preparedness Goal's associated mission areas and core capabilities. It is with profound gratitude for the hard work and commitment of our partners that we are pleased to announce the release of the Cal OES Fiscal Year 2015 Emergency Management Performance Grant Program (EMPG) — California Supplement to the Federal Program Notice of Funding Opportunity. As in previous years, Cal OES EMPG program specialists and emergency services coordinators remain available to assist you in successfully completing this and other emergency management programs in addition to supporting your emergency operations. As we continue to jointly advance California's comprehensive emergency preparedness system, we understand there is still much work to do. Yet, we can say with certainty that our communities are safer, better trained, and better prepared as a result of the EMPG Program and others like it. We have been entrusted with a duty and responsibility to the people of this state to provide leadership through service during some of the most difficult times our communities will face. We maintain that trust by fulfilling our mission with honesty, accountability, and transparency. It is a great honor for us to be working alongside partners that exemplify a commitment to maintaining that trust. We both welcome you and thank you for joining us in our forward leaning efforts to ensure California's optimum readiness to prevent, prepare for, protect against, respond to, recover from, and mitigate the effects of all threats and hazards to life, property, and environment. tr MARK S. GHILARDUCCI Director 55B -150 Table of Contents FEDERAL PROGRAM GUIDANCE ........................................................................................ ..............................1 INFORMATION BULLETINS ................................................................................................ ..............................1 GRANT MANAGEMENT MEMORANDUMS .......................................................................... ..............................1 PURPOSE OF THIS SUBAWARD & GUIDANCE ..................................................................... ..............................1 ELIGIBLE SUBAWARD SUBRECIPIENTS .............................................................................. ..............................1 SUBRECIPIENTS / PASS - THROUGH ENTITIES ..................................................................... ..............................1 PERFORMANCEPERIOD ..................................................................................................... ..............................1 MATCHREQUIREMENTS ................................................................................................... ..............................2 ALLOCATIONS AND METHODOLOGY ................................................................................. ..............................2 EXCESSFUNDS ................................................................................................................. ..............................2 INDIRECTCOSTS ............................................................................................................... ..............................2 CONFLICTOF INTEREST .................................................................................................... ..............................2 SUBAWARD TIMELINES / KEY DATES ............................................................................... ..............................3 WHAT'S NEW? ................................................................................................................. ..............................4 EMPGPROGRAM EMPHASIS ............................................................................................ ..............................4 APPLICANT RESPONSIBILITIES .......................................................................................... ..............................5 APPLICATIONDOCUMENTS ............................................................................................... ..............................5 OPTIONAL APPLICATION COMPONENTS ............................................................................ ..............................6 GOVERNING BODY RESOLUTION ( GBR) ........................................................................... ..............................6 ADDENDUM TO GOVERNING BODY RESOLUTION ............................................................. ..............................6 OFFICIAL WRITTEN CORRESPONDENCE ............................................................................ ..............................6 SOLE SOURCE PROCUREMENT .......................................................................................... ..............................6 SUBAWARD ASSURANCES AND CERTIFICATIONS .............................................................. ..............................7 NIMSADOPTION .............................................................................................................. ..............................7 APPLICATION DUE DATE .................................................................................................. ..............................7 APPLICATION SUBMITTAL ................................................................................................. ..............................8 EMPG PROGRAM SPECIALISTS ......................................................................................... ..............................8 MAILINGADDRESS .......................................................................................................... ............................... 8 APPROVAL OF APPLICATION ............................................................................................. ..............................8 ADDITIONALFUNDS ......................................................................................................... ..............................8 APPLICABLE LAWS & REGULATIONS ................................................................................ ..............................9 ENVIRONMENTAL PLANNING AND HISTORIC PRESERVATION (EHP) COMPLIANCE ......... ............................... 9 FEDERALLY MANDATED OBJECTIVE INFORMATION ........................................................ .............................10 55B -151 EXTENSIONREQUESTS ................................................................................ ............................... VALIDATING CAPABILITIES OBJECTIVE: DEVELOP AND MAINTAIN MULTI -YEAR TEPS........... VALIDATING CAPABILITIES OBJECTIVE: EXERCISE .................................... ............................... VALIDATING CAPABILITIES OBJECTIVE: TRAINING .................................... ............................... TRAINING FEEDBACK NUMBER ................................................................... ............................... SUBCONTRACTS.......................................................................................... ............................... SYSTEM FOR AWARD MANAGEMENT (SAM) ............................................. ............................... MAINTENANCE AND SUSTAINMENT ............................................................ ............................... UNALLOWABLE COSTS ............................................................................... ............................... SUPPLANTING............................................................................................. ............................... ACCESSIBILITY OF RECORDS ...................................................................... ............................... REIMBURSEMENT OF ELIGIBLE COSTS ........................................................ ............................... SUBAWARD MODIFICATIONS ...................................................................... ............................... PERFORMANCE REPORTS ............................................................................ ............................... CLOSEOUT................ .................................................................................. ............................... RECORDSRETENTION ................................................................................. ............................... FINAL SUBAWARD REPORT ......................................................................... ............................... AUDIT REQUIREMENTS ............................................................................... ............................... MONITORING SUBAWARD PERFORMANCE .................................................. ............................... SUBAWARD - RELATED DOCUMENTS:I • FINANCIAL MANAGEMENT FORMS WORKBOOK (FMFW) - (REQUIRED) • GOVERNING BODY RESOLUTION (GBR) & ADDENDUM TO GBR - (REQUIRED) • SUBAWARD ASSURANCES AND CERTIFICATIONS - (REQUIRED) • FY2015 EMPG APPLICATION CHECKLIST - (REQUIRED) • INDIRECT COST RATE NEGOTIATION AGREEMENT - (REQUIRED IF APPLICABLE) • EXCESS FUNDS STATEMENT FORM - (OPTIONAL) • ADDITIONAL PROJECT USING EXCESS FUNDS FORM - (OPTIONAL) • ADDITIONAL PROJECT USING EXCESS FUNDS DETAILED BUDGET FORM - (OPTIONAL) • HOW TO SUBMIT AN EMPG MODIFICATION REQUEST - (INSTRUCTIONAL) • HOW TO SUBMIT AN EMPG REIMBURSEMENT REQUEST - (INSTRUCTIONAL) 10 11 11 12 13 13 13 13 14 14 14 14 14 15 15 15 15 15 15 ' All documents can be located on the Cal OES website at: Mtn: / /www caloes ca ¢ ov/ GratitsManagementSite /Pages/Eniergency- Manaeem ent- Perform ante- Grant.asnx 55B -152 Federal Program The U.S. Department of Homeland Security (DHS) published the Fiscal Year (FY) 2015 Guidance Emergency Management Performance Grant (EMPG) Program, Notice of Funding Opportunity (NOFO) on March 25, 2015.2 Information DHS issues Information Bulletins that provide updates, clarification, and requirements Bulletins throughout the life of the grant 3 Grant Cal OES periodically issues Grant Management Memorandums (GMMs). GMMs that Management provide additional information regarding EMPG funds can be located on the Web Page.° Memorandums Purpose of this The purpose of the Emergency Management Performance Grant (EMPG) Program is to Subaward & provide federal funds to states to assist state, local, and tribal governments in preparing for all Guidance hazards. Funds provided under the EMPG must be used to support activities that contribute to the Operational Area's capability to prevent, prepare for, mitigate against, respond to, and recover from emergencies and disasters, whether natural or man -made. This California Supplement to the Federal Program Notice of Funding Opportunity will provide the Operational Areas (OAs) with guidance and forms to apply for, perform, and closeout the FYI EMPG subaward. This supplemental guide specifies the performance period, objectives, eligible activities, and other subaward - related information and requirements. This document is to supplement the U.S. Department of Homeland Security FY2015 EMPG Program Notice of Funding Opportunity. Eligible The eligible subaward subrecipients are the 58 county Operational Areas (OAs). The Tribal Subaward Guidance will be issued under separate cover. Subeeipients (subrecipients may contract with any other public or private organizations to perform eligible activities on approved projects.) Note: Cal OES is the `recipient'; the county is the `subrecipient'; and the county's pass - through entities are `subrecipients.' For a definition of the teen subrecipient, refer to 2 Code of Federal Regulations (C.F.R.) § 200.93. Subreeipient / Any time grant funds are given to a subrecipient, such as a political subdivision (city, town, Pass- Through or special district) or federally - recognized tribe, the county /pass - through entity must ensure Entitles that the assurances and certifications of this subaward are included as part of the subaward agreement with the subrecipient. Performance The performance period for FY 15 EMPG is July 1, 2015, through June 30, 2016. All Period Subaward activities must be completed and all grant funds expended within this period. Pending receipt of all valid application materials, subrecipients may request retroactive reimbursement of Financial Management Forms Workbook (FMFW) approved activities and budgeted items to the start of the performance period listed above; with the exception of Equipment. Procurement of equipment shall occur only after the OA is in award, and any applicable federal requirements have been met. 2 U.S. Department of Homeland Security Fiscal Year (FY) 2015 EMPG Program, Notice of Funding Opportunity may be viewed and downloaded at: htip: / /www.fema.gov/ media - library- data / 1427284768817- b62b93d48b12617f423cOe8tI)fde562b /FY2015EMPG NOFO:udf. 3 Information Bulletins may be obtained at: http: / /www.fema.gov/grants /grant- programs- directorate - information- bulletins. a GMMs can be located at http:// www. caloes. ca .gov /GrantsManagementSilgTages /Emergency- Management- Peifonnanee- Grant.asnx. 55B-1 53 Match The FYI EMPG requires a dollar- for - dollar match. This can be cash or third party in -kind Requirements contributions. Refer to 2 C.F.R. § 200.29 and § 200.306 for specific details. Allocations and California will subaward a total of $15,481,623 to Operational Areas. The local allocations Methodology were determined using a $125,000 base award, with remaining funds distributed using per capita figures in the Department of Finance's yearly report called: E -I: City /County Population Estimates with Annual Percent Changes Excess Funds While developing an application, if it is determined that all allocated funds cannot be expended by the end of the performance period and the need to return funds to Cal OES exists, then it will be necessary to complete the Excess Funds Statement Form e These funds may then be reallocated to other OAs who have identified one -time projects they would like to undertake; if funding is available and the project is selected for funding by Cal OES. Indirect Costs Indirect costs are allowable under the FYI EMPG subaward. Subrecipients wishing to claim indirect costs may do so using either of the following two methods: Subrecipients with an indirect cost rate approved by their cognizant federal agency may claim indirect costs based on the established rate. Indirect costs claimed must be calculated using the base approved in the indirect cost Negotiation Agreement. A copy of the approved Negotiation Agreement is required at the time of application. 2. Subrecipients who have never received a negotiated indirect cost rate and receive less than $35 million in direct federal funding per year may claim the 10% de minimis indirect cost rate based on Modified Total Direct Costs (MTDC) as described in 2 C.F.R. §200.68 and Subpart E. Indirect costs are in addition to the M &A allowance, and must be included in the subaward application as a "Project" and reflected in the Financial Management Forms Workbook on the Indirect Cost Category Ledger if being claimed under the subaward. Conflict of Subrecipients must disclose to their Cal OES EMPG Program Specialist, in writing, Interest any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations or their own existing policies, which may arise during the administration of the EMPG award within five days of learning of the conflict of interest. s This report can be accessed at the following website: littp• / /www dof ca eov/ research /demographic /rei)oils /estimates /e -1 /view php. 'This form can be located at: http: / /www catoes ca eov/ GrantsManaeementSite /Pages/Emerl4ency- Management- Performance- Grant.aspx, under EMPG Forms. [21 55B -154 Subaward Timelines / Key Dates March 25, 2015 DHS releases announcement of FY15 EMPG April 24, 2015 Cal OES' Application due to DHS July 1, 2015 Subreci ient Performance Period Begins August 14, 2015 FYI5 EMPG California Supplement to the Federal Program Notice of Funding Opportunity released August, 19, 20, 24, 25, 26, and 28 EMPG Application Workshops 2015 September 14, 2015 Electronic copy of completed FMFW and other application documents due to your Cal OES EMPG Program Specialist for review and vetting September 30, 2015 DHS awards grant funds to Cal OES September 30 2015 MY -TEPs due to be submitted October 14, 2015* The OA's completed /vetted applications must be received by Cal OES Grants Management *Submit as soon as possible, but Unit Program Specialist by this date no later than October 14 2015 October 14, 2015 Submission of the FY15 EMPG Performance Report for the Period of 7/1/2015 — 9/30/2015 has been waived and is not required to be completed November 16, 2015 Anticipated date that OAs will be notified of application approval and award January 14, 2016 Performance Report due to Program Specialist for 7/1/2015— 12/31/2015 April 14, 2016 Performance Report due to Program Specialist for 7/1/2015 — 3/31/2016 June 30, 2016 Subrecipient performance period ends. All subaward activities must be completed and all grant funds expended July 14, 2016 Final Performance Report due to Program Specialist for 7/1/2015 — 6/30/2016 July 14, 2016 Final Reimbursement Request due to Program Specialist September 30, 2016 Cal OES' Federal Performance Period Ends 55B -155 What's New? The 2 C.F.R. Part 200 —Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards ( "Super Circular" or "Omni Circular ") supersedes all inconsistent provisions found in other administrative requirements, program manuals, handbooks, and other non - regulatory materials (see 2 C.F.R. § 200.105). • Subrecipients are responsible for costs incurred to comply with FEMA's Environmental Planning and Historic Preservation (EHP) requirements. This includes, but is not limited to, California Historical Resources Information System (CHRIS) reports; when required. See Information Bulletin (IB) 404. • Indirect costs are allowed under the FYI EMPG subaward, as described on page 2 of this State Guidance. • The FYI EMPG - specific Financial Management Forms Workbook (FMFW) has been updated. Updates include, but are not limited to, a revised Grant Subaward Face Sheet which includes additional fields; and new Indirect Cost - related tabs. EMPG The FY15 EMPG Program will focus on the building, sustaimment, and delivery of all- hazards Program emergency management capabilities in the following areas: Emphasis • Planning • Organization • Equipment Acquisitions • Training • Exercises • EOC Construction and Renovation • Maintenance and Sustainment The FY 15 EMPG Program plays an important role in the implementation of the National Preparedness System (NPS)7 by supporting the development and sustainment of core capabilities. Core capabilities are essential for the execution of each of the five mission areas outlined in the National Preparedness Goal (NPG). The development and sustainment of these core capabilities are not exclusive to any single level of government or organization, but rather require the combined effort of the whole community. The FYI EMPG Program supports all core capabilities in the Prevention, Protection, Mitigation, Response, and Recovery mission areas based on allowable costs. The National Preparedness System can be located at: littp://www.fema.gov/national-prgaredness-system [4] 55B -156 Applicant The applicants' responsibilities are to: Responsibilities 1. Submit a finalized FMFW application, both electronic copy and hard copy, to their Cal OES EMPG Program Specialist as soon as possible, but no later than October 14, 2015; along with all other required application components. Note: An electronic copy of the proposed FMFW and other required application documents shall be submitted for Program Specialist review and vetting prior to submission of signed hard copy original. The electronic copy of the FMFW and other required application documents should be submitted for Cal OES review by no later than September 14, 2015. 2. Comply with all assurances and certifications contained in the Subaward Assurances and Certifications submitted with the FY15 EMPG application. In addition, if the OA subawards funds to other entities, their subaward agreements /contracts must also include these same assurances and certifications; along with any local requirements. 3. Prepare and submit timely Performance Reports for the duration of the performance period. 4. Maintain financial management systems that support subaward activities in accordance with 2 C.F.R. § 200.302. 5. Submit revision requests to Cal OES and obtain approval prior to incurring any associated expenditures; if changes are required after the initial subaward. Further details are included in this guidance under " Subaward Modifications." 6. Deobligate unexpended subaward funds to Cal OES after all work has been completed and reimbursements have been disbursed. 7. Maintain property, programmatic, and financial records in accordance with the 2 C.F.R. Part 200 record retention requirements. 8. Comply with the audit requirements in 2 C.F.R. Part 200 Subpart F —Audit Requirements. 9. Complete all EMPG requirements associated with federal and state objectives; including but not limited to, staff training and exercises. 10. Submit all subaward- related paperwork including: Performance Reports, Reimbursement Requests, Modification Requests, and Amendments, by the identified due dates. 11. Comply with 2 C.F.R. Part 200 and FEMA Grant Programs Directorate (GPD) Policies. 12. Comply with DHS FY 2015 EMPG Program NOFO and the Cal OES FY 2015 EMPG Program - California Supplement to the Federal Program NOFO, as applicable. Application The application must include the following components:8 Documents 1. Financial Management Forms Workbook (FMFW) 2. Governing Body Resolution (GBR) 3. Addendum to Governing Body Resolution 4. Subaward Assurances and Certifications 5. FYI Emergency Management Performance Grant Application Checklist 6. Indirect Cost Rate Negotiation Agreement; if applicable* *If claiming indirect costs at a federally - approved rate, then you must provide a copy of your approved indirect cost rate Negotiation Agreement – see Indirect Costs on page 2 of this Guide. 'Application documents can be found on the Cal OES website on the Emergency Management Performance Grants Documents page at: httn: / /www. caloes. ca. gov /GrantsManagementSi to /Pages /Emergency- Management- Performance- Grant.aspx. [5] 55B -157 Optional Excess Funds Statement Form - While developing an application, any excess funds should Application be identified and returned to Cal OES so that the funds may be reallocated to other OAs. Components hi this case, it will be necessary to complete and submit the Excess Funds Statement Form to your Program Specialist by the application due date. Additional Project Using Excess Funds Form and Additional Project Using Excess Funds Detailed Budget - these two forms are to be used for requesting additional funding; should it become available. Governing The GBR appoints agents authorized to execute any actions necessary under this subaward. Body Universal GBRs can be used for up to three years as long as the majority of the original Resolution approving Board members (three out of five) are still currently on the Board. If past GBRs are Sole Source going to be utilized for present applications, then the OA will still need to submit a copy with (GBR) their application. Universal GBRs are strongly encouraged; this refers to a GBR that does not identify a specific subaward arnormt, specific subaward years, and does not identify a specific grant program by name. Addendum to Governing Body Resolution For each person or position appointed by the governing body, submit the following information to Cal OES, along with the Resolution, on the applicant's letterhead: • Name • Title • Jurisdiction • E -Mail Address • Street Address, City, & Zip Code • Phone and Fax Number(s) Note: Changes identifying the Authorized Agent can be made if and when necessary. If the Governing Body Resolution identifies the Authorized Agent by name, a new Resolution and corresponding Addendum to the GBR are needed when any changes are made. If the Governing Body Resolution identified the Authorized Agents by position and/or title, changes can be made by only submitting a new Addendum to the GBR. Cal OES will not accept signatures of an Authorized Agent's designee. Official Written For the EMPG Program, all official written correspondence from Cal OES will be mailed to the Correspondence payment mailing address, identified on the Grant Subaward Face Sheet, and addressed to the Authorized Agent who signed the Grant Subaward Face Sheet. Sole Source To be eligible for reimbursement, sole source (or noncompetitive) procurements exceeding the Procurement simplified acquisition threshold (which is established by the Federal Acquisition Regulation at 48 C.F.R. Subpart 2.1 and is currently set at $150,000) require Cal OES prior written approval. Note: This method of procurement must be approved by your local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing Agent's approval must be included with the Cal OES submission; additional documentation supporting the procurement effort may also be requested for review by Cal OES. [61 55B -158 Subaward The Subaward Assurances and Certifications form lists the requirements to which the OA will Assurances and be held accountable. OAs are required to file a new Subaward Assurances and Certifications Certifications form with the FYI EMPG application. Failure to comply with any of the Subaward Assurances and Certifications may result in suspension, termination, or reduction of grant funds. The State may suspend or terminate subaward funding, in whole or in part, or other measures may be imposed for any of the following reasons: • Failing to expend funds in a timely manner consistent with the subaward milestones, guidance, and assurances • Failing to comply with the requirements or statutory objectives of federal or state law • Failing to make satisfactory progress toward the goals or objectives set forth in the subaward application • Failing to follow subaward requirements or special conditions • Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding • Failing to submit required reports on time • Providing false certification in the application or other report or document • Failing to adequately manage, monitor, or direct the subaward funding activities of their subrecipients • Failing to submit a Reimbursement Request Before taking action, the State will provide the subrecipient reasonable notice of intent to impose corrective measures and will make every effort to resolve the problem informally. NIMS Adoption In accordance with the Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents, the adoption and implementation of the National Incident Management System (NIMS) is a requirement to receive federal preparedness assistance, through grants, contracts, and other activities. The Subaward Assurances and Certifications form includes NIMS adoption for certifying compliance. This certifies that the OA will complete the NIMS Implementation Tool, is working on their metrics, and has adopted and implemented NIMS. For further details and /or assistance regarding NIMS - related matters contact Cindy Shipley at cynthia.shi 11? ey ,@caloes.ca.gov, (916) 845 -8753. Application Due The application must be received by Cal OES no later than S:OOpm on October 14,2015*. Date *The completed application packet should be submitted as soon as possible after vetted by your Cal OES EMPG Program Specialist; however, by no later than October 14, 2015. [7] 55B -159 Application The completed original hard copy of the FMFW and all other application components must be Submittal mailed with original signatures, with enough time to be received by Cal OES' Grants Management Section by the application due date. Signatures should be in ink. OAs will also submit an electronic copy of the completed FMFW to their Program Specialist. All application materials should be submitted as soon as possible; however, they must be received by Cal OES Grants Management Section by no later than October 14, 2015, at 5:00pm. Note: To streamline the process, electronically submit the completed FMFW to your EMPG Program Specialist prior to submitting a signed hard copy, in order to identify any corrections or adjustments that may need to be addressed. The electronic copy of the FMFW should be submitted for Cal OES review by no later than September 14, 2015. Work closely with your Program Specialist to ensure that all application documents are complete and accurate. Further, EMPG Program Specialists (Grant Management Staff) are available to assist in any EMPG - related matters. If the application is received with errors or is incomplete, this will cause a delay in receiving your Notification of Application Approval letter by November 2015. Subrecipients must receive the Notification of Application Approval letter prior to drawing down any grant funds. EMPG Grant Management Staff, Program Inland Region — Patti Delaney: patti.delaney@caloes.ca.gov, (916) 845 -8469 Specialists Coastal Region— Michelle Cruz: michelle.cruz a,caloes.ca.gov, (916) 845 -8383 Southern Region — Jason Stalder: jason.stalder a caloes.ca.gov, (916) 845 -8289 Tribal Nations — Cheryl McCorkle: cheryl.mccorkle a ealoes.ca.gov, (916) 845 -8415 Mailing Cal OES Address Emergency Management Grants Unit (EMGU) 3650 Schriever Avenue Mather, CA 95655 Approval of Cal OES will notify the OA, in writing, of the approved application, subaward amount, and Application performance period. Subrecipient reimbursements will not be made until all required application components have been approved by the State. Additional In order to reallocate any identified excess, declined, or deobligated funds, we are asking the Funds OAs to submit one -tithe EMPG eligible projects that they can fully execute in a two -five month period, as well as, within the subaward performance period. The Additional Project Using Excess Funds Form and Additional Protect Using Excess Funds Detailed Budget should be submitted if an OA is interested in additional funds. If selected for funding, the applicant will be required to submit an FMFW Modification Request and an Amendment Form that will comprehensively integrate the approved excess funds project(s), both financially and programmatically, into their existing, approved FMFW application. These documents need to be submitted within 15 days of being notified; or funds may be re- directed to some other project(s). Additional funding requests may be submitted at any time but preferably during the application phase. 9 Emergency Management Grants Unit contact information: http•/ /www caloes ca.aov /GrantsManagementSite /Pages /Emereencv- Management- Performance -Grant aspx under the heading of Regional Assignments Map. 10 These forms can be located at: http•/ /www caloes ca gov/ GrantsManagementSite /Pages/Emerl4ency- Management - Performance- Grant.aspx, under EMPG Forms. [81 55B -160 Applicable OAs must ensure that local and internal departments are aware of the following laws, Laws & regulations, and guidance documents that apply to this subaward: Regulations • Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended • Title 2 C.F.R. Part 200 • California Emergency Services Act, Chapter 7 of Division 1 of Title 2 of the Government Code — which provides the legal basis for Emergency Management activities in California • Government Code Section 8607 describes the Standardized Emergency Management System • California Supplement to the Federal Program Notice of Funding Opportunity, provided by Cal OES • FY 2015 Emergency Management Performance Grants (EMPG) Program Notice of Funding Opportunity (NOFO), issued by the U.S. Department of Homeland Security (DHS): Federal Emergency Management Agency (FEMA) • FEMA Grant Programs Directorate (GPD) Policies Environmental FEMA is legally required to consider the potential impacts of all grant- funded projects on Planning and environmental resources and historic properties. For the EMPG Program and other preparedness Historic grant programs, this is accomplished through FEMA's Environmental Planning and Historic Preservation Preservation (EHP) review. Any project with the potential to impact natural or biological resources, or historic properties, or involving installation, or that involves Emergency Operation (EHP) Center construction and renovation cannot be initiated until FEMA has completed the required Compliance EHP compliance review. Subrecipients that implement projects prior to receiving EHP approval from FEMA risk de- obligation of funds. Subrecipients who are proposing communication tower projects are encouraged to complete their Federal Communications Commission (FCC) EHP process prior to preparing their EHP review materials for the Grants Program Directorate (GPD), and to include their FCC EHP materials with their submission to GPD. EMPG Program projects that involve the installation of equipment; ground - disturbing activities; new construction, including communication towers; or modification/renovation of existing buildings or structures must undergo a FEMA EHP review. Note: EHP review requests may require that a confidential California Historical Resources Information System (CHRIS) report be provided to FEMA.H Furthermore, for those proposed construction or renovation projects that are part of larger projects funded from a non -FEMA source (such as an Emergency Operation Center that is part of a larger proposed public safety complex), a FEMA EHP review must be completed before the larger project is initiated. For these types of projects, subrecipients roust complete the FEMA EHP Screening Form (OMB Number 1660- 0115/FEMA Form 024 -0 -1)12 and submit it, with all supporting documentation, to Cal OES. Note: Subrecipients should submit the FEMA EHP Screening Form for each applicable project as soon as possible. However, to ensure that ample time exists to allow for the FEMA EHP review and approval process, as well as the subsequent execution of the subaward- funded project, all subrecipient EHP- related documents must be received by Cal OES no later than Information regarding CHRIS can be obtained at: http: / /ohp.parks.ca.gov / ?page id =1068, �z The FEMA EHP Screen Form can be located at: litips: / /www.fema.gov/media- library /assets /documents /90195. [9] 55B -161 Environmental December 31, 2015. Exceptions to this due date will be at the discretion of Cal OES, based on Planning and exceptional circumstances and/or compelling justification. Historic Refer to FEMA GPD EHP Policy Guidance FP- 108 -023 -1 (located at: Preservation hql2s://www.fema.gov/niedia-libmM/assets/documents/85376) and IB 404 (located at: (EHP) http: / /www.fema gov/ rs antis/ rp ant - programs- directorate - information - bulletins) for further details Compliance, on EHP requirements. The EHP Screening Form can be downloaded at: Continued https://www.fema.gov/media-library/`assets/documents/90195. Forward completed EHP documents electronically to the appropriate Cal OES EMPG Program Specialist. The following activities would not require the submission of the FEMA EHP Screening Form: planning and development of policies or processes; management and administrative or personnel actions; classroom -based training; tabletop and functional exercises; and acquisition of mobile and portable equipment (not involving installation). To be considered, extension requests must be received no later than 60 days prior to the end of the subrecipient's period of performance, and must contain specific and compelling justifications as to why an extension is required. Additionally, period of performance extension requests should be limited to one month in duration. Only under extenuating and extremely compelling circumstances will two -month extensions be considered. Extension Requests beyond two months will not be considered. 13 The Federally Mandated Objectives can be located in the FY 2015 EMPG EMPG Program Priorities, pages 25 -30 at: http: / /www.fema.gov /media -libra [10] 55B -162 Notice of Funding Opportunity, Appendix A -FY 2015 Projects initiated without proper EHP review will not be funded. Projects that were initiated or completed before an EHP review was concluded, using EMPG Program funds, will be deobligated. To avoid unnecessary delays in starting a project, subrecipients are encouraged to pay close attention to the reporting requirements for an EHP review. Federally Validating Capabilities, Priority Objective, and Performance Measures 13 Mandated To address the EMPG priorities, an objective has been identified and given a set of performance Objective measures and associated reporting requirements to determine how effective subrecipients are in utilizing EMPG Program funding to prepare for all hazards, and advance a whole community Information approach. With these measures, subrecipients must evaluate their progress toward achieving the stated objectives in the quarterly EMPG Performance Report and in compliance with all reporting requirements. Extension Extensions to the initial period of performance identified in the subaward will only be Requests considered through formal, written requests to your EMPG Program Specialist. Upon receipt of extension requests, Cal OES will: (1) verify compliance with performance reporting requirements by confirming that the subrecipient has submitted all necessary performance reports; (2) confirm that the subrecipient has provided sufficient justification for the request; and (3) if applicable, confirm that the subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES. To be considered, extension requests must be received no later than 60 days prior to the end of the subrecipient's period of performance, and must contain specific and compelling justifications as to why an extension is required. Additionally, period of performance extension requests should be limited to one month in duration. Only under extenuating and extremely compelling circumstances will two -month extensions be considered. Extension Requests beyond two months will not be considered. 13 The Federally Mandated Objectives can be located in the FY 2015 EMPG EMPG Program Priorities, pages 25 -30 at: http: / /www.fema.gov /media -libra [10] 55B -162 Notice of Funding Opportunity, Appendix A -FY 2015 Validating SubrecipientRequirements: Capabilities Objective• 1. All subrecipients are required to develop a Multi -Year Training and Exercise Plan (TEP) that incorporates linkages to the NPG core capabilities and update it annually. The Multi -Year Develop and TEP shall encompass the period of January 1, 2016 — December 31, 2017. Maintain Multi- 2. The TEP must be submitted to the Cal OES Exercise Division POCs and EMPG Program Year TEPs Specialist by September 30, 2015. Note: TEPs shall be e- mailed to Cal OES Exercise Division Points of Contact (POCs), with a copy to their EMPG Program Specialist (Grant Management Staff) no later than September 30th each year. Exercise POCs listed below are available for assistance, if needed, in any exercise - related matters. • Southern Region— Steve Nunez: steve.mmez(a,caloes.ca.Qov • Inland Region —Kevin Leisher: kevinleishergealoes.ca.gov • Coastal Region— Kevin Leisher: kevin.leisher a,caloesxa.sov Measurement Method: • Submission to Cal OES of an updated Multi -Year TEP. Reporting: • Subrecipients must report in the EMPG Performance Report their compliance with submitting an updated Multi -Year TEP to Cal OES. Validating 1. All EMPG Program - funded personnel shall participate in no less than three exercises in a Capabilities 12 -month period. This 12 -month period shall be the subaward performance period of Obieetive• July 1, 2015 — June 30, 2016, regardless of time extensions. EMPG Program - funded Exercise personnel are any personnel paid at any percentage with EMPG funding, including M &A staff. There is no specific requirement for level of "participation" in the exercises; so, observation and attendance satisfies the objective. The exercises can be of any type (e.g., discussion -based or operations- based) within the performance period (see httDS://WWW.fema.gov/media-libraty/assets/documents/32326 . 2. An After Action Report/Improvement Plan (AAR/IP) must be completed by the host of each EMPG- funded exercise and submitted to hseepnfema.dhs.gov, and a copy sent to your EMPG Program Specialist within 90 days after the completion of an exercise. 3. A summary of all collected corrective action items and the tracking of their implementation shall be reported as part of the EMPG quarterly reporting. Additional information and guidance related to AAR/IPs and the National Exercise Program (NEP) Base Plan can be found on the HSEEP website at htips://www.fema.gov/media- libmM/assets/documents/32326. ://www.fema.gov /media- libmM/assets /documents /32326. Questions regarding HSEEP guidance may be directed to hseep@,fema.dhs.gov. For HSEEP Toolkit technical support, contact the HSEEP helpdesk at Wportp.hseep.net, 877 - 612 -4357. Note: It is acceptable to submit an Exercise Summary Report for Seminars and Workshops in lieu of a full AAR/IP. E -mail the copies of the AAR/IPs to your EMPG Program Specialist. [11] 55B -163 Validating A summary of all collected corrective action items and a tracking of their implementation shall Capabilities be reported as part of the EMPG quarterly reporting. FEMA encourages the use of the Homeland Obieetive: Security Exercise and Evaluation Program (HSEEP). Exercise, Exercise Division staff are available for assistance with any exercise - related questions or Continued matters Measurement Method: • Percent of exercises participated by the OA's EMPG- funded personnel. • Submission of an AAR/IP completed by the host of the EMPG - funded exercises. Reporting: Subrecipients must report quarterly in the EMPG performance report, the percent completed of the exercise requirements for the EMPG - funded personnel. Subrecipients must submit AAR/IPs for each EMPG - funded exercise, if the exercise is hosted by the Subrecipients. AAR/IPs will be completed by the host of the exercise. Participants do not have to individually complete an AAR/IP. Validating Training activities supported with EMPG Program funds should strategically align to the NPG Capabilities core capability identified in the Multi -Year TEP. To ensure the development of a professional Objective: emergency management workforce all EMPG Program - funded personnel shall complete 11 training requirements and record proof of completion. EMPG Program - funded personnel are any Training personnel paid at any percentage with EMPG funding; this includes M &A staff funded by EMPG Program funds. All EMPG Program- funded personnel shall complete the following training requirements by June 30,201 . National Incident Manaeement Svstem (NIMS) Training: IS 100.b Introduction to Incident Command System (ICS) IS 200.b ICS for Single Resources and Initial Action Incident IS 700.a National Incident Management System, An Introduction IS 800.b National Response Framework, An Introduction FEMA Professional Development Series: IS 120.a Introduction to Exercises IS 230.d Fundamentals of Emergency Management IS 235.b Emergency Planning IS 240.b Leadership and Influence IS 241.b Decision Malting and Problem Solving IS 242.b Effective Communication IS 244.b Developing and Managing Volunteers The aforementioned listed courses are available on -line and at no cost from the Emergency Management Institute (EMI) at the following links: http: / /trainin .fa ema.gov /IS/NIMS.aspx & h4p://training.fema.gov/is/searchis.aspx?search=PDS Note: The "G" course series and classroom -based equivalents can be used as an alternate to satisfy these training requirements. Past completion of the above courses (or qualifying equivalent) is considered acceptable in meeting this requirement. Recorded proof of completion, such as certificates of completion, must exist and be kept on file by the subrecipient and be made available for review upon request. [ 12] 55B -164 Validating Measurement Method: Capabilities Percent of EMPG Program - funded personnel completing the previously identified 11 Obieetive: • required training courses. Training, Continued Reporting: Subrecipients are required to share with Cal OES a TEP that includes an exercise plan and schedule, and a plan for training personnel. Information related to TEPs can be obtained by consulting Cal OES' Exercise Division POC. • Submission of a list of EMPG Program - funded personnel along with the training and dates completed is to be included in the EMPG Program quarterly Performance Reports. Training In order for EMPG Program funds to be utilized for training- related purposes, subrecipients Feedback must first obtain a Training Feedback Number. Training Feedback Numbers must be obtained Number no later than thirty (30) days prior to the training event. To be considered for a Training Feedback Number, subrecipients must complete a Training Request Form and submit it electronically to Cal OES. Training Request Forms can be obtained at the following link: httys:// w3. calema. cagov /WebPage /trainreq.nsf /TraiiiRe u�a est ?Ot)enFonn For Training Request Form or Training Feedback Number assistance contact Johnie Garrett at i ohn. garrcgL@caloes. ca.gov. Subcontracts In accordance with 2 C.F.R. § 200.326 Contract Provisions, any time funds are given to a contractor the subrecipient's contracts must contain the applicable provisions described in Appendix II to 2 C.F.R. Part 200 — Contract Provisions for Non - Federal Entity Contracts Under Federal Awards. The OA must monitor and ensure that the contractors are adhering to all applicable federal and state laws. The OA must not make or permit any award (subaward or contract) at any tier to any party that is debarred, suspended, or otherwise excluded from, or ineligible for participation in federal assistance programs, such as the EMPG. Subrecipients must obtain documentation of eligibility prior to any subaward of EMPG funds and be prepared to present supporting documentation to monitors. System for The System for Award Management (SAM) includes information regarding entities debarred, Award suspended, proposed for debarment, excluded or disqualified under the non - procurement Management coimnon rile, or otherwise declared ineligible from receiving federal contracts, certain (SAM) subcontracts, and certain federal assistance and benefits. Contractor disbarment verification can be obtained from the following website: https: / /www.sam,gov. Maintenance The use of EMPG funds for maintenance contracts, warranties, repair or replacement costs, and upgrades, licenses, and user fees are allowable under all active and future grant awards, unless Sustainment otherwise noted. With the exception of maintenance plans purchased incidental to (i.e., at the same time and under the same subaward as) the original purchase of the system or equipment, the period covered by a maintenance agreement or warranty plan must not exceed the period of performance of the specific grant funds used to purchase the plan or warranty, and address the requirements identified in FEMA Information Bulletin (113) 379. 55B- 1 135 Unallowable • Expenditures for weapons systems and ammunition Costs • Costs to support the hiring of sworn officers for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities • Activities and projects unrelated to the completion and implementation of the EMPG Program Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that have been appropriated or budgeted for the same purpose through non - federal sources. In the event that supplanting is suspected, the subrecipient will be required to supply documentation demonstrating or certifying that a reduction in non - federal resources occurred for reasons other than the receipt, or expected receipt, of federal funds. Accessibility of The federal Department of Homeland Security(DHS), the DHS Office of Inspector General, Records the Comptroller General of the United States, Cal OES, and any of their authorized representatives, shall have the right of access to any books, documents, papers, or other records which are pertinent to the subaward, in order to make audits, monitoring reviews, examinations, excerpts, and transcripts. The right of access is not limited to the required retention period but shall last as long as the records are retained. Refer to 2 C.F.R. § 200.336 for more information about accessibility of records. Reimbursement The EMPG is a reimbursement grant and therefore no cash advances are permitted under the of Eligible EMPG. The EMPG funds will be disbursed on a reimbursement basis, using the FMFW. Costs Follow the Workbook instructions for Reimbursement Requests 14 and submit the signed forms to your EMPG Program Specialist. Payment will be made within 30 days after the Grants Management Section receives a valid and complete Reimbursement Request. It is strongly recommended that copies of all documents adding up to the total of each Reimbursement Request be retained to make verification by monitors and/or auditors easier. Cal OES may require submittal of these documents at any time. Subaward Post award budget, scope, and other modifications must be requested using the Cal OES FMFW Modifications and be signed by the subrecipient's Authorized Agent. A hard copy must be submitted to Cal OES and approved by Cal OES' Grants Management Section, prior to initiating any revised scope of work or incurring the associated expenditures. The OAs may submit modifications to Cal OES once per quarter during the performance period. Exceptions to allow more modifications during a quarter will be made at Cal OES discretion and will be based on exceptional circumstances and /or compelling justification. Failure to submit modifications and receive approval prior to expenditure could result in a reduction or disallowance of that part of the subaward. Instructions on how to submit a Modification Request are available at the link identified in the foomote.15 " The Reimbursement Request instructions can be located at: http•/ /www caloes ca gov/GrantsManaaeinentSite/Pages/Emeri4ency- Managem ent- Performance - Grant. aspx. 15 The Modification Request instructions can be located at: http:/ /www caloes ca gov /GrantsManagementSite /Pages /Emergency- Managem ent- Performance- Grant.aspx. [ 14] 55B -166 Performance Subrecipients must prepare and submit Performance Reports to the State for the duration of the Reports subaward performance period, or until all grant activities are completed and the subaward is formally closed by Cal OES. The reports must include the progress made on identified activities, as well as other required information and data. Failure to submit a Performance Report could result in subaward reduction, termination, or suspension. Subrecipients must also complete a Biannual Strategy Implementation Report (BSIR) using the DHS /FEMA Grants Reporting Tool (GRT). To obtain access to the online GRT, log on to their website at www.reportin2.odo.dhs.gov. To create a new account, follow the instructions that read, "If you need to register for an account, please click here." For additional assistance with the GRT, contact: Gina Avelar at gina.avelarkealoes.ca.aov, (916) 845 -8647. Closeout The State will close a subrecipient subaward after: • Receiving a subrecipient Performance Report indicating that all approved work has been completed, and all funds have been disbursed • Completing a review to confirm the accuracy of reported information • Reconciling actual costs to awards, modifications, and payments If the closeout review and reconciliation indicates that the subrecipient: • Is owed additional funds, the State will send the final payment automatically to the subrecipient • Did not use all funds received, the State will issue a deobligation amendment, invoice, or letter to recover unused funds • Did not expend all obligated grant funds, the State will require that a Grant Award Amendment be completed to deobligate the unspent funds and revert them back to the State Records Specific requirements for record retention can be found in 2 C.F. R. § 200.333. In the Grant Retention Closeout Letter, the State will notify the subrecipient of the start of the record retention period for all programmatic and financial subaward - related records. Final Subaward Cal OES will review the OA's final Performance Report for compliance with all subaward Report conditions. The final Performance Report is due to Cal OES by July 14, 2016, (unless the subaward performance period is extended) and will serve as the final Subaward report. Audit The OAs, and their subrecipients, must comply with the audit requirements contained in Requirements 2 C.F.R. Part 200 Subpart F —Audit Requirements, Monitoring The State may perform periodic reviews of the OA's subaward performance. The Monitoring Subaward Division is actively conducting monitoring visits, both desk review and on -site, among Performance subrecipients. These reviews may include, but are not limited to: • Comparing actual Subaward activities to those approved on the Financial Management Forms Workbook • Confirming compliance with: – Subaward Assurances and Certifications – Information provided on the Performance Reports • Reviewing and monitoring financial and administrative records To provide support and guidance, Grants Management Staff will be intermittently conducting on -site programmatic and financial reviews of OA's EMPG Program - related activities. 558-167 55B -168 FY15 Emergency Management Performance Grant Agreement Articles, Assurances, Certifications, Terms, and Conditions FEDERAL AGREEMENT ARTICLES Article I – Assurances, Administrative Requirements, and Cost Principles Recipients of DHS Federal financial assistance must complete OMB Standard Form 424B Assurances – Non - Construction Programs. Certain assurances in this document may not be applicable to your program, and the awarding agency may require applicants to certify additional assurances. Please contact the program awarding office if you have any questions. The administrative and audit requirements and cost principles that apply to DHS award recipients originate from 2 C.F.R. Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as adopted by DHS at 2 C.F.R. Part 3002. Article II - DHS Specific Acknowledgements and Assurances All recipients must acknowledge and agree —and require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree —to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff. 1. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS. 2. Recipients must give DHS access to and the right to examine and copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by DHS regulations and other applicable laws or program guidance. 3. Recipients must submit timely, complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to support the reports. 4. Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance. 5. If, during the past three years, the recipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS awarding office and the DHS Office of Civil Rights and Civil Liberties. 6. In the event any court or administrative agency makes a finding of discrimination on grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status against the recipient, or the recipient settles a case or matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the DHS Component and /or awarding office. The United States has the right to seek judicial enforcement of these obligations. Initials 55B -169 Article III - Lobbying Prohibitions All recipients must comply with 31 U.S.C. & 1352, which provides that none of the funds provided under an award may be expended by the recipient to pay any person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any Federal action concerning the award or renewal. Article IV - Acknowledgement of Federal Funding from DHS All recipients must acknowledge their use of Federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with Federal funds. Article V - Copyright All recipients must affix the applicable copyright notices of 17 U.S.C. §& 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under Federal financial assistance awards, unless the work includes any information that is otherwise controlled by the Government (e.g., classified information or other information subject to national security or export control laws or regulations). Article VI - Use of DHS Seal, Logo and Flags All recipients must obtain DHS's approval prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. Article VH - Activities Conducted Abroad All recipients must ensure that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained. Article VIII - Fly America Act of 1974 All recipients must comply with Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. 4� 1102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B- 138942. Article IX - Drug -Free Workplace Regulations All recipients must comply with the Drug -Free Workplace Act of 1988 (41 U.S.C. & 701 et sea.), which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -free workplace. DHS has adopted the Act's implementing regulations at 2 C.F.R. Part 3001. Article X - Trafficking Victims Protection Act of 2000 All recipients must comply with the requirements of the government -wide award term which implements Section 106(g) of the Trafficldng Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. & 7104). This is implemented in accordance with OMB Interim Final Guidance, Federal Register, Volume 72, No. 218, November 13, 2007. Full text of the award term is located at 2 C.F.R. 6 175.15. Article XI — Title VI of the Civil Rights Act of 1964 All recipients must comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et leg.), which provides that no person in the United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or Initials 55B -170 activity receiving Federal financial assistance. hmplementing regulations for the Act are found at 6 C.F.R. Part 21 and 44 C.F.R. Part 7. Article XII - Civil Right Act of 1968 All recipients must comply with Title VIII of the Civil Rights Act of 1968, which prohibits recipients from discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of services in connection therewith, on the basis of race, color, national origin, religion, disability, familial status, and sex (42 U.S.C. § 3601 et seg.), as implemented by the Department of Housing and Urban Development at 24 C.F.R. Part 100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units —i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground -floor units in buildings without elevators) —be designed and constructed with certain accessible features (see 24 C.F.R. & 100.201). Article XIII - Americans with Disabilities Act of 1990 All recipients must comply with the requirements of Titles I,11, and III of the Americans with Disabilities Act, which prohibits recipients from discriminating on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. �§ 12101- 12213). Article XIV - Age Discrimination Act of 1975 All recipients must comply with the requirements of the Age Discrimination Act of 1975 (42 U.S.C. & 6101 et ,sea.), which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance. Article XV - Title IX of the Education Amendments of 1972 (Equal Opportunity in Education Act) All recipients must comply with the requirements of Title IX of the Education Amendments of 1972 (20 U.S.C. & 1681 et sea.), which provides that no person in the United States will, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational program or activity receiving Federal financial assistance. Implementing regulations are codified at 6 C.F.R. Part 17 and 44 C.F.R. Part 19. Article XVI - Rehabilitation Act of 1973 All recipients must comply with the requirements of Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as amended, which provides that no otherwise qualified handicapped individual in the United States will, solely by reason of the handicap, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. These requirements pertain to the provision of benefits or services as well as to employment. Article XVII - Limited English Proficiency (Civil Rights Act of 1964, Title VI) All recipients roust comply with Title VI of the Civil Right Act of 1964 prohibition against discrimination on the basis of national origin, which requires that recipients of Federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services. Providing meaningful access for persons with LEP may entail providing language assistance services, including oral interpretation and written translation. hi order to facilitate compliance with Title VI, recipients are encouraged to consider the need for language services for LEP persons served or encountered both in developing budgets and in conducting programs and activities. Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency (August 11, 2000), requires Federal agencies to issue guidance to recipients, assisting such organizations and entities in understanding their language access obligations. DHS published the required recipient guidance in April 2011, DI-IS Guidance to Federal Financial Assistance Recipients Regarding Title V1 Initials 55B -171 Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 76 Fed. Reg. 21755- 21768, (April 18, 2011). The Guidance provides helpful information such as how a recipient can determine the extent of its obligation to provide language services; selecting language services; and elements of an effective plan on language assistance for LEP persons. For additional assistance and information regarding language access obligations, please refer to the DHS Recipient Guidance https: / /www.dhs gov/iuidance- published -help- deuarhnent- supported- organizations- provide - meaningful- access - people- limited and additional resources on htlp: / /www.lep.gov. Article XVIII - Animal Welfare Act of 1966 All recipients of financial assistance will comply with the requirements of the Animal Welfare Act, as amended (7 U.S.C. &2131 et seq.), which requires that minimum standards of care and treatment be provided for vertebrate animals bred for commercial sale, used in research, transported commercially, or exhibited to the public. Recipients must establish appropriate policies and procedures for the humane care and use of animals based on the Guide for the Care and Use of Laboratory Animals and comply with the Public Health Service Policy and Government Principles Regarding the Care and Use of Animals. All recipients of financial assistance will comply with the requirements of 42 U.S.C. 57401 et seq. and Executive Order 11738, which provides for the protection and enhancement of the quality of the nation's air resources to promote public health and welfare and for restoring and maintaining the chemical, physical, and biological integrity of the nation's waters. Article XX - Protection of Human Subjects All recipients of financial assistance will comply with the requirements of the Federal regulations at 45 C.F.R. Part 46, which requires that recipients comply with applicable provisions /law for the protection of human subjects for purposes of research. Recipients must also comply with the requirements in DHS Management Directive 026 -04, Protection of Human Subjects, prior to implementing any work with human subjects. For purposes of 45 C.F.R. Part 46, research means a systematic investigation, including research, development, testing, and evaluation, designed to develop or contribute to general knowledge. Activities that meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program that is considered research for other purposes. The regulations specify additional protections for research involving human fetuses, pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is governed by applicable State and local law and is not directly regulated by 45 C.F.R. Part 46. Article XXI - National Environmental Poliev Act (NEPA) of 1969 All recipients of financial assistance will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42 U.S.C._§4111 et seq., which establishes national policy goals and procedures to protect and enhance the environment, including protection against natural disasters. To comply with NEPA for its grant - supported activities, DHS requires the environmental aspects of construction grants (and certain non - construction projects as specified by the component and awarding office) to be reviewed and evaluated before final action on the application. Article XXII - National Flood Insurance Act of 1968 All recipients of financial assistance will comply with the requirements of Section 1306(c) of the National Flood Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation of a structure insured under the Act that is located along the shore of a lake or other body of water and that is certified by an appropriate State or local land use authority to be subject to imminent collapse or subsidence as a result of erosion or undermining caused by waves or currents of water exceeding anticipated cyclical levels. These regulations are codified at 44 C.F.R. Part 63. Initials 55B -172 Article XXIII - Flood Disaster Protection Act of 1973 All recipients of financial assistance will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4001 et sec . , which provides that no Federal financial assistance to acquire, modernize, or construct property may be provided in identified flood -prone communities in the United States, unless the community participates in the National Flood Insurance Program and flood insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published in the Federal Register by FEMA. Article XXIV - Coastal Wetlands Planning, Protection, and Restoration Act of 1990 All recipients of financial assistance will comply with the requirements of Executive Order 11990, which provides that federally funded construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive Order provides that, in furtherance of Section 101(b)(3) ofNEPA (42 U.S.C. § 4331(b)(3)), Federal agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction located in wetlands unless the head of the agency finds that there is no practicable alternative to such construction, and that the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use. In making this finding, the head of the agency may take into account economic, environmental, and other pertinent factors. The public disclosure requirement described above also pertains to early public review of any plans or proposals for new construction in wetlands. This is codified at 44 C.F.R. Part 9. Article XXV - USA Patriot Act of 2001 All recipients must comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175 -175c. Among other things, the USA PATRIOT Act prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on access to specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or receive any biological agent or toxin that is listed as a select agent. Article XXVI — Best Practices for Collection and Use of Personally Identifiable Information (PII) All recipients who collect PII are required to have a publically- available privacy policy that describes what PII they collect, how they use the PII, whether they share PII with third parties, and how individuals may have their PII corrected where appropriate. Award recipients may also find as a useful resource the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template respectively. Article XXVII — Duplication of Benefits Any cost allocable to a particular Federal award provided for in 2 C.F.R. Part 200, Subpart E may not be charged to other Federal awards to overcome fund deficiencies, to avoid restrictions imposed by Federal statutes, regulations, or terms and conditions of the Federal awards, or for other reasons. However, this prohibition would not preclude the non - Federal entity from shifting costs that are allowable under two or more Federal awards in accordance with existing Federal statutes, regulations, or the terms and conditions of the Federal awards. Article XXVIII — False Claims Act and Program Fraud Civil Remedies All recipients must comply with the requirements of 31 U.S.0 § 3729 which set forth that no recipient of Federal payments shall submit a false claim for payment. See also 38 U.S.0 §§ 3801 -3812 which details the administrative remedies for false claims and statements made. Initials 55B -173 Article XXIX — Federal Debt Status All recipients are required to be non - delinquent in their repayment of any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowance, and benefit overpayments. See OMB Circular A- 129 and form SF -42413, item number 17 for additional information and guidance. Article XXX— Hotel and Motel Fire Safety Act of 1990 In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. § 2225(a), all recipients must ensure that all conference, meeting, convention, or training space funded in whole or in part with Federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, as amended, 15 U.S.C. X2225. Article XXXI — Non - supplanting Requirement All recipients who receive awards made under programs that prohibit supplanting by law must ensure that Federal funds do not replace (supplant) funds that have been budgeted for the same purpose through non - Federal sources. Where Federal statues for a particular program prohibits supplanting, applicants or recipients may be required to demonstrate and document that a reduction in non - Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. Article XXXII — Debarment and Suspension All recipients must comply with Executive Orders 12549 and 12689, which provide protection against waste, fraud and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government. H1 LHAC 11AA111 — L' d1V11 U1l1LLGLL 6A1 81{alllaall$ [luu aimLVa n a a cJCa Yauma aiui , �.vaaapaanaaa.r. All recipients of financial assistance proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers, modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description that explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact environmental resources and /or historic properties. The EHP review process must be completed before funds are released to carry out the proposed project. EHP Policy Guidance can be found in FP 108 - 023 -01, Environmental Planning and Historic Preservation Policy Guidance, at httn://www.fema.pov/media-library/assets/doemnent/85376. Article XXXIV — SAFECOM All recipients who receive awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. Article XXXV — Energy Policv and Conservation Act All recipients must comply with the requirements of 42 U.S.C. & 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issues in compliance with this Act. Article XXXVI — Reporting Subawards and Executive Compensation a. Reporting of first -tier subawards. 1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section Initials 55B -174 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5) for a subaward to an entity (see definitions in paragraph e. of this award term). 2. Where and when to report. i. You must report each obligating action described in paragraph a.l. of this award term to http://www fsrs.gov. ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.) 3. not to report. You must report the information about each obligating action that the submission instructions posted at http: / /Www.fvrs.gov specify. b. Reporting Total Compensation of Recipient Executives. 1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if- i. the total Federal funding authorized to date under this award is $25,000 or more; ii. in the preceding fiscal year, you received— A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http:// www .see.gov /answerslexecomp.htm.) 2. Where and when to report. You must report executive total compensation described in paragraph b. I. of this award terns: i. As part of your registration profile at https: //www.sam. eov. ii. By the end of the month following the month in which this award is made, and annually thereafter. c. Reporting of Total Compensation of Subrecipient Executives. 1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first -tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if- i. in the subrecipient's preceding fiscal year, the subrecipient received— Initials 55B -175 A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act (and subawards); and ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http: / /Www.sec.gov /answers /execomp. him.) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term: i. To the recipient. ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. d. Exemptions If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report: i. Subawards, and ii. The total compensation of the five most highly compensated executives of any subrecipient. e. Definitions. For purposes of this award term: 1. Entity means all of the following, as defined in 2 C.F.R. Part 25: i. A Governmental organization, which is a State, local government, or Indian Tribe; ii. A foreign public entity; iii. A domestic or foreign nonprofit organization; iv. A domestic or foreign for - profit organization; v. A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal entity. 2. Executive means officers, managing partners, or any other employees in management positions. 3. Subawadd: i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. ii. The term does not include your procurement of property and services needed to carry out the projector program (for further explanation, see 2 C.F.R. § 200.330 — Subrecipient and Contractor Determinations). Initials 55B -176 iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 4. Subrecipient means an entity that: i. Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of the Federal funds provided by the subaward. 5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 C.F.R.§ 229.402(c)(2)): i. Salary and bonus. ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. iii. Earnings for services under non - equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. v. Above - market earning on deferred compensation which is not tax - qualified. vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000. Article XXXVII — Patents and Intellectual Propertv Rights Unless otherwise provided by law, recipients are subject to the Bayh -Dole Act, Pub. L. No. 96 -517, as amended, and codified in 35 U.S.C. § 200 et seq. All recipients are subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards in 37 C.F.R. Part 401 and the standard patent rights clause in 37 C.F.R. § 401.14. Article XXXVIII — Procurement of Recovered Materials All recipients must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired by the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. Article XXXIX — Contract Provisions for Non - Federal Entity Contracts Under Federal Awards; Appendix II to C.F.R. Part 200 In addition to other provisions required by the Federal agency or non - Federal entity, all contracts made by the non- Federal entity under the Federal award must contain provisions covering the following, as applicable. (A) Contracts for more than the simplified acquisition threshold currently set at $150,000, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in Initials 55B -177 instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. (B) All contracts in excess of $10,000 must address termination for cause and for convenience by the non - Federal entity including the manner by which it will be effected and the basis for settlement. (C) Equal Employment Opportunity. Except as otherwise provided under 41 C.F.R. Part 60, all contracts that meet the definition of "federally assisted construction contract" in 41 C.F.R. Part 60 -1.3 must include the equal opportunity clause provided under 41 C.F.R. Part 60- 1.4(b), in accordance with Executive Order 11246, "Equal Employment Opportunity" (30 FR 12319, 12935, 3 C.F.R. Part, 1964 -1965 Comp., p. 339), as amended by Executive Order 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," and implementing regulations at 41 C.F.R. Part 60, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor." (D) Davis -Bacon Act, as amended (40 U.S.C. 3141 - 3148). When required by Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non - Federal entities must include a provision for compliance with the Davis -Bacon Act (40 U.S.C. 3141 -3144, and 3146 -3148) as supplemented by Department of Labor regulations (29 C.F.R. Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction "). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The non- Federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non - Federal entity must report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland "Anti- Kickback" Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 C.F.R. Part 3, "Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States "). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non - Federal entity must report all suspected or reported violations to the Federal awarding agency. (E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701 - 3708). Where applicable, all contracts awarded by the non - Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 C.F.R. Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. (F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of "funding agreement" under 37 C.F.R. §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that "funding agreement," the recipient or subrecipient must comply with the requirements of 37 C.F.R. Part 401, "Rights to Inventions Made by Nonprofit Initials 55B -178 Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations issued by the awarding agency. (G) Clean Air Act (42 U.S.C. 7401- 7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251- 1387), as amended— Contracts and subawards of amounts in excess of $150,000 must contain a provision that requires the non - Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401- 7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251- 1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA). (H) Debarment and Suspension (Executive Orders 12549 and 12689) —A contract award (see 2 C.F.R. § 180.220) must not be made to parties listed on the government wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 C.F.R Part 180 that implement Executive Orders 12549 (3 C.F.R. Part 1986 Comp., p. 189) and 12689 (3 C.F.R. Part 1989 Comp., p. 235), "Debarment and Suspension." SAM Exclusions contain the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. (I) Byrd Anti- Lobbying Amendment (31 U.S.C. 1352) — Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U. S.C. 1352. Each tier must also disclose any lobbying with non - Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non - Federal award. (J) A non - Federal entity that is a state agency or agency of a political subdivision of a state and its contractors must comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. Article XL – Terrorist Financing E.O. 13224 All recipients must comply with U.S. Executive Order 13224 and U.S. law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of recipients to ensure compliance with the E.O. and laws. Article XLI – System for Award Management and Universal Identifier Requirements A. Requirement for System for Award Management (SAM) Unless you are exempted from this requirement under 2 C.F.R. § 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. Initials 55B -179 B. Requirement for unique entity identifier If you are authorized to make subawards under this award, you: 1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its unique entity identifier to you. 2. May not make a subaward to an entity unless the entity has provided its unique entity identifier to you. C. Definitions For purposes of this award term: 1. System for Award Management (SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently at ht( • / /www.sam.2ov). 2. Unique entity identifier means the identifier required for SAM registration to uniquely identify business entities. 3. Entity, as it is used in the award term, means all of the following as defined at 2 C.F.R. Part 25, Subpart C: a. A Governmental organization, which is a State, local government, or Indian Tribe; b. A foreign public entity; c. A domestic or foreign nonprofit organization; d. A domestic or foreign for -profit organization; and e. A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal entity. 4. Subaward: a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see 2 C.F.R. § 200.330). c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subrecipient means an entity that: a. Receives a subaward from you under this award; and b. Is accountable to you for the Federal funds provided by the subaward. Article XLII — Whistleblower Protection Act All recipients must comply with the statutory requirements for whistleblower protections (if applicable) at 10 U.S.0 § 2409, 41 U.S.C. & 4712, and 10 U.S.C. § 2324, 41 U.S.C. && 4304 and 4310. Lit LlL.1G ALlll -1JlJV VJlL1V1l Vl l'iV µd�l1ll61lL AL.N U116µ Vl {µL.P L When original or replacement equipment acquired under this award by the recipient or its subrecipients is no longer needed for the original project or program or for other activities currently or previously supported by DHS /FEMA, you must request instructions from DHS /FEMA to make proper disposition of the equipment pursuant to 2 C.F.R. § 200.313. 'Al Ilmle A{.1y —r11V1 APJJIVy[ll LVl 1L'1Vull mauun V1 Hppl Vy6u 11µµ$6L Before making any change to the DHS /FEMA approved budget for this award, you must request prior written approval from DHS/FEMA where required by 2 C.F.R. § 200.308. For awards with an approved budget greater than $150,000, you may not transfer fiords among direct cost categories, programs, functions, or activities without Initials 55B -180 prior written approval from DHS /FEMA where the cumulative amount of such transfers exceeds or is expected to exceed ten percent (10 %) of the total budget DHS/ FEMA last approved. You must report any deviations from your DHS /FEMA approved budget in the first Federal Financial Report (SF -425) you submit following any budget deviation, regardless of whether the budget deviation requires prior written approval. ASSURANCES The applicant hereby assures and certifies compliance with all applicable Federal statutes, regulations, policies, guidelines, and requirements. See Article I above. The applicant also specifically assures and certifies that it: 1. Has the legal authority to apply for Federal assistance, and the institutional, managerial, and financial capability (including funds sufficient to pay the non - Federal share of project costs) to ensure proper planning, management, and completion of the project described in this application. 2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the assistance or award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives. See Article II above. 3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 4. Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency. 5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728 -4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of Office of Personnel Management's (OPM) Standards for a Merit System of Personnel Administration (5 C.F.R. § 900, Subpart F). 6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88 -352) which prohibits discrimination on the basis of race, color or national origin: (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681- 1683, and 1685- 1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 - 6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92 -255), as amended, relating to nondiscrimination on the basis of ding abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91 -616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism;(g) §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd -3 and 290 ee -3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Right Act of 1968 (42 U.S.C. §§ 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental, or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; and, 0) the requirements of any other nondiscrimination statute(s) which may apply to the application. See Articles XI, XII, XIII, XIV, XV, XVI, and XVII. Initials 55B -181 7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91 -646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal and/or federally - assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. S. Will comply, as applicable, with the provisions of the Hatch Act (5 U.S.C. §§ 1501 -1508 and 7324 -7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 9. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§ 276a to 276a -7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. § 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327 -333), regarding labor standards for federally- assisted construction subagreements. 10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93 -234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more; and the National Flood Insurance Act of 1968. See Articles XXII and XXIII. 11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under National Environmental Protection Act (NEPA) of 1969 (P.L. 91 -190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§ 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Dririlcing Water Act of 1974, as amended, (P.L. 93 -523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L. 93 -205). See Articles XIX, XXI, and XXIV. 12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§ 469a -1 et seq.). All proposed construction and renovation activities must undergo an Environmental Planning and Historic Preservation (EHP) review, including approval of the review from FEMA, prior to undertaking any action related to the project. Any applicant that is proposing a construction project should pay special attention to the EHP requirements. See Article XXXIII 14. Will comply with P.L. 93 -348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. See Article XX. 15. Will comply with the Laboratory Animal welfare Act of 1966 (P.L. 89 -544, as amended, 7 U.S.C. §§ 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. See Article XVIII. Initials 55B -182 16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.) which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. 17. Will cause to be performed the required financial and compliance audits in accordance with the U.S. Government Accountability Office's (GAO) Government Auditing Standards, and the requirements of 2 C.F.R. Part 200, Subpart F. 18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program. This includes all requirements, restrictions and regulations identified in the California Governor's Office of Emergency Services (Cal OES) Fiscal Year 2015 Emergency Management Performance Grant (EMPG) Program - California Supplement to the Federal Program Notice of Funding Opportunity; or, The State Guidance. 19. Will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a subrecipient from (1) Engaging in severe forms of trafficking in persons during the period of time that the award is in effect (2) Procuring a commercial sex act during the period of time that the award is in effect or (3) Using forced labor in the performance of the award or subawards under the award. See Article X. 20. Will comply with Homeland Security Presidential Directive (HSPD) -5, Management of Domestic Incidents. The adoption of the NIMS is a requirement to receive Federal preparedness assistance, through grants, contracts, and other activities. The NIMS provides a consistent nationwide template to enable all levels of government, tribal nations, nongovermnental organizations, and private sector partners to work together to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity. 21. Will not dispose of, modify the use of, or change the terms of the real property title, or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the Federal interest in the title of real property in accordance with awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with Federal assistance funds to assure non- discrimination during the useful life of the project. 22. Will comply with the requirements of the assistance awarding agency with regard to the drafting, review and approval of construction plans and specifications. 23. Will provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progress reports and such other information as may be required by the assistance awarding agency or State. 24. Will comply with Public Law (PL) 109 -282 (Federal Funding Accountability and Transparency Act of 2006), as amended by Section 6202(a) of the Government Funding Transparency Act of 2008 (PL 110 -252), which is outlined in FEMA GPD Information Bulletin No. 350. If the subrecipient in the preceding year did not get 80% or more of its annual gross revenues from Federal Awards, and $25M or more in annual gross revenues from Federal Awards, and the public does have access to information about the compensation of the senior executives of the entity, then the subrecipient is not subject to the FFATA Financial Disclosure requirements. See Article XXXVI. 25. Will comply with the following: (a) All recipients of financial assistance must acknowledge and agree —and require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree —to Initials 55B -183 comply with applicable provisions governing Cal OES access to records, accounts, documents, information, facilities, and staff; (b) Recipients must cooperate with any site visit, compliance /monitoring review or complaint investigation conducted by Cal OES; (c) Recipients must give Cal OES access to and the right to examine and copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by Cal OES regulations and other applicable laws or program guidance; (d) Recipients must submit timely, complete, and accurate reports to the appropriate Cal OES officials and maintain appropriate backup documentation to support the reports; and (e) Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in the program guidance. 26. Will comply with the EMPG- Funded Personnel Training and Exercise Requirement. All recipients of financial assistance must acknowledge and agree —and require any subrecipients, to acknowledge and agree —to comply with the EMPG - funded personnel training and exercise requirement, as detailed in both the Federal and State program guidance. Failure to comply with this requirement, by individuals whose salary is funded, in part or whole with EMPG, may result in the incurred salary costs associated with the non- compliant EMPG - funded personnel from being eligible for reimbursement and/or result in the subrecipient's repayment of already disbursed grant funding associated with the non - compliant EMPG - funded personnel's salary - related costs. CERTIFICATIONS 1. CERTIFICATION FOR CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS: The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. See Article III. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Initials 55B -184 Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 2. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (DIRECT RECIPIENT As required by Executive Orders 12549 and 12589, Debarment and Suspension, and implemented at 44 C.F.R., Part 17 (See Article XXXII): A. The applicant certifies that it and its principals: (1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; (2) Have not within a three -year period preceding this application 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, malting false statements, or receiving stolen property; (3) 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 (A)(2) of this certification; and (4) Have not within a three -year period preceding this application had one or more public transactions (Federal, State, or Local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 3. CERTIFICATIONS REGARDING DRUG -FREE WORKPLACE REQUIREMENTS: This certification commits the applicant to compliance with the certification requirements under 44 C.F.R., Part 17 Government - wide Requirements for Drug -Free Worlgnace (Grants). See Article IX. A. The grantee certifies that it will or will continue to provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; Initials 55B -185 (b) Establishing an ongoing drug -free awareness program to inform employees about— (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Malting it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will— (1) Abide by the terms of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; (e) Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; (f) Taping one of the following actions, within 30 calendar days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted— (1) Tatting appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Malting a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e), and (f). 4. SWEATFREE CODE OF CONDUCT: a. All applicants contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equipment, materials, or supplies furnished to the state pursuant to the subaward have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The applicant further declares under penalty of perjury that they adhere to the Sweatfree Code of Conduct as set forth on the California Department of Industrial Relations website located at www.dir.ca.gov, and Public Contract Code Section 6108. Initials 55B -186 b. The applicant agrees to cooperate fully in providing reasonable access to the applicant's records, documents, agents or employees, or premises if reasonably required by authorized officials of the contracting agency, the Department of Industrial Relations, or the Department of Justice to determine the contractor's compliance with the requirements under paragraph (a). 5. DOMESTIC PARTNERS: For subawards executed or amended after July 1, 2004, the applicant may elect to offer domestic partner benefits to the applicant's employees in accordance with Public Contract Code section 10295.3. However, the applicant cannot require an employee to cover the costs of providing any benefits which have otherwise been provided to all employees regardless of marital or domestic partner status TERMS AND CONDITIONS The following laws apply to persons or entities doing business with the State of California. 1. CONFLICT OF INTEREST: Applicant needs to be aware of the following provisions regarding current or former state employees. If subrecipient has any questions on the status of any person rendering services or involved with the Agreement, the awarding agency must be contacted immediately for clarification. Current State Employees (Public Contract Code § 10410): 1) No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment. 2) No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services. Former State Employees (Public Contract Code § 10411): 1) For the two -year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision - making process relevant to the contract while employed in any capacity by any state agency. 2) For the twelve -month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if he or she was employed by that state agency in a policy - making position in the same general subject area as the proposed contract within the 12 -month period prior to his or her leaving state service. If applicant violates any provisions of above paragraphs, such action by applicant shall render this Agreement void. (Pub. Contract Code § 10420) Members of boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. (Pub. Contract Code § 10430 (e)) 2. LABOR CODE /WORKERS' COMPENSATION: Applicant needs to be aware of the provisions which require every employer to be insured against liability for Workers' Compensation or to undertake self - insurance in Initials 55B -187 accordance with the provisions, and applicant affirms to comply with such provisions before commencing the performance of the work of this Agreement. (Labor Code Section 3700) 3. AMERICANS WITH DISABILITIES ACT: Applicant assures the State that it complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. § 12101 et seq.) 4. APPLICANT NAME CHANGE: An amendment is required to change the applicant's name as listed on this Agreement. Upon receipt of legal documentation of the name change the State will process the amendment. Payment of invoices presented with a new name cannot be paid prior to approval of said amendment. 5. RESOLUTION: A county, city, district, or other local public body must provide the State with a copy of a resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an agreement, authorizing execution of the agreement. 6. AIR OR WATER POLLUTION VIOLATION: Under the State laws, the applicant shall not be: (1) in violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; (2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code for violation of waste discharge requirements or discharge prohibitions; or (3) finally determined to be in violation of provisions of Federal law relating to air or water pollution. SYSTEM FOR AWARD MANAGEMENT (SAM) AND UNIVERSAL IDENTIFIER REQUIREMENTS: A. Requirement for System for Award Management (SAM) Unless you are exempted from this requirement under 2 C.F.R. § 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that applicants and recipients review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. B. Requirement for Data Universal Numbering System (DUNS) Numbers If recipients are authorized to make subawards under this award, they: 1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award tern) may receive a subaward from you unless the entity has provided its DUNS number to you. 2. May not make a subaward to an entity wiless the entity has provided its DUNS number to you. C. Definitions For purposes of this award term: 1. System for Award Management (SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently at http://www.sam.go ). 2. Data Universal Numbering System (DUNS) number means the nine digit number established and assigned by Dun and Bradstreet, Inc. (D &B) to uniquely identify business entities. A DUNS number may be obtained from D &B by telephone (currently 866 - 705 -5711) or the Internet (currently at http: / /fedov.dnb.com webfonn). 3. Entity, as it is used in this award term, means all of the following, as defined at 2 C.F.R. § 25.320, Subpart C: a. A Governmental organization, which is a State, Local government, or Indian Tribe; b. A foreign public entity; c. A domestic or foreign nonprofit organization; Initials 55B -188 d. A domestic or foreign for - profit organization; and e. A Federal agency, but only as a subrecipient under an award or subaward to a non - Federal entity. 4. Subaward, as defined in 2 C.F.R. § 170.325: a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b. The term does not include your procurement of property and services needed to carry out the project or program. c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subrecipient, as defined in 2 C.F.R. § 25.360, means an entity that: a. Receives a subaward from you under this award; and b. Is accountable to you for the use of the Federal funds provided by the subaward. 8. FINANCIAL GUIDELINES: The recipient and any subrecipient shall comply with the most recent version of the Administrative Requirements, Cost Principles, and Audit Requirements. A non - exclusive list of regulations commonly applicable to FEMA grants are listed below: A. Administrative Requirements 1. 2 C.F.R. Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subparts B through D 2. 44 C.F.R. Part 10, Environmental Considerations B. Cost Principles 1. 2 C.F.R. Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart E —Cost Principles 2. 48 C.F.R.§ 31.2, Federal Acquisition Regulations (FAR), Contracts with Commercial Organizations C. Audit Requirements 1. 2 C.F.R. Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart F —Audit Requirements 9. PROHIBITION ON USING FEDERAL FUNDS: The recipient understands and agrees that it cannot use any Federal funds, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, without the express prior written approval of FEMA. 10. COMPLIANCE WITH PROGRAM GUIDANCE: The recipient agrees that all allocations and use of funds under this grant will be in accordance with the DHS FY 2015 EMPG Program Notice of Funding Opportunity (NOFO). 11. CLASSIFIED SECURITY CONDITION: A. Classified national security information, as defined in Executive Order (EO) 12958, as amended, means information that has been detennined pursuant to ED 12958 or any predecessor order to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form. B. No funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information if the award recipient has not been approved for and has access to such information. Initials 55B -189 C. Where an award recipient has been approved for and has access to classified national security information, no funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information by the contractor, subawardee, or other entity without prior written approval from the DHS Office of Security, Industrial Security Program Branch (ISPB), or an appropriate official within the Federal department or agency with whom the classified effort will be performed. D. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, as amended; the National Industrial Security Program Operating Manual (NISPOM); and/or other applicable implementing directives or instructions. All security requirement documents are located at: htto: / /www.dhs.gov /xoonbiz/arants /index.shtm E. Immediately upon determination by the award recipient that funding under this award will be used to support such a contract, subaward, or other agreement, and prior to execution of any actions to facilitate the acquisition of such a contract, subaward, or other agreement, the award recipient shall contact ISPB, or the applicable Federal department or agency, for approval and processing instructions. DHS Office of Security ISPB contact information: Telephone: 202- 447 -5346 Email: DD254AdministrativeSecurity &dhs.gov Mail: Department of Homeland Security Office of the Chief Security Officer ATTN: ASD /Industrial Security Program Branch Washington, D.C. 20528 Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and applicant may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: the applicant has made false certification, or violated the certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et seq.) I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally bind the prospective jurisdiction to the assurances and certifications listed above. Jurisdiction (Printed) By (Authorized Signature) .�,. ��.__.._- ... - -- -per— Printed Name and Title ofPerson Signing Date Executed Initials 55B -190 LR 2/18/16 RESOLUTION NO.2016 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER, AND THE CHIEF OF POLICE OR HIS DESIGNEE(S) TO OBTAIN 2015 EMERGENCY MANAGEMENT PERFORMANCE GRANT FUNDS THROUGH THE COUNTY OF ORANGE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The State of California Office of Emergency Services is responsible for implementing the United States Department of Homeland Security's Emergency Management Performance Grant Program (EMPG). The funds cover the salary costs for personnel involved in emergency management activities as well as the cost of miscellaneous equipment identified on the DHS approved equipment list. B. The County of Orange as a subgrantee of the 2015 EMPG funds and will provide funds to local governments for implementation of countywide emergency management capabilities. C. The City of Santa Ana as a subrecipient of the EMPG funds has been allocated $49,665.00 of the County of Orange's total EMPG fund. Section 2, The City Council of the City of Santa Ana hereby authorizes the City Manager, on terms acceptable to the City Attorney, to execute a sub - recipient agreement (also called a transfer agreement) with the County of Orange and /or Orange County Sheriff's Department in an amount not to exceed $49, 665.00 Section 3. The City Council of the City of Santa Ana hereby authorizes and directs the Chief of Police and /or his designee, on terms acceptable to the City Attorney, to prepare reimbursement agreements for salary costs, equipment, services, or training with the County of Orange pursuant to the guidelines set for in the EMPG program and EMPG Articles, Assurances, Certifications, Terms and Conditions. Section 4. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the FY 2014 Emergency Management Exhibit 2 Resolution No. 2016 -XXX 55B -191 Page 1 of 2 55B -192 Section 4. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the FY 2014 Emergency Management Performance Grant in the amount of $49,665.00 and appropriates same in the FY 2015 Emergency Management Performance Grant expenditure accounts. Section 5. 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 March, 2016, Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:g-awia, A Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers NOT PRESENT: Councilmembers Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2016 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Clerk of the Council City of Santa Ana Resolution No. 2016 -XXX 55B -193 Page 2 of 2 55B -194 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 1, 2016 TITLE: PUBLIC HEARING ON ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF MATER DEI HIGH SCHOOL AND RESOLUTION APPROVING THE ISSUANCE OF BONDS (STRATEGIC PLAN NO. 3,2) CITY MANAGE RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ® Ordinance on 2na Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO I�I��gpf��iG1�7 1. Conduct a Tax Equity and Financial Responsibility Act Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of the Roman Catholic Bishop of Orange, for the benefit of Mater Dei High School, for the purpose of financing or refinancing the acquisition, construction and improvement of certain educational facilities. 2. Adopt a resolution approving the issuance of revenue bonds by the California Municipal Finance Authority in an amount not to exceed $9,200,000 for the purpose of financing or refinancing the acquisition, construction and improvement of certain educational facilities. DISCUSSION The proceeds of the bonds will be used by the Roman Catholic Bishop of Orange (the "Borrower "), for the benefit of Mater Dei High School (the "School "), pursuant to a plan of financing for: (1) the Project, as defined below, in the approximate amount of $6,640,660; (2) refinancing all or a portion of the Authority's outstanding Tax Exempt Revenue Bond (Mater Dei High School Project) Series 2012B, issued for the Prior Project, as defined below, in the approximate amount of $2,559,340; and (3) payment of costs of issuance and certain interest with respect to the bonds. The term "Project" means financing or refinancing the consensual acquisition by the Borrower from current owners pursuant to negotiated contracts of sale of all or a portion of the land located at the following addresses and the demolition of structures thereon or on the land identified as the Prior Project and grading, construction and site preparation of such land for temporary surface parking for the School: 75A -1 TEFRA Public Hearing for Mater Dei March 1, 2016 Page 2 APN Address Address City State Zip 1 013 - 224 -06 1127 W. Berkeley St Santa Ana CA 92707 2 013 - 226 -07 1126 W. Occidental St Santa Ana CA 92707 3 013 - 226 -08 1130 W. Occidental St Santa Ana CA 92707 4 013 - 225 -07 1131 W. Occidental St Santa Ana CA 92707 5 013 - 225 -08 1135 W. Occidental St Santa Ana CA 92707 6 015 -220 -16 1125 W. Saint Andrew PI Santa Ana CA 92707 7 015 - 220 -15 1129 W. Saint Andrew PI Santa Ana CA 92707 8 015 - 220 -14 1133 W. Saint Andrew PI Santa Ana CA 92707 9 015 - 220 -13 1137 W. Saint Andrew PI Santa Ana CA 92707 The term "Prior Project' means refinancing the acquisition of the land located at the following addresses: The Project and facilities are to be, and the Prior Project and facilities are, owned and operated by the Borrower, a corporation solely organized and existing under the laws of the State of California and described in Section 501(c)(3) of the Internal Revenue Code of 1986, as amended, for the benefit of the School. The Borrower has requested the assistance of the California Municipal Finance Authority ( "Authority "). The Authority, which was established in 2004, was formed to assist local governments and non - profit organizations and businesses with the issuance of taxable and tax exempt bonds with the goal to promote economic, cultural, and community development. The City is a member of the Authority. However, in order for all or a portion of the bonds to qualify as tax - exempt bonds, the City must conduct a public Tax Equity and Financial Responsibility Act Hearing (the " TEFRA Hearing ") providing for the members of the community an opportunity to speak in favor of or against the use of tax - exempt bonds for the refinancing of the Project. Following the close of the TEFRA Hearing, an "applicable elected representative" of the governmental unit hosting the Project, in this case the City, must provide its approval of the issuance of the bonds by the Authority for the refinancing of the Project. 75A -2 APN Address city State Zip 1 013 - 225 -13 1126 W. Berkeley St Santa Ana CA 92707 2 013 -225 -12 1130 W. Berkeley St Santa Ana CA 92707 3 013 - 224 -07 1131 W. Berkeley St Santa Ana CA 92707 4 013 -225 -11 1134 W. Berkeley St Santa Ana CA 92707 5 013 - 225 -10 1138 W. Berkeley St Santa Ana CA 92707 6 013 - 225 -06 1127 W. Occidental St Santa Ana CA 92707 7 013 - 226 -09 1134 W. Occidental St Santa Ana CA 92707 8 013 - 226 -10 1138 W. Occidental St Santa Ana CA 92707 9 013 - 225 -09 1139 W. Occidental St Santa Ana CA 92707 10 015 - 220 -01 1201 W. Saint Andrew PI Santa Ana CA 92707 The Project and facilities are to be, and the Prior Project and facilities are, owned and operated by the Borrower, a corporation solely organized and existing under the laws of the State of California and described in Section 501(c)(3) of the Internal Revenue Code of 1986, as amended, for the benefit of the School. The Borrower has requested the assistance of the California Municipal Finance Authority ( "Authority "). The Authority, which was established in 2004, was formed to assist local governments and non - profit organizations and businesses with the issuance of taxable and tax exempt bonds with the goal to promote economic, cultural, and community development. The City is a member of the Authority. However, in order for all or a portion of the bonds to qualify as tax - exempt bonds, the City must conduct a public Tax Equity and Financial Responsibility Act Hearing (the " TEFRA Hearing ") providing for the members of the community an opportunity to speak in favor of or against the use of tax - exempt bonds for the refinancing of the Project. Following the close of the TEFRA Hearing, an "applicable elected representative" of the governmental unit hosting the Project, in this case the City, must provide its approval of the issuance of the bonds by the Authority for the refinancing of the Project. 75A -2 TEFRA Public Hearing for Mater Del March 1, 2016 Page 3 The bonds to be issued by the Authority are the sole responsibility of the borrower. The City has no financial or legal liability for the project or repayment of the bonds and does not constitute any type of indebtedness for the City. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (Create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT The Authority shares 25 percent of all issuance fees directly with its member communities. With respect to the City of Santa Ana, it is expected that 25 percent of all issuance fees for this project attributable to the City will be granted by the Authority to the City. Upon receipt the funds will be deposited to the Micellaneous Revenues, Miscellaneous Recoveries Revenue Account (no. 01102002 - 57010). Kelly Reenders Executive Director Community Development Agency Exhibits: 1. Public Notice 2. TEFRA Resolution APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 75A -3 75A -4 NOTICE OF PUBLIC HEARING NOTICE IS HEREBY GIVEN that on March 1, 2016 a public hearing as required by Section 147(f) of the Internal Revenue Code of 1986 will be held by the City of Santa Ana (the "City ") with respect to the proposed issuance by the California Municipal Finance Authority (the "Authority ") of its revenue bonds in one or more series in an aggregate principal amount not to exceed $9,200,000 (the "Bonds "). The proceeds of the Bonds will be used by the Roman Catholic Bishop of Orange (the "Borrower "), for the benefit of Mater Dei High School (the "School "), pursuant to a plan of financing for: (1) the Project, as defined below, in the approximate amount of $6,640,660; (2) refinancing all or a portion of the Authority's outstanding Tax Exempt Revenue Bond (Mater Dei High School Project) Series 2012B, issued for the Prior Project, as defined below, in the approximate amount of $2,559,340; and (3) payment of costs of issuance and certain interest with respect to the Bonds. The term "Project" means financing or refinancing the consensual acquisition by the Borrower from current owners pursuant to negotiated contracts of sale of all or a portion of the land located at the following addresses and the demolition of structures thereon or on the land identified as the Prior Project and grading, construction and site preparation of such land for temporary surface parking for the School: APN Address Citv State ZZri 1 013 - 224 -06 1127 W. Berkeley Street Santa Ana CA 92707 2 013- 226 -07 1126 W. Occidental Street Santa Ana CA 92707 3 013- 226 -08 1130 W. Occidental Street Santa Ana CA 92707 4 013 - 225 -07 1131 W. Occidental Street Santa Ana CA 92707 5 013 - 225 -08 1135 W. Occidental Street Santa Ana CA 92707 6 015- 220 -16 1125 W. Saint Andrew Place Santa Ana CA 92707 7 015- 220 -15 1129 W. Saint Andrew Place Santa Ana CA 92707 8 015- 220 -14 1133 W. Saint Andrew Place Santa Ana CA 92707 9 015- 220 -13 1137 W. Saint Andrew Place Santa Ana CA 92707 The term "Prior Project" means refinancing the acquisition of the land located at the following addresses: APN Address City State Zig 1 013 - 225 -13 1126 W. Berkeley Street Santa Ana CA 92707 2 013- 225 -12 1130 W. Berkeley Street Santa Ana CA 92707 3 013 - 224 -07 1131 W. Berkeley Street Santa Ana CA 92707 4 013 - 225 -11 1134 W. Berkeley Street Santa Ana CA 92707 5 013 - 225 -10 1138 W. Berkeley Street Santa Ana CA 92707 6 013 - 225 -06 1127 W. Occidental Street Santa Ana CA 92707 7 013 - 226 -09 1134 W. Occidental Street Santa Ana CA 92707 8 013 - 226 -10 1138 W. Occidental Street Santa Ana CA 92707 010 -8178- 1561 /6 /AMERICAS n XTg 9 013 - 225 -09 1139 W. Occidental Street Santa Ana CA 92707 10 015- 220 -01 1201 W. Saint Andrew Place Santa Ana CA 92707 The Project and facilities are to be, and the Prior 'Project and facilities are, owned and operated by the Borrower, a corporation sole organized and existing under the laws of the State of California and described in Section 501(c)(3) of the Internal Revenue Code of 1986, as amended, for the benefit of the School. The Bonds and the obligation to pay principal of and interest thereon and any redemption premium with respect thereto do not constitute indebtedness or an obligation of the Authority, the State of California or any political subdivision thereof, within the meaning of any constitutional or statutory debt limitation, or a charge against the general credit or taxing powers of any of them. The Bonds shall be a limited obligation of the Authority, payable solely from certain revenues duly pledged therefor and generally representing amounts paid by the Borrower. The hearing will commence at 5:45 p.m. or as soon thereafter as the matter can be heard, and will be held in the City Hall Council Chamber of the City of Santa Ana, 22 Civic Center Plaza, Santa Ana, California 92701. Interested persons wishing to express their views on the issuance of the Bonds or on the nature and location of the facilities proposed to be refinanced may attend the public hearing or, prior to the time of the hearing, submit written comments to the Cleric of the Council at the address indicated below. Additional information concerning the above matter may be obtained from, and written comments should be addressed to, Cleric of the Council, City of Santa Ana, 20 Civic Center Plaza, 8th Floor, Santa Ana, California 92701. Dated: February 16, 2016 010 -8178 -1561 /6 /AMERICAS 75A -6 RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE OF THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY REVENUE BONDS (MATER DEI HIGH SCHOOL) SERIES 2016, IN ONE OR MORE SERIES IN AN AGGREGATE PRINCIPAL AMOUNT NOT TO EXCEED $9,200,000, FOR THE PURPOSE OF FINANCING AND REFINANCING THE CONSENSUAL ACQUISITION OF PROPERTY, AS WELL AS THE CONSTRUCTION AND IMPROVEMENT OF PARIONG FACILITIES AND CERTAIN OTHER MATTERS PERTAINING THERETO WHEREAS, pursuant to Chapter 5 of Division 7 of Title I of the Government Code of the State of California (the "Act "), certain public agencies (the "Members' have entered into a Joint Exercise of Powers Agreement Relating to the California Municipal Finance Authority, dated as of January 1, 2004 (the "Agreement") in order to form the California Municipal Finance Authority (the "Authority "), for the purpose of promoting economic, cultural and community development, and in order to exercise any powers common to the Members, including the issuance of bonds, notes or other evidences of indebtedness; and WHEREAS, the City of Santa Ana, California (the "City "), by City Council Resolution No. 2008 -053 adopted on July 7, 2008, is a Member of the Authority; and WHEREAS, the Roman Catholic Bishop of Orange, a corporation sole organized and existing under the laws of the State of California and described in Section 501(c)(3) of the Internal Revenue Code of 1986, as amended (the "Corporation"), has requested that the Authority participate in the issuance of one or more series of revenue bonds in an aggregate principal amount not to exceed $9,200,000 (the "Bonds ") for the benefit of Mater Dei High School (the "School "), for (a) financing or refinancing the acquisition of all or a portion of certain parcels of land adjacent to the School's campus, located at 1202 W, Edinger Avenue, Santa Ana, California 92707 (the "Campus ") and the demolition of structures thereon or on the land identified as the Prior Project and grading, construction and site preparation of such land for temporary surface parking for the School (collectively, the "Project "), in the approximate amount of $6,640,660; (b) refinancing all or a portion of the Authority's outstanding Tax Exempt Revenue Bond (Mater Dei High School Project) Series 2012B, issued to refinance the acquisition of certain parcels of land adjacent to the Campus (the "Prior Project "), in the approximate amount of $2,559,340, the Prior Project having been approved by the City through City Cou cit Resolution No. 2010 -055, adopted on November 15, 2010; and (c) the payment of certain expenses incurred in connection with the issuance of the Bonds; and WHEREAS, the Project is to be owned and operated by the Corporation for the benefit of the School and located within the City; and WHEREAS, the Corporation has requested the issuance of the Bonds in order to effect savings in interest rate and /or issuance costs to effect significant public benefits pursuant to the Act; and t bA—Y. WHEREAS, pursuant to Section 147(f) of the Internal Revenue Code of 1986 (the "Code "), the issuance of the Bonds by the Authority must be approved by the City because the Project is to be located within the territorial limits of the City; and WHEREAS, the City Council of the City (the "City Council") is the elected legislative body of the City and is one of the "applicable elected representatives" required to approve the issuance of the Bonds under Section 147(f) of the Code; and WHEREAS, the Authority has requested that the City Council approve the issuance of the Bonds by the Authority in order to satisfy the public approval requirement of Section 147(1) of the Code and the requirements of Section 4 of the Joint Exercise of Powers Agreement Relating to the California Municipal .Finance Authority, dated as of January 1, 2004 (the "Agreement"), among certain local agencies, including the City; WHEREAS, it is in the public interest and for the public benefit that the City Council approve the issuance of the Bonds by the Authority for the aforesaid purposes; and WHEREAS, pursuant to Section 147(1) of the Code, the City Council has, following notice duly given, held a public hearing regarding the issuance of the Bonds, and now desires to approve the issuance of the Bonds by the Authority; NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of Santa Ana, as follows: Section 1. The foregoing recitals are true and correct. Section 2. The City Council hereby approves the issuance of the Bonds by the Authority and finds the Project will affect the significant public benefits set forth in the recitals above. It is the purpose and intent of the City Council that this resolution constitute approval of the issuance of the Bonds by the Authority for the purposes of: (a) Section 147(f) of the Code, by the applicable elected representative of the governmental unit having jurisdiction over the area in which the Project is to be located, in accordance with said Section 147(f), and (b) Section 4 of the Agreement. Section 3. The issuance of the Bonds shall be subject to approval of the Authority of all financing documents relating thereto to which the Authority is a party. The City shall have no responsibility or liability whatsoever with respect to repayment or administration of the Bonds. Section 4. The adoption of this Resolution shall not obligate the City or any department thereof to (i) provide any financing with respect to the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary with respect to the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) talce any fiuther action with respect to the Authority or its membership therein. Section S. The City Manager and applicable Executive Directors are hereby authorized and directed, jointly and severally, to do any and all things and to execute and deliver any and all documents which they deem necessary or advisable in order to carry out, give effect to and 75A -8 comply with the terms and intent of this resolution and the financing transaction approved hereby. Section 6. This resolution shall take effect immediately upon its adoption. [Remainder of page intentionally left blank] 75A -9 ADOPTED by the City Council of the City of Santa Ana at a regular meeting of the City Council held on the day of , 2016, by the following vote: AYES: NOES: ABSTAIN: ABSENT: ATTEST: Clerk APPROVED AS TO FORM: Sonia R. Carvalho City Attoi2agy n By:_ Ryan 75A -10 Title: